CDS Toolkit “version 2.0” - City...

CDS Toolkit “version 2.0”

Institute for Housing and Urban Development Studies (IHS) and FLMH (Labor für Politik und Kommunikation)

Prepared for Cities Alliance Final version – 5 October 2016

2

Principal author: Carley Pennink

Editing team (IHS): Forbes Davidson, Nigel Browne, and Paul Rabé

Contributing authors (IHS): Alexander Jachnow, Aloys Bongwa, Els Keunen, Forbes Davidson, Hana Yoosuf, Maureen Babu, Nicolae Taralunga, Paul Rabé, Saskia Ruijsink, Sorina Racoviceanu, Stelios Grafakos, and Veronica Olivotto

Web platform, tool design and dissemination: FLMH – Labor für Politik und Kommunikation http://www.flmh.de/

Note on sources: PublicationsandotherdocumentsconsultedforthistoolkitarebytheInstituteforHousingandUrbanDevelopmentStudies(IHS),unlessotherwisereferencedandcited.

Contents,TablesandAbbreviations

3

Contents Contents............................................................................................................3TablesandFigures.............................................................................................5Listofkeyabbreviationsandterms..................................................................7Introduction......................................................................................................8

WhatisaCityDevelopmentStrategy?..........................................................8ThechangingcontextofdevelopmentandtheneedforaCityDevelopmentStrategy.........................................................................................................8Whyisanewandimprovedapproachnecessary?.......................................9Whatisstrategicplanning?...........................................................................9ThebenefitsofaCityDevelopmentStrategy..............................................11Targetgroupsofthistoolkit........................................................................11MainstreamingCrosscuttingissues.............................................................12Howtousethistoolkit................................................................................13

1. Phase1:Gettingorganisedandsituationanalysis..................................181.1. Gettingorganised............................................................................181.2. Municipalinstitutionalassessment(capacityandresourceassessment).................................................................................................271.3. EstablishCDSprocess(internaltogovernment).............................311.4. Establishaparticipatorystrategydevelopmentprocess(externalprocess).......................................................................................................341.5. Situationanalysis:(rapid)participatorycityappraisalandprofiling 351.6. SWOTanalysis.................................................................................401.7. Strengthendataandinformationmanagement.............................43

2. Phase2:Wherearewegoing?Visionandstrategicobjectives..............462.1. Visioningandbuildingconsensusonkeythemes...........................462.2. Setstrategicobjectivesandbuildconsensusonstrategicdirections 48

3. Phase3:Howarewegoingtogetthere?Strategyformulation............533.1. Developstrategicoptionsandprioritisation...................................533.2. Establishprocessforcontinuousstrategydevelopment................583.3. Strategicactionplanning.................................................................603.4. PromotetheStrategy......................................................................62

4. Phase4:Howtoimplementandknowifweareontrack?.....................654.1. Managestrategyimplementationandoperationandmaintenance 654.2. Monitoringandevaluationofthestrategy.....................................68


4

4.3. Adjustandmodify...........................................................................71Finalwords..................................................................................................73

Technicalexamples.........................................................................................74Frameworksforsituationanalysis...............................................................74

1......................................................................................................................74ExampleofaSWOTanalysis........................................................................76Developingavision.....................................................................................77Projectprogrammingandformulation.......................................................79Organisationalchangestrategy...................................................................80

Tools................................................................................................................82Tool1:Checklistofcompetenciesandskillsrequiredofastrategiccoordinator......................................................................................................83

4.4. Termsofreferenceofcoordinator..................................................85Tool2:Stakeholderanalysis............................................................................86Tool3:Stakeholdercoincidentandconflictanalysis......................................89Tool4:Processplanningtool..........................................................................93Tool5:Venndiagramtool...............................................................................96Tool6:Communicationstrategytool..............................................................99Tool7:Mindmappingtool............................................................................105Tool8:PESTLanalysistool............................................................................109Tool9:Forcefieldanalysistool.....................................................................112Tool10:SWOTanalysis.................................................................................115Tool11:Problemtreetool............................................................................119Tool12:Linkageanalysistool........................................................................123Tool13:Brainstorming..................................................................................126Tool14:SMARTobjectives............................................................................128Tool15:Projectprogrammingsheet.............................................................130Tool16:Logicalframework...........................................................................133Tool17:GoalAchievementMatrix(GAM)....................................................137Tool18:Impactassessmentmatrices...........................................................142Tool19:CLIMACTPrio...................................................................................145Tool20:Organisationalchangechecklist......................................................149Tool21:Projectfiches...................................................................................154Tool22:Ganttcharttool...............................................................................158Tool23:Swimlanediagrams........................................................................161Tool24:DAC/OECDevaluationquestions.....................................................164References.....................................................................................................167


5

Tables and Figures

Tables

Table1:StagesinCDSpreparationanddelivery.............................................16

Table2:Categoriesofstakeholders................................................................25

Table3:ExampleofatableofcontentsforaCDSdocument.........................64

Table4:ResultsframeworkformainstreaminggenderandpovertyinCDS..69

Table5:Listoftoolsdescribedinthistoolkit..................................................82

Table6:Influence-interestmatrix.................................................................88

Table7:Influence,interestandcapacityanalysis...........................................88

Table8:Questionnaireforassessingthestakeholders’interestinthecitydevelopment...................................................................................................91

Table9:Instrumentstopresent,receiveandexchangeinformation...........103

Table10:ConceptualframeworktoconnectthetargetaudiencestoCDSphasesthroughcommunicationinstruments...............................................103

Table11:Problemanalysisquestions...........................................................122

Table12:Projectprogrammingsheet...........................................................132

Table13:Logicalframework-descriptionofcontents..................................135

Table14:GAMscoringcriteria......................................................................139

Table15:Exampleofscoringcriteria............................................................140

Table16:GAMcriteria,scoresandweights..................................................141

Table17:Impactassessmentform(circletheappropriatenumber)............144

Table18:Templateforassessingorganisationalimplications......................152

Table19:Indicativecontentofaprojectfiche..............................................156

Figures

Figure1:ThecycleofCDS...............................................................................15Figure2Toolkitkeydiagram...........................................................................17Figure3:Readinessassessmentquestions.....................................................21Figure4:PossibleorganisationalsetuptomanagetheCDS..........................22Figure5:TheCaseofJinja,Ugandaandinstitutionalstructures....................32Figure6:TheparticipatoryprocesssetupineThekwini,SouthAfrica...........34Figure7:Anexampleofthestructureofasituationanalysis.........................38


6

Figure8:SWOTanalysis..................................................................................41Figure9:Aprogrammevs.aproject...............................................................53Figure10:Frameworksforexecutingthesituationanalysis...........................74Figure11:SummaryofSWOTanalysisinEdmonton(Canada).......................77Figure12:Developingthevisionduringthestrategicdevelopmentprocess(caseofArnhem,theNetherlands).................................................................78Figure13:Exampleofaprojectprogrammingsheet......................................79Figure14:ExampleofaLogicalFrameworkmatrix.........................................80Figure15:Processactivityplanning................................................................94Figure16:Venndiagramshowingcapacitybuildingrelationships.................98Figure17:Venndiagramshowingpublicandprivateinterests......................98Figure18:Exampleofamindmap................................................................108Figure19:ExampleofanoutlineforPESTLEanalysis...................................111Figure20:IllustrationofindicativeFFA“template”......................................114Figure21:IllustrationofbasicSWOTanalysisset-up....................................118Figure22:Problemtreeexample..................................................................121Figure23:Proposedset-upforlinkageanalysis............................................125Figure24:Samplelogicalframework............................................................135Figure25:Ganttchartillustratingparticipativeprocess...............................160Figure26:Relationshipbetweenthreelevelsofgovernment(caseofEgypt).......................................................................................................................163


7

List of key abbreviations and terms CA CitiesAlliance

CBA Costbenefitanalysis

CDS CityDevelopmentStrategy

DAC DevelopmentAssistanceCommitteeoftheOECD

EIA Environmentalimpactassessment

FCA FutureCitiesAfricainitiative(CitiesAlliance)

GAM Goalachievementmatrix(Tool17)

GIS Geographicinformationsystems

GOPP Goalorientedprojectplanning

IHS InstituteforHousingandUrbanDevelopmentStudies

LFA Logicalframeworkapproach(Tool16)

M&E Monitoringandevaluation

MC Monitoringcommittee

MDF MunicipalDevelopmentForum(Uganda)

MSIP Multi-sectorinvestmentplanorprogramme

OECD OrganisationforEconomicCo-operationandDevelopment

OOPP Objectivesorientedprojectplanning

PPP Public-privatepartnership

SC Strategiccoordinator(ofaCDSprocess)

SCP SustainableCitiesProgramme

SIA Socialimpactassessment

SMART Specific,measurable,actionable,realisticandtargeted(inthecontextofobjectivesorindicators)

SWOT Strengths,weakness,opportunitiesandthreats(Tool10)

‘Team’ TheCDSplanningteam,headedbythestrategiccoordinator

UNCHS UnitedNationsCentreforHumanSettlements(Habitat)

UNEP UnitedNationsEnvironmentProgramme

UNDP UnitedNationsDevelopmentProgramme

UN-Habitat UnitedNationsHumanSettlementsProgramme(UN-HABITAT)

VNG AssociationofDutchMunicipalities

Introduction

8

Introduction

What is a City Development Strategy? ACityDevelopmentStrategy(CDS)isatoolthathelpsacityharnessthepotentialofurbanizationthroughstrategicplanning.Itisanaction-orientedprocess,developedandsustainedthroughparticipation,topromoteequitablegrowthincitiesandtheirsurroundingregionstoimprovethequalityoflifeforallcitizens.ACDShelpscitiesintegrateastrategicdevelopmentapproachandalong-termperspectiveintotheirurbanplanning.TheideabehindaCDSisthat“well-positioned,well-timedpublic,privateandcivilsocietystrategicinterventionscansignificantlychangeacity’sdevelopmentpathandimproveitsperformance”1.ACDSisnotonlyconcernedwithdevelopingastrategybutalsowithitsimplementationandthesustainabilityofinitiativesthroughintegratingoperationandmaintenanceissuesintothewholeprocess.

The changing context of development and the need for a City Development Strategy MuchhaschangedintheexternalcontextinwhichcitieshavebeenoperatingsincethefirstCDSswereimplementedalmosttwodecadesago.GlobalmacroeconomicpressureshavemultipliedfollowingaseriousfinancialcrisisintheWesternworldattheendofthefirstdecadeofthe21stcentury.Theeconomicuncertaintyhasnowalsospreadtoemergingmarkets,andcountriesinAfrica,AsiaandLatinAmericafaceaslowdownintheirexportsofcommodities,lowercommodityprices,andaweakereconomicoutlook,thuscompoundingtheirpoliticalchallenges.Themoredifficultglobaloutlookaffectscitiesinmyriadways,fromgrowingpovertyandmigrationfromruralareasandsurroundingcountriestolowerrevenuesandaweakerbusinessclimate.Meanwhile,environmentalchallenges,climatevariability,andnaturaldisastersareincreasinginintensity.Thisincreaseduncertaintyisputtingapremiumonresilienceandthesearchfordurablesolutionstocomplexandcompoundenvironmental,economic,politicalandsocialchallenges.Inthishighlyunstableglobalenvironment,theCDSremainsaveryrelevantprocessandtooltohelplocalgovernmentsandtheirdevelopmentpartnersbuildresilienceandlaythebasisforeconomicgrowth,morecohesivecommunities,andimprovedlivingenvironments.Itdoessointwocriticalways:bybuildingaconstituencyforbetterplanningandchangethroughbettercooperationbetweengovernmentdepartmentsandmeaningfulparticipationofresidentsandthelocalprivatesector(improvingprocess)and1http://www.citiesalliance.org/about-cds(Accessed30March2016).

Introduction

9

bydeliveringresultsonthegroundinareasthatmattertotheseresidentsandlocalprivateactors(improvingoutcome).

Why is a new and improved approach necessary? Sinceitsestablishmentin1999,CitiesAlliancehasassistedover150citiesworldwidetocarryoutaCDSprocess,eachofwhichhashaddifferentgoalsandemphases.TheCDSapproachbuildsontheexperienceofseveralglobalprogramssupportingcitydevelopmentandplanning.Theseinclude:theUrbanManagementProgramme,ajointundertakingofUnitedNationsDevelopmentProgramme(UNDP),UNHabitatandtheWorldBank;theSustainableCitiesProgramme(SCP),ajointUNHabitatandUnitedNationsEnvironmentProgramme(UNEP)facility;andtheLocalisingAgenda21(LA21),aUNHabitatinitiativewhichpartneredwithUNEPandUNDP’sPublicPrivatePartnershipfortheUrbanEnvironment(PPPUE).AfteralmosttwodecadesofexperiencewithCDS,CitiesAlliance(incollaborationwiththeFutureCitiesAfricainitiative)hasdecidedtointroduceinnovationsintheexistingCDSapproachinordertoenablecitymanagerstodevelopmoreresilientapproachestourbanplanninginprimaryandsecondarycities.ThenewCDSapproach(dubbedthe“CDSversion2.0”)isavailableintheseguidelinesonanonlinewebplatformaswellasinprint.ItisaimedatimprovingtheusefulnessandimpactofCDSprocessessupportedbyCitiesAlliance,bymovingbeyondthetraditionalCDSapproachesandincorporatingnewstrategicfocalareasofresilienceandinclusiveeconomicgrowth—aswellasothermoretraditionalcross-cuttingissuesofgovernance,participationpovertyalleviationandgender.The“CDSversion2.0”takestheformofatoolkitthataimstoberelevantandadaptabletoadiversityofcitiesanddevelopmentalcontexts.Thewebplatformandthetoolkitshouldberelevantandflexibleinordertoservelarge-scalecitiesaswellassmallerdevelopingsecondarycitiesinthecontextofvaryinginstitutionalarrangementsandlevelsofcapacity,resourcesandcivicparticipation.

What is strategic planning? Astrategyisadesignorideausedtoaccomplishaspecificgoal.Astrategyisflexibleandopenforadaptationandchangewhenrequired.Inthissense,itisdifferentfromaconventional“plan”,which—inmostcontexts—isafixedprogramorschemeforadefinitepurpose.Aplanisveryconcreteinnatureanddoesnotallowfordeviation2.Strategicplanningisaprocessthatinvolvesthedevelopmentofalong-term(usuallymulti-year)roadmapcomprisedofasetofspecificgoals,objectivesandactions.Astrategicplanisfoundedonavisionthatsetsaclearpathto

2VNG2010:10.

Introduction

10

thefuture,butwhichalsoincorporatestheflexibilitytoadaptthevisionastimepasses,andasneedsrequire3.Mostformsofstrategicplanningaddressatleastthreekeyquestions:Wherearewe?Wheredowewanttobe?Andhowdowegetthere4?

1. Thefirstquestion(Wherearewe?)isansweredthroughananalysisofthepresentsituation.

2. Thesecondquestion(Wheredowewanttobe?)isaddressedbyavisionofthefuture,supportedbyrealisticobjectives.

3. Thethirdquestion(Howdowegetthere?)isansweredthroughthedevelopmentofstrategicoptionsand/orastrategicactionplan.

4. Afourthquestion(Howtoimplementandknowifweareontrack?)concernstheimplementation,operationandevaluationofthestrategicoptions.

Asuccessfulstrategicplanrestsonthefollowingkeypillars:

• Politicalwill:Astrategicplanisonlyasstrongasitsadvocates.Strategicplanningatthelocalgovernmentlevelcanonlysucceedifithastheunequivocalsupportofthechiefexecutive,legislativebodyandaffecteddepartmentheads5.Thepoliticalwillneedstobestrongenoughtomobiliseandcoordinatetheuseoftheresourcesnecessaryforimplementationandoperationandmaintenance.

• Participation:Stakeholdergroupsshouldbemobilizedorcreatedforcontinuousconsultationand,atalaterstage,forprovidingfeedbackintotheplanningprocess(UN-Habitat2010,3).Thereareseveraldifferentlevelsofparticipation.Formsofparticipationthatactivelyengagestakeholdersinplanningdecisionshelptoempowerthem.Atthesametime,theyaremorelikelytoensurecontributionsfromdifferentgroupsinsocietyandtheyalsoresultinfeedbackthatcanhelptoimproveplanningdecisions.

• Partnership:Localgovernmentscannotdoeverythingontheirown.

Thebetterthepartnerships,thebetterthestrategy.Thebasicpremisebehindapartnershipbasedstrategicplanningprocessisthattraditionaltop-downdecision-makinganddeliverymechanismswithouttheinvolvementofrelevantstakeholdersareinadequateinthefaceofthecomplexchallengesfacedbylocalgovernments6.

3DiNapoli2002,1,8:Localgovernmentmanagementguide:strategicplanning.4UN-Habitat2010,5:Citywide strategic planning : a guideline.5DiNapoli2002,1-2:Local government management guide: strategic planning.6VNG2010,12.

Introduction

11

The benefits of a City Development Strategy ThereareseveralreasonswhycitiescanbenefitfromstrategicplanningintheformofaCDS.Themostimportantmayincludethefollowing7:

• Helpingcitiesvisualisethebiggerpicture:Strategicplanningcanhelpcitiestranscendshort-termpressuresand“emergencies”andfocusonvitallonger-termpriorities.

• Helpingprovideastrongframeworkforinvestment:Astrategicplanprovidesawellthoughtoutframeworkthatforinvestmentplanningandbudgeting.Itdealswithbothcapitalinvestmentsandoperations.

• Strategicplanningyieldsresults:Astrategicplanshouldprovidea

realisticframeworkthatisbuiltuponafoundationofconstantimprovement.Builtintotheplanaremilestonesthathelpgaugeprogress.

• Strategicplanningisadaptabletoachangingenvironment:Itcan

provideaframeworkthatisflexibleenoughtoaccommodatechange,whileatthesametime,strongenoughtoadheretoalocalgovernment’sbasicmissionandobjectives.

• Strategicplanningisresponsivetocitizens’needs:Asuccessful

strategicplanincludesprioritiesthatareimportanttothecitizens.

• Participation:Agoodstrategicplaninvolvespeopleatalllevelsofgovernment,thebusinesssector,civilsocietyandthepublic.Byinvolvingmorepeopleamongthevariouslevels,citiescanfosterteamworkandasenseofownership.

• Tailor-maderoadmap:Astrategicplanallowsforspecificobjectives

andparametersthatarespecializedandappropriatetothecity,itspopulation,andthelocalgovernment’smission.

• Adaptability:Elementscontainedwithinastrategicplanrepresentan

on-goingprocessthatisdesignedtoberefinedbasedonchanginginternalandexternalconditions.

• Accountability:Asolidstrategicplanwithdefiniteobjectives,financial

targetsandmonitoringtoolsinplace,canprovideasoundbasisforaccountability.

Target groups of this toolkit Theprincipaltargetgroupsfortheseguidelinesarelargeandsmallcitiesthatareabouttostartastrategicplanningprocessinvolvinglocalandnational7AdaptedfromDiNapoli2002,8-9.

Introduction

12

actors(government,theprivatesector,academiaandcivilsociety)—aswellastheirinternationalpartners(developmentagencies,internationalinvestors,andnon-governmentalorganizations).ThroughaCDSprocess,theultimatetargetgroupsandbeneficiariesofimprovedstrategicplanningareexpectedtoincludealldevelopmentstakeholders,includingthegeneralpublicandtheprivatesectorinparticipatingcities.

Mainstreaming Crosscutting issues

Crosscuttingissuesareissuesthattouchongeneralprinciplesthatshouldbeconsideredateverystageofthestrategyprocess8.Theyincludethosewhoserelevanceorimportanceisnotrestrictedsolelytoonesectorbutwhichtranscendor“cutacross”multiplesectors.Forexample,theconsequencesofclimatechangearenotlimitedtojusttheenvironmentbuthaveanimpactonallaspectsofurbandevelopment,suchasplanning,economicdevelopmentandhousing.Thistoolkitrecommendsmainstreamingofcertainimportantcrosscuttingissuesineachstepofstrategicplanning.Thismeansthatusersmusttakeintoaccountcrosscuttingissuesineachphaseoftheplanningcycle.Themainstreamingeffortservestostrengthenprogrammaticsynergieswhileensuringthatprojectoutcomesreachallintendedbeneficiaries,particularlypersonsinvulnerablesituations9.Italsoimpliesthatusersconductrelevantanalysesandstudiesasabasisforintegratingacrosscuttingissueintothedesignoftheirpoliciesandprogrammes10.

Crosscuttingissuesinthistoolkit

Crosscuttingissuesinthistoolkitincludepovertyreduction,gender,andresilience.Allthreeneedtobeintegratedineverystageoftheplanningcycle.Referenceismadetoplanningframeworksandresourcesthathighlighttheseissues.Inthecaseofbothgenderandtheurbanpoor,anoverallgoalapplies:toachieve“well-planned,well-governedandefficientcitiesandotherhumansettlementswithadequateinfrastructureanduniversalaccesstoemployment,land,publicspaceandbasicservices,includinghousing,water,sanitation,energyandtransport,onthebasisofequalityandnon-discriminationamongandbetweenallsocialgroups”11.Resilienceisfocusedontheabilityofcitiestooperateintheeventofrisksassociatedwithclimatechange,suchasfloodsandlandslides,butitisalsoarelevantconcepttoconsidervulnerabilitytoclosingofamajoremploymentsource.

8VNG2010:13.9UN-Habitat2015a:10-11.10OECD2014:7.11UN-Habitat2015b:40.

Introduction

13

Whererelevantinthistoolkit,referenceswillappearthatwilladvisecitieshowtheycanintegratepovertyreductionmeasures,genderandresilienceintothedesign,implementation,monitoringandevaluationoftheirCDSproposals.Thesearenottheonlycrosscuttingthemespossible,butaretakenasexamples.Tocoverallpossiblethemeswouldmakethistoolkitverylong.Mainstreaminggender

“Mainstreamingagenderperspectiveistheprocessofassessingtheimplicationforwomenandmenofanyplannedaction,includinglegislation,policiesorprogrammes,inallareasandatalllevels.Itisastrategyformakingwomen’saswellasmen’sconcernsandexperiencesanintegraldimensionofthedesign,implementation,monitoringandevaluationofpoliciesandprogrammesinallpolitical,economicandsocietalspheressothatwomenandmenbenefitequallyandinequalityisnotperpetuated.Theultimategoalistoachievegenderequality”12.

Mainstreamingresilience

Resilience.ioisacomputer-basedplatformandananalysisanddecision-supporttool,thatallowsuserstoaccuratelymodelresourceflows,forexample,energy,foodandwater,sothatcity-regionscanmanageboththeireconomyandcriticalsupportingecosystems.Itisatoolthatallowscity-regionsgloballytoassesstheircurrentdevelopmentpathandmapoutamoresustainableandresilienttrajectory.Itisintendedforuseforplanning,investmentandpolicy-making,toembedresiliencewithinregionsinthelong-term,asopposedtoshort-termincidentresponsemanagement.

How to use this toolkit

Is your city “ready” for CDS?

Thetoolkitdistinguishestwodifferentcategoriesofcities:thosethatare“ready”forCDSandthosethatarenotyet“ready”.Dependingonwhichcategoryyourcitybelongsto,thistoolkitmaybeuseddifferently.Citiesthatarenotyet“ready”forCDShavenopreviousexperiencewithanyformofstrategicplanning,includingCDS.Theirexistingplansmaybestatutoryplans,suchasmasterplans—thatmayhavebeenpreparedbyhigherlevelsofgovernment—andotherformsofspatialplanningandlanduseplanning.Thesecities’owncapacitiesinplanningarelimitedandtheyhavefewresourcesattheirdisposaltosupporttheirplanningefforts.Citiesthatare“ready”forCDShaverecentexperiencewithstrategicplanningprocesses,includingCDS.Theymayalreadyhaveastrategicplan,whichneedsrevision.Alternatively,theymayhavealreadyembarkedonaCDSprocessbeforeandthisprocessmayneedupdatingorelseacertainaspectoftheCDSmayneedstrengthening.Whateverthecasemaybe,citiesthathaveprevious(andpreferably,recent)experiencewithstrategic

12UN-Habitat2015b:39.

Note

The“readinessassessment”toolavailableontheCitiesAlliancewebsitewillhelpcitiestodeterminetowhichcategorytheybelong.

Reference

Resilience.ioisatoolthatallowscity-regionsgloballytoassesstheircurrentdevelopmentpathandmapoutamoresustainableandresilienttrajectory.http://www.resilience.io

Introduction

14

planninghavethepoliticalwill,staffcapacities,expertiseandresources(i.e.data)inplacethatwillgivethemaheadstartwhenpreparingaCDS.

How to use this toolkit with different levels of ability

Citiesthatarenotyet“Ready”forCDS

Thistoolkitrecommendsthatcitiesthatarenotyet“ready”forCDS,andwhichlackpriorexperiencewithstrategicplanning,followtheentiresequenceofplanningphasesandsteps.ThesephasesandstepshavebeendesignedtohelpcitiespreparefortheirCDSateachstageoftheplanningcycle,fromthesituationanalysistomonitoringandevaluationduringtheimplementationphase.TheyalsoneedtoputmoreeffortintocapacitydevelopmentanduseofexternalsupportThistoolkitrecognisesthatcitiesvaryincapacity.Wehighlighttheoverallobjectivesofphases,sub-phasesstepsandtools.Itisrecognisedthatthetoolsusedandthethoroughnessofresearchwillvarydependingofcapacity.Inallcasesweexplaintheobjective.Howtoreachthisisoptionalanddependsonexperienceandresources.Forexample,itisimportanttolookattherelationshipbetweenproblemareasinacityandthelocationofprojects.

Citiesthatare“Ready”forCDS

Experiencedcitiesandthose“ready”forCDSmaychoosetofollowtheentiresequenceofplanningstepsoutlinedinthistoolkit,ortheymaydecidetofollowonlyselectedstepsandstages,asneededtostrengthentheirexistingstrategicplans.Thesequenceofstepsandthefocusonselectedstagesofexperiencedcitiesdependsontheirlocalcontext,requirementsandcapacities.

Structure of this toolkit

Thistoolkitcontainsfivesections:Section Maintopics

Introduction BackgroundtoCDS,crosscuttingissues,andreadinessforCDS

Planningprocess Descriptionoffourmainstrategicplanningphasesandreferencetoaccompanyingtools

Tools Descriptionofthetoolsreferencedinthe“planningprocess”section

Technicalexamples ExamplesofapproachesandframeworksthatcanbeofhelpinplanningaCDS

References Listofsourcesandreferencesforfurtherreadingandinformationaboutstrategicplanning

Tools

Seetool12,LinkageAnalysisThiscanbeusedtoassesstherelationshipbetweenprojectsusingspatiallocation.LocationcancomefromtraditionalmapsorfrommoresophisticatedGISsystems

Introduction

15

Theplanningprocesssectionisorganisedaroundfourstrategicplanningphases:Phase Mainquestionandstageinprocess

Phase1 Wherearewenow?Gettingorganizedandsituationanalysis

Phase2 Wheredowewanttogo?Visioningandstrategicobjectives

Phase3 Howdowegetthere?Strategyformulation

Phase4 Howtoimplementandknowifweareontrack?Strategyimplementationandmonitoringandevaluation.

Thefourphasescanbeaccessedinsequenceorindividually,dependingontherequirementsofeachCDSprocess.ItisrecommendedthatuserswhoarenewtoastrategicplanningorCDSprocessfollowallfourphasesinsequence.Moreexperienceduserscanadoptamoreselectiveapproachandconcentrateonthosephasesandsub-phasesthatareneededatanygivenmomentintime.

Figure1:ThecycleofCDS

Ineachphasetherewillbelinkstotoolsandinstrumentsthatwillhelpcitiestocarryoutagivenplanningphase.Someofthesetoolsarephase-specificwhereasotherstranscendthephasesandcanbeutilizedatanygivenmoment,dependingonrequirements.Linkstotoolsandfurtherinformation,andfurthercommentsareprovidedinboxesintherightmargin.Thesealsogivehyperlinkswhenthereferencesare

Note

Thistypeofmarginnoteisusedtoelaborateonthemaintext

Tools

Referstotoolsinthetoolkit

Cross-reference

Referstoanotherpartofthetoolkit

Introduction

16

usedelectronically.Therearefourformsofmarginnotes:notes,tools,cross-references,andreferences.Theprocessofpreparingandexecutingacitydevelopmentstrategyisnotnecessarilysequential,norasetofdiscreteactivities.Insomecases,someofthestepsmaytakeplaceinparallel.Insomecases,itmightmakesenseforacitytogobacktoprevioussteporphasetorevisitdecisionsmade.TheCDSprocessiscyclicalanditerative.Itisnotaone-offexercise;citieswillwanttorevisittheirvisionsandstrategicobjectivesonaregularbasis.Somecitiesworkona15–20-yeartimehorizonandplanregularprocessesofrethinkingtheirstrategies.Table1illustratesatypicaltimingofthestagesofpreparationanddeliveryofaCDS.

Table1:StagesinCDSpreparationanddelivery

Phase Steps TimeFrame

Phase1.Where

arewenow?

Gettingorganizedandsituationanalysis

Gettingorganised1.1:Initialsetup

Months1-3

1.2:Municipalinstitutionalassessment(capacityandresourcesassessment)

1.3:EstablishCDSprocess1.4.BuildaParticipatoryStrategyDevelopmentProcess

Situationanalysis1.5:Situationanalysis

Months3-6

1.6:SWOTanalysis

1.7Strengthendataandinformationmanagement

Phase2:Where

arewegoing?

Visioningandstrategicobjectives

SettingVisionandobjectives

2.1:VisioningandbuildconsensusonkeythemesMonths6-7

2.2:Setstrategicobjectivesandbuildconsensusonstrategicdirections

Phase3:Howare

wegoingtoget

there?Strategyformulation(definingprogrammesandprojects)

Developingthestrategyandprojects

3.1:DevelopstrategicoptionsandprioritisationMonths7-

12

3.2:Establishprocessforcontinuousstrategydevelopment

3.3:Strategicactionplanning(detailingprojects)

3.4:Promotethestrategy

Phase4:Howto

implementand

knowweareon

track?StrategyImplementationandMonitoringandevaluation

Implementation,Operation,Monitoringand

Evaluation

4.1:Manageimplementationofthestrategy4.2:Monitoringandevaluationstrategyimplementation4.3:Adjustandmodify

Continuous

aftermonth

12

Thetoolkitkeydiagramonthenextpageprovidesasummaryofallphasesandsub-phases,andthetoolssuggestedforeachphase.

Introduction

17

Figure2Toolkitkeydiagram

1 Where are we? Getting organised / situation analysisSub-phase/ Steps

Tools

1.1 Getting organised1 Engage politicians and municipal staff 2 Discuss and decide on state of readiness to undertake a CDS3 Appoint strategic coordinator set up CDS team4 Identify stakeholders5 Plan out the process and its management6 Develop communication strategy and design publicity campaign

1

2,34,5

1.2 Municipal institutional assessment1. Take stock of existing planning processes in government2. Analyse institutional environment and mandates of local govt. 3. Analyse the government structures, processes and capacities 4. Assess reforms and impacts5. Assess local resource mobilisation, budgeting and funding

1.3 Establish CDS process (internal)1.Clarify roles and plan outputs2. Identify funding and budgets3. Coordinate with statutory planning systems4 Revise communication stratey5 .Agree on operational rules and work plan

67

1.4 Establish Participatory Strategy Process (external) 1 Decide on inputs and strategic decisions to be made with stakeholders2 Build awareness

3

6

1.5 Situation analysis1 Assemble the team2 Review local priorities, data sources, set up research process3 Analyse strategic context4 Analyse locally chosen priority topics5 Discussion with stakeholder groups

83

1.6 SWOT analysis1 Carry out the SWOT analysis

2 Feedback on the SWOT3 Consensus on the SWOT4 Approval of the Council, endorsement of the mayor

10,1210

1.7 Strengthen Data and Information Management1 Analyse data and information management 2 Provide leadership on sharing data3 Assess future data acquisition, needs and potential4 Update CDS indicators and monitoring systems5 Integrate data management systems

3 How are we going to get there? Strategy formulation

Tools

3.1 Develop strategic options and prioritisation1. Transform the vision and objectives into strategic options 2. Clarify the political and legal framework3 Assess the financing framework and make outline budgets4. Locate all projects on plans5. Prioritise project options 6 Confirm consensus on prioritization of projects

9,1115,16,18

17,17,12,`18,19

3.2 Establish process for continuous strategy development1. Finalise the organisational (change) strategy for continuous strategy refinement2. Select and agree and institution for monitoring and feedback3. Establish participatory systems for monitoring

20

3.3 Strategic action planning1. Develop strategies into strategic action plans2. Establish timelines with responsibilities3. Develop final multi sectoral investment plan4.Seek to embed local investments in national and financing organisation budgets

21

17,22,23

3.4 Promote the strategy1 Finalise the CDS document2 Further develop marketing and communication campaign

2 Where are we going? Vision and strategic objectivesSub-phase/ Steps

Tools

2.1 Visioning and building consensus on key themes1. Conduct a visioning exercise2 Build support for the focus and themes of the vision 13

2.2 Set Strategic objectives and build consensus1. Develop strategic objectives and prioritise2. Build consensus on strategic directions and choices3. Create the framework for a multi-sectoral strategy and multi-year budget4. Design a user-friendly CDS strategy document

11,17149

6

4 How to implement and know we are on track?Sub-phase/ Steps

Tools

4.1 Manage Strategy Implementation and operation and maintenance1. Approve and execute institutional reforms to support strategy implementation, communicate2. Develop legal and regulatory instruments3. Prepare procurement procedures4. Prepare and tender projects5. Plan for budgeting for and improved operation and maintenance of ongoing services6. Build capacity to manage contracts and consultants7 Seek commitment of public funds8 Take resource mobilisation further9 Develop inter-departmental project team for oversight of projects10 Manage internal services and projects/ manage external contracts

4.2 Monitoring and Evaluation of the strategy1 Monitor and evaluation project implementation and service provision2 Execute analytic studies where necessary

24,25,26,16

4.3 Adjust and modify1.Make changes2. Refine stakeholder/ institutional roles in monitoring periodically

Phase1:Gettingorganizedandsituationanalysis

18

1. Phase 1: Getting organised and situation analysis

Thisphaseaimstolaythefoundationsbythinkingthroughcarefullywhoshouldbeinvolvedintheprocess,howitwillbeorganizedandmakingsurethatthereisasgoodinformationaspossibleavailable.

1.1. Getting organised Preparingacitydevelopmentstrategyisateameffort.Theobjectivesofthissub-phaseareforthecitytoprepareitself,toengagekeystakeholdersfromthestart,toensuretheircommitment,andtodevelopinstitutionalstrategiestoorganizetheirinvolvement.Thestepsbelowshowthekindsofactivitiesnecessarytodothis.

Stepsinthissub-phasePhase1.1,Step1:EngagepoliticiansandmunicipalstafftoensurecommitmenttoandleadershipduringtheCDSprocess.Phase1.1,Step2:DiscussanddecideonstateofreadinesstoundertakeaCDS.Identifykeystakeholders,bothwithinandoutsideoflocalgovernment,theirknowledge,interestsandneedsaswellastheirrolesandresponsibilitiesintheprocess(activelyinvolved,tobeconsulted,orpartofthenetworkthatmustbeactivated).Phase1.1,Step3:Appointastrategiccoordinator(internalpublicchampionthatwillleadtheprocess),setuptheorganisationalstructure(includingcoreteamtoworkontheCDS,steeringgroupandworkinggroups).Phase1.1,Step4:Planouttheprocessanditsmanagement.Phase1.1,Step5:Developpreliminarycommunicationstrategyanddesignpublicitycampaign.

Sub-phase 1.1, Step 1: Engage politicians and municipal staff Thefirststepinvolvesgainingpoliticalcommitment,butalsocommitmentfromthemunicipalstaff.HavingboththepoliticiansandkeymanagersfromdifferentdepartmentsonboardwillbeessentialforthesuccessoftheCDSprocess.Ideally,allpoliticalpartiesshouldsupportthedevelopmentofthestrategyandshouldbewillingtolendtheirleadershiptotheprocess.Toensurecommitment,wesuggestspendingtheinitialweeksdiscussingthegoals,andparticularlythebenefits,oftakingonaCDS,theprocessitself,andtheexpectationsandconcernsofkeyofficialsandelectedmembers.Oneusefulapproachistosharesuccessfulcases,particularlyofmayorsandofcitieswhichhavehadasuccessfulexperiencewithproactivestrategicplanningprocessessuchasaCityDevelopmentStrategy.

1


19

Box1:Casesofdevelopmentstrategies:inspirationandsourcesoflessons

ManycitiesindifferentpartsoftheworldhavehadsuccesswithapplyingactivedevelopmentplanningprocessessuchasCDS.WellknownexamplesincludeCuritibainBrazil,BogotaandMedellininColombia,andBarcelonainSpain.Inmostcasesthereison-linedocumentation,includinginthecaseofCuritibaaYouTubetalkbytheformermayorofCuritiba,JaimeLerner,andinthecaseofMedellinaspeechbytheformermayorofMedellin.Thevideosgiveagoodideaofthecommitmentofthemayors.

InAfricaexamplesincludeCapeTown,e-Thekwini(Duban)—whereCDSlinkscloselywiththeIDPprocess—Kigali,Lagos,andthetownsandcitiesaroundLakeVictoria,whichweresupportedbyUN-Habitat.Insuccessfulcasesthereareimportantcommonelements.Theseincludeastrongcommitmentfromthemayor,providingleadership.Thewidertheownershipoftheprocessthemoresustainablethecommitmenttothestrategytherewillbe.Theleadershipcommitmentneedstogohandinhandwithatechnicalcapacitytocarryoutthework.Innovationisneededrelatedtothelocalproblemsandpotentials.Capacityvariesenormously—fromlarge,sophisticatedcitiessuchasCapeTowntosmallcitieswithlimitedstaff.Detailedapproachesalsoneedtovarytotakeaccountofcapacities,butprinciplesareoftenthesame.Thereferencesandlinksbelowprovideaccesstocaseswhicharegoodtosharewithbothpoliticalandtechnicalleadership.Examplesoftechnicaldocumentsarealsoveryusefulaspracticalexamples.SpecificreferencesandlinksCityofCapeTown,2012.CityofCapeTown:CityDevelopmentStrategyCityofCapeTown,2012.CityofCapeTownCityDevelopmentStrategy[overview].CityofTshwane,2006.[Draft]GrowthanddevelopmentstrategyfortheCityofTshwane(alimitedsetofhighimpactstrategies).ICLEI,2002.Curitiba:orientingurbanplanningtosustainability.IHS,2014.TheIHSAlumniInternational(AI)2014AwardCeremonyatWUFColombia[YouTubevideo].Filani,M.O.,2012.ThechangingfaceofLagos:fromvisióntoreformandtransformation.KigaliMasterplan2040video,2013,Kigali,Rwanda[YouTubevideo].TED,2013.EnriquePeñalosa:Whybusesrepresentdemocracyinaction[Video].Webster,D.andMuller,L.,2006.Citydevelopmentstrategyguidelines:driving


20

Initialdiscussionswiththemayorandthecitycouncil13

Themayorwillinstigatetheprocess,ensurecommitmentintheadministration,andapprovethesetupofinstitutionalstructurestomanagetheCDSprocess.Thecouncilwillprovidecommentsonthestrategyandultimatelyadoptthefinaldocument.Theirsub-ordinatecommitteeswillprovideimportantinputsintodiscussionsonthematicissues.Kickoffdiscussionswiththemshouldresultin:§ Commitmentfrompoliticalandmunicipalbodiestoundertakesucha

processandtomakeresourcesavailable;§ Clarityonwhoshouldbeengagedinchampioningandmanagingthe

processinternally;§ Readinesstosetupandmanageahighlytransparentandcredible

process,withdemocraticlegitimacy;§ Readinesstoengageasubstantialnumberofstakeholdersandtobe

responsivetotheirinterests.

Sub-phase 1.1, Step 2: Discuss and decide on state of readiness to undertake a CDS ThenextstepistogaugethereadinessofthecitytoengageinaCDS.TheextenttowhichthecityiscapableandreadytoundertakeaCDSprocessmaybeuncleartothoseinvolved.ThereadinessassessmentwillrefertothevariouselementsofaCDSandaddressthefeasibilityofdevelopingandexecutingthestrategy.“Readiness”isdefinedbyfourmaincharacteristics:1. Capacities(institutions,personnelandtheircompetences)2. Resources(financial,time,technology)3. Willingness(politicalwillatthetop,buy-inofthedepartments)4. Mandate(bothlegalandintermsofconstituency)TheFigurebelowpresentsanumberofkeyreadinessquestions.

13VNG2010

WebTools

PleaserefertothereadinessassessmentonthenewCitiesAllianceCDSwebsite.Thewebsitetakesyouthroughthequestionsinaninteractivemanner.


21

Figure3:Readinessassessmentquestions

Outputofthissub-phase:readinessassessmentWhattodoifyouarenotready?

Theassessmentmayrevealthat,relatedtosomeaspects,thecityisnot‘ready’toundertakeaCDS.Takingabitmoretimetopreparewhentheremaybeshortcomingsincreasesthechanceofsuccesssubstantially.TheMayorandcoregroupmaywanttoaskthemselves,forinstance,‘Whatdowewanttodoabout:§ ThelackofcapacityinthemunicipaldepartmentstoundertaketheCDS

andtoinstitutethechangethatwillbenecessary.Doweneedtobuildcapacitybeforegettingstarted?Shouldwehireconsultants?

§ ThelackofresourcestoimplementaCDS.Doweneedtohaveaspecialresourcegenerationstrategy?

§ Thepotentialresistancefrommunicipalstaff.Doweneedtostepupourcommunicationsstrategy?

Iftherearesubstantialproblemsinthecityandthestateofreadinessappearstobe‘low’,thenthemayorandthecoregroupsmightwanttoaskthemselvesabiggerquestion:‘isittherighttimeforaCDS?’UndertakingaCDSwhenthecityisincrisisisnotadvisable.Perhaps,itismoreadvisabletotakethetimetoprepareonanumberofdifferentfronts.

"IsyourcityreadyforaCDS?”

6. Hassometypeofpublicsector

reformbeenundertaken?

7. Aretherelevantlegalandregulatory

provisionsinplace?

8. Doyouhavethenecessaryresources

(financial,time,technology)?

9. Doyouhavethein-housecapacity

(personnel)toimplementand

maintainaCDS?

10. Dolocalgovernmentinstitutions

havethecorrectmandate/authority

toimplementaCDSprocess?

1. Doesyourcityalreadyhave

experiencewithparticipatory

processesanddecision-making?

2. Isthemayororequivalentpolitical

figurewillingtosupportandcommit

totheCDS?

3. Istherebuy-infromlocalgovernment

stakeholders(staffandpoliticians)?

4. WilltheCDSconflictwithanyexisting

planningprocesses?

5. Isyourcityinastablesituationto

implementaCDS?(definedas:freeof

politicalcrisesornaturaldisasters

etc.)


22

Sub-phase 1.1, Step 3: Appoint strategic coordinator and set up CDS team

OncethedecisionhasbeenmadetoexecuteaCDS,andthepoliticalandmunicipalapparatusisengaged,itisimportanttothinkthroughwhowillplan,manageandchampiontheprocesswithinthegovernment.Typically,thisinvolvesappointingastrategiccoordinator(aninternalchampionthatwillleadtheprocess)14,anddesigninganorganisationalstructurewithwhichthecoordinatorcanwork.ThismightincludeacoreteamtoworkontheCDS,asteeringgroup(anadvisorygroupwithamorestrategicrole)andthematic(multi-stakeholder)workinggroups.Structuremaydifferdependingonthecircumstances.Figure4providesanindicationofwhattheset-upmightlooklike.

Figure4:PossibleorganisationalsetuptomanagetheCDS

Thestrategiccoordinator(SC)isanimportantfigureintheCDSpreparationprocessandrequiresablendofmanagementskillsandexperience.TheSCwill:§ Leadtheprocess;§ ManagetheworkoftheCDSteamandhaveauthoritytodeploy

resourcestodevelopthestrategy;and§ Reportonaregularbasistothemayorand/orleadofficialresponsible

fortheCDS.Indoingthework,therewillbedifferentlevelsofcommitment15.Forone,therewillbethosethat‘owntheprocess’,andthosethatareinvolvedinthe14ibid15IDEAandNIMD,2013.

NoteWereferfromnowontotheStrategicCoordinatorandthecoreteamas‘theCDSteam’.

Tools

Tool1providesachecklistofcompetenciesandskillsrequiredofaStrategicCoordinatoroftheCDSprocess.


23

process.Oneisrelatedtothecommitmenttosupporttheprocess(politicians,politicalpartiesandinstitutions),theotherisrelatedtotheactualimplementationoftheprocess(theSCandtheCDSteam).TheSCwillestablishaCDSteamthatwilltakeontheroleofoperationalisingtheprocess.ItisimportantthattheCDSteamalsobecomprisedofmembersthathavedecision-makingauthority(forinstancemunicipaldepartmentheads).Thiswillgivethegrouplegitimacyandwillpromotemoreefficientworkingrelations,asissuescanbedealtwithmorequickly.ThesizeoftheCDSteamshouldideallybebetween6and9people,sothatnegotiationsanddecision-makingcantakeplacerelativelyeasily,butthatthereisenoughrepresentationofthedifferentdepartmentsandinterestsfromwithinthemunicipalstructure.

Box2:ThecaseofTbilisi,Georgia

DuringthedevelopmentoftheCDSinTbilisi,Georgia,thecityhiredaninternationalteamtohelpthelocalgovernmentinpreparingtheirstrategy.TheEconomicPolicyAgencywasresponsibleforthemanagementoftheprocesswithinmunicipality,andtheMunicipalDevelopmentFund(nationalgovernment)wasresponsibleformanagingthecontractualrelations(withthedonorandwiththeinternationalteam).Thegovernancestructureisportrayedbelow.Thegovernancestructurewasdesignedsothat:§ TheCDSWorkinggroupwasresponsiblefortheday-to-dayexecutionoftheCDS;

consultantsweretakenontofacilitatetheworkofthegroup.MemberscomprisedtheDirectoroftheEPAandrepresentativesofthedepartments.

§ TheSteeringcommittee,anoversightcommittee,wassetuptoreviewandmakecommentsonalloftheoutputsoftheCDSworkinggroup.ThememberscomprisedtheDirectoroftheEPAanddifferentcitycouncilmembersaswellassomeexternalexperts.

§ Thethematicgroupsconvenedatkeymilestones(thedifferentphasesoftheCDS)oftheprocesstodiscuss,deliberateandpresenttheirdecisions.ThesediscussionswerefacilitatedbytheEPA,theinternationalteamandthelocalconsultantsandwherepossibledepartmentheads.

Theinternationalteamworkedcloselywithateamoflocalconsultants,includingalsoconsultantsfromtheuniversity,particularlyduringthedevelopmentofthesituationanalysis.


24

MunicipalityofTbilisi

CDSWorkinggroup

LocalConsultants

LocalResearchers/Students

MunicipalDevelopmentFund

EconomicPolicyAgency

ThematicAdvisoryGroups

STEERINGCOMMITTEE

ReviewCommittee

PrivateSector NGO’s

HeadsofCityDepartments

Teaminternationalconsultants

Academia

Issuesfaced:Duringtheprocess,thedepartmentstaffandmembersofthecouncilwereoverburdenedandhadlittletimetotakepartintheworkinggroupandthesteeringgroup.Therewaslessthanoptimalpresencefromthegovernmentinthesegroups.Thishamperedtheconsistencyofthework,withtheresponsibilityultimatelyrevertingtotheEPA.Theteamhadtofindothermethodstoconsultandworkwiththem.Positiveaspects:Ontheotherhand,theteamdesignedandheldanumberofmeetingsandforums,conveningthematicgroupsandforumsmadeupofawiderangeofstakeholders.Thisprocesswaswellattendedandeffectiveinachievingoutcomes.Inaddition,thecultureofpublicconsultationsremainedduringtheimplementationperiod.Thegovernmentcontinuedtoorganisemeetingsandconsultwithstakeholder’sgroups,incorporatingthisfeedbackintodecision-making.

Sub-phase 1.1, Step 4 Identify stakeholders

Inthisstep,theteamwillidentifykeystakeholdersinthecityandthoseoutsideofthecitywithinterestandinfluenceoverthegrowthanddevelopmentofthecity16.Itisimportanttodothisatthebeginning,duringthepreparatorystage,toensurethatallstakeholdersaretakenintoaccount,andthatacredibleparticipatoryprocessissetup.Stakeholdersarepeople,groupsororganizationswho:§ Areaffected,positivelyornegatively,byaprojectorprocessorbyan

issuearisingoutoftheprocess;§ Cancontributewithhumanandnon-humanresourcesinplanningand

implementationofprocess;

ToolsPleaserefertoTool2(Stakeholderanalysis)andTool3(Stakeholdercoincidentandconflictanalysis).

NoteTherearedifferentopinionsaboutthemomentatwhichitmakessensetoidentifystakeholders.Inouropinion,thisisoneofthemostimportanttasksandshouldbedoneassoonaspossible.Itisalsothebasisforthemakingthestakeholdermanagementandcommunicationplan.


25

§ Controlorcaninfluencetheimplementationoftheprocess;and§ Haveaninterestinthesuccessfulorunsuccessfuloutcomeofthe

process(source:authors,MindTools).

Why?Astakeholderanalysishelpstoidentifythelegitimacy,interestandroleofeachstakeholderintheprocessofcollaboratingduringaCDSplanningprocess.Forthecity,itisimportanttoensurethat,otherthanthepartnersinvolvedinthedevelopmentandexecutionofaproject,stakeholdersfromvulnerablegroups,andtheirinterests,areincluded/represented,suchasthoserepresentingtheurbanpoor,women,theelders,childrenandyouth,allethnicminorities,disabledpeople,etc.Analysingwhokeystakeholdersareandcomingtounderstandthemisimportantwhenlookingforwaystoensurethattheycanplaytheirpotentialroles.Astakeholderanalysisallowstheteamtounderstandtheinterestsandcapabilitiesofindividuals,groupsandorganisationsthatmighthavesomethingtowinorlosefromaproject,orthatmaysupport,orworse,blocktheproject.Thinkingthisthroughpromotesownershipandsenseofresponsibilityamongallstakeholdersinacity,andreducesresistanceifinterestsareincorporated.Italsoallowsweakgroupstobeempoweredtoparticipateeffectively.

Who?Stakeholderanalysisrequiresdevelopingobjectivecriteriaforidentifyingandselectingkeystakeholderswithwhomtowork,coordinateandcommunicate.Thishelpstoensurethatalltherelevantstakeholdersareinvolvedattherighttime,andthattheappropriateactionsaretakentogaintheirsupport.Stakeholderscanbegroupedasfollows:

Table2:Categoriesofstakeholders

Actorgroup Examples

National MinistryofUrbanDevelopment,MinistryofPublicWorks,MinistryofHomeAffairs,Localmemberofparliament

SectoralAgencies-national/StateorProvincial

WaterCompanyorBoard,HousingDepartment,HealthDepartment

LocalGovernmentinter-sector Mayor,Councillors,Chiefexecutive,planning,finance,administration,legal,communications

LocalGovernmentsector Health,employmentoreconomicdevelopment,socialaffairs,watersupply

PrivateSector:formal Registeredbusiness,industrialists,banks,professionalservicesandconsultants,shops,chamberofcommerce

PrivateSector:informal Hawkers,smallunregisteredshopsandworkshops

Media Localnewspapers,localradio,television,informalmedia

Reference

“Mindtools”isausefulsite:https://www.mindtools.com/


26

Actorgroup Examples

Communitybasedorganization(CBO)

Neighbourhoodassociation,localco-operative

Non-GovernmentalOrganization(NGO)

Canbesupportiveofcommunities,provideprofessionalservices,provideinformation,actasintermediary.Mayalsobeactivist.

International: Multilateraldonorse.g.WorldBankADB,IADB,UNCHS,Bilateraldonorse.g.GTZ,DGIS,ODA

People(notorganised) People,familiesnotorganised

When?Stakeholderswillchangeoverthelengthofthedevelopmentandexecutionofaplanningprocess.Identifyingstakeholders,theirinterestsandwhattheymaybringtoaprojectisimportanttothecoordinationandmanagementoftheCDSprocess.TheAsianDevelopmentBank(ADB)arguesthatastakeholderanalysis,thoughessentialatthestartofaproject,shouldalsobeseenasanongoingprocess.Theirguidelinesstatethatstakeholderanalysisshouldbeupdatedandrefinedthroughouttheprojectcycleasitfulfilsdifferentfunctionsatdifferentstages.1. Duringproblemidentification,itservesasapreliminarymechanismto

identifyimportantandinfluentialstakeholdersanddrawsattentiononhowtoinvolvethemintheanalyticalandplanningprocess.

2. Adetailedstakeholderanalysiscarriedoutduringstrategyformulationsupportsdesigndecisionsandriskanalysis.

3. Continuingstakeholderanalysisduringstrategyimplementationservestoconfirmtheinvolvementofeachstakeholder,keeptrackofchangingcircumstancesandinterestsofstakeholders,andplanstakeholderinvolvementintheevaluationprocess.17

Levelsofengagement

Whendeterminingtheroleofthevariousstakeholders,theteamcandifferentiatedifferentlevelsofengagement,namely18:§ Operationalpartners:stakeholdersthatcomefromoutsideofthe

municipalstructures,butwillbeactivelyengagedinthedevelopmentandexecutionoftheCDS.Thesearepartnersthatoftentakepartinthethematicgroups.Theteammightconsider,however,insomecases,involvingsomeofthesestakeholdersintheCDSteam.

§ ConsultationStakeholders:theseareactorsthatthecitywillconsultduringtheprocessandwhowillgiveimportantfeedback

§ Networks:networksthatthecitywillneedtoactivateandwithwhomitwillcooperate(ministries,donors,internationalpartners).

17ADB2016: Guidelinesforpreparingadesignandmonitoringframework,pg.12,accessed31August201618AdaptedfromVNG2010.


27

Itisimportanttobeawarethatstakeholders’levelsofparticipationmaychangeindifferentphasesofthestrategicplanandalsointheplanningprocess.Outputofthisstep:stakeholderanalysiswithinitialindicationofinterests,influence,perceptionoftheissuesandpotentialrole.

Sub-phase 1.1, Step 5: Plan out the process and its management

TheSCandtheCDSteamshouldmakeaninitialroadmapoftheCDSpreparationprocess,thestepsenvisionedandthetiming.Theywilldoaninitialassessmentofhowtheprocesswillbemanaged:keyrolesandresponsibilitiesofthestakeholdersdefined.ThisplanningwillbetakenupfurtherinSub-phase1.3:EstablishtheCDSprocess.

Sub-phase 1.1, Step 6: Develop preliminary communication strategy and design publicity campaign

Thestakeholderanalysiswillprovideimportantinformationthecitycanusetodesignacommunicationstrategyandpublicitycampaign.Acommunicationstrategywilllookatthekeytargetgroups,theobjectivesofcommunicatingwiththetargetgroups,thenatureofthemessageandthechannelstobeused.Apreliminarycommunicationstrategywillcompriseaplanofeventsinwhichstakeholderswillbeengagedovertheentireprocessandwhatwillbeexpectedofthem.Thestrategywillalsocontainabudget,sothatthecitycanbeclearonthefundsandresourcesneeded.Thismarketingandcommunicationstrategyshouldbecloselycoordinatedwiththeset-upoftheparticipatoryprocess.Seealsosub-phase1.3,step4.Outputsofthisstep:Preliminarycommunicationstrategy;designofapublicitycampaign.

1.2. Municipal institutional assessment (capacity and resource assessment)

Theobjectiveofthissub-phaseisforthecitytoachieveclarityontheinstitutionalandorganisationalenvironmentinwhichtheCDSwilltakeplace.Thisassessmentisdoneattheoutsettoprovidetimeforthecitytoconsiderandmakedecisiononthegovernanceoftheprocess.

Tools

Pleaserefertotheprocessplanningtool(Tool4)andtheVenndiagramtool(Tool5).


28

Stepsinthissub-phase:Phase1.2,Step1:TakestockofexistingplanningprocessesingovernmentPhase1.2,Step2:Analysegovernmentpoliticalenvironment,legalframeworkandpoliciesthatinfluenceandunderpintheCDSprocess,aswellasthemandatesoflevelsandunitsofgovernmentPhase1.2,Step3:Analysethegovernmentstructures,processesandcapacitiesPhase1.2,Step4:AssesslocalgovernmentreformsandtheirpotentialimpactPhase1.2,Step5:Assesslocalresourcemobilisation,budgetingmechanismsandfundingsystemsThemunicipalinstitutionalassessmentisanextensionofthereadinessassessment,andfocusesontheareasthatthereadinessassessmenthighlightsasneedingmoreattention.ItisalsofeedsintotheSituationAnalysis,butisdonefirst.Onekeyoutcomeofthissub-phaseisanunderstandingofthecapacitythatexistsandisneededtoexecuteaCDS.Capacityrelatestoboththehumanresourcesinplace(howtheorganisationsarestaffed)andtheircompetenciestodothework.

Sub-phase 1.2, Step 1: Take stock of existing planning processes in government

TheSC,CDSteam(andconsultant)willtakestockofplanningprocessesandactivitiesthelocalgovernmentdepartmentsareundertaking,aswellasstrategiesinplace,ifany.Itisimportanttobeclearonongoinginitiatives.

Sub-phase 1.2, Step 2: Analyse the institutional environment and mandates of local government

Inthisstep,theteamwilllookcloselyatthepoliticalenvironment,legalframeworkandpoliciesthatexistandwillinfluencetheCDSpreparationandexecutionprocess.Inaddition,theywillanalysemandatesofthelevelsandunitsofgovernment.Theywillascertaingapsinthelegalframesandpolicies,aswellasbetweenthecurrentmandatesandthefuturemandatesrequiredfortheexecutionofaCDS.

Sub-phase 1.2, Step 3: Analyse government structures, processes and capacities

Theteamwillanalysethegovernmentstructureandongoingprocesses.Theywillthenlookatthecurrentstructureandstaffingofdepartments,inrelationstothetasksbeing(andtobe)undertaken,andanyexistingpoliciesoncapacitydevelopment.

Tools

PleaserefertovariousCapacityNeedsAssessmentframeworksandCommonAssessmentFrameworkoftheEUinthereferencessectionofthisdocument.Inaddition,UNDP,UN-Habitat,WorldBankandAsianDevelopmentBank,amongothers,havegoodon-linematerialsoncapacitydevelopment.


29

Theanalysishighlights:1. Whetherthecurrentstructurescanaccommodatenewwaysofworking

requiredduringthepreparationandimplementationoftheCDS;2. Whatkindoforganisationalchange(structuresandstaffing)shouldoccur

aspartoftheCDSpreparationprocesstoensureeffectivepreparationandimplementationoftheCDS;

3. Howcompetenciesfallshort;4. Acapacitydevelopmentstrategy,whichoutlinesthecompetenciestobe

builttotakeonthepreparationandimplementationoftheCDS.Thisshouldbeintegratedintotheplanningprocess.

Box3:KosovoStrategicSpatialPlanning

Source:IHSProjectDocumentation,2003-2006

Sub-phase 1.2, Step 4: Assess reforms and impacts

Oneofthequestionsofthereadinessassessmentiswhetherthelocalgovernmentiscurrentlyundergoinganymajorpublicsectorreform.Itisimportantasreformsrequireaninvestmentofresources,energyandcommitmentonthepartofthestaffandthiscanresultinupheaval.Ifthereisreformongoing,thequestionis:willenteringintoaCDSmakesenseinthemiddleofsuchareform?Questionstobeaskedmightinclude:

TheKosovoStrategicSpatialPlanningprojectfocusedonthesetupofaplanninginstitutionwithintheMinistryofSpatialPlanningandEnvironmentinPristina,andthedevelopmentofstrategicspatialplansforthewholeofKosovoanditsmunicipalities.Theprojectkickedoffwithanumberofsupportactivitiestoensurethattheprocesswouldbeeffective.Supportcontinuedthroughoutthedevelopmentoftheplanandduringimplementation.§ Developmentoflegalframeworks:draftingofthelawforSpatialPlanningforKosovo,the

developmentofpolicytosupporttheprocess.§ Organisationalchange:consultantsaidedindraftingofanorganisationalstrategyforthe

set-upoftheInstituteforPlanning,involvingahumanresourcestrategyforthegrowthoftheinstitutionovertime.

§ Capacitybuildingstrategy:thedevelopmentofacapacitybuildingstrategyintegratedintotheoverallstrategicspatialplanningandthetrainingneedsoftheinstitutionanditskeypartners.

§ Capacitybuildingactivities:Initialtrainingofstaffonstrategicplanningandspatialplanningapproaches.Thiswasfollowedbyonthejobtrainingandsupportinthedevelopmentandimplementationofthestrategy.

§ Financialstrategiestoensurelongtermfunding:Anassessmentoftheresourcesavailabletofundtheprocess.Thiswasdoneensurethatwherefundingwaslacking,thattheMinistrystartedearlywitharesourcemobilisationstrategy.UNHABITATfundedthesupportprovidedbytheconsultantteam.Inbetweenfundingstreams,theMinistryprovidedbridgefunding.ThisensuredthecontinuationofsupporttotheprogrammeovertimeanddemonstratedtheMinistry’scommitmentandunderstandingofthebenefitoftheprogramme.

Tools

PleasealsorefertotheHumanResourceCapacityBenchmarkingtoolkit,beingdevelopedfortheCitiesAllianceundertheFCAprogramme,whichoutlineswhattypeofhumanresourcesalocalgovernmentshouldhaveinplacetorunthecityinaneffectivemanner.


30

1. IstheCDSnecessaryorwillcurrentreformsachievesomeoftheoutcomeexpectedoftheCDS?

2. WillaCDSwreakhavocinanalreadydifficultprocess?3. Orlookingatitinanotherway,doesitmakesensetopiggybackonthis

reform?CanthechangesbeingmadebenefittheCDS?Theteamwillassesstheseongoinglocalgovernmentreformsandtheirpotentialimpacton:1)thedepartmentsandtheirstaff;and2)outcomesrelatedtothecitizens.Theteamwillassesswhetherthereformsareachievingorarelikelytoachievetheresultsandimpactsplanned,andwhetherthesearepositiveandnegative.

Sub-phase 1.2, Step 5: Assess local resource mobilisation, budgeting and funding

KnowingwhatkindsofresourcesareavailableisanimportantpartofpreparingfortheCDS.Onceagain,thisisanextensionofthereadinessassessment.Thiswillinclude,forinstance,lookingatthefundingstreamsofthenationalgovernment,anddonorprogrammes.Theteamwillassesslocalbudgetingmechanismsandfundingsystems,aswellasthepowersthelocalgovernmenthastomobiliseresources.Thisassessmentwillbethebasisforaresourcemobilisationstrategy(totakeplaceinPhase3),lookingatdifferentsourcesoffunding.Outputofthissub-phase:Municipalinstitutionalassessmentandorganisationalchange/indicativecapacitybuildingstrategy,withspecialfocus,atthismoment,oncapacityneedsfortheCDSpreparationphases.

Reference

CapacityBuildingisanimportantconcept.Itreferstodevelopingstaffabilitytoworkintherequiredareasbutalsototheabilityoftheorganisationtouseitsstaffwell.SeedocumentbyPeltenburg,M.,Forbes,D.,Teerlink,H.andWakely,P.,1996:“Buildingcapacityforbettercities:conceptsandstrategies”inthereferencesection.

Phase1:Gettingorganisedandsituationanalysis

31

1.3. Establish CDS process (internal to government) Theobjectivesofthissub-phaseareforthecitytotakethestepsnecessarytoclarifytherolesandmobilisethe(nationalandlocal)governmentactorsthatwillbeinvolvedintheCDSprocess,andtoobtaintheresources/approvalstogetstarted.

Stepsinthissub-phase:Sub-phase1.3,Step1:ClarifyorganisationalrolesandplaninputsofkeygovernmentactorsforthedevelopmentoftheCDSSub-phase1.3,Step2:IdentifygovernmentbudgetsandotherfinancingforCDSactivitiesSub-phase1.3,Step3:CoordinatetheplanningoftheCDSwithexistingstatutoryplanningsystemsSub-phase1.3,Step4:UpdatethecommunicationstrategySub-phase1.3,Step5:Agreeonoperationalrulesandworkplan,getapprovalfromtheCouncil(CDStimeframes,activitycalendars,resourcesandperson-powerplanning)

Sub-phase 1.3, Step 1: Clarify roles and plan inputs

Inthisstep,usingtheresultsofthemunicipalinstitutionalassessmentasinput(sub-phase1.2),theCDSteamwillclarifytheresponsibilitiesofthegovernmentstaffthatwillbeworkingonthedevelopmentofthestrategy.TheCDSteamwillplananddetailwaysofworkingduringtheCDSdevelopmentprocess,aswellastheoperationrulesthatwillgoverntheprocess.Thisplanwilllookatwaystomaximisetheuseofresources,reducingduplicationasmuchaspossible.Asmentionedbefore,theteammaychoosetosetupanumberoftemporarybodies(thematicworkinggroups,inter-departmentalworkinggroup,etc.).ThisstepmayhavetotakeplaceanumberoftimesovertheCDSprocess.


32

Figure5:TheCaseofJinja,Ugandaandinstitutionalstructures

TheJinjaMunicipalDevelopmentForum(MDF)hasbeeninoperationsince2010.ItwassetupinitiallyforthepreparationoftheCDS,andhascontinuedonasabodyinvolvedinimplementationandthatengagesdifferentgroupsinthecity.TheForumshaverepresentativesoftheurbanpoor,religiousgroups,civilsociety,youth,elderly,personswithdisabilities,municipalcouncil,culturalinstitutions,thebusinesscommunityandmedia.

Ingeneral,MDFsprovideaplatformtopromotestakeholders’participationandfosterpublicdialogue;actasabridgebetweenthemunicipalityandherurbancitizens;provideaplatformfortheurbanpoorandothermarginalizedpeopletobeempoweredtohaveasayonurbandevelopmentissues,programsandprojects,etc.MDFsinUgandaarenowformalisedinlaw.

TheJinjaMDFisheadedbyanExecutiveCommitteewhoareelectedrepresentativesfromthevariousgroupsorsectorsmentionedabove,includingselectstafffromtheMunicipalCouncil(theCommunityDevelopmentOfficer).ThereasonforhavingarepresentativefromtheMunicipalCouncilistoprovidetheaccessandlinktotheCouncil,andtoavoidbureaucracy.Inaddition,toaddresstheissueofsustainability,theJinjaMDFhasabudgetlinetofunditsactivitieswithintheMunicipalCouncil.TheExecutiveCommitteeholdsofficefora2-yeartermandisheadedbyaChairmanorPresident.TheMDFsecretariatishousedwithintheJinjaMunicipalCouncil.RecommendationsmadebytheExecutiveCommitteearetabledattheTechnicalPlanningCommitteeoftheCouncilforadoption.

Source:Fieldinterviews:theCaseofJinja,Uganda(2016)

Sub-phase 1.3, Step 2: Identify funding and budgets Theteamidentifyandgaincommitmentforthegovernmentbudgetsandotherpotentialsourcesoffundsthatwillbeallocatedto12monthsoftheCDSpreparationprocess.

Sub-phase 1.3, Step 3: Coordinate with statutory planning systems Usingtheinformationfromthemunicipalinstitutionalassessmentonthedomesticplanningsysteminplace,theteamwillensureintheworkplanthattheplanningoftheCDSprocessissensitivetoand“insync”withexistingstatutoryplanninganddevelopmentsystems.Theywillhavetoconsider,forinstance,whenmasterplanshavebeenorshouldbemade,aswellasthetimingofconsultativeandapprovalprocesses.Theplanswillalsohavetobepreparedtobeabletolocatepriorityprojectsandtofeedcapitalinvestmentplans.

NoteStatutoryplansandstrategicplansoftenco-existandtherecanbeconfusionabouttherelationship.Itisveryimportanttodiscusstherelationshipsbetweentheplanswiththoseconcernedandtrytomakeintelligentconnectionsbetweenthetypesofplans.


33

Sub-phase 1.3, Step 4 Update the communication strategy Theworkcarriedoutinsub-phase1.1step6shouldbereviewedandupdatedonthebasisoftheworkondevelopmentoftheplanningprocess.Thiswillhelptosupporttheworkontheexternalparticipatoryprocesses.

Sub-phase 1.3, Step 5. Agree on operational rules and work plan Finally,theteamwillfinalisetheworkplanandoperationalrulesgoverningwaysofworking.Theywillsubmitthefinaloutput,includingCDStimeframes,activitycalendars,CDSbudgetandperson-powerplanningtotheCouncilforapproval.Thisstepwillfinalisetheagreementandcommitmenttogoforwardandwillmakeexplicittheinvestmentthelocalgovernmentismaking.

Outputofthissub-phase:Workplan,operationalrules,updatedcommunicationstrategy,budgetfortheCDSdevelopmentperiod.

Tools

AusefultoolinthisstepisTool7,Mindmapping.Thiscanhelptoorganizeideas,canbeusedparticipativelyandcanbetransformedintoaGanttchart(Tool22)

Tools

SeeTool6oncommunications

strategies

Phase1:SituationAnalysis

34

1.4. Establish a participatory strategy development process (external process)

Theobjectiveofthissub-phaseisforthecitytoworkoutindetailthekeyelementsoftheparticipatoryprocessthatisintegraltotheCDSprocess.Thestepsbelowcomprisetheactivitiesthatacitywouldhavetoundertake.Stepsinthissub-phase:Sub-phase1.4,Step1:DecideoninputstobemadebyandstrategicdecisionstobemadewithstakeholdersSub-phase1.4,Step2:Buildawarenesstosupportthestrategydevelopmentprocess

Usingthestakeholderanalysisandcommunicationplanasaninput,theSCandtheCDSteamwillplantheparticipationofthekeystakeholders.Theyworkedthisoutinthestakeholdermanagementandcommunicationstrategy,butnowitistimetoputitintoeffect.

Sub-phase 1.4, Step 1. Decide on inputs and strategic decisions to be made with stakeholders

TheCDSteamwillreachfinaldecisionsontheinputsdifferentstakeholdergroupswillhavetomake,thetypeofparticipationexpected,andthestrategicdecisionstobemadewithstakeholders.

Figure6:TheparticipatoryprocesssetupineThekwini,SouthAfrica

TheImagineDurban(noweThekwini)strategicplanningprocesswasalongtermplanningprocessdesignedtoensurethesustainabilityofinitiatives.Thecitydescribeditasaprocessofnon-stop,‘learningbydoing’.Theprojectwasinitiatedinlate2006,basedonthepremisethatplanningmustencompasstimeframesthatwentbeyondthatofelectedtermsofoffice.Itslocalprioritythemes(effectively,strategicobjectives)included:§ Creatingasafercity;§ Ensuringamoreenvironmentallysustainablecity;§ Promotinganaccessiblecity;§ Creatingacitywhereallenjoysustainablelivelihoods;§ Fosteringamorecaringandempoweringcity;and§ Celebratingthecity’sculturaldiversity,historyandheritage.Duringthecourseofdevelopingtheproject,theeThekwiniMunicipalityemployedvariedcreativeformsofstakeholderengagement.Themunicipalstaffusedpostcardsplacedatvariouspublicplaces,suchaslibraries,toelicitcontributionstotheCity’svision;theyorganisedworksessionsinlocalparks,andstagedroadshowsandheld‘heritageweeks’.Theymadeprintmediapull-outs;andorganiseddebatesandessaysatschools.

Note

Itisimportanttoemphasisethatifparticipationistobeeffectiveitmustbewellmanaged.Inparticipatorysessionsthequalityofthemoderatoriscritical.Agoodmoderatorhelpsbuildtrustandcanhelpbalancethecompetinginterestswhichinevitablyarise.

Tools

SeeTool2(StakeholderAnalysis).Thisisanimportanttooltohelpanalysewhoareimportantgroupstoworkwithandwhattheirpotentialcapacitiesare.


35

Theyorganiseddemonstrationprojectstoachieve‘quickwins’andtoprovethefeasibilityoftheirproposedprogramsorprojects.Theprojectsprovidedthebasisforreassessment,revisionandscalingup.Theyalsohelpedtomaintainmomentumandstakeholders’engagementinthecity’slong-terminitiative.TheCityofDurbansetupateamknownastheDurbanProjectTeam(lateronreferredtoasDurbanAmbassadors),forthepreparationofthestrategyandforimplementationaswell.TheypartneredwiththeCityofCalgaryinCanadatogainsupportandideas.Thiswasbasedonthepremisethatmostcitiesfromallovertheworldwhowereatdifferentstagesintheirplanningcycle,lookedtotheirinternationalplanningcolleaguesfromaroundtheworldwhowereatsimilarorevenmoreadvancedstagesforideas,suggestions,tipsandlessonslearned.TheCityofCalgarywasalsoinvolvedinastrategyprocessandprovidedlearningopportunityfortheTeam.TheDurbanProjectTeamheldweeklymeetingsorfieldtripstoevaluatetheirImagineDurbanProject.TheTeamwereencouragedtobeintrospectiveandtoidentifykeylessonsthattheycouldsharewithothermemberswithintheMunicipality,aswellaswiththeircitizens.Asarule,theTeamalsotriedtobuildintimeforevaluationandreflectionintotheplanningprocess,inordertomakesurethattheywereasresponsiveaspossible.Inaddition,workinggroupscomprisingselectMunicipalstaffandthecity’scitizenswereestablishedandtaskedwithspecificactivities.VolunteersworkingattheMunicipalCouncilalsoassistedindataanalysisandpresentation.Whentheneedarose,theMunicipalCouncilwouldengagereputableprofessionalorganizationsforspecifictasks.

Source:Moodley,S.(2009)

Sub-phase 1.4, Step 2: Build awareness

Topreparekeystakeholdersandtodiscussinputsindepth,theteamshouldorganiseconsultationsandawareness-buildingactivitiestosupportthestrategydevelopmentprocess.

1.5. Situation analysis: (rapid) participatory city appraisal and profiling

Theobjectiveofthissub-phaseistoperformadiagnosticofthecity,assessingandperformingabenchmarkofcurrentcharacteristicsandtrendsinsectorsandthemes.Theprioritytopicswilldifferentforeachcity,asissuesarecontextspecific.Stepsinthissub-phase:Sub-phase1.5,Step1:AssembletheteamSub-phase1.5,Step2:Reviewlocalissuesanddatasources,andsetuptheresearchprocess

Tools

SeeTool6(Communication

Strategy).Communication,inbothdirections,isveryimportantandneedstobethoughtthrough.


36

Sub-phase1.5,Step3:Analysestrategiccontext:theexternalenvironmentwhichinfluencesthemunicipality,generaltrends(inputtotheSWOT)Sub-phase1.5,Step4:AnalyselocallychosenprioritytopicsSub-phase1.5,Step5:ConsultwiththematicgroupsonoutcomeofthesituationanalysistogainfeedbackItisimportantfortheteamtohavereliableinformationonissuesinthecitysothatthesecanbediscussedinparticipatoryforums.Thesituationanalysisactsasbasisforthestepsthatfollow(SWOTandVisioning)anddatacollectedisessentialformonitoringandevaluationperformedduringtheimplementationofthestrategy.

Sub-phase 1.5, Step 1: Assemble the team TheSCandtheCDSteamwillneedtoputtogetherateamtoexecutethesituationanalysis.Theywillmostprobablybeworkingwithconsultants,asthesituationanalysisconstitutesabodyofresearchthatrequiresparticularskills.Itishowever,extremelyimportantthatstaff1)learnfromtheexpertswithwhomtheyareworking2)developknowledgeandownershipoftheissuesidentified.Puttingtogetheralocalgovernmentteamwithwhichtheexpertscanworkisessential.Thelocalgovernmentcanmakeuseofuniversitystudentsandresearcherstoprovidesupportingatheringinformation.

Sub-phase 1.5, Step 2: Review local issues and data sources, and set up research process

Itisusefultoreviewtheissueareaslikelytorequireresearchasthiswillhelptohighlightwhereeffortsshouldbefocused.Step4,below,providessomeindicativeareasthatshouldberelevant,buteachtownorcitywillbedifferentinspecificneeds,availabilityofinformationandcollectionability.Priortogettingstartedonthereviewofresources,itwillbenecessaryfortheexpertsandlocalgovernmentteamtoreviewlocaldatasources(includingmaps)andassesstheavailability(andthevalue)ofinformation.Itisessentialtoknowifthereisinformationavailable,andthereliabilityofthisdata,oriftherearesevereconstraintstoobtainingdata.Theteamwilllookatstatistics,existingpublicationsanddocumentations,existingstudiesandevaluationsreports(madebyuniversities,consultantsanddonors).Itisgoodalsotobeawareofthepotentialoflocalcommunitiestocollectinformationandinnovativeapproachessuchascommunitybasedmapping.Theteamwillhavetostrategizeon1)thequantityofdatatobegatheredaswellas2)thequality,accuracyandreliabilityofthedatacollected.Attentionshouldbepaidtobeingjudiciousabouttheamountofdatacollected.Wherepossible,itisadvisabletofocusonexistingdocumentationandstatistics

Reference

CitiesAllianceisdevelopingaDataToolkitundertheFCAprogrammewhichisacompaniontotheCDSToolkit.Thisisgearedtohelpinglocalgovernmentanditspartnerstodevelopindicatorsanddatasetsthatcanbeusedforthespecificneedsofthetownsandcitiesconcerned.Itprovidesguidanceonthenature,scopeandqualityofdataacityshouldcollectandthesystemsthatneedtobeinplacetomanagethis.Atthetimeofwritingthisisnotyetavailable.PleasevisittheCitiesAlliancewebsiteforcurrentinformation.http://www.citiesalliance.org/


37

whentheseareavailable.Insomecases,theteamcanconsiderexecutingprimaryresearchintheformofbusinessandcitizensurveysandinterviews.Inanycase,theteamshouldpreparefortheprocess,andholdafirstroundofconsultationswithdifferentbodiestopromoteandpreparethemfortheupcomingsituationanalysis.Thesebodiesmayalsohaveattheirdisposalaccurateinformationthattheyarewillingtoprovidetothecity.Theseconsultationswillalsobeusedtodiscusswiththemfutureinvolvementinthedevelopmentofthestrategyand,inthefuture,intheimplementationofthestrategy.

Sub-phase 1.5, Step 3: Analyse strategic context

Understandingthecurrentsituationinthecityalsomeansunderstandingtheexternalfactorsthatinfluencethecity.Theexpertsandteamwillanalysethestrategiccontext:theexternalenvironmentthatinfluencesthemunicipality,generaltrends(Note:thisisaninputtotheSWOT,seesub-phase1.6).VNG(2010)advises:bewareofyourinfluence!Whenassessinglocalissues,itisimportantforthecitytobeawareofitssphereofinfluence:certainfactorsthatinfluencethecityarewithinthecontrolofthecity,othersarenot.Itisofimportancetofocusonthefactorsoverwhichthecityhascontrolandisabletoinfluence.Insomeinstance,thecitymaybeabletoexecuteindirectinfluence,bylobbyingforchange(e.g.requestsfortheallocationofgrantsfromCentralGovernmenttobedoneontime).

Sub-phase 1.5, Step 4: Analyse locally chosen priority topics

AsmentionedinStep2,above,theteamwillhavetocollectdataonthesectorsandthemesthatareofimportancetothecity.Asfaraspossiblethedatashouldalsobemapped–eitherusingpaperbasedmaps,GISsystemsorresourcessuchasGoogleEarth.Thebulletsbelowprovideageneralideaofthetopicsthatshouldbecoveredinadiagnosis:§ Aninstitutionalanalysis–whichorganizations-publicandprivateare

operatinginthecityandwhataretheirpotentialrolesandcapacities§ Aninitialdemographicanalysisandspatialanalysis(assessmentofmaps

andplanningdocumentation);§ Assessmentoflanduse,ownershipandmarkets,aswellasmunicipal

assets;§ Ananalysisofthelocaleconomicdevelopmentstatusandpotential;§ Anassessmentofthenaturalresources,environmentalissuesand

climatechangevulnerability;§ Ananalysisofkeysocialissues;§ Arapidappraisalofpovertycontextandsituation.§ Anappraisalofapproachestogenderissuesacrossthedifferentsectors

aswellasmarginalizedcommunitiesandindividualswithspecialneeds.

Tools

PleaserefertoPESTLanalysis(Tool8)

Tools

SeeTool2(StakeholderAnalysis)

Reference

CitiesAllianceareinvolvedinajointworkprogrammeonresilientcities.Thisisagoodsourceoffurtherinformationonapproachestothisissue.SeeCitiesAlliance,JointWorkProgrammeonresilientcities


38

§ Anassessmentofotherlocallychosenprioritytopics/sectors(suchasinfrastructure,basicservices,housing,health,education,safety,heritageandculturalassets,etc.).

Itdependsonthelocalsituationhowthesethemesareorganisedanddealtwithinthewrite-upofthesituation.

Figure7:Anexampleofthestructureofasituationanalysis

TheFigureaboveprovidesoneexampleofhowthemescanbeorganisedinthewriteupofasituationanalysis.Thestructureoftheanalysiswilldependonthecontext.SeetheTechnicalexamplessectionforsomeframeworksthatcanbeusedinthissub-phase.Whateverframeworkischosen,itisimportantforthecitytobeclearhowtouseitandtobecomfortablewithworkingwiththeframework.Itisalsoimportantthattheinformationgeneratedisrelevantandreflectsthe‘real’situationinthecity.Theresultsoftheanalysishavetobe‘recognisable’fortheinhabitantsofthecity.

Sub-phase 1.5, Step 5:

TheexpertsandtheCDSteamwillorganiseeventstodiscussthesituationanalysiswiththethematicworkinggroups,madeupofdifferentstakeholders.Theywillalsoorganise,oncompletionofthesituationanalysis,astakeholderforumtodiscusstheprofileandagreeontheissuesthatcomeoutofthereport.Theteamwillderiveoutofthesediscussionsasenseoftheperceptionof(theseverityof)problemsinthecity.Theyshouldalsoidentifytheopportunities.

Intro: 11

Exampleofchaptersinthesituationanalysis

Thecity’scharacteristicsandtrends

§ UrbanUtilities§ Transport§ UrbanEnvironment§ HousingManagement§ Education,Health,Social§ CulturalHeritage

§ CityGovernment§ Finance§ Planning

§ EconomicStructureandCompetitiveness

§ Employment

§ DemographicTrends§ Climate&Morphology§ LandUse/Topography§ TerritorialPosition

Note:

TheresultsoftheMunicipalInstitutionalAnalysisexecutedinsub-phase1.2willbewrittenupaspartofthesituationanalysis.Itisoftenincludedinthesituationanalysisinachaptercalled‘Governance’.


39

Box4:Situationanalysis,genderandpoverty

Thesituationanalysis,genderandpoverty

Thesituationanalysisshouldassesstheimplicationforwomen,men,thepoorandphysicallychallengedofthecurrentlegislation,policiesorprogrammesineachsectororrelatedtoeachtheme.Thiscanbedealtwithinthefinaloutputinaseparatechapterorcanbeintegraltoeachtopic.

Generalissuesandtrendsingender

TheUN(2002),intheirpublicationongender,mentionsaseriesofissuesandtrendstobeconsciousofwhendoingthesituationanalysis.Womenhaveatendencytofaceinequalitiesinpoliticalpower(accesstodecision-making,representation,etc.),aswellasinhouseholds.Theyaresubjecttodifferencesinlegalstatusandentitlements.Itisalsonecessarytolookatthegenderdivisionoflabourwithintheeconomy,andinparticularattheinequalitiesinthedomestic/unpaidsector.Finally,therecontinuestobeatrendindiscriminatoryattitudestowomanandincidencesofviolenceagainstwomen.Whensettingupthesituationanalysis,itisimportanttoconsidertheseaspects.

Datacollection,analysisanddissemination

TheUN(2002:21-22)alsoaddressesdirectlythecollection,analysisanddisseminationofstatisticsandinformation.

“Giventhecentralityofdatacollection,analysisanddissemination,themainstreamingofgenderperspectivesinstatisticsiscrucial.Mainstreaminggenderperspectivesinstatisticsimpliesthatallstatisticsareproducedtakinginconsiderationgenderrolesandgenderdifferencesandinequalitiesinsociety.Alldata–boththoseonindividualsaswellasthosenotdirectlyrelatedtoindividuals–shouldbecollected,compiledandanalysedtakinginaccountthegender-basedfactorsthatinfluencewomen’sandmen’sroles,accesstoresources,andthewaywomenandmenbenefitfromaccesstoresources,facilitiesandservices.Disaggregationofallstatisticsbysexisoneofthemeansofensuringattentiontogenderperspectivesinstatistics.However,disaggregationbyitselfisinadequate.Sex-disaggregateddataaresimplydatacollectedandtabulatedseparatelyforwomenandmen.Havingdatabysexdoesnotguaranteethatconcepts,definitionsandmethodsusedindataproductionareconceivedtoreflectgenderrolesandrelationsinsociety.Itisequallyimportanttoconsiderwhetherthetypesofdatacollectedareadequatetorespondingtothebasicquestionsthatneedtobeaskedaboutsectors/issuesfromagenderequalityperspective.Gendermainstreaminginstatisticscaninvolvecollectingnewtypesofdataorexpandingdatacollectioninsomeareastofillexistingknowledgegaps.Inaddition,gendermainstreamingrequiresattentiontothebasicconceptsutilizedandtomethodsofcollectionandanalysistoensurethatgenderequalityissuesarebeingcoveredadequately.Attentionneedsalsotobegiventomethodsofpresentationanddisseminationtoensuretheissuesarepresentedinanadequatemannerandreachallpotentialtargetgroups.Thegenderperspectivesintheuseofstatisticsasaninstrumentforpolicychangeneedsalsotobelookedat.Alloftheabovechangesrequiregreatercollaborationbetweentheproducersandusersofstatistics”.

Outputofthissub-phase:Situationanalysis


40

1.6. SWOT analysis SWOTstandsfor“Strengths,Weaknesses,OpportunitiesandThreats”.Theobjectiveofthissub-phaseisforthecitytotakethedatafromthesituationanalysisandtoorganiseitinaframeworkthatcanbeusedtodiscusswithstakeholdergroups.Theoutputofthisisanimportantbridgetothedevelopmentofstrategiesandactions.Stepsinthissub-phase:Sub-phase1.6,Step1:PerformSWOTanalysiswithCDSteamSub-phase1.6,Step2:ConsultwithwiderstakeholdergroupsonSWOTtogetfeedback,prioritizeissuesSub-phase1.6,Step3:ObtainbroadconsensusonthefinalSWOTfromstakeholdersSub-phase1.6,Step4:GetCounciltoapproveandthemayortoendorsetheSWOT

hemunicipalinstitutionalassessmentandthesituationanalysisarekeyinputsfortheSWOT.ASWOTanalysisisausefultooltoorganiseinformationgatheredintheprofile/diagnosticperiod,sothattheCDSteamandwiderstakeholdergroupscandiscuss,prioritiseandagreeontheissuesthecityisfacing.ASWOTanalysisisananalyticalmethodwhichisusedtoidentifyandcategorisesignificantinternal(StrengthsandWeaknesses)andexternal(OpportunitiesandThreats)factorsfacedeitherinaparticulararena,suchasanorganisation,oraterritory,suchasaregion,nation,orcity.ThereisoftensomediscussiononthecorrecttimingoftheSWOTanalysis:forexample,somesuggestdoingitafterthevisioningphase.Inthiscase,however,itisconsideredaneffectivetooltohighlightandorganisetheproblemsbeingfaced.Itcanalsobeusedinahighlyinteractivemannerandtostimulatediscussionsduringparticipatoryevents.SWOTstandsfor:§ Strengthsoftheorganizationorcity(internal)§ Weaknessesoftheorganizationorcity(internal)§ Opportunitiesexternaltotheorganizationorthecity,butinfluencingit

(external)§ Threatsexternaltotheorganizationorthecitybutinfluencingit

(external)

Note

Tool10(SWOTanalysis)givesmoredetailonhowtoundertakethis.Itisimportanttodothistogetherwithkeystakeholders.Intheprocess,whatisInternalandwhatisexternalareoftenconfused.Internalnormallyappliestothecity–aspectswhichcanbemoredirectlyinfluencedbythosewithinthestakeholdergroup.Externalfactorscannotbecontrolled,butsomemaybeabletobeinfluenced,e.g.bylobbyingandadvocacy.


41

Figure8:SWOTanalysis

Opportunities

Threatsexternal environmentof organization or area

Strengths

Weaknesses

internal environment of organizationor area

-

+

ASWOTisgoodforaskingandansweringimportantanddifficultquestions.TheteamcanusetheproblemtreeanalysistooltotaketheSWOTanalysisfurtherandlinkthroughtosettingobjectives.A‘problemtree’focusesinoncoreproblemsandtheircausesandeffects.Pleasealsorefertotheproblemtreetool.Thelinkageanalysistoolallowsyoutolookatlinksbetweenproblemsandtheimpactsonemayhaveonanother(i.e.solidwastelyinginstandingwater,anditsimpactonhealth).ThetechnicalexamplessectioncontainsanexampleofaSWOTanalysisconductedbythecityofEdmonton(Canada),whichmayserveasamodelforothercities.

Sub-phase 1.6, Step 1

ConductingaSWOTanalysisTheSCandCDSteams,aftercarefulanalysisofthediagnosticsinformation,willperformtheSWOTanalysis.Thisinvolvesthesystematicorderingofinformation.WhendevelopingtheSWOT,itisimportanttounderstandthatwhatconstitutes“internal”and“external”issuesdependsonthecontext.InaSWOTitisveryimportanttodefineyourpointofview.Forexample,ifanationstateistakenasstartingpoint,governmentandprivatesectoreconomywouldbeinternal.Ifcitygovernmentisstartingpoint,privatesectorandnationalgovernmentwouldbeexternal.

Note:

Workingthroughaproblemtreeanalysisisgoodtodoinaparticipativemannerwithkeystakeholders.Oncedoneitisrelativelyeasytoidentifycoreproblemsandturnthemintocoreobjectives.Thisprovidesanaturalwaytopriorities

Tools

SeeTool11(Problemtree)and12(Linkageanalysis)

Tools

PleaserefertoTool10(SWOT

analysis)


42

TheTablebelowprovidessomeguidanceonthetypesofquestionsthatstimulatediscussion:

Sub-phase 1.6, Step 2: Feedback on the SWOT TheCDSteamwillthenconsultwiththethematicstakeholdergroupsandinawiderforumtogetfeedbackontheissueshighlighted.Thisisparticularlyimportantasstakeholdersoftenhavedivergentandconflictinginterestsanddifferentperspectiveoftheproblemsandsolutions.Theobjectiveisfortheteamtogetclarityonthepriorityissuesasabasisforthevisioningandstrategydevelopmentprocess.

Sub-phase 1.6, Step 3: Consensus on the SWOT AfterincorporatingfeedbackfromstakeholdersandfinalisingtheSWOT,theCDSwillagainmeettoobtainbroadconsensusonthefinalversion.Theteamwillhavetomakeuseofapublicitycampaigntocommunicate(seealsocommunicationsstrategyintheGettingOrganisedsub-phase1.1).

Questionsonstrengths:

§ Whatareyourcity’sadvantages?§ Whatdoesyourcitydowell?§ Whatrelevantresourcesdoyouhaveinyourcity?§ Whatdootherpeopleseeasstrengthsofyourcity?

Questionsrelatedtoweaknesses

§ Whatdoyoudobadly?§ Whatcouldyouimprove?§ Whatshouldyouavoid?

Questionsrelatedtothreats:

§ Whatobstaclesdoyouface?§ Aretherethreatstotheresilienceofthecityfromclimatechange?§ Whatishappeningaroundyou,inothercities?§ Howistheeconomicsituationchanging?§ Aremajoremployersvulnerable?§ Howisthe(inter)nationalpolicyenvironmentorpoliticalsituation

changing?§ Howisdemographychanging?

Questionstoaskwhendiscussingopportunities:

§ Whatarethegoodprospectsinfrontofyou?§ Whataretheinterestingtrendsyouareawareof(changesin

governmentpolicy,insocialpatterns,populationprofiles,lifestyles,economicdevelopmentetc.)

Pleasenote:opportunitiesandthreatsareoftenfactorsoverwhichacityhasnoorlimitedcontrol,buthavetobetakenintoaccount.


43

Sub-phase 1.6, Step 4 Approval of the Council, and endorsement of the mayor

TheSWOT,infact,constitutestheendofthesituationanalysis.Intheend,itwillbeimportantforthecitycounciltosignoffontheSWOTbeforeproceedingtothenextphase.Themayorandthecouncilshouldbeengagedindiscussionsandbewillingtosignoffwhenitcomestime.Outputofthissub-phase:SWOTanalysis

1.7. Strengthen data and information management Theobjectiveofthissub-phaseisforthecitytoensurethatsufficientattentionispaidtothestrengtheningofdatacollectionandmanagement.Thiswillaidinthesustainabilityoflong-termefforts.Stepsinthissub-phase:Sub-phase1.7,Step1:Analyselocaldatagathering,informationmanagement,andmappingproceduresandcapacitiesSub-phase1.7,Step2:ProvideleadershiponsharingdataSub-phase1.7,Step3:Assessfuturedataacquisitionneedsandpotential,developproposaltostrengthencapacitiesSub-phase1.7,Step4:UpdateCDSrelevantindicatorsandmeasures,togetherwithmonitoringsystemsSub-phase1.7,Step5:IntegratedatamanagementsystemsintoactivitiesoflocalplanninginstitutionsDuringtheexecutionofthesituationanalysis,theteamwillcollectandanalysedataonthecharacteristicsofthecity.Thesituationanalysisisasnapshotofthestrategicsituationinacityataparticulartime.Basedontrendsderivedfromhistoricaldatacollected,thesituationanalysiscanhelptoforecastpossiblefuturesorscenarios,whichcanbeusedtohelpmakestrategicdecisions.However,thecitywillchange,ascitiesaredynamic.Thisimpliestheneedtoensurethatdataiskeptuptodate.Thissub-phasefocusesspecificallyonimprovingdatacollectionandmanagementoverthelongerterm.ThiswillallowforadjustmentstotheCDSovertime,aidinfuturedecision-makingandinthesustainabilityofCDSinitiatives.ThisdataisalsoessentialasaninputforthemonitoringandevaluationofCDSactivitiesthatshouldtakeplace.


44

Sub-phase 1.7, Step 1 Analyse data and information management procedures and capacities

TheCDSteam,withtechnicalsupport,willtakestockofthedataandinformationmanagementsystemsandproceduresincludingsharingofdata,aswellasthecapacitiestocollectandmanagethesesystems.Theteamwilllookbothatthehumanresourcesinplacetodothis,aswelltheircompetencies.

Sub-phase 1.7, Step 2: Provide leadership on sharing data SharingdataisessentialforthesuccessofaCDS.TheSCandtheCDSteamshouldworkwiththemayoronensuringthatdataissharedinternallyacrossdepartments,andthecultureofprotectingratherthansharinginformationisavoided.Thiswillhelpwhenbudgetsareminimal,andwillhelpinintegrationofactivities.Dataisalsoimportantforthedifferentstakeholdergroupsinthecity.Withreliableinformation,localbusinesses,potentialinvestors,families,etc.canmakeeducatedandinformeddecisions.Universitiesandotherresearchinstitutionscanusetheinformationtoexecuteresearchthatcansupportpolicy-makingandlocalgovernmentdecision-making.Thecityshouldsharetheirdataandencourageotherorganizationsalsotoshare.Bothsidesneedtoseethisasbeneficialorsharingwillnotwork.Toensuretheavailabilityofthedata,thelocalgovernmentwillhavetobuildthecapacityofavarietyofinstitutionstocollectandtoanalysethedata19.

Sub-phase 1.7, Step 3: Assess future data acquisition needs and potential Theteamwillthenassessthefuturedatacollectionneedsandthecapacitiestotakeonthistaskwithinthemunicipality.Thisassessmentmayresultinaproposaltostrengthencapacitiestomeettheseneeds.Thisproposalcansuggestwaystoimprovetheknowledgebaseoverthelongerterm,tobuildcapacitytocontinuetocollectandanalysedatainanevolvingsituation.Itwillalsolookatdifferentorganisationalscenariosforcollectionandmanagementofdata,(i.e.workingwithinternalteamsorwithacombinationofinternalandexternalsupport)andthecostsofthese.

Sub-phase 1.7, Step 4: Update CDS indictors and measures, along with monitoring systems

TheteamwillreconsiderCDSindicatorsdevelopedduringthesituationanalysis,toensurethattheyreflectthelocalconditionsandprovideagood

19VNG2010

Note

Asoundbaseofinformationandgoodanalysisisveryimportanttodevelopastrategyandalsotoencourageagreementbetweendifferentstakeholders.Thisalsolinksstronglytopointsondatasharing.Thisshouldbecoordinatedwiththecapacitybuildingassessmentandstrategyproducedaspartofthemunicipalinstitutionalassessment(sub-phase1.2)


45

measureofchangeovertime.Theseindicatorswillbelinkedtothelocalmonitoringsystem.

Sub-phase 1.7, Step 5: Integrate data management systems into activities of departments and local planning institutions

Theteamwillworkcloselywiththedepartmentsandlocalplanninginstitutionstoensurethatdatamanagementisintegratedintotheirsystems.Thisisparticularlyimportanttoensurelinkingwithexistingplanningprocesses.Geographicinformationsystems(GIS)areusedextensivelytocapture,store,manipulate,analyse,manage,andpresentalltypesofspatialorgeographicaldata,andwillhelpinlinkingtheCDStotheactivitiesofsectoragenciesandplanninginstitutions.Therearedifferenttypesofsoftwareavailable,theuseofwhichrequireinvestmentandaclearstrategyonhowstaffwillbeusinganddevelopingtheirGISdatabase.WhennoGISisavailable,traditionalmapsandplanscanbeused.

Cross-reference

PleaserefertotheDataManagementtoolkit,beingdevelopedfortheCitiesAllianceundertheFCAprogramme,whichprovidesguidanceonthenature,scopeandqualityofdataacitymustcollectandthesystemsthatshouldbeinplacetomanagethis.

Cross-reference

PleasealsorefertotheHumanResourceCapacityBenchmarkingtoolkit,beingdevelopedfortheCitiesAllianceundertheFCAprogramme,whichoutlineswhattypeofhumanresourcesalocalgovernmentshouldhaveinplacetorunthecityinaneffectivemanner.

Phase2:Wherearewegoing?Visionandstrategicobjectives

46

2. Phase 2: Where are we going? Vision and strategic objectives

Phase2buildsonthefoundationofPhase1.ItusestheworkdoneonbuildingthesituationanalysisingeneralandtheSWOTanalysis,andtheparticipationinthatprocesstoformthebasisoflookingtothefuture.Thisisdonefirstatabroadlevelwithvisioningandtheninmoredetailwiththedevelopmentofstrategicobjectives.

2.1. Visioning and building consensus on key themes Theobjectiveofthissub-phaseisforthecityanditsinhabitantstodevelopavisionforthecity.Avisionisadreamorpictureofwhatthecitywantstolooklikeinthefuturetoachieveitspotential.Avisionistheoverallimageofwhatthecommunitywantstobeatsomepointinthefuture.Thevisionhighlightswhatisuniqueaboutthecity,anditsidentity.Definingavisionisanimportantstepincreatingapointonthehorizonuponwhichactorsinacitycanfocus.Thevisionalsofunctionstounitepeopleandtheirinterests.§ Thevisionhasasynergeticcharacter(buildingontheexisting

values/assetsofthecityandgeneratingaddedvalue)§ Itrequiresparticipation,consultation,sharing,fine-tuning,consolidation,

implementationandreviewing§ Thevisionmayleadtoashorterversion,i.e.aslogan,whichcanbethe

basisforamarketingstrategy.Avisionisanoutput,andvisioningisaprocess.UN-Habitat,inthedocument“VisioningasParticipatoryPlanningTool”20,definesvisioningasfollows:“Visioningisaprocessbywhichacommunityenvisionsthefutureitwants,andplanshowtoachieveit.Itbringspeopletogethertodevelopasharedimageofwhattheywanttheircommunitytobecome”.Thevisioningprocessisagoodopportunitytoengagestakeholdersinastimulating,participatoryevent.Onceagain,thestakeholderanalysisisimportantforthissubphase,asatoolitensuresthatallvulnerablegroups,thepoorandwomenandchildrenareincludedinthisexercise.Stepsinthissub-phase

Sub-phase2.1,Step1:ConductiterativevisioningexerciseSub-phase2.1,Step2:Buildsupportforthefocusandthemesinthevision

20UN-Habitat,2012:19.

NoteThevisioningexercisebuildsontheworkdoneinPhase1–thiswillalreadygivesomefocus.TheopportunitiesandstrengthsidentifiedintheSWOTanalysiscanalsohelptoprovidesomepositiveareas.

2


47

Sub-phase 2.1, Step 1: Conduct a vision exercise TheCDSteamwillsetupthevisionprocessandconductavisioningexercise.Thestaffwillworkwiththethematicgroupsandinlargerforumondifferentvisions.

Sub-phase 2.1, Step 2: Build support for the focus and themes of the vision

Afterworkingthroughthedifferentviewsofthevision,theteamwillcompileafinalvisionandworkwithkeystakeholderstogainsupportforandconsensusonthefocusandthemesofthevision.ThesectiononTechnicalexamplesprovidesanexampleofavisioningexerciseconductedduringastrategicdevelopmentprocessinArnhem(theNetherlands).Questionstoaskintheformulation

§ Whatuniquecombinationoffactorsshouldbehighlighted?§ Whatarethemainvalues,beliefs,ideasandimpressionsthatpeople

haveofthecity(keywords)?§ Whicharethetargetmarketsofthecommunity?§ Whatarethelongtermandtheshort-termgoals?Visionsshouldbe:Audacious:Adreamthatisbeyondwhatyouthinkispossible;takeitbeyondyourpresentreality.Capitaliseoncoreassets:Buildsonyourcity’scoreassets,onhistory,citizens,strengths,uniquecapabilities,resources,andassets.Future-casting:Provideapictureofwhatyourcitylookslikeinthefuture.Inspiring:Uselanguagethatinspires.Provokeemotionandexcitement.Createenthusiasmandposeachallenge.Purpose-driven:Givealargersenseofpurpose.

Outputofthissub-phase:acityvisionagreeduponbythelocalgovernmentandallkeystakeholders.

Tools

SeeTool13onbrainstorming


48

2.2. Set strategic objectives and build consensus on strategic directions

Theobjectiveofthissub-phaseisforthecityanditsinhabitantstosetclearstrategicobjectivesforthecity.Strategicobjectivesaccompanythevision,translatingitscontentintoclearstatementsaboutwhatacitywantstoachieve(sector-specifictargets,specificmagnitudes,andtiming).Objectivesconnectexistingvariableswithexpectationsandresources,indifferenturbanfields.Objectivescoordinateissuesidentifiedinthecityprofile(problemsand/oropportunities)withtheprogrammesandprojectstobeformulatedinthenextsteps.Stepsinthissub-phase

Sub-phase2.2,Step1:DevelopstrategicobjectivesandprioritisetheseSub-phase2.2,Step2:BuildconsensusonstrategicdirectionsandchoicesSub-phase2.2,Step3:Createaframeworkforamulti-sectorstrategyandmulti-yearbudgetSub-phase2.2,Step4:DesignauserfriendlyCDSstrategydocument

Sub-phase 2.2, Step 1: Develop strategic objectives and prioritise these

Theteam,workingcloselywithmunicipaldepartmentsandthethematicgroupswilldevelopseriesof‘SMART’strategicobjectivesandprioritisethese.Theprocessofsettingobjectivesisoftendoneusingbrainstormingtechniques,whichcanresultinanumberofdifferentoptions.Havinganumberofoptionsallowsforcomparison,andtheabilitytochoosethebestobjectivestoachievethevision.Eachobjectivewillbeaccompaniedbyindicatorstomeasureperformance.Thedatacollectedaspartofthesituationanalysis(1.4)andinthedataandinformationmanagement(1.7)sub-phases,providegoodbaselineinformationfordevelopingtheindicators.

Sub-phase 2.2, Step 2: Build consensus on strategic directions and choices

Theteamwillorganiseeventstodiscuss,getfeedbackandbuildconsensusonstrategicobjectivesandthedirectionsandchoicestheyimply.Theywillalsomeetwiththethematicgroupsinawiderforum.Thewaytoorganisethesediscussionsanddesigntheeventswillbepartofthemarketing/communicationstrategyandtheparticipatoryset-up.

Note

Thereisanimportantdifferencebetweenwellthoughtoutandagreedobjectivesandasimple“wishlist”.Goodobjectivesmightappearsimple,buttheytakealotofefforttoformulate,prioritiseandagreeupon.Theyare,however,oneofthemostimportantbuildingblocksofagoodstrategy.

Tools

PleaseseeTool14(SMART

objectives)andobjectiveassessment.Itisbesttoworkonthisinaparticipativemannersothatkeystakeholderssupporttheobjectives.

Tools

AgoodwaytodevelopobjectivesistoworkwithTool11(Problem

tree)andthentoconvertcoreproblemsintocoreobjectives.Dothiswithkeystakeholderstoachieveconsensusroundalimitednumberofobjectives.PrioritisingobjectivescanbedonebyusingagreedcriteriaasdemonstratedwithTool17(GoalsAchievementmatrix)


49

Sub-phase 2.2, Step 3: Create the framework for a multi-sector strategy and multi-year budget

Theteam,workingwiththebudgetsofthemunicipaldepartments,willsetuptheframeworkforastructured,multi-sectorstrategyandmulti-yearbudget.Thiswillbetheframeworkforprioritisingtheprojectsthatthecitywillimplement.Thoughthedepartmentsofthecitywillusethisbudgetextensivelyinthenextphase,itisimportanttostartsettingupthestructureatthispoint.Akeyinputforthisstepistheresourceassessmentundertakenaspartofthemunicipalinstitutionalassessment(sub-phase1.2,step5).Thereasonforstartingthisprocessatthisstageisbecausecoordinationofbudgetsandgettingcommitmentonsourcesoffinancetakesometime.Themultisectorstrategyandbudgetshouldbelinkedtothemunicipalandnationalbudgetingsystemandapprovalprocedures.Thisisagoodtimetostartopeningupdiscussionswiththenationalgovernmentanddonors.Whatifthereistoolittlemoney?

Accesstofundingforprojectsisoftenaseriousconstraint.Anumberofstrategiescanbeusedtoaddressthis:

• Strategiestoincreasethelevelofresources;• Strategiestomakemoreefficientuseofexistingresourcesand:• Developingsynergieswhichmakebetteruseofinvestmenttomeet

objectives.Thisisthemomenttostartthinkingaboutresourcemobilisationstrategies.Thereareanumberofdifferentwaystomobiliseresources,alsoincludinglookingatwaystoworkmoreeffectivelywithlimitedfunds.Resourcescanincludemanydifferentthings,notjustmoney.Resourcemobilisationisactuallyaprocessofraisingdifferenttypesofsupportforthedepartmentsofthemunicipality.Itcanincludebothcashandin-kindsupport.Apartfrommoney,itispossibleforthecitytoraisesupportfromvolunteers,lookformaterialdonationsorgetin-kindcontributionfromthecommunity.Thetypesofstrategiesthatteamcanconsiderareasfollows:Increasingresources§ Proactivelysearchforfundingfromdonorsandotherfunders.Thisisthe

mostconventionalwayofgettingsupport.Thisrequiresknowingthecriteriathatdonorsuseforselectingaprojectandcomingwithawell-conceivedproject.

§ Volunteersupportwherevolunteersprovidetheirtimeandresourcestosupporttheworkofaprojectoradepartment.CitiesintheNetherlands,forinstance,engageinpublic-volunteerpartnershipfortheprovisionofcertainsocialservices.

Cross-reference

PleaserefertotheKaganova2011,GuidebookonCapitalInvestment

PlanningforLocalGovernmentsoftheWorldBank.


50

§ Partneringwiththeprivatesectorinaproject,towhichtheprivatepartnerbringsinvestment.

§ Supportforcommunityinitiatives,wherethecommunitytakesovertheprovisionofaserviceoranactivitywithgovernmentsupport.SomeschoolsinNYC,foralearningexperience,engagestudentstocleansolidwastefromcertainareasofthecity.

§ Itisalsopossibletothinkoutofthebox.Forinstance,thecitycould1)organizefundraisingeventstorequestdonationsforcityinitiativesor2)requestsmallamountsofmoneyfromthepublic(i.e.crowdfunding)or3)collectin-kindcontributionsuchasusedclothes,furniture,books,vehiclesorevenbuildings.

Increasingefficiency(usinglessresources)§ Lookinginternallyingovernmentdepartmentsatwaystoworkmore

efficiently.TheexpectationoftheorganizationalchangeandHRbenchmarkingtoolkitthatarepartoftheCDSisthatfindingbetterwaysofworkingareapriority.

§ Reviewingdesignoptions–changesinlayoutanddensitycanmakeinfrastructureandtransportationservicesmuchmoreefficient

Increasingsynergies(workingsmarterbyconnectingactionstomultipleobjectives)Oftenfundsforlocalgovernmentaretiedtosectoraltargets,butwithaclearvisionandcreativityprojectscanbeplannedandmanagedinsuchawaythattheyprovidewiderbenefits–thusincreasingeffectivenessinreachingawiderrangeofobjectives.Examplesinclude:• Improvedwatersupplyinpoorareascanhelpmeethealthobjectivesand

atthesametime,throughlowercoststopoorfamilies,improvefamilyaffordabilityforhousing.

• Breakinglargecontractsintosmallerpartscanallowforworkforlocalsmallcontractorsorcommunitycontracting–thusimprovinglocalincomes.

• Community-basedmonitoringoflocalcontractscanhelpimprovetransparencyandachievebetterresults

Theseareexamplesofthebenefitsoflookingatissuesandsolutionsinacross-sectoralmanner.

Sub-phase 2.2, Step 4: Designing a user-friendly CDS strategy document

Theteamwill,atthispoint,startstructuringandpreparingacoherentCDSstrategydocumenttocommunicatethevisionandthestrategicobjectives.Thisdocumentwillbeoneofthetasksdefinedinthemarketingandcommunicationstrategy,andwillcontaintheoutputsofthedifferentphases.Sectionswillbeaddedasthesephasesarecompleted.Itisimportant,however,fortheteamtodecideearlyonhowthestrategydocumentshouldbe‘packaged’,theprecisecontentsinchapters,andhowitwillbedisseminated.


51

ThefinaldocumentwillbetheCDSofthecityandcanbeusedtomarketthestrategytodifferentinterestedparties.Inmanysituations,citiesdevelopashortandlongversion,sothatthesecanbeusedindifferentsituations.Oftencitiesalsodesignwebpagesthatcontainthedifferentchaptersofthedocument.

Outputofthissub-phase:prioritisedstrategicobjectives

Visioningandstrategicobjectives;genderandpoverty

Itisachallengetogetthecorrecttypeofrepresentationofwomen,menandthepoorduringthevisioningandstrategicobjectivesettingprocess.Whendesigningtheparticipatoryprocess,thecitywillhavetodecidehowtodothisinawaythatprovidesthesegroupsofstakeholderswithreal‘voice’.Takingpartindiscussions,comingwithideasandprovidingfeedbackcanbeachallengeforsomegroups,astheyoftenperceiveissuesandprioritizeproblemsinadifferentwaythanmunicipalstaff.Oftenproblemsaremoreimmediate(shelter,waterandfoodarepriorities),thanproblemsperceivedbymunicipalstaff,whothinkatamorestructurallevel(strategicobjectives,serviceprovision).Itisimportanttoprovidewomenandthepoora‘safe’placeandthetimetotalk,aplacewherestaffwilllisten.Inaddition,theinteractionshouldprovidealternativewaysforparticipantstocommunicateneeds,interestsandpointsofview,toavoidanypotentialcommunicationproblems.Theapproachshouldfostertheinnovationofthesegroups.TheVisioningToolkitlistedinthereferencesisagoodsourcetoguidethevisioningprocess,takinggenderandthepoorintoaccount.

Tools

PleaserefertoTool6(Communicationstrategy)

Phase3:Howarewegoingtogetthere?Strategyformulation

53

3. Phase 3: How are we going to get there? Strategy formulation

3.1. Develop strategic options and prioritisation Theobjectiveofthissub-phaseistofocuson‘operationalising’thevisionandobjectives,turningtheseintoconcreteprogrammesandprojects,withbudgets,andwithspatiallocationidentifiedrelatedtothespatialplan.Stepsinthissub-phase

Sub-phase3.1,Step1:Transformthevisionandobjectivesintostrategicoptions(programmesandprojects)Sub-phase3.1,Step2:ClarifythelegalandpoliticalframeworkgoverningtheprojectsSub-phase3.1,Step3:AssessthefinancingframeworkandmakeoutlinebudgetsSub-phase3.1,Step4:LocatetheprojectsonplansSub-phase3.1,Step5:PrioritiseprojectoptionsSub-phase3.1,Step6:Confirmconsensusonprioritisationofprojects

Sub-phase 3.1, Step 1: Transforming the vision and objectives into strategic options (programmes and projects)

Theteamnowhavetotakethevisionandobjectivesandtransformtheseintostrategicoptionsor,astheyareoftencalled,programmesandprojects.

Figure9:Aprogrammevs.aproject

Aprogrammeisagroupofrelatedprojectsmanagedinacoordinatedwaytoobtainbenefitsnotavailablefrommanagingtheprojectsindividually.Aprogrammewillbeanoffshootofthestrategicobjectivessetinthepreviousphase.Aprojectisontheotherhandafixedtimeframeundertakingtocreateauniqueproductorservice.Aprojecthasadefinedstartandendpointandspecificobjectivesthat,whenattained,signifycompletion.Programmesarenormallywiderinscopeandmorelongterminnaturethanprojects.Astrategyismorethanthesumofprojects.Itisameaningfulgroupingofprojectsthatworktogethertomeetthestrategicobjectives.Benefitsshouldbegainedfromsynergiesandconflictsavoidedorminimised.Thereisnota“magicbutton”thatallowsastrategytobedeveloped,ratheralternativestrategiesemergefromtheprocessofanalysingproblemsandopportunitiesandalsofromreviewingexistingprogramsandplans.

3


54

PotentialactionareaswillalreadyhaveemergedinPhase2duringtheuseoftoolssuchasproblemtreeanalysisandforce-fieldanalysis.Theytypicallyrelatetoactionstoovercomethe“rootcauses”ofproblems,oractionstoovercome“restrainingforces”inforce-fieldanalysis.Newactionareasalsohavetobeconnectedtoexistingplans,projectsandprogrammes.Thesealreadyhaveinvestmentoftime,moneyandpoliticalwill.Linkingtothemcanhelpanewstrategygetunderwayquickly.Ignoringthemcanleadtoearlyopposition.Sometimesexistingprojectscanbemodified,forexampleinlocationtoimproveanoverallstrategy.Theconnectionsbetweenactionareascanbeexploredusinglinkageanalysis.Thisencouragesrelatingprojectstoeachotherandtothestrategicobjectives.Itidentifieswherelinkagesarepositiveornegativeandfromthisithelpstoidentifygroupsofprojectswhichcanworktogether.Italsohelpstoshowwherechangescanbemadetobettermeetobjectives.Intheprocessofdevelopingstrategies,itisalsogoodtoidentifyalternativestrategieswhichwillallowlatertestingusingtoolssuchasGoalsAchievementMatrix(see3.1step5andthediscussioninsub-phase3.3).Thereisanoverlapbetweenthebroaderworkdoneontheoverallstrategyinthissub-phaseandthemoredetailedworkcarriedoutintheactionplansofsub-phase3.3.Theapproachandtoolsaresimilar;thelevelofdetailisdifferent.Forexample,atthisstageitissufficienttohavebroadindicationsofpotentialcostsandavailablebudgets.Thisallowsthebroadscopetobeassessed.Thishelpsavoidgoingintotoomuchdetailindevelopingactionplanswhichhavelittlechanceofsuccess.Inthisperiod,theteamwillworkcloselywithmunicipaldepartmentsandotherstodefineandoutlinetheprojectsingeneralterms.Theoutcomeofthisstepwillbealternativestrategiescontaininglonglistsofprojects,withbasicelementsoftheprojectsdescribed.Prioritizationwithinthelonglistscanbedoneinaparticipativemannerusingtool17,GoalsAchievementMatrix.Thiscanbedoneatthisstageandthenrefinedwithmoredevelopedprojectsinphase3.3.Theteamwillorganiseconsultationswithkeystakeholdergroupstodiscussprojectoptionsandgetfeedback.Thecitycanalsodecidetolaunchacallforprojectsideasandproposals21.Thesectionontechnicalexamplesprovidesanillustrationofaprojectprogrammingsheet.AnothertoolthatcanbeusedinprojectformulationisatoolcalledtheLogicalFrameworkApproach.TheLogicalFrameworkApproach(LFA)isamethodologyusedfordesigning,monitoring,andevaluatinginternationaldevelopmentprojects.VariationsofthistoolareknownasGoalOrientedProjectPlanning(GOPP)orObjectivesOrientedProjectPlanning(OOPP).

21VNG2010

Tools

PleaserefertoTool15(Projectprogrammingsheet)forasimpleapproachtoprojectprogramming.

Tools

PleaserefertoTool16(Logframe)

Cross-reference

Thereareanumberofguidesontheinternet,includingHowtowritealogframe:abeginner’sguide:

Tools

PleaserefertoTool11,Problem

TreeAnalysisandTool9,Force-

fieldanalysis.

Ausefulcombinationis:

Ø Force-fieldanalysis(9)Ø Brainstorming(13)Ø Linkageanalysis(12)Ø GoalsAchievement

Matrix(17)Ø Impactanalysis(18)

Tools

PleaserefertoTool12(Linkageanalysis)formoreinformation.LinkageanalysishelpstoseewhereandhowpotentialprojectsrelatetoeachotherandcanhighlightchangesneededtodevelopsynergiesandavoidConflictsTool17,GoalsAchievement

Matrixisusedtotestalternativestrategies


55

TheTechnicalexamplessectionpresentsasimplerepresentationofalogframethatenablesacitytoorganiseitsobjectives(longandshorterterm),thebaselinesituation,theresultsexpectedandtheactivitiesneededtoachievetheseresults.

Sub-phase 3.1, Step 2: Clarifying the political and legal environment TheCDSteam,withtechnicalsupport,willclarifythelegalandpoliticalframeworkinwhichtheseprogrammesandprojectswilltakeplace.Theteamshouldaskitselfatthispoint,‘istheenablingenvironmentnecessaryfortheimplementationoftheseprojectsinplace,oraretherestillsomepotentialconstraintstoimplementation?’Theteamwillidentifythesepotentialconstraintsandwhathastobedonetoeliminatethem.Thepoliticalandlegalassessmentexecutedduringthemunicipal

institutionalassessment(sub-phase1.2)isanimportantinputintothisstep.Theteammightfind,forinstance,thatcertainprojectsaresubjecttoregulationsofdifferentministries,whicharealsosometimesinconflict.Theseconflictshavetobesettled.Inaddition,theteammightdeterminethatthereisoppositionfromapoliticalpartytocertainprojectsandthatthereasonsfortheoppositionmighthavetobediscussedandallayed,ifpossible.

Sub-phase 3.1, Step 3: Assessing the financing framework and making outline budgets

Programmesandprojectswillbeaccompaniedbyoutlinebudgets.Theteam,workingwiththedepartments,willassessthefinancingframework(assets,budgetsources).Theywillbegintodeterminewhetherprojectswillbefundedfromthemunicipalbudgetorwillrequirefundsfromthenationalgovernment,privatesector,donors,orloans.TheCDSteamanddepartmentsshouldstartworkingontheoutliningofthemultisectorinvestmentplanthatwillstructuretheexpenditureandrevenuestreamsfortheentireprojectportfolio.Thisisdoneinitiallyatabroadlevel.Thisimpliescollectinginformationonexistingprojectproposalsatthelevelofmainfeatures,preliminarybudgetandlocation(seestep4),andofobtainingveryroughinitialbudgetestimatesofpotentialprojects.Theinvestmentplanwilllookatthelifecyclecostingoftheprojects,includingthecapitalinvestmentsneededandaswelloperationandmaintenancecosts,overamulti-yeartimeframe.Theinvestmentplanwillalsoplanandsequencetheimplementationofprojectsandtheallocationofresourcesfromwithinthelocalgovernmentandotheractorsinvolvedintheprojects.Thiswillbedetailedasdescribedbelowinsub-phase3.3,step3

Tools

PleaserefertoTool17(Linkageanalysis)formoreinformation.Linkageanalysishelpstoseewhereandhowpotentialprojectsrelatetoeachotherandcanhighlightchangesneededtodevelopsynergiesandavoidconflicts

Cross-reference

Seealsopage29:TheWorldBankhasproduced,GuidebookonCapitalInvestmentPlanningfor

LocalGovernments,Kaganova2011


56

Sub-phase 3.1, Step 4: Locate all projects on plans Theteamwillnowworkcloselywiththedepartmentsandwiththeplanningdepartmenttolocatetheprojectschosenonthestatutoryplans.Thiswillhelptocoordinateprojectsspatially,toconnecttoexistingplansandtolookatpossibleinfluencesofprojectsoneachother–providingeithersynergiesorconflicts.

Sub-phase 3.1, Step 5: Prioritise project options Theteamwillbefacedwithalong‘wish’listofprojects,notallofwhichcanbeexecuted.Theywillnowhavetoprioritiseandchoosetheoptions.Thiswillrequireworkingwithamulti-criteriadecisionmakingprocesstomakeaselection.Theteamandthedepartmentswillhavetodesignasetofobjectivecriteriathatrateprojects.Thedesignofthecriteriacanbedonewithintheteambutshouldbeendorsedbythevariouspartiesandwiderstakeholdergroups.Inotherwords,thecriteriausedtochooseprojectsshouldbediscussedinatransparentmanner,sothatthereisnofeelingonthepartofstakeholdersthatprojectswerechosenindiscriminately.Theteamshoulddiscusswiththedepartments,themayorandcitycouncil,aswellasinthematicstakeholderworkinggroups.Thecriteriadevelopedwillratethefeasibilityaswellasthepotentialpositiveandnegativeimpactsoftheprojects.Thereareanumberofadditionaltoolsthatcanbeusedatthisjuncture:seeBoxatrightandadditionaltechniqueslistedbelow:

§ Cost-BenefitAnalysis(CBA),asimplewayofweighingprojectcostsandbenefits,tohelpindecidingwhethertogoaheadwithaproject.Itinvolvescomparingthebenefitsofaprojectandthesewiththecostsassociatedwithit.

§ Environmentalimpactassessment(EIA),aprocessofevaluatingthelikelyenvironmentalimpactsofaproposedprojectordevelopment,takingintoaccountinter-relatedsocio-economic,culturalandhuman-healthimpacts,bothbeneficialandadverse.

§ Socialimpactassessment(SIA)isamethodologytoassessthesocialeffectsofinfrastructureprojectsandotherdevelopmentinterventions.AlthoughSIAisusuallyappliedtoplannedinterventions,thesametechniquescanbeusedtoevaluatethesocialimpactofunplannedevents,forexampledisasters,demographicchangeandepidemics.

Tools

PleaserefertotheGoalAchievementMatrix(Tool17),thelinkageanalysistool(Tool12),

andtheimpactassessment

matrices(Tool18).

Tools

ClimaterelatedtoolsinthisstageincludeCLIMACTPrio(Tool19),

TEST,andtheCURBTool:Climate

ActionforUrbanSustainability,[accessed10July2016],developedbytheWorldBank.CURBisaninteractivetoolthatisdesignedspecificallytohelpcitiestakeactiononclimatebyallowingthemtomapoutdifferentactionplansandevaluatetheircost,feasibility,andimpact.


57

Sub-phase 3.1, Step 6: Confirm consensus on prioritisation of projects Theteamwillnowhaveashortlistofprojects,andcorrespondingbudgets.Theywillconfirmwiththethematicgroupsandinawiderforumthatthereisconsensusontheprioritisationofactivitiesandoptions.Thiswillbethefinalsteppriortoworkingouttheprojectsindetail.Itisthereforebestfortheretoexistclearsupportforthechoicesmade,toavoidpotentialopposition.Strategyformulation,genderandpoverty22

Thisphasefocusesonthearticulationofprogrammesandprojects.TheCDSteamisagainfacedwithsettingupaprocessthatproducesprojectsthatarepro-poorandgendersensitive,andthatalsoallowswomenandthepoortogenerateprojectideasthatreflecttheirpriorities.Whenoutliningprojectideas,itisessentialtothinkfromthestartaboutwhatthedifferencesinprioritiesare,aswellasaboutthepotentialeffectofaninitiativemighthaveonwomenandthepoor.TheUNhasproducedaseriesofcheckliststhatchecktoseewhetherinitiativesaregendersensitive.Intheformulationofprojectsideas,thisisaneffectivewayofassessingwhethergenderismainstreamedintoprojects23.Thefollowingisanexampleofthinkingingendertermsduringthemakingofthestrategy,onecanthinkinsimilartermswhenconsideringthepoor:“Theformulationofanationalwaterstrategycanbetakenasanexample.Atonelevelthestrategyisaboutwaterresources–howwateriscollected,used,protected,monitored,andcontaminated,andhowtoensurefuturesupply.Atanotherlevelitisabouttheusers–theirspecificuses,theirrightsandaccesstoandcontroloverwaterresourcesandtheirinvolvementindecision-making.Agenderperspectiveraisesquestionsabout:§ Whetherornotwomen’sandmen’suses(forbothdomesticand

economicuse)andprioritiesforwateraredifferent.Itisimportantthatthereisanalysisofsex-disaggregateddataonuses,accesstowater,priorities,etc.(whichmayrequirestepstoensurethatsuchdataisregularlycollectedandanalysed).Itisalsocriticaltoensureaconsultationprocessthatseekstheinputsofwomenaswellasmeninidentifyingusesandpriorities;

§ Whetherornotvariouspolicyoptionswillaffectwomenandmendifferently--forexample,howwoulddifferentapproachestowaterpricingaffectpoorwomenincomparisonwithpoormen?Whatoptionswouldhavethemostequitabledistributionofcostsandaccess?(UN2002:15)”

Withregardtoallowingforthegenerationofideasonprojectsbywomenandthepoor,itisessentialthatthedesignoftheparticipatoryprocessincorporatesan

22Therearenumberofgoodpublicationsonapproachesfosteringinclusionofwomenandthepoorinreferencesofthisdocument.ADB2013ToolkitongenderequalityresultsandindicatorsEuropeanCommission2004.ToolkitonmainstreaminggenderequalityinECdevelopmentcooperationEmployers’ResourceCenter(ERC)Atoolkitforgenderequalityinpractice23SeeUnitedNations,2012,15Gender mainstreaming : an overview.


58

approachthatallowsforthis.TheGrameenFoundationconfirmsthis,statingthattheinclusionofthepoorshouldbeintegraltothedesignofprojects:“First,ourmethodologyensuresinclusionofthepoorwhendesigningproductsandservices.Thissoundsobviousbutcanbedifficulttoimplement.Whenwedevelopnewproductsandservices,wedon’tdevelopthemforthepoor-wedevelopthemwiththepoor.Ourmethodologyincorporatesdirectfeedbackfromthepoorinthedesignprocess:human-centreddesign.Ithasrevolutionizedourabilitytodesign,testandlaunchnewproductsandservicesquickly,andtogetthoseproductstomarketthroughscalingpartnersinawaythatsolvesrealproblemsforthepoorandpoorest.Inthiscontext,itisalsoessentialtomeasurewhetherbenefitsareaccruingtotheseindividuals-andalsowhetheraproductisinadvertentlyharmingthem.

Source:Poverty-focusedinnovation:howtofostercreatinganagencyforthepoor.

Outputofthissub-phase:wishlistofprojectswithoutlinebudgets(programmedinsimpleterms),ashortlistofagreedandprioritisedprojects.

3.2. Establish process for continuous strategy development Theobjectiveofthissub-phaseisforthecitytothinkthroughtheinstitutionalaspectsofimplementingtheCDS.Uptothispoint,thefocushasbeenonthehumanresourcesandcapacitiesneededtodeveloptheCDS.Nowthefocusturnsspecificallytotheinstitutionalaspectsofimplementation.Itisimportantforthecitytotakealookattheentireprojectportfoliothatwillbeimplemented,aswellasthestaffcapacityneededtodothis.Akeyinputintothisactivityisthemunicipalinstitutionalassessment(sub-phase1.2).Stepsinthissub-phase

Sub-phase3.2,Step1:Finalisetheorganisational(change)strategyforcontinuousstrategyrefinementSub-phase3.2,Step2:SelectandagreeaninstitutionformonitoringandfeedbackforthestrategyprocessSub-phase3.2,Step3:EstablishparticipatorysystemsformonitoringexecutionoftheCDS

Sub-phase 3.2, Step 1: Finalise the organisational (change) strategy for continuous strategy refinement

Projectsmayrequirenewwaysofworkinginternallyandinacoordinatedfashionbetweendepartments.Iftheset-upofpublicprivatepartnershipsischosenaspartofthestrategy,itwillrequirethinkingthroughthestaffing


59

necessarytomanagetheserelationships.Ifdepartmentsmaybeexecutingmorethanoneproject,staffwillhavetothinkthroughthestaffingandthecapacitiesnecessarytodothis.TheCDSteamwillworkwiththemayor’soffice,thehumanresourcedepartmentandotherdepartmentstofinaliseanorganisational(change)strategythatwilldefinethemodalitiesoftheworktobedone.Thestrategywilldefinetheneedforanychangenecessary,involvingforinstance,departmentalrestructuring,re-engineeringorretrenching.Whateverchangenecessarywillbesupportedbycapacitybuildingactivities.Thisisanongoingprocessrequiringdetailingandrefinementovertime.TheTechnicalexamplessectioncontainsanexampleofamatrixorganisationandtaskteamsasappliedtotheKosovostrategicspatialplanninginitiative.

Box1:OrganisationalstrategyforKosovostrategicspatialplanning

DuringtheKosovostrategicplanningprocess,theMinistryofEnvironmentandSpatialPlanning(MESP)receivedsupportintheset-upofanorganisationcalledtheInstituteforSpatialPlanning(ISP),whichwastaskedwithintheministrywithpreparationofthestrategicspatialplanforKosovo,aswellasprovisionofsupporttothemunicipalitiesinthepreparationoftheirplans.TheconsultanthiredbyUN-Habitattodeveloptheorganisationstrategy,lookedattheshorter-termrequirementsofpreparingtheplan,aswellasthelong-termcapacitiesneededduringtheimplementationoftheplan.TheproposedstrategywasdiscussedatlengthwithintheMESPandwithstaffofvariousministries.Onekeyelementofthestrategyovertheshorterterm,wasengagingexternalpartnersinthepreparationoftheplan,alsoinareasinwhichtheISPdidnotyethavethecapacity.

TheconsultantalsoaidedinwritingthejobdescriptionsfortheISP,anddevelopedalong-termcapacitybuildingstrategytoaidthenewstaffinpreparingtheplan.

Tools

Pleaserefertothesimple

organisationalchangechecklist

(Tool20)aswellasthehumanresourcebenchmarkingtoolkitdevelopedundertheFCAprogramme.


60

AstheISPwasaneworganisation,startingwithmulti-disciplinarybutlimitedstaff,itwassetupasamatrixorganisation.Staffwereassignedtododifferenttasksduringthedifferentphasesoftheprocess,theywerecombinedinteamstodothework.Thiswasaveryeffectivewayofimprovingoncommunicationandcoordination.TheISPhiredinotherformsofsupportatvarioustimesoftheprocessandastheneedarose.

Sub-phase 3.2, Step 2: Select and agree an institution for monitoring and feedback of the strategy process

TheCDSwillrequireinstitutionsformonitoringandfeedbackoftheCDSimplementationprocess.Thecityshouldthinkthisthroughatthispoint.Thismightrequire,forinstance,thesetupamonitoringbodyorcommittee(MC),whoseresponsibilityistomonitorprojectactivitiesinatransparentmanner.OneoptionisthattheSCandtheCDSteamtakeoverthistask.Thebenefitofthisisthattheyhavebeeninvolvedinthesettingupoftheprocessanddonotrequiremuchtimetoprepareandorientthemselves.Thepossibledrawbackofthisoptionisthattheymayhavedevelopedabiasoverthepreparationperiod,andthereforemightnotbeobjectiveduringtheM&Eprocess.Thiscanbeovercomebycommissioninganexternalevaluation.

Sub-phase 3.2, Step 3: Establish participatory systems for monitoring Anumberofstakeholderswillhavetakenakeyinterestandroleintheprocesstodate.TheMCwillsetupaparticipatorysystemformonitoringtheimplementationoftheCDS.Thiswillmaintain(andformalise)theengagementofstakeholdersintheexecutionphasesandensurethattheyhaveavoice.Thiswillalsoprovidetheopportunityforthesestakeholderstoengageinacriticaldiscussiononstrategyimplementation.Seesub-phase4.2formoreoncommunitybasedM&E.Themayorandcitycouncilwillhavetoformalisetheseproceduresforperiodicreviewandassessment.Outputofthissub-phase:anorganisationaldevelopmentand/orchangestrategyworkedoutindetail,includingcapacitybuildingactivities,andaninstitutionassignedtoberesponsibleformonitoringandevaluation.

3.3. Strategic action planning Theobjectiveofthissub-phaseistodevelopasetofactionsandprojectsthattogetherhavethepotentialtomeettheobjectivesthathavebeenset.


61

Stepsinthissub-phase

Sub-phase3.3,Step1:Developstrategiesintostrategicactionplanning(workouttheprojectsindetail)Sub-phase3.3,Step2:EstablishtimelinesandclarifyactorresponsibilitiesSub-phase3.3,Step3:Developfinalmulti-sectorinvestmentplanforstrategicprioritiesSub-phase3.3,Step4:Negotiatewithnationalgovernmentonembeddinglocalinvestmentsinnationalanddonorbudgets

Sub-phase 3.3, Step 1: Develop strategies into strategic action planning (detail projects)

Theteamwillnowworkcloselywiththerelevantdepartmentsandotherkeystakeholderstoworkouttheprojectsindetail.Thiswillinvolvesettingspecificprojectobjectivesthatare´SMART´,aswellastheidentifyingthekeycomponentsandactivitiesoftheprojects.Theywillconcludeontherangeofinstitutionaloptionsforimplementation:governmentonly,orpublicprivatepartnership,publiccommunitypartnership,tonameafew.

Sub-phase 3.3, Step 2: Establish timelines and clarify actor responsibilities

Theteamanddepartmentalstaffwillworkoutindetailwhowilldowhat,andrelatedtowhichprojects.Theywillfinalisediscussionswiththerelevantstakeholdersandobtainagreementsonstepsforward.Theywillworkouttimelinesandagreetheallocationofactorresponsibilities.

Sub-phase 3.3, Step 3: Develop final multi-sector investment plan for strategic priorities

Atthispoint,theteam,thedepartmentsandotherrelevantstakeholderswillfinalisedecisionsonthebudgetsfortheprojectsandthepaymentmechanisms.Theywillconcludeonlocalfundingfortheprojects,whatprojectswillbeexecutedwithfundingfromothersources,andanypotentialfurtherresourcemobilisationeffortsnecessary.TheCDSteamanddepartmentswillstartworkingonthedetailingofthemultisectorinvestmentplanwhichwasoutlinedin3.1step3.Thiswillstructuretheexpenditureandrevenuestreamsfortheentireprojectportfolio.Theinvestmentplanwilllookatthelifecyclecostingoftheprojects,includingthecapitalinvestmentsneededandaswelloperationandmaintenancecosts,overamulti-yeartimeframe.Theinvestmentplanwillalsoplanandsequencetheimplementationofprojectsandtheallocationof

Note

Linkingobjectivesandpotentialprojectstobudgetsisextremelyimportantintheprocessofmovingfromdreamstoreality.ItisimportanttoconsiderpotentialresourcesthroughouttheCDSprocess.Limitationsinbudgetswillforceaprioritisationofprojects.

Tools

UseTool17(GoalsAchievement

Matrix)totestandprioritiseprojectsrelatedtoobjectives.Benefit–costanalysisisamoresophisticatedtoolbutusefulwhencompetinginvestmentsarebeingconsidered.

Tools

PleaserefertoProjectfiches(Tool21).

Cross-reference

Seealsopage29:TheWorldBankhasproducedKaganova2011,GuidebookonCapitalInvestment

PlanningforLocalGovernments

Tools

PleaserefertoGANTTcharts(Tool22)andswimlanediagrams(Tool

23).Pleasealsonotethattherearenumeroussoftwarepackagesreadilyavailableforprojectplanning.


62

resourcesfromwithinthelocalgovernmentandotheractorsinvolvedintheprojects.ThisinvestmentplanwillhavetobediscussedindetailwithandapprovedbytheCouncil.

Sub-phase 3.3, Step 4: Embed local investments in national and donor budgets

ThemayorandtheteamwillneedtocontinuediscussionswithregionalandnationalgovernmentstoensurethattheCDSstrategyisalignedwithregionalandnationaldevelopmentpriorities.WhileworkingonthefinalMSIP,theteamwillfinalisediscussionsandnegotiationswithnationalgovernmentonembeddinglocalinvestmentprogrammesinnationalbudgets,andwithfundingagenciesoninclusioninprogrammes.Negotiationswillalsocontinuewithfinancingorganisationsand/ordonorstoensurethatthatprogrammesandprojectsbeingimplementedareinlinewithagreementsmadeandthatthefundingcontinuestobeallocatedtolocalpriorities.Outputofthissub-phase:projectsdetailed,withtimelinesandresponsibilitiesassigned,andbudgetsincorporatedintoamulti-sectorinvestmentplan.

3.4. Promote the Strategy Theobjectivehereistomakesurethatthereisbroad-basedknowledgeandunderstandingofthestrategyamongrelevantstakeholders,bothatthelocallevelandnationally.Thisisimportanttobuildsupportforcooperationandfunding.Agooddocumentcanhelptofacilitatefurthersupport.

Stepsinthissub-phase

Sub-phase3.4,Step1:FinalisetheCDSdocumentSub-phase3.4,Step2:Furtherdevelopmarketing–communicationcampaigntosystematicallypromotethestrategylocallyandnationally

Sub-phase 3.4, Step 1: Finalise the CDS document

Atthispoint,theteamwillfinalisetheCDSdocument,withallkeyelementsandmessagedescribedinprevioussteps.


63

Sub-phase 3.4, Step 2: Further develop marketing and communications campaign

CommunicationofongoingactivitieshasbeenakeyelementoftheCDSsincethebeginning,andwillhavetocontinueintoimplementation.ThecitymaywanttoconsiderinstitutionaloptionsforthetakingthemarketingandcommunicationsoftheCDSforward.Oneoptionistohireexpertisetotakecareofthis.AnotheroptionistosetupofabodyinternallythattakesoverthemarketingandcommunicationsoftheCDStoawideraudience.Communicationisalsoaboutmeansoffeedbackandlisteningtoideas.Thiscanlinkalsotomonitoringandevaluation.Theorganisationtakingthisoverwillhavetofurtherdevelopthemarketing–communicationcampaigntosystematicallypromotethestrategylocallyandnationally.Thisbodyshouldcontinuetodevelopmaterialsandeventstodiscusswithavarietyofstakeholders.ThisistoensurethattheCDSdoesnotenduponashelf,andthatmomentumismaintained.Communicationwillcreateinterest,alsofromtheprivatesectortoinvest.Ifmanagedinternally,thecitymaywanttoconsiderhiringacoordinatorto‘market’thestrategyandtoproactivelymanagetheimplementationofthestrategy.Thisprofessional’stasksmightincludeforinstance:

§ Publicrelationsandlobbying24:Thiscomprisesgoingoutsideofthemunicipalitytocommunicatewithawideraudienceontheprogressofstrategyimplementation,communicatingwithdifferentpartiesonthevalueofgettinginvolvedorinvestinginprojects.Thiswillalsorequirecontinuedcommunicationwiththenationalgovernment,financingorganisationsanddonors,aswellasnetworkingwithothermunicipalitiestocompareexperiences.

§ Thisprofessionalshouldalsoscanforfundingopportunities,andengage

thecityandthedepartmentstolookfordifferentsourcesoffinance.Thismightalsoimplytheneedtoengageinwritingproposalstogainaccesstointernationalfunding.

Outputofthissub-phase:CDSpromotionalmaterial,includingthefinalCDSdocument,marketingcampaign.ThetableonthefollowingpageprovidesanexampleofthecontentsofatypicalCDSdocument.

24VNG2010:pg.48


64

Table3:ExampleofatableofcontentsforaCDSdocument

TableofContents Contentsofthechapters

Prefaceandnotefromthemayor

IntroductiontotheprocessbythemayorandkeymessagesontheimportanceoftheCDS

Executivesummary Theneedforlongtermandstrategicplanning,shortsummaryoftheCDSprocessandoutcomes

Thepurposeofthestrategy Descriptionoftheroleofstrategyinthedevelopmentofthecity

IntroductionandbackgroundtotheCDS

Needforlongtermandstrategicplanning,justificationandbenefitsoftheCDS,natureoftheprocess

TheCDSprocess(steps,keystakeholders)

StepsthatweretakentodeveloptheCDS,thekeystakeholdersandpartnersinvolved

Thesituationanalysis:keyissues

Thesituationanalysisinsummary,coveringallthecentralthemeschosenbythecity.Aconclusionontheissuesdefinedandprioritized(note:fullanalysisisintheannexes)

TheSWOTanalysis TheresultsoftheSWOT

Thevisionandstrategicobjectives

Descriptionofthecity’svisionindetail,andthestrategicobjectivesset

Keyelementsofthestrategy Adescriptionofthekeyelementsofthestrategy:theprogrammeschosen.

Crosscuttingissues § Descriptionofhowhorizontalissuesareconsideredacrossallelementsofthestrategy.

§ Thesewillinclude:- Focusonreductionofpovertyandunemployment

levels;- Ensuringfutureemploymentforyouth;- Preventinggenderandotherinequalities;- Ensuringmarginalizedcommunitiesandindividualswith

specialneedsareincludedandhaveaccesstoservices;- Ensuringresilienceinfaceofrisksfromclimatechange

andotherriskareas.

Priorityprojects Theprojectprioritizedduringtheconsultationprocess,describedinsomedetailandlocatedontheplan.

Organisationalchange KeyaspectsofthechangestakingplaceinthegovernmenttomanagetheCDS

Implementationofthestrategy

§ CDSimplementationapproach:keyprinciplesguidingimplementation

§ Actioninterventions:priorityactivitiesinthefirst5years§ Implementationmechanisms:governanceof

implementation§ CDSmonitoringandevaluation:focusofthemonitoringand

evaluation,responsibilities

Financialplan Overviewofthebudgetandsourcesoffunding

Conclusion Concludingwords

Annexes Annexescouldinclude:thesituationanalysisinfull,copiesofsurveysorquestionnairesused,andexamplesofotherCDSprocessesthatwereconsideredasexamples.

Phase4:Howtoimplementandknowifweareontrack?

65

4. Phase 4: How to implement and know if we are on track?

Theobjectiveofthisphaseistomakesurethatthestrategyisimplementedandthatthereiscommitmenttothecontinuedoperationandmaintenanceoftheinvestments.Therearetwomaincomponents:§ Managingstrategyimplementation,operationandmaintenance§ MonitoringandevaluationImplementationincludesgettingtheplannedactivitiesdone,butalsorunningthemandmakingsuretheyaremaintainedlongterm–i.e.operationandmaintenance.Thisrequiresastrongcapacityinlocalgovernmentandkeypartners.

4.1. Manage strategy implementation and operation and maintenance

Theobjectiveofthissub-phaseisforthecitydepartmentsandtheirpartnerstoimplementthestrategyandtotakethestepsnecessarytodealwiththisefficientlyandeffectively.Thestepsbelowaresomeoftheactivitiesthatthecitywillhavetotakeintoaccount.Thesub-phasesinthepreparationphaseshavebeenworkingtoensurethatthisimplementationsub-phaseiswellconceived.Stepsinthissub-phase

Sub-phase4.1,Step1:ApproveandexecuteinstitutionalreformstosupportstrategyimplementationandcommunicationSub-phase4.1,Step2:DeveloplegalandregulatoryinstrumentstosupportthestrategySub-phase4.1,Step3:PrepareprocurementproceduresSub-phase4.1,Step4:PlanforbudgetingandimprovedoperationandmaintenanceofongoingservicesSub-phase4.1,Step5:PrepareandtenderpartnershipprojectsandnegotiatecontractsSub-phase4.1,Step6:BuildcapacitytomanagecontractsandconsultantsSub-phase4.1,Step7:CommitpublicfinancialresourcesforimplementationSub-phase4.1,Step8:TakeresourcemobilizationforwardSub-phase4.1,Step9:Developinter-departmentalprojectteamforoversightofprojectsSub-phase4.1,Step10:Manageinternalservicesandprojectsandexternalcontracts

Note

Effectivenessofactivitiesinthisphasewillrequirestrongcapacitiesinthoseinvolved.Thisentailsmainlylong-termcapacity,beyondshort-termprojectassistance.HelpingtobuildthisisachallengewhichCDScanhelpaddress,butultimatelyitisthelong-termresponsibilityoftheMunicipalityandotherpartners.

4


66

Sub-phase 4.1, Step 1: Approve and execute institutional reforms to support strategy implementation and communication

Afterthemayor,councilmembersandheadsofdepartmenthaveconfirmedandapprovedtheassignmentofresponsibilitiestogovernmentunitsandinstitutions,thecitydepartmentswillnowstartingimplementingkeyaspectsoftheinstitutionalreformsdefinedinthechangestrategy.Outsideexpertiseandcapacitybuildingactivitiesshouldprovidesupportincarryingthisout.Internalcommunicationisakeyaspectofsuccessfulorganisationalchange.Thecommunicationprofessionalshouldensurethatkeyelementsofthechangesthataretakingplacearecommunicatedwithallstaffofthecity.

Sub-phase 4.1, Step 2: Develop legal and regulatory instruments

Akeyinputtothisstepisthelegalassessmentconductedduringthemunicipalinstitutionalassessment(sub-phase1.2)andduringthelegalstocktakingintheDevelopstrategicoptionsandprioritisationsub-phase(3.1).Thecitywilldevelopanylegalandregulatoryinstrumentsnecessarytosupporttheimplementationofthestrategy.

Sub-phase 4.1, Step 3: Prepare procurement procedures

Thedepartmentswillenterintotheprocessofpreparingtheprocurementofprojects.Thiswillinvolvewritingtenderdocumentsandproceduresfortheprojectstobeimplemented.Whennecessary,capacitybuildingshouldbeprovided.

Sub-phase 4.1, Step 4: Plan for budgeting and improved operation and maintenance (O & M) of ongoing services

ThedepartmentsshouldinvesttimeinimprovingontheoperationandmaintenanceofongoingservicesandthinkingthroughtheO&Mofnewprojects.Thisinvolvesplanningfortheeffectiveandefficientproductionanddeliveryofservicesthepublicandothercustomersarehappywith(operations)andtheworknecessarytorealizetheoriginallyanticipatedlifeofanasset(maintenance).Thismayalsoimplytheneedfordepartmentheadstoworkonchangingthecultureofmaintenance,namelyinstillinginstaffaconsciousnessofthemaintenanceproblemsandadeterminationthattheyshouldbedealtwith.Itisbettertoinstituteaprocessofplannedandpreventativemaintenance,thandealingwithproblemswhentheybecomeurgent.

Cross-reference

PleaserefertothefollowingfreeO&Mmanualtemplates:Ecodocuments(nodate),Building&constructionindustryonlinedocument:templatesandalsoinHunt,G.(nodate),ComprehensiveFacilityO&MManual.


67

Onekeyoutputofthisplanningprocessisanoperationsplancontainingadescriptionoffacilitiesandoperatingprocedures,recordsandreportingservices,informationoncomplianceandmonitoring,staffingrequirementsandtrainingneeded.ThiswillbeaccompaniedbyanO&Mmanual,whichisasetofinstructionsontherequirementsandproceduresfortheeffectiveoperationandmaintenanceoftheinfrastructurefacility/service.Themanualwillplanoutroutine,urgent,recurrentandperiodicmaintenanceactivities.

Sub-phase 4.1, Step 5: Prepare and tender partnership projects and negotiate contracts

Thecitydepartmentswillalsopreparedocumentsforthepartnershipstobeexecuted.Afterapprovalofthecitycouncil,thedepartmentswillputtheseprojectsouttobid,andwhenapartnerischosen,negotiatethecontract.SettingupaPPP,oftenrequireshiringatransactionadvisor.

Sub-phase 4.1, Step 6: Build capacity to manage contracts and consultants

Oneofthekeyrisksintheimplementationofprojectsarethecapacityissuesthatlocalgovernmentsfaceinthenegotiationandmanagementofcontractandinvestments.Atthispoint,itisessentialtoensurethatthestructuresandcapacitiesneededtomanagecontractsandinvestmentsareinplace.Afterthinkingthroughandpreparingprocedures,atraininginstitution(internalorexternal)shouldprovideonthejobsupportforteamsworkingwithcontractsandfinance.Inaddition,thecitymaystillrequirethesupportofconsultantsduringimplementation.Departmentswouldbenefitfromcapacitybuildingtoplanforandmanageconsultants.Thiscapacitybuildingwillbeinparalleltoongoingcapacitybuildingactivitiesandcanbeintegratedwiththem.

Sub-phase 4.1, Step 7: Seek commitment of public funds

Thenationalandlocalgovernmentnowneedstobepersuadedtocommitpublicsourcesofimplementationfinancetotheprojects.Thecitywillneedtocontinuediscussionswiththenationalministriestoalignfundingneedswithupstreamandsectorplansandpoliciesoverthelongerterm,aswellaswithsectorprogrammes.


68

Sub-phase 4.1, Step 8: Take resource mobilisation forward

Citydepartmentswill,atthisjuncture,havetoimplementtheresourcemobilisationstrategy/capitalinvestmentplandevelopedduringthepreparationphaseandadjustthisasnecessary.

Sub-phase 4.1, Step 9: Develop an inter-departmental project team for oversight of projects

Thecitydepartmentsshouldhaveregularmeetingstodiscusstheprogressoftheprojectsandanykeycoordinationissues.Thisshouldbedoneonamonthlybasis.Projectmanagerswillhavetoprepareprojectreportsandbudgetsforthesemeetings.

Sub-phase 4.1, Step 10: Manage internal services and projects and external contracts

Thedepartmentswillcontinuetomanageinternalserviceprovision,butalsoanyexternalcontractssigned.Thereshouldbeaclearapproachtomanagementofexternalcontractors,withclearstandardsoftransparency,ethicsandtheruleoflaw.

4.2. Monitoring and evaluation of the strategy Theobjectiveofthissub-phaseisthatthecitymonitorstheimplementationofthestrategyandisabletoadjustandmodifyaspectsthatneedchanging.Stepsinthissub-phase

Sub-phase4.2,Step1:Monitorprogress—collectmonitoringdataandreportprogressSub-phase4.2,Step2:Executeanalyticalstudieswherenecessary

Sub-phase 4.2, Step 1: Monitor and evaluate project implementation and service provision

Monitoringshouldbedoneinternallybycitydepartmentsandexternally,viatheparticipatorymonitoringprocesses(setupinsub-phase3.2)andcommunitybasedmonitoringactivitiesorindependentconsultantshiredintoauditthestrategy.TheMonitoringCommitteewillkeepaneyeonwhetherimplementationismeetingprojectobjectivesandhasbeendoneinanefficient,effectiveandsustainablemanner.Ifthereareproblems,thiscommitteecouldalsodiscusswithdepartmentsissuesfacedandpotentialsolutions.


69

TheMCwillrequireinputfromthedepartmentsonprojectprogress:regularreportsonaquarterlybasisallowtheMCtokeeptrackofprogress.Thedepartmentsshouldalsoprovideannualreports,whichwillreportonprojectsandtheachievementofprojectindicators.TheMCwillhavetoestablishgoodworkingrelationshipswiththedepartments.Theyareabodythatoverseesprogress,buttheyshouldalsoworkwithdepartmentstoimproveprojectimplementation.Thecityshouldcontinuetomonitorprogress,tocollectmonitoringdata,andtoreportonprogress.Thesereportsshouldbeissuedregularlybydepartmentheads,andshouldbeinstrumentalinmakingadjustmentstoprioritiesandtothestrategy.Forevaluation,itisimportantthatthishascredibilityforthosewhoneedtouseitsresults.Internalevaluationcanbeveryusefulformanagementandasaninputtoanexternalevaluation(calledself-evaluation),butforexternalpartnerssuchasfinancingagenciesanddevelopmentagenciesitisimportanttoalsohaveanindependentevaluation.Thiswillbevaluablebecauseofunbiasedfeedback,buildingofexternalcredibility,andasaninputtoongoingreviewandadjustment.

Table4:ResultsframeworkformainstreaminggenderandpovertyinCDS

ThisTablepresentsaresultsframeworkformainstreaminggenderandurbanpovertyinCDSprocesses.Itincludesprincipalaccomplishmentsandpossibleoutputs.Note:Specificoutputs,andactorsinvolvedinproducingtheseoutputs,willvarydependingonlocalrequirementsandcapacities.

Expectedpro-poorandgender-

sensitiveaccomplishments

Possibleoutputs

Legislationandgovernance

Cities(andnational)authoritieshaveincreasedcapacitiesforparticipatoryandaccountablepro-poorandgendersensitiveurbanplanningandgovernance

§ Genderresponsiveadvisoryservicesgiven

§ Nationalandlocalurbanlegalassessmentsundertaken

§ Gender–responsiveguidelines,toolsandbestpracticedocumentsproduced

Strengthenedlocalinstitutionsthatenablewomenandgirlssafeandautonomousaccesstoqualitycityservices,publicspacesandallformsofmobility,asapreconditionforactiveandmeaningfulparticipationinurbanplanning,managementandgovernance

§ Advisoryservicesonwomenandgirls’safetygiven

§ Localassessmentsofwomenandgirls’safetyundertaken

§ Guidelines,toolsandgoodpracticesonwomenandgirlssafetydocumentedandproduced

Accesstolandandnaturalresources

Genderdisparitiesintheaccesstoresourcesbyyouthandtheurbanpoorreduced

§ Projectsonwomen’seconomicempowerment

Tools

SeeTool24(DAC/OECDevaluationquestions).Thissetofkeyquestionsislikelytobethebasisofanexternalevaluation.Itisusefultocheckthemalsowhendevelopingindicatorsandusingthemformonitoring


70

§ Developmentofyouthandlocaleconomicdevelopmentassessmenttools

Secure,non-discriminatoryandequitableaccess,useandcontroloflandestablishedforall,throughthedevelopmentandutilizationofpro-poor,gender-responsive,scaleablelandtools

§ Gender-responsivelandandpro-poorpoliciesformulatedandimplemented

§ Genderevaluationundertaken§ Gender-responsivecapacity

developmentforgovernmentandnon-stateactorsdevelopedandconducted

Urbanplanninganddesign

Strengthenedcapacitiesofcity(andregionalandnational)authoritiestodevelopandadoptgender-responsiveplansanddesignsforcompact,sociallyinclusive,integratedandconnectedcitiesandneighbourhoods

§ Nationalurbanpoliciestosetguidelinesforsustainableurbandevelopment,povertyreductionandgenderequality

§ Guidelinesforgender-sensitiveandinclusivepublicopenspaces

Improvedcapacityofcity(andregionalandnational)authoritiestoadoptgender-responsivepoliciesandstrategiesthatcontributetothemitigationofandadaptationtoclimatechange

§ Checklistformainstreaminggenderinclimatechangevulnerabilityassessments

§ LinkageswithnetworksoforganizationsworkingtoIncorporateagenderperspectiveinallclimatechangepoliciesandinitiatives

Urbanbasicservices

Increasedcapacityoflocal(aswellasregionalandnational)authoritiestoimplementgender-sensitivepoliciesforincreasingequitableaccesstourbanbasicservices

§ Fieldprojectsaimedatstrengtheningthecapacityoflocal,regionalandnationalauthoritiestoimplementgender-sensitivepoliciesforincreasingequitableaccesstourbanbasicservices

§ Advisoryservicestopartnercountriesongender-sensitiveurbanbasicservices

§ Training/workshopsongender-sensitivepoliciesforincreasingequitableaccesstourbanbasicservices

Housingandslumupgrading

Inclusive,rights-based,results-basedandsustainablehousing,slumupgradingandpreventionstrategiesatcityandcommunitylevelsmainstreamed

§ Capacitybuildingworkshopsongenderandhumanrightsmainstreamingwithpartnersatthenationallevel.

§ Consultationswithgovernmentsandnationalstatisticalbureausoncollectionofdisaggregateddata.

§ HiringofgenderconsultantsorappointmentofGenderFocalPoints,whererelevant


71

Partnershipsatcityandcommunitylevelforsustainableandinclusivehousing,slumupgradingandpreventionstrengthened

§ Trainingofresidentsupgradingcommitteesandimplementationpartnersonthecollectionofdisaggregateddata.

§ Consultationswithmunicipalgovernments,serviceproviders,NGOs,andothercity-levelstakeholdersonthecollectionofdisaggregateddata.

Riskreductionandrehabilitation

Citiesandpartnerorganizationswithimprovedcapacityforgenderresponsivenesstomanagedisasterriskreductionandresilienceprograms

§ Improvedlocalcapacitiesforgenderresponsivenessinriskreductionandresilienceprograms

Improvedcapacityofpartnerorganizationstodelivergender-responsiveshelterrehabilitationprogramscontributingtodisaster-resilientpermanenthousing.

§ Improvedlocalcapacitiesforgenderresponsivenessinshelterprograms

TableadaptedfromUN-Habitat2015b:41-48,UN-Habitatpolicyandplanforgenderequalityandtheempowermentofwomeninurban

developmentandhumansettlements:2014-2019.25

Sub-phase 4.2, Step 2: Execute analytical studies when and where necessary

Projectimplementationmay,atsomepoint,faceunexpectedproblemsorengendernegativeimpacts.Thismightnecessitatethecitytocommissionresearchorstudiestoexploreaparticularproblemandproposemitigationmeasures.Thecitywillhireconsultantsorlocaluniversitiestoexecuteanalyticalstudiesandtointegratetheinformationintotheirstrategiesandprojects.

4.3. Adjust and modify Theobjectiveofthissub-phaseistoensurethatthestrategyremainsrelevantandused.Theexternalcontextcanchangerapidlyandaltertheassumptionsthatwereoriginallyusedandthusrequirere-thinkingofthestrategy.Stepsinthissub-phase

Sub-phase4.3,Step1:MakeanyadaptationsnecessarySub-phase4.2,Step2:Refinestakeholder/institutionalrolesinmonitoring

25UN-Habitat2015:41-49.


72

Sub-phase 4.3, Step 1: Make adaptations when and where needed Whenachangeinstrategyandprojectimplementationisnecessary,thecitydepartmentswillhavetomakeadjustmentsandadaptprojectimplementation.

Sub-phase 4.3, Step 2: Periodically refine stakeholder/institutional roles in monitoring

Overthelongerterm,itmaybenecessarytorevisittheroleoftheMCandanyparticipatoryapproachtomonitoring,andtorefinestakeholderandinstitutionalrolesinmonitoring.

Box2:Monitoringandevaluation:GenderandPoverty

Onewaytoensuregendersensitivityandapro-poorapproachinmonitoringandevaluationistosetupasystemofcommunitybasedmonitoringandevaluation.Communitiesareofteninvolvedinmakingplans,butnotinre-visitingandre-adjustingplans.Theyshouldbeinvolvedincriticallyassessingthenatureofimplementation;thisisanotherwayofbringingthecommunitytogetherforequitable,collectivedecision-making.Whereverpossible,stakeholders,thepoorandbothwomenandmen,shouldbeinvolvedinidentifyingresultsandindicators,andincollectingandanalysinginformation.Forinstance,womenandmenoftenhavedifferentperceptionsofgenderrelations—includinggender-basedrolesandresponsibilities,patternsofdecision-making,viewsonhowgenderrelationsarechanging,andthecausesofthesechanges.AnotheraspectofM&Eismonitoringtheeffectivenessofpovertyreductionaspartofthe

CDS.Havepovertyreductionstrategiesbeeneffectiveinreducingpoverty?Thegovernmentwillhavetodevelopasystemtomonitorandevaluatethis.Keyaspectsofthissystemareapovertymonitoringsystemwillneedtotrackkeyindicatorsovertimeandspace.Thiswillhelptodeterminethestrategyisbringingaboutchange.Inaddition,thecitywillhavetoperformrigorousevaluationstoassesstheimpactofinitiativesonpoverty.Thegovernmentmaywanttohireinoutsideexpertise,butalsotobuilddomesticcapacitytodothisaswell.

Source:Prennushi,G.,Rubio,G.andSubbarao,K.2002.Chapter3:Monitoringandevaluation,In:Klugman,J.(ed.)Asourcebookforpovertyreductionstrategies:volume1:coretechniquesandcross-cuttingissues,Washington,WorldBank.

ACDSshouldbemonitoredandrevisedregularly.OneexampleofthisisJinja,Uganda,wheretheexistingCDSisbeingrevisitedandrevised,asdescribedintheBoxbelow.

Box3:ThecaseofJinja,Uganda—revisitingstrategies

TheLakeVictoriaCitiesDevelopmentStrategiesProgram(2002-2010),initiatedbyUNHabitatwithfundingfromSIDA,isoneofthefirstexperiencesofcitiesinUgandawiththeCDSprocess.Entebbe,JinjaandKampala(Uganda)participatedinthisprogram,includingothercitiessurroundingLakeVictorianamelyKisumu&Homabay(Kenya)andBukoba,Musoma&Mwanza(Tanzania).Thisregionalprogramaimedtointroduceaholistic,participatoryplanningapproach(method)inurbansettlementsontheshoresofLakeVictoria.Adetailedevaluationoftheprogramwasconductedin2011.

Tools

PleaserefertotheDAC/OECDquestions(Tool24)


73

In2010,TheTransformingtheSettlementsoftheUrbanPoor(TSUPU)projectwasinitiatedbetweenCitiesAllianceandtheGovernmentofUganda.Theprogramsupportsfivesecondarycitiesnamely:Arua,Jinja,Kabale,MbaleandMbarara.Theprogramaimstoalignurbandevelopmenteffortsatthenationalgovernment,localgovernmentandcommunitylevelsandincludetheurbanpoorintotheplanninganddecision-makingprocesses.SomeoftheactivitiesinthisprogramfocusedonCDSandslumupgradingstrategies.OneresultwastheestablishmentoftheUgandaNationalUrbanForumandMunicipalityDevelopmentForums(MDF).In2014/2015theMunicipalityDevelopmentStrategies(MDS)programwaslaunchedandbuildsonthepreviousrelatedprograms.Theprogramisexpectedtorunthrough2016/2017.Throughthisinitiative,CitiesAlliance,UgandaCountryofficeiscurrentlysupporting14municipalities,includingJinja,toadoptCDSasaplanningtool.SecondarycitieslikeJinjathatalreadyhaveaCDSinplace,willhaveopportunitiestoreviewandrevisetheirCDSaccordingly,includingrenewinginterest,involvementandcommitmentoftheirrichspectrumofmunicipalityurbanactors.

Source:fieldinterviews,Jinja,Uganda,2016

Final words Adevelopmentstrategyshouldusethebestscientificallybackedinformationpossible,butintheendastrategicplanningprocessremainsmoreofanartthanascience.Itisimportanttobeclearatalltimesontheobjectives.Howtheobjectivesarereachedwilldifferbetweencitiesandatdifferenttimesinthesamecity.ThesuccessofaCDSprocesswilldependultimatelyonresources,cultureandcapacity.Thistoolkitaimstoprovideaframeworkandaguide—butdoesnotprovidearigidblueprintwhere“onesizefitsall”.

TechnicalExamples

74

Technical examples ThissectionprovideslinksandreferencestoadditionalresourcesthatmaybeusefultoCDSteamsintheCDSplanningprocess.Specifically,itcontainsexamplespertainingtothesituationanalysisprocess,theSWOTanalysis,thedevelopmentofavision,andtoprojectprogrammingandformulation.

Frameworks for situation analysis

Figure10:Frameworksforexecutingthesituationanalysis

TheCitiesAlliance,underitsFutureCitiesAfricaprogramme,ishelping8citiesin4countriestobecomefutureproofedtoclimate,environmentandnaturalresourcechallenges,sothattheyareinclusiveandresilient,andhavegrowingeconomies.

1. Itiscurrentlydevelopinganormative/analyticframeworkthatcouldprovideoneapproachtostructurethesituationanalysis.Thisframeworkdefinesthefivecoredimensionsofresilience;thesearethenfurtherbrokendownintosub-dimensionsandvariables.Thesearethefurtherdetailedintoindicators.

AnotherapproachthatprovidesananalyticframeworkforthesituationanalysisistheCityResilienceFrameworkoftheRockefellerFoundation(seefigurebelow).Theframeworkattemptstoprovidealensthroughwhichtocapturethecomplexityofthecitiesandthefactorsthatcontributetoresilience.

TechnicalExamples

75

Theframeworkdefineswhatmakesuparesilientcity.The12goalsdefined(alsocalledoutcomes)fallwithin4broadcategories;thesethenarebrokendowninto12‘qualities’.Thesearefurtherdetailedintovariablesandindicators.

Bothapproachesprovideaframeworkofanalysisforresilientcities,withaseriesofindicators,whichcanbeusedinmonitoringandevaluation.

PleaserefertoArup2015,Cityresilienceframeworkformoreinformation.

Thereareotherframeworksavailablethatcitiescanuse.CitiesinIndiainvolvedintheSmartCitiesprogramme,forinstance,useaSmartCitiesanalyticframework.ThisiscurrentpolicyinIndia.

In2007,TUVienna,TUDelftandtheUniversityofLjubljana,developedtheEuropeanSmartCitiesframework,anintegrativeapproachtoprofileandbenchmarkEuropeancities.Theybenchmarkedcitiesacrossdifferentcitycharacteristicsandfactors,startingwithmediumsizecities,andgoingontolargercities.Todothis,theframeworkdeveloped74indicators.Theresearchperformedbythethreeuniversitieswasabletobenchmarkdifferentcitestoallowforcomparisonacrossdifferentfactorsandindicators.

Pleaserefertoeuropeansmartcitiesformoreinformation.Thefourthversionoftheanalysisisnowavailable.

TechnicalExamples

76

Sources:TheNormativeframework:ArupReviewandRecommendationspg.526,CityResilienceFrameworkwebsite,andtheEuropeanSmart

CitiesModel.

Example of a SWOT analysis ThefigurebelowisreproducedfromtheEdmontoneconomicdevelopmentstrategy,TheWayWeProsper,developedin201227.

26Sourcesinclude:theFCAtoolkitversion2.1(17April2015),FCAInceptionReportAnnexes(17April2015)andtheNormativeframework:ArupReviewandrecommendations(8February2016).27TheWayWeProsper:EdmontonSWOTanalysissummary,accessed4July2016.

Intro: 14

Whatarecharacteristicsofsmartcitiesandwhatfactorscontributetoasmartcity?

http://www.smart-cities.eu/

TechnicalExamples

77

Figure11:SummaryofSWOTanalysisinEdmonton(Canada)

Developing a vision TheBoxbelowillustratesanexampleofavisioningprocessinthecityofArnhem(theNetherlands).

TechnicalExamples

78

Figure12:Developingthevisionduringthestrategicdevelopmentprocess(case

ofArnhem,theNetherlands)

ArnhemisacityintheeastoftheNetherlands.Inthe1990’sitwassufferingfromproblemsofeconomicdecline.Ithad,however,reallocalandregionalpotential,positionedatkeycrossroadstoGermany.ThenationalgovernmentoftheNetherlandsalsoconsidereditslocationstrategic.Thelocalgovernmentdecidedtoorganiseahighlyparticipatorystrategicplanningprocess.

Theprinciplesofthelocalgovernmentthatgovernedtheprocesswere‘participationinpreparationandpartnershipinimplementation’.Theseprinciplesbecameadrivingforcebehindtheprocess,withakeyinfluenceonhowthegovernmentstaffplannedandmanagedtheinteractionwithinhabitants.

Thecitywasinterestedtocreate,duringthepreparationofthestrategy,anunderstandingofthebenefitsofprogrammeforthecitizensand,inimplementation,acoordinatedeffortbetweenparties,withcommitmentofmanpowerandresources.Namely,theyfocusedonbuildinglongtermpartnerships.Developingtrustandbuildingrelationswerecentraltotheirapproach.

Thecityorganisedavisioningprocesswiththefollowingsteps

§ Briefprofileofthecity:arapidappraisaloftheissuesfacedinthecity,writtenupandwidelydistributed.

§ Consultations,aninventoryof/discussiononviewsofthecommunityandbusinesses.Thisinvolvedaseriesofroundtablediscussions,followedby4publicdebates.Alleventswerelivelyandhighlyinteractive,withachanceforalltogetinvolved.

§ Formulationoffourscenarios:thedevelopmentoffourdistinctviewsofthepotentialfutureofthecity.

§ Consultationsonanddiscussionofscenarios:feedbackonthescenariostookdifferentforms.Thecitizenswereaskedtocommentinasuggestionbox.Thecityinstalledanexhibitionshowingagraphicrepresentationofthefourscenariosinanemptyhotel(Hotel2015),andcitizenswereaskedtocomeandlook,workwithinteractivepresentationsandtocomment.

§ Conceptvision:thedevelopmentofaconceptvision§ Consultations:followedbyfinalfeedbackonthevision,priortomakingthefinalchoice.

Thecityconcludedthatthevisioningprocesswasinstrumentalingainingownershipandcommitmenttotheprocessinternallyingovernmentandfromkeystakeholders.Takingthetimeinpreparationofthevisionimpliedthatrelationshipswerewellformedwhenitcametoimplementation.

ProfileRoundtable

discussion/4debates

4scenarios Hotel2015 Finaldebate

Vision

TechnicalExamples

79

Project programming and formulation TheFigurebelowillustratesaproject-programmingsheet.

Figure13:Exampleofaprojectprogrammingsheet

Intro: 5

Liva

ble

City

Programme 3.1.

Public domain and utilities: modernization of public domain and utilities networks

No Pr. cod Title of the project Location Main themes

1 3.1-a Green spaces increasing and rehabilitation,

In line with the actions P1, P2 from the Sustainable Energy Action Plan

Pedestrian paths, Furniture, Garbage bins, Lighting, Art works, Playing yards

2 3.1-b Transport infrastructure (roads)

In line with the Actions G1, G2, S1 from the Sustainable Energy Action Plan

Roads/cross roads, Bridges / tunnelsStreet trees, Street lighting, Traffic lights, Pavement, Advertising billboards, Garbage bins

3 3.1-c Develop parking facilities

Parking spaces, Garages, Parking meters, Signing, Green spaces, Trees , Car services

4 3.1-d Access to the river Mtkvary

Access points to the river, recreation areas, pavement, Street lighting, Public arts

5 3.1-e Tbilisi leisure areas for the regional interest

Tbilisi Reservoir Sport facilities, Entertainment facilities, Green area, Public utilities and works

6 3.1-f Modernization of water sources, to meet international standards

Capacity, PipelinesLabs for water quality monitoring

7 3.1-g Modernization and development of drinking water network

Pipelines, Metering systems

8 3.1-h Modernization and development ofsewerage network

Pipelines for domestic waste waterPipelines for rain waterPipelines for industrial water

9 3.1-g Modernization of waste water treatment plant, development new capacity

In line with the actions WW1, WW2 from the Sustainable Energy Action Plan

Specific investments (physical, chemical, and biological processes) and water quality monitoring

Figure14providesasimplerepresentationofalogframe.Itallowsthecitytoorganiseclearlyitsobjectives(longandshorterterm),thebaselinesituation,theresultsexpectedandtheactivitiesneededtoachievetheseresults.Theframeworkalsoincludesaseriesofindicatorstomeasuretheachievementofthegoals,objectivesandresults.

TechnicalExamples

80

Figure14:ExampleofaLogicalFrameworkmatrix

Organisational change strategy Thefigurebelowpresentsanexampleofhowtaskteamsweresetupaspartofanorganisationalchangestrategy,asappliedintheKosovostrategicspatialplanningproject(seesub-phase3.2,step1).

Intro: 15

StructureofalogframeObjectives,purpose,etc.

Baseline(thestartingsituation)

PerformanceIndicators

MeansofVerification Assumptions/Risks

TheLong-termoverallobjective(goal):

Short–term,specificobjective(outcome):

Results(Outputs):

Activities: Inputs Costs Assumption/risksActivity1:

Activity2

Activity3

Activity4

Activity5

TechnicalExamples

81

Intro: 23

SetupofmatrixorganizationandtaskteamsinKosovo

task-orientatedteam

teamleader

Director

Spatialplan

Informationandcommunication

Supporttomunicipalities

teams

staff

Seniorprofessional

Seniorprofessionalwithmanagementcapacity

Professional Support

Subcontract SupportstaffProfessionalstaffofinstitute

SeniorSupport

Illustrationofmultiplerolesofoneprofessional

Tools

82

Tools ManyphasesofstrategicplanningandCDSarebestimplementedusingspecifictools.Thefollowinglistprovidesanoverviewofkeytoolsdescribedinthistoolkit.SeeFigure2(Toolkitkeydiagram),intheIntroduction,foranoverviewoftoolsperphaseandsub-phase.

Table5:Listoftoolsdescribedinthistoolkit

Toolno. Nameoftool Page

Tool1 Checklistofcompetenciesandskillsrequiredofastrategiccoordinator

75

Tool2 Stakeholderanalysis 78

Tool3 Stakeholdercoincidentandconflictanalysis 81

Tool4 Processplanningtool 85

Tool5 Venndiagramtool 89

Tool6 Communicationstrategytool 91

Tool7 Mindmappingtool 97

Tool8 PESTLanalysistool 101

Tool9 Forcefieldanalysistool 104

Tool10 SWOTanalysis 107

Tool11 Problemtreetool 111

Tool12 Linkageanalysistool 115

Tool13 Brainstorming 118

Tool14 SMARTobjectives 120

Tool15 Projectprogrammingsheet 122

Tool16 Logicalframework 125

Tool17 GoalAchievementMatrix(GAM) 129

Tool18 Impactassessmentmatrices 134

Tool19 CLIMACTPrio 137

Tool20 Organisationalchangechecklist 141

Tool21 Projectfiches 146

Tool22 Ganttcharttool 150

Tool23 Swimlanediagrams 153

Tool24 DAC/OECDevaluationquestions 156

Tools

83

Tool 1: Checklist of competencies and skills required of a strategic coordinator Phase Phase1:Gettingorganisedandinitialset-up

Sub-phases Sub-phase1.3:EstablishCDSprocess

Nameoftool ChecklistofCompetenciesfortheCDScoordinator

Objectives TohelpgetthemostsuitablepersontobeabletoorganiseandleadtheCDSprocess

Underwhich

circumstancesto

usethetool

Usethetool:§ Tohelpthinkthroughthesortofpersonneededtoleadthe

CDSprocessandtowriteaTermsofReference

Mainactor(s)

responsible

MayorandmanagementteaminvolvedinsettingupaCDSprocess

Target/

beneficiary

Allinvolved

Descriptionof

tool

§ Thisisachecklistofthecompetenciestolookforwhentryingtoselectapersontoco-ordinatetheCDSprocess.Itadifficult,almostimpossibletasktofindtheperfectperson.Itisalsonotpossibletostandardisebecausetheroleofthecoordinatoriscomplementarytotheroleofthemayorandtheextentofinvolvementofthemayorwillvaryfromcitytocityandmayortomayor.

§ WhereaCDSisbeingrunforthefirsttimetherewillbealotofinnovationneeded–itisnotenoughtoknowthebureaucraticroutinesofhowthingsarenormallydone–itisalsonecessarytounderstandhowthingsneedtochangeinordertosetandmeetnewobjectives.

§ Toputthislisttogetherwehaveconsultedresearchonthesubjectandalsolinkedthatinwithourownpracticalexperience.

§ Thereasonthatthistoolisplacedatthestartofthelistoftoolsisbecausethedecisiononappointingthecoordinatorisoneofthemostimportantthatwillbemade.First,somekeyqualitiesinthepersonarehighlightedandthenalistofimportantcompetencies.

§ Qualities

• Trustedandrespected.Thisisanewwayofworkingandmanypeoplemayfeelthreatened.Beingabletotrustandrespectthepersonisanessentialfoundation.Trustofthemayorisvital,butwidelyheldtrustessentialifdifferentdepartmentsaretoworktogether

• Abletolearnquickly.Therewillbemanynewsituationsarisingwhichwillrequirenewknowledgeandinnovativeapproaches.

Tools

84

Competencies28

§ Beingcompetentinanareameansnotonlythatthepersonhasknowledgebutalsoisabletoapplyit–whichinvolvesalsoattitudesandskills.Thefollowinglisthighlightsimportantareasofcompetency.Noonepersonwillhavealltheseinfull,butifthepersonhasearnedtrustandisabletolearnquickly,thenlackingareasofknowledgecanbeovercome.Leadership§ Theco-ordinatorcomesundertheleadershipofthemayorbut

hastoshowleadershipwithinhisorherteamCollaborativeandMultidisciplinaryworking/teamwork§ ACDSisallaboutworkingbetweenexistingdepartmentsand

organizationstogetbetterresultsPlanningandorganization§ Planningoftheprocessisessentialandorganizationofthe

peopleinvolvedischallengingbecausemanywillnotbeunderthecontroloftheco-ordinator.Thisiswhythepersonalityoftheco-ordinatoriscritical

Ethicsandethicalvalues§ Linkedtothequalityofbeingtrustedbyinternalandexternal

partners,theethicsofthepersonareextremelyimportant.Thiscanbecriticalifexternalfinancialsupportisbeingsought.Keywordsincluderespectandtolerance

Internalandexternalstakeholdermanagement§ Thisincludesawiderangeofcompetenciesincluding

- abletoworkatdifferentlevelsofthebureaucracy- interdisciplinaryworking- Communityinvolvement- Privatesectorparticipation- Negotiation- Mediation- Advocacy- Conflictmanagement- Understandingdynamics

Politicalunderstanding§ Astrategicplanisabouthelpingtodirectresourcestowards

commonlyagreedgoals.Politicsisaboutdirectingresources.Thereisacloseconnectionanditrequiresspecialcompetencetobebeabletoworkinthisdifficultarea

Knowledgemanagementincludingcommunication

28ThebasiccompetencelistwasadaptedfromSohmen,V.S.andDimitriou,C.K.2015.Tencorecompetenciesofprogrammanagers:anempiricalstudy.ItwasaddedtofromRoyalTownPlanningInstitute(RTPI),Skillandcompetenciesforplannersandfromtheauthor’sexperience.Notesarebytheauthor.

Tools

85

§ Knowledgeisoftenusedasagatetopowerandinfluence–soencouragingsharingcanbedifficult.Atthesametime,knowledgesharingisessentialforcoordinatedurbandevelopmentandfortransparency

Financialmanagement§ ACDSprocessrequiresitsownfinanceandfinancial

managementaswellasunderstandingthepotentialfinancefordevelopmentanditsmaintenance

Riskmanagement§ ACDShastobeawareofrisksandtrytobuildresilienceinto

thestrategy.Risksalsooccurduringtheprocessitselfandneedtobemanaged.

Projectandprocessmanagement§ Competenciesarerequiredinthisareainordertoobtainand

coordinatetheuseofthehumanandfinancialresourcesthatareessential

Urbandevelopmentmanagement§ Lastbutnotleastitisimportantthatthepersonhas

understandingofurbandevelopmentmanagement–howcityserviceswork,howlanddevelopmentworks,dynamicsofmarkets,formalandinformal,howacityearnsitslivingandtheimpactsontheenvironment.

Overall,thechecklistdescribesa“supermanorsuperwoman“whoisunlikelytoexist–butseekinginthisdirectionisvital.Finally,itisaboutfindingapersonwhoiswidelytrustedandisabletogetpeopletoworktowardscommongoalsandtosucceed.

Timeneededfor

theuseofthe

tool

ThischecklistisaninputintodefiningaTermsofReference.

Advantagesand

disadvantagesof

thistool

Advantages(+)+ Providesalisttodiscusswhatisreallyimportant

Disadvantages(¾)

— Noonepersonislikelytohaveallcompetencies Relatedtools 4.4. Termsofreferenceofcoordinator

Referencesand

furtherresources

Generallyaccessibledocuments:Thislistwasdevelopedfromtwomainsources–TheRoyalTownPlanningInstituteofUnitedKingdom,aresearchpaperonexperienceinprogrammanagementandthepracticalinsightsfromtheexperienceoftheauthor.Theexternalreferencesare:Sohmen,V.S.andDimitriou,C.K.2015.Tencorecompetenciesofprogrammanagers:anempiricalstudy.InternationalJournalofHealthandEconomicDevelopment,1(1),pp.1-7RoyalTownPlanningInstitute(RTPI),Skillandcompetenciesforplanners

Tools

86

Tool 2: Stakeholder analysis

Phase Phase1:Gettingorganisedandinitialset-up

Sub-phase Sub-phase1.1:Gettingorganised

Nameoftool Stakeholderanalysis

Objectives § Identifythekeystakeholderswhohaveaninterestintheoutcomeofastrategy

§ Analyseaccordingtolevelsofinterestandinfluence§ Providethebasisofplanningandmanagingthe

participativeplanningprocess

Totaltimespent

onthistool

Thisprocesscanbecarriedoutin2-4hoursasaparticipativeprocessbutneedstobewellprepared,whichtakesmoretime

Note:Fortimespentoneachsub-phase,pleaseseesectiononDescriptionoftool

Underwhich

circumstancesto

usethetool

Tobeusedatthestartofastrategicplanningexercisetoidentifygroupsthatshouldparticipate.Initiallyitcanbecarriedoutbyatechnicalteamthenrepeatedwithwiderparticipation.Itisveryimportanttoensurethatkeystakeholdersareidentifiedandengagedearlyintheprocess

Mainactor(s)

responsible

Initiallytheplanningteamshouldberesponsible,andthenthewiderparticipativeplanninggroup.

Target/

beneficiary

Allkeystakeholders

Descriptionof

tool

Thetoolaimstoidentify:

§ whohasaninterestintheoutcomesofpotentialactivitiesinaplanningprocess

§ whichgroupsinparticularhavehighlevelsofinterest§ howthisrelatestotheircapacitytoinfluencedecisions.

Tablesareusedtohelptheanalysis.

Themainstepsare:

Step1Identifykeystakeholdersbyconsultingwidelyinordertofindoutthoserepresentingthosedirectlyinterested.Thiswillincludelocalandcentralgovernmentdepartments,politicalrepresentatives,organizationsresponsibleforinfrastructure,CBOs,NGOs,residents’organizationsandchamberofcommerce.Notethatstakeholdersaredefinedrelatedtotheissueslikelytobeaddressedandtheirlocation.Issuesthemselveswilldependalsoonthestakeholdersselected.

Tools

87

Step2Anumberoftechniquescanbeused.Herewedescribewritingoncards,whichcanbefasterandmoreparticipative.Theteamorlargergroupofstakeholderswritesthenamesoforganizationsthattheyfeelshouldberepresented,oneoneachcard.Thecardsarethenarrangedonawallorpinboardandgroupedintothemaincategorieslistedabove.Duplicatescanbepinnedontopofeachother.Thelistisreviewedwiththegrouptoseeifitincludesallmajorstakeholders.Variationsincluderankingstakeholdersintoprimaryandsecondarygroups.Thereferencesgivenallowtheseoptionstobeexplored.

Step3Makealargeversionoftable1,below,andplacestakeholdersintheboxesofthetableaccordingtotheirlevelofinterest,levelofinfluenceandcapacity.

Step4Discusstheimplicationsoftheanalysisintermsofhowtomakesurethatkeystakeholderscanparticipateeffectively.

Advantagesand

disadvantagesof

thistool

Advantages(+)

+ Itdrawsattentiontothegroupsthathaveinterestbutalsotothosewhohaveinfluenceandcapacityandhighlightsthosethatmayneedsupportiftheirvoiceistobeheard.Thisisimportantifmarginalizedgroupsarebeempoweredtofullyparticipate

+ Identifiesactionsnecessarytoensurewideparticipation+ Simpletoolwhichtriggersgoodquestions+ Quicktocarryoutandcanbeusedbothwithinatechnical

teamandinawiderparticipativegroup.

Disadvantages(¾)

— Thetoolitselfdoesnotensurethatallrelevantstakeholdersareselectedatthestart.

Relatedtools Thistoolhelpstogiveastrongfoundationtotheoverallparticipativeprocess.Othertoolsincludeparticipativestakeholdermapping–UNCHS2001p23

Referencesand

further

resources

Generallyaccessibledocuments:

DFID(2003)ToolsforDevelopment:ahandbookforthoseengagedindevelopmentactivity,London,PerformanceandEffectivenessDepartment,DepartmentforInternationalDevelopment.

UNCHS,2001,Toolstosupportparticipatoryurbandecisionmaking,(UrbanGovernanceToolkitSeries),Nairobi,UnitedNationsCentreforHumanSettlements,pp.22-24.

URBACT(2013)UrbactIIlocalsupportgrouptoolkit,Saint-Denis,URBACT

Academicdocuments(accessmaybelimited):

Brugha,RuairíandVarvasovszky,Zsuzsa(200)Stakeholderanalysis:areview,HealthPolicyandPlanning,vol.15,no.3,pp.239-246.

Tools

88

Diagramsandtools

Thereisarangeoftable-basedtools.ThesimplestistheInfluence-interestmatrix

Table6:Influence-interestmatrix

Stake Lowinfluence Highinfluence

LowStake Lowprioritystakeholdergroup

Usefulfordecisionandopinionformulationandbrokering

HighStake Importantstakeholdergrouppossiblyinneedofempowerment

Importantandeffectivegroup.Mayneedtobebalancedwithsupporttoweakergroups

Source:AdaptedfromUNCHS2001

Avariationwhichlooksalsoatcapacity,istheinfluence,interestandcapacityanalysis.

Table7:Influence,interestandcapacityanalysis

Who Influence Interest Capacity

Public

EnvironmentAuthority 3 2 3ProvincialCouncilDMMC 2 2 1PoliticalAuthorityDMMC 2 3 2EnvironmentOfficers 2 3 3

PrivateSector

HoteliersAssociation 2 3 2RestaurantOwners 2 3 2Association CDC 2 3 2

PopularSector

LocalExperts 1 2 1NGO 2 3 3

Source:AdaptedfromUNCHS2001

Note: Scale1-3;indicating1=low,2=medium,3=high

Tools

89

Tool 3: Stakeholder coincident and conflict analysis



Nameoftool Stakeholdercoincidentandconflictanalysis

Objective Thetoolaimsatassessingthestakeholders’interestinthecitydevelopment,inordertoidentifyareas(sectoralfieldsofurbandevelopmentand/orspatialareas)wheretheseinterestscoincideorconflict.

Totaltimespenton

thistool

Approximately3weeks(accordingtothenumberofstakeholdersandthefeedbacktothequestionnaire)


Underwhich

circumstancesto

usethetool

UseStakeholdercoincidentandconflictanalysistool:

§ WhenyoupreparetheCDSprocessandyouidentifyandanalysethestakeholders.

§ Todeterminewhoaretheplayersinthedifferentfieldsandhowcantheseplayersberated(whoarethebigplayers,whoareplayingimportantrolesinthecitydevelopment,andhowtheirroleswillinfluencethedecisionsduringtheCDS)

Mainactor(s)

responsible

Planningteam

Target/beneficiary§ Governmentorganizations(centralandlocal)§ NGOs§ Privatesectororganizations(bigcompanies,foreigninvestors,

SMEs)§ Academicinstitutions§ Donoragencies,etc.

Descriptionoftool Themethodologyusedtodeterminethepositionofstakeholdersisbasedonaquestionnairethatcanberatedbypeerinterviews.Anexampleofaquestionnaireisenclosed.Theanalysiswillgothroughthefollowingsteps:

Step1.Developmentofquestionnaire(4hours)

Theplanningteamwilldiscussandrevisethequestionnaireattached,adaptingthecontenttothelocalsituationandspecificneeds.

Step2.Distributionofthequestionnaire(1day)

Thequestionnairewillbesentalongtothelistofstakeholders(developedduringthestakeholders’analysis)whileintroducingtheCDSactivitiesandwillinvitethemtosendthequestionnairebackasaregistrationformforthefurtherinvolvementintheCDS

Tools

90

process.Aresponsedeadlineshouldbementionedtoo(e.g.two-weektime).

Aseparatee-mailaccountcanbeopenedtoreceivethereturnedquestionnaires.Atrackingsystemistobeestablishedelectronicallythatcandeterminetosendareminderaftere.g.aone-weekperiod.

Step3.Collectionofquestionnairesandreporting(2weekstofillouttheformand1weekforreporting))

Theteamwillcollectthequestionnairesaccordingtothedeadlineandwillrecordtheanswers.Theratingwillbedoneonthebasisoftheavailableinformationsupplemented,ifnecessary,byatelephoneinterview,inwhichmoredetailedinformationcanbeobtained.

Theconclusionreportwillofferageneralpictureonthestakeholders’interestsinthecitydevelopment,highlightingmajorareasofcommoninterest,orpotentialconflicts.Thereportwillbeusefulwhenplanningtheconsultationprocess,andorganizingconsultationmeetingsforspecificdevelopmentissues.

Advantagesand

disadvantagesof

thistool

Advantages(+)

+ Thistoolisarapidappraisalmethodforthestakeholders’interest.ItprovidessincethebeginningoftheCDSprocess,anoverallimageonthestakeholdersyoucancounton,andthosewhomightbemoreresilienttochange.

+ Italsoprovidesincipientinformationoncriticalissuesinthecity,wherecloserattentionmightbeneeded.

+ Itbuildsthestakeholdersconfidencethattheirvoiceisimportant,andthatCDStakestheirinterestsseriously.

Disadvantages(-)

— Thetoolrequiresadditionaltimeandefforttomanagethequestionnaireandbepersistentwithgettingthefeedbackfromgroupsthathaveatendencytoignoresuchactivities.

— Itmakessenseonlyifallstakeholdersparticipateintheprocess,otherwisetheresultsmightbedistorted.

Relatedtools Stakeholderanalysistool

Referencesand

furtherresources


AfricaPeaceForum(2004)Conflictanalysis,In:AfricaPeaceForum,Conflict-sensitiveapproachestodevelopment,humanitarianassistanceandpeacebuilding:aresourcepack,s.l.,AfricaPeaceForum,pp.1-40.

Poolman,Martine;Munamati,MuchanetaandSenzanje,Aidan(2009)Stakeholderandconflictanalysis,In:Andreini,Marc;Schuetz,TonyaandHarrington,Larry(eds.)Smallreservoirstoolkit,s.l.SmallReservoirsProject.

Tools

91

Diagramsandtools

Table8:Questionnaireforassessingthestakeholders’interestinthecitydevelopmentCityDevelopmentStrategy–Cityof…………………….

STAKEHOLDERREGISTRATIONNameoforganization

Phone/fax

Nameofrepresentative

E-mail

Position

Website

Address

TypeoforganizationGovernmental Non-Governmental PrivateSector Academic National Vulnerablegroups Industry University CityHall Ideologicallyinspired Manufacturing Trainingorganization AdministrativeBody Retail Researchinstitution ServiceProvider Policymaker Businessassociation Executiveresponsibility other Moredetailsofyourorganization:

YearofestablishmentNo.ofstaffFieldofactivitiesMissionEtc.

Tools

92

ROLEINCDS1 Whichfieldofthecitydevelopmenthasthemost

importantinfluenceonyouractivity?

2 Whatisyourroleinthisfield?(Areyouconsumer,provider,involvedinthedecision-making,etc.)

3 Canyounameotherimportantactorsthatareactiveinthisfield?(intheorderofimportance,whereAisthemostimportant)

A

B

C

D

E

4 Howwouldyouratetheirperformanceintheirspecificroles(from5to1,where5isthehighestperformance)

A 5 4 3 2 1B 5 4 3 2 1C 5 4 3 2 1D 5 4 3 2 1E 5 4 3 2 1

5 Howwouldyourateyourroleinthefieldwhencomparedtootherplayersinthefield,onascalefrom1(player)to5(veryimportantplayer)?

6 Whoorwhatare,inyourview,determiningfactors/personsthatinfluenceyourfieldofactivity,bothinthepositiveandnegativesense?

POSITIVE NEGATIVE

7 AreyouwillingtoparticipateintheCDSconsultation? Yes NoSource:IHSRomania2010

Tools

93

Tool 4: Process planning tool


Sub-phases Sub-phase1.3:EstablishCDSprocess

Nameoftool Processmanagementdiagram

Objectives § Illustratethemainstagesoftheplanningprocess

§ Highlightthevaryinglevelsofeffortrequired

Underwhichcircumstancestousethetool

Usethetool:

ü Tostimulatethinkingaboutprocessmanagementand

effort

ü Tocommunicateconcerningprocessmanagement

Mainactor(s)responsible

Planningteam

Target/beneficiary § Planningteam

§ Stakeholdersinvolvedintheplanningteams

Descriptionoftool Theprocessdiagramisasimpletooltohelpvisualisethe

varyingeffortsinvolvedinplanpreparationandthekeypoints

ofparticipation.Itisastylizeddiagramandthusremains

relativelysimpleandisusefulforcommunication.Seethe

diagramanditsexplanation

Step1:Usethefigurefromthistoolkit.

Step2:Customisethediagramtofitthestrategicprocessbeing

planned.

Step3:Useitasaninputtodiscussionsontheplanning

processfocussingonthelevelofactivityinvolvedanditslinkto

preparationfordiscussionsandpreparationfordecision

making.

Timeneededfortheuseofthetool

Thisactivityshouldtakeafewhours

Tools

94

Advantagesanddisadvantagesofthistool

Advantages(+)

+ Thetoolisrelativelysimple,

+ Thetoolmakescleartheprocessvisually

+ Thetoolfocussesonlevelsofeffortatdifferentstages

andhelpsinthinkingthroughtheresourcesneeded

andthetimeimplications.

Disadvantages(¾)

— Althoughrelativelysimple,someparticipantsmaynot

beusedtoworkingwithorunderstandingabstract

diagrams

Relatedtools ThislinkstoTool22GanttchartandTool23Swimlanes

Referencesandfurtherresources

Generallyaccessiblematerials

UN-Habitat(2005)Promotinglocaleconomicdevelopment

throughstrategicplanning:volume2:manual,Nairobi,United

NationsHumanSettlementsProgramme(UN-Habitat).

Diagramsandtools

Figure15:Processactivityplanning

Thediagramisusedtohelpinvisualisingthetimingofeffortsintheprocess.

Where are we now? Where do we want to go?

How do we get there? Implementation and have we arrived?

Technical facilitators and experts

Key stakeholders CommunityKey

Decision point Decision point Decision pointPreparation

activityDecision process activity

Process Activity Planning

Tools

95

Thefigureisadaptedfromtwosources29.Thehorizontallinerepresentstheplanning

anddecisionmakingprocess.Thewidthofthediamondsrepresentstheeffortinvolved

withinphases.Theleftsideofeachdiamondrepresentstheeffortgoinginto

preparation,forexamplegatheringandanalysinginformationandpreparingfor

participativemeetings.Therightsideofeachdiamondrepresentstheeffortrequiredin

takingtheresultsofparticipativesessions,technicalreview,furtheranalysis,working

groupandpreparingfordecisionmaking.Thepointsbetweenthediamondsarethe

maindecisionpoints.

29UN-Habitat2005.Promotinglocaleconomicdevelopmentthroughstrategicplanning,Nairobi

UnitedNationsHumanSettlementsProgramme(UN-Habitat), volume2page49Thisfigure

emphasizedtheroleofstakeholders.ThesecondsourcewasapresentationbyRobvanGameren

onplanningexperienceinPoptahof,Netherlandswheretherewasanactiveprocess

management.

Tools

96

Tool 5: Venn diagram tool


Sub-phase Sub-phase1.4:Establishingaparticipatorystrategy

developmentprocess

Nameoftool Venndiagram

Objectives AVenndiagramisatooltoexplorerelationshipsbetween

organizationsorinterests

Specifically,it:

§ Focussesattentionontheareasofoverlapbetween

interests

§ Allowscommoninterestareastobeidentified

§ Facilitatesdiscussionaboutrelationshipsbetween

organizationsandareasofinterest


Usethetool:

ü Toexplorecommoninterestareas

ü Exploredegreesofinteractionbetweenorganizations

ü Tofacilitatediscussiononrelationships


Theplanningteamcanusethetoolasaninputtoreviewing

institutionalareasofinterestandinteraction


§ Stakeholdersinvolvedinplanningteams

Descriptionoftool AVenndiagramisusedinmathematicstoidentifynumbers

withcommonattributes.Forexample,oddnumberscanbe

groupedtogetherandalsoevennumbers.

Forplanningandmanagement,itisusedtoidentifycommon

interestsbydrawingcirclesaroundareasofinterestforeach

organization.


Venndiagramscanbedrawnquitequickly,forexamplein15-

20minutes.Thetotaltimedependsonexperienceandthe

complexityofthesituationbeinganalysedandcouldlast

severalhours.

Tools

97


Advantages(+)

+ Thetoolallowsoverlappingintereststobeexamined

whichisveryimportantforintegratedplanning

approaches

+ Thetoolisrelativelysimple

+ Itisusefultohelpdiscussrelationships

+ Itisausefultoolwhentryingtofindareasofcommon

interestasthebasisofbuildingsupportforastrategy

Disadvantages(¾)

— Althoughapparentlysimple,itisnoteasytodowell

— Althoughsimple,itmaytakesometimeforpeoplenot

familiartograsptheidea

Relatedtools Tool12(Linkageanalysis)canbeusedtoassesswhether

overlapsarepositiveandshouldbeencouraged,ornegative

(conflicting)andneedtobeminimised


Generallyaccessibledocuments

WorldBank(n.d.)Toolname:institutionalmapping/Venn

diagramming,Washington,WorldBank.

Tools

98

Diagramsandtools

Figure16:Venndiagramshowingcapacitybuildingrelationships

Source:ForbesDavidson,forIHS

Figure17:VenndiagramshowingpublicandprivateinterestsSource:ForbesDavidson,forIHS

external environment

institutional and legal framework

organizational development

human resource development

key intervention

points

Key areas of capacity building

Capacity building concept

Private sectorinterests

public sectorinterests

profit

socialwelfare

increasedbusiness

economic development

increasedcapacityincreasedincome

improvedinfrastructure

higher incomemarket

good imagepublicity

01403pp

Tools

99

Tool 6: Communication strategy tool



Nameoftool Communicationstrategytool

Objective Thecommunicationstrategytoolisaninstrumentthat

facilitatestheplanningofthecommunicationprocess

withintheCDS.Thecommunicationstrategywillprovidea

planforinvolvingspecifictargetgroupsinallCDSphases,

withspecificactions,timingandbudgets.Itwilllookatthe

communicationobjectivesforeachtargetgroup,thenature

ofthemessagetobesent,andthechannelstobeused.

Thespecificobjectivesofacommunicationstrategyareto:

§ Identifytheneeds/demandsofspecifictarget

groups,andaddressthemintheCDS;

§ Providetimelyandaccurateinformationonthe

developmentprocessoftheCDS;

§ Involvestakeholdersinthedecisionmakingprocess

duringtheCDS;

§ Emphasizethecitygovernmentcommitmentto

respondtothepopulationneeds,andtheneedfor

communitysupport;

§ Improvepublicunderstandingandawareness;

§ Promotethelocalgovernmentactivitiesandthe

cityimage.

Whentousethetool Usecommunicationstrategytool:

ü WhenorganizingtheCDSprocess,andplanningthe

participatoryprocess.

ü Whenassigningtaskstodifferentstakeholders,and

makingsurethatdifferenttargetgroupsreceivethe

rightmessageattherightmomentintheCDS

development.

ü TopromotetheCDSprocessandraisethe

communityinteresttoparticipateandsupportits

formulationandimplementation.


Communication/marketingspecialist(inthemunicipality,

orinthecommunity),withsupportofplanningteam

Target/beneficiary Stakeholdersgroups–communityresidents,privateand

NGOsectors,etc.

Descriptionoftool § Acommunicationstrategytoolcanbebuiltinaseriesof

steps,asfollows:

1.Identifypublics,audiencesandstakeholders

Tools

100

2.Formulatethemessage

3.Selectmarketingandcommunicationinstrumentsto

distributethemessage

4.Buildaconceptualframeworktoconnectthetarget

audiencestoCDSphasesthroughcommunication

instrumentsthatensureamarketorientedprocess

5.Planthecommunicationactivitiesandevents,assign

budgetsandresponsiblepersons

Step1.Identifypublics,audiencesandstakeholders

Thefirststepislinkedtothestakeholdersanalysisphase.

Themaintargetgroupsinclude:residentsandemployees,

businessandindustry,visitors,publicorsemi-public

organizations(localandcentralgovernment,universities,

internationalagencies,NGOs),citymanagement,etc.

Besidestheirinterestsinthecitydevelopmentand

developmentprojects,thisstepalsoassessestheir

availabilitytoparticipateintheCDSprocess,andthe

messagestobesentinordertoreachthemeffectively.

Step2.Formulatethemessage

Toformulatethemessage,thefirstthingistodeterminethe

messageobjective:whatdowewanttoachievewiththe

message?IsFeedbackrequired(yes/no)?

Forexample:

§ Awarenesscreation

§ Coordinationofinterventions

§ Receivinginformation

§ Support

§ Receivingfunding,etc.

Step3.Selectmarketingandcommunicationinstrumentsto

distributethemessage

Cityplannersandmarketing/communicationspecialistscan

usevariousinstrumentstodistributetheirmessage.These

include30:

§ Advertisingistheuseofanypaidformofnon-

personalpresentationofideas,goodsorservices.

Thus,thepurchaseofprintedspace(magazines,

newspapers,billboards),orbroadcasttime

(television,radio,Internet)constitutesadvertising.

Asacommunicationtool,itcanbeusedtobuilda

long-termimageforacity,orontheother,to

launchquickmessagesonpunctualactivities,which

aregoingoninthecity.

§ Directmarketingencompassestheuseof

communicationmediatoreachindividuals,or

30BasedonKotler,P.;Haider,D.P.,Rein,I.(1993),Marketingplaces:attractinginvestments,

industryandtourismtocities,states,andnations,NewYork,FreePress

Tools

101

groupsofindividualsintheaudience,wherethe

effectismeasurable.Thetwotraditional

instrumentsofdirectmarketingaredirectmail,e-

mails,andtelephone.Individualsinthedatabase

canbesentappropriatenewslettersandbrochures.

§ Publicrelationsistheefforttobuildgoodrelations

withthepublic,byobtainingfavourablepublicity,

buildingupagoodpublicimage,andhandlingor

headingoffunfavourablerumours,storiesand

events.Majorpublicrelationstoolsincludepress

relations,eventpublicity,meetings/conferences,

andlobbying.

§ Asaparticularformofdirectmarketing,the

stakeholders’forumisusedasanapproachofdirect

publicconsultationandinvolvementinthecity

development.TheStakeholdersForummighthave

asectoralapproach,withconsultativeaim,

representingspecificgroupsorinterestsofthecity

community.Itprovidesadvice,andmakes

recommendationsonbroadplanninggoalsand

policies,andonsectoraldevelopmentfields,where

thedevelopmentstrategyrequestsconsultation.

Acombinationofcommunicationinstruments,accordingto

theexpectedfeedbackispresentedintable1.

Step4.Buildaconceptualframework

This step connects the target audiences to CDS phases

through the selection of the appropriate communication

instrument.Seetable2foranexample

§ Step5.Planthecommunicationactivitiesandevents,assign

budgetsandresponsiblepersons

Thelaststepisresponsiblefordesignthecommunication

plan:Whenandwhereshouldthecommunicationtake

place?Whichmessagewillbedistributedtoeachtarget

group?Whichinstrumentwillbeused?Whoisincharge?

Whatresourceswillbenecessary?Howtomonitorthe

impact?(Seetable3)


Advantages(+)

+ Thecommunicationstrategytoolprovidesa

frameworkforthecommunicationprocesstobe

organizedforthewholeCDSprocess.

+ Itallowscommunicationactivitiestobeplannedin

advance(attractivelocationstobebookedin

advance,resourcestobemadeavailable)

+ Itoffersaframeworktomonitorcommunication

activitiesandtoevaluatefeedback.

Disadvantages(--)

Tools

102

— Itrequiresspecializedexpertisetoorganizethe

communicationstrategyandtoidentifythemost

appropriateinstruments.

— Itneedsclosemonitoring,astheCDSprocessmight

registerdelays,andconsequentlythe

communicationplanmustbeflexibleenoughto

adapttonewdeadlines.

— Itneedsadditionalbudgettoimplementthe

activitiesinthecommunicationplan.

Relatedtools Thistoolislinkedtothestakeholders’analysistool,asit

startswithidentificationofthetargetaudience.

Italsoprovidestheframeworktodevelopadditional

specifictoolsforpublicparticipationinthedifferentphases

oftheCDSprocess.




EconomicPolicyAgency,TbilisiCityHall,2010,City

DevelopmentStrategyforSustainableDevelopment–

Marketingbrochure,Tbilisi,EconomicPolicyAgency,Tbilisi

CityHall[InstituteforHousingandUrbanDevelopment

Strategies(IHS)andIHSRomania].

Kotler,P.;Haider,D.andRein,I.1993,Marketingplaces:

attractinginvestment,industryandtourismtocities,states

andnations,NewYork,FreePress.

WatesN.,(ed.)2006,Thecommunityplanninghandbook:

howpeoplecanshapetheircities,townsandvillagesinany

partoftheworld,London,Earthscan.

Tools

103

Diagramsandtools

Table9:Instrumentstopresent,receiveandexchangeinformation

Presentation Receipt SharingandExchange

§ Newspapersandarticles

§ RadioandTVprogrammes

§ Speechesandpresentationsto

groups

§ Fieldtrips/Exhibits

§ Schoolprogrammes

§ Films

§ Brochures

§ Newsletters

§ Reports/Letters

§ Conferences

§ Publichearings

§ Survey

questionnaires

§ Surveyontheweb

§ Publicinquiry

§ Mediaballoting

§ Publicmeetings

§ Workshops

§ Specialtaskforces

§ Interviews

§ Advisoryboards

§ Informalcontacts

§ Studygroupdiscussions

§ Interactiveeventsonthe

internet

§ Gamingandsimulation

Table10:ConceptualframeworktoconnectthetargetaudiencestoCDSphasesthroughcommunicationinstruments

STRATEGYFORMULATION

PROCESS

MARKETING&COMMUNICATIONINSTRUMENTS

TARGETAUDIENCE

Phase1:Situation

analysis

Advertising:• DesigntheCDS

webpage

• Postthecityprofile,

theSWOTanalysison

thewebpageandlink

tothecityhall

webpage

Directmarketing:• Internalmanagement

meetings

• Stakeholdersforum

onthecityprofileand

theSWOTanalysis

Allstakeholders

Sectoral consultative

groups

Phase2:Visioning

andstrategic

objectives

Advertising:• Postthevisiononthe

webpageandlinkto

thecityhallwebpage

• Invitethewebsite

visitorstocomment

Allstakeholders

Tools

104


meetings


onvision

Publicrelations:• Press

release/publicityon

thestakeholders

forum


groups

Allstakeholders

Phase3:Strategy

formulation

(defining

programmesand

projects)

Phase4:Strategy

Implementation/

Monitoringand

evaluation

Advertising:• Postthestrategy

documentonthe

webpageandlinkto

thecityhallwebpage

• Invitethewebsite

visitorstocomment


meetings


onthestrategy

developmentand

actionplan

• DesignCDSbrochure

anddistributeby

directmailto

stakeholders

Publicrelations:• Press

release/publicityon

thestakeholders

forum

Allstakeholders


groups

Allstakeholders

Tools

105

Tool 7: Mind mapping tool

Phase Allphases,startingwithphase1

Sub-phase

Nameoftool Mindmapping

Objective Mindmappingisusedtoorganizeandexploreideasina

transparentandparticipativemanner

Totaltimespentonthistool

Timetakencanrangefromafewminutestoa1-hoursession,

dependingonthecontext.


Thetoolisusefultogeneratecreativeideas,structurethinking,

planactivitiesandtoorganizematerialafterabrainstorming

session.Itcanbeusedtoorganiseinformationconnectedto

SWOTanalysisandproblemtreeanalysis.Itcanalsobeusedto

mapoutthewholeplanningprocess(seefigure1).


Mindmappingcanbeusedbytheplanningteamandisvery

usefulinparticipativesessionswithawidergroupof

stakeholders.

Target/beneficiary

Allthoseinvolvedintheplanningteamandplanningprocess

canbenefitfromgreaterclarityandseeingclearlinkages

betweenactivityareas.

Descriptionoftool Amindmapisawaytoshowandexploreconnectionsina

hierarchicalmanner.Thestartingpointisthekeyissuebeing

addressed.Fromthislinesaredrawntothenextlevelof

activitiesorfactors,andthentheprocessisrepeated.Thisis

illustratedinfigure1.Forexample,aproblemtreecouldbe

drawnwithboxesforcausesandeffects.Eachofthesegroups

wouldthenbesubdivided.ASWOTanalysiscanalsouseamind

maptoexplorecausesandeffectsrelatedtothefactors

influencingdesiredoutcomes.

Amindmapcanbebuiltinmanywaysfromadrawingona

pieceofpaper,thoughparticipativeprocessesusingcardsto

stand-aloneandgroupaccesssoftware.Softwarereferencesare

giveninthereferencessection.Thedescriptionhereassumes

usingacomputerortabletbasedapp,buttheprinciplesarethe

sameasusingpenandpaperorcards.

Step1:Putthekeyissueorobjectiveinthecentre

Step2:Putdownthemaincomponentsorgroupsoffactorsor

actions(dependingonthesubject)

Tools

106

Step3:fromeachoftheserepeattheaction–resultingina

hierarchyofideas.tisgoodtoworkquickly,captureideasand

latercomebackandorganize.

Step4:Re-organisetheideasasappropriate.Insoftware

versionsitisveryeasytoexpandandcontractbranchesand

draggroupstonewlocations.

Step5:Usethemindmaptocommunicateanddiscussideas(it

isusefultouseaprojectorforthis,ifavailable).Itcanalsobe

usedtostructureideasforareport.


Advantages(+)

+ Stimulatesthinkingandorganizingthoughts

+ Simpletouse

+ Canbeusedsoloandingroups

+ Makesideasandassumptionstransparent

+ Linkswellwithothertools

+ Canbeusedwithandwithoutsoftware

+ Softwareiseasilyandfreelyavailable

+ Documentationofresultsiseasytodo

Disadvantages(-)

— Mayseemabstracttothoseunusedtotheidea(itisa

matteroftaste)

Relatedtools § SWOTanalysis

§ Problemtreeanalysis

§ SMARTobjectives

§ LogicalFramework

§ Ganttchart



Serrat,O.(2009)Drawingmindmaps.KnowledgeSolutions,no.40,3p.

Software

Awebsearchwillprovidemanysources.Thefollowinglistgives

someexamples.

Freesoftwareincludes:

Freemind(Windows)

Mindmeister(IOSandAndroid)–canbeusedtoalimited

extentfree.Usefulforsharedaccess.

PaidsoftwareincludesXmindandMindManager(Windowsand

Mac).Mindmanagerisverypowerfulandlinkstoproject

management,butisexpensive.

iThoughts(IOSandMac)

SimpleMind(Android)

Tools

107


Buzan,TandBuzan,B.(1995)Themindmapbook,London,BBC

Books.

Tools

108

Diagramsandtools

Figure18:Exampleofamindmap


Thediagramabovepresentsanexampleofamindmapdevelopedasastartingpointto

thinkthroughastrategicplanningprocess.Notethatthisisnotproposedasafinalroad

mapbutrepresentsaquick(15-minute)exercisetoillustratetypicalcontent.

Tools

109

Tool 8: PESTL analysis tool

Phase Phase1:Gettingorganizedandsituationanalysis

Sub-phase Sub-phase1.5:Situationanalysis

Nameoftool PESTLEorPESTELAnalysis(Political,Economic,Social,Technological,LegalandEnvironmentalAnalysis)

Objective PESTLEanalysishelpstoidentifyandassesstheexternal

factorsthatmayhaveanimpactonanorganization,aplan,

orasituation

Whentousethetool UsethePESTLEAnalysis:

ü Whenyouarebeginningtolaunchanewstrategic

planorareenteringanewarea,wherethelocal

environmentisnotfullyclear.

ü Whenyouneedtoanticipateand“map”the

principleexternalfactorsthatcouldaffectyour

plans.


Alllevelsofgovernment;civilsociety;andbusiness

organizations

Target/beneficiary Theorganizationcarryingouttheanalysisitself

Descriptionoftool TherearefivemainstepsinthePESTLEanalysis:

1. Brainstormandlistkeyissuesthatareoutsideofthe

organization’scontrol.

2. Identifytheimplicationsofeachofthesekeyissues.

3. Ratetherelativeimportanceofeachofthekey

issuestotheorganization,usingascale.Forexample,

thescalemightincludethefollowinglevels:critical;

extensive;important;significant;moderate;and

minorsignificance.

4. Ratethelikelihoodoftheimpactsactuallyoccurring,

usingascale.Thisscalemayincludethefollowing

categories:certain;verylikely;likely;possible;

unlikely;extremelyunlikelytooccur.

5. Listtheimplicationsiftheissuesidentifiedinstep1

doindeedoccur(firstfourcategoriesinthescalein

step4).

IssuestoconsideraspartofthesixPESTLEfactorsinclude,

butarenotlimitedto,thefollowing:

Politicalissuesincludechangesingovernmentpolicy;

changesinpersonalitieswithingovernment(atalllevels);

otherfactorsaffectinglegislationornewlegislation;

bureaucracy;andcorruption.

Tools

110

Economicfactorscomprisetheoverallmacro-economic

(in)stabilityandtrends;macro-economicfactorssuchas

employment;inflation;andinterestrates;energysources;

thequalityofinfrastructure;thepriceofgoodsand

commodities;taxes,leviesandduties;exchangerates;cost

ofliving;easeofdoingbusiness;andavailabilityofcredit.

Socialfactorsincludeculturalandsocialconventions,

traditionsandbeliefs,aswellassocial(in)stabilityand

trends;patternsof(in)equality;andeducationlevels.

Technologicalissuescomprisethepaceofchangein

technology;newtechnologiesandinnovations;

manufacturinganddatainfrastructureincludingnetwork

coverage;anduser/consumerpatternsandbehaviours.

Legalfactorstoconsiderincludeexistingandnewlegislation;

regulationsandregulatorybodies;theperformanceof

courts;andtheoveralllegislativeclimate.

Environmentalfactorsincludethetopography;geographical

location;weatherandclimate;qualityofenvironmental

resources;naturaldisasters;extentofsusceptibilityto

disasters;andresilience.

Inadditiontothesegeneralfactorsoutlinedabove,every

individualcountry,cityorenvironmenthasitsownspecific

PESTLEissuesthatneedtobeconsideredaspartofthe

analysis.


Advantages(+)

+ Simple,easytouseandcomprehendframeworkfor

analysisofcomplexrealities.

+ Encouragesstrategicthinkingwithinthe

organisation,asabasisforstrategicplanning.

Disadvantages(¾)

— Canleadtoover-simplificationofcomplexrealities,if

theanalysisisnotdonewellorgooddataisnot

available.

— Needstobeupdatedregularlyinorderforthe

analysistoremainrelevantasabasisforstrategic

planning.

Relatedtools ThereareseveraldifferentformsofPESTLEanalysisthatmay

includefewerormorethanthe6factorsdescribedhere.

Additionalvariationsinclude,forexample:

STEP:StrategicTrendEvaluationProcess

STEEPLE:Social,Technological,Economic,Ethical,Political,

LegalandEnvironmentalanalysis.

STEEPLED:Social,Technological,Economic,Ethical,Political,

Legal,EnvironmentalandDemographicanalysis.

Tools

111

Theseothervariationsallusethesameunderlyingmethodas

PESTLE.



FreeManagementE-Books(FME)(2013)ThePESTLEanalysis

:strategyskills,[SummaryofNewton,P.andBristol,H.

PESTLEanalysis,s.l.,FreeManagementE-Books(FME)].

Mullerbeck,E.(2015)SWOTandPESTEL,In:Arivananthan,

M.2015.Knowledgeexchangetoolbox:groupsmethodsfor

sharing,discoveryandco-creation,NewYork,UNICEF,pp.

136-147.

Diagramsandtools

Figure19:ExampleofanoutlineforPESTLEanalysis

Tools

112

Tool 9: Force field analysis tool

Phase Phase1:Gettingorganizedandsituationanalysis

Sub-phase Sub-phase1.5:Situationanalysis

Nameoftool ForceFieldAnalysis(FFA)

Objective FFAhelpsplannersanddecision-makerstoobtaina

comprehensiveoverviewoftheoverallplanningcontextby

identifyingforcesforchange(drivingforces)andforces

againstchange(restrainingforces)inrelationtoaplanor

proposal.

Whentousethetool UseFFA:

ü Tosystematicallyanalyzecomplexproblems.

ü Toidentifythosefactorsthatmustbemonitoredand

addressedifchangeistobesuccessful.


Plannersanddecision-makers(withingovernmentandat

communitylevel)

Target/beneficiary Implementingagencies;planners;communities

Descriptionoftool InaFFA,thefacilitatorsaskparticipantstoanticipateand

analysethesituationimpactingonaplanorproposal

(definedasa“change”)byidentifyinglikelydrivingforces

andrestrainingforces.Whileanyforcecontainsmultiple

inter-relatedelements,participantsshouldtrytoseparate

eachforceintospecific,individualcomponents.

Drivingforcesarethosethatarelikelytofavourchangeand

willthereforehelptoimplementtheplanorproposal.

Restrainingforces,incontrast,arethosethatarelikelyto

opposechangeandrepresentobstaclestoplanorproposal

implementation.

TherearemanydifferentwaysinwhichtocarryoutaFFA.

Theanalysiscanbedoneinaparticipatoryway,ingroups,or

onanindividualbasis(whereindividualresultsarelater

comparedwithoneanother),dependingonwhatisrequired.

Thediagramillustratesonewayinwhichtheexercisecanbe

organized,withforcesarrangedoneithersideofaplanor

proposaldepictedinthemiddleofasheetofpaper,with

scoresassignedtoeachforce.

TheFFAprocedurecanusefullybebrokendownintothe

following6steps.

Step1:Definethespecificplanorproposalbeingdiscussed

andnotethisdowninthemiddleofalargesheetofpaper

(seediagramasexample).

Distributecolouredcardstotheparticipants,withonecolour

fordrivingforcesandanothercolourforrestrainingforces.

Tools

113

Step2:Askparticipantstoidentifydrivingforces,byasking:

Whatarethefactorsorpressuresthatsupportchangeinthe

desireddirectionintheformoftheplanorproposal?

Participantsshouldassignweightstoeachoftheforcesthey

identify(forexample,onascaleof1to5),correspondingto

theimportanceoftheforce:thehigherthenumber,the

moreimportanttheforcefavoringchange.

Step3:Askparticipantstoidentifyrestrainingforces,by

asking:Whatarethefactorsorpressuresthatpresent

obstaclestotheimplementationoftheplanorproposal?

Participantsshouldassignweightstoeachoftheforcesthey

identify(forexample,onascaleof1to5),correspondingto

theimportanceoftheforce:thehigherthenumber,the

moreimportanttheobstacle.

Step4:Facilitatorsoftheexerciseconsidertheresultsof

steps2and3andthetotalscoresachieved,andcheck

whethertheparticipantsaresatisfiedwiththeoutcome.If

not,adiscussiontakesplacetoevaluateand(ifnecessary)

adapttheforcesortheweightsassignedtoeachforce.

Step5:Whenstep4iscompletedandallparticipantsagree

ontheforcesidentifiedandtheweightsassigned,the

facilitatorsasktheparticipantstodiscusshowtheycan

changethesituationtheyhaveidentified.Whichofthe

drivingforcescanbereinforcedandwhichrestrainingforces

canbediminished(Kumar,1999).

Step6:Inthefinalstep,thediscussionturnstointerventions

tosupportormitigatetheforcesidentified.Thetotalscores

identifiedactasaguidelinetoassesswhetherdrivingor

restrainingforcesareanticipatedtobemorepowerful

impactsontheplanorproposal.Ifnecessary,participants

canusesmallercardsofadifferentcolourthanthedrivingor

restrainingforcestoidentifyinterventionsrequiredto

increaseorreducethemagnitudeofeachforce.

Interventionsshouldbebasedonactualresourcesavailable

totheplanners(Kumar,1999),i.e.time,fundsavailable,and

institutionalcapacities,etc.Finally,thecompleteddiagram

(withthedrivingandrestrainingfactors,andthe

interventionsidentified)shouldbereproducedand/or

summarizedonanewsheetofpaperasabasisfor

subsequentplanningsteps.


Advantages(+)

Tools

114

+ Providesausefulbasisforplannersanddecision-

makerstoplanacourseofactioninacomplex

situation.

+ Identificationofkeydrivingandrestrainingforces

canhelpdecision-makerstofocustheireffortsand

prioritisetheiractions.

Disadvantages(¾)

— Ifanalysisisnotthorough,aFFAcanresultinover-

simplificationofcomplexrealities.

Relatedtools § PESTLEanalysis

§ SWOTanalysis



Kumar,S.(1999)Forcefieldanalysis:applicationsinPRA.

(PLAnotes;36),pp.17-23,London,InternationalInstituteforEnvironmentandDevelopment(IIED).

Ramalingam,B.(2006)Toolsforknowledgeandlearning:a

guidefordevelopmentandhumanitarianorganizations.

London:OverseasDevelopmentInstitute(ODI).


Schwering,R.E.(2003)Focusingleadershipthroughforce

fieldanalysis:newvariationsonavenerableplanningtool.

LeadershipandOrganizationDevelopmentJournal,vol.24,no.7,pp.361-370.

Diagramsandtools

Figure20:IllustrationofindicativeFFA“template”

Tools

115

Tool 10: SWOT analysis


Sub-phase Sub-phase1.6:SWOTanalysis

Nameoftool SWOTAnalysis(AnalysisofStrengths,Weaknesses,OpportunitiesandThreats)

Objective ASWOTanalysishelpsexaminetheinternalstrengthsand

weaknessesandtheexternalopportunitiesfor—and

threatsto—theimplementationandimprovementofa

plan.

Whentousethetool UsetheSWOTAnalysis:

ü Asaprecursortoanewstrategicplan.

ü Toanticipate,addressand(asneeded)mitigateor

stimulatecriticalinternalandexternalfactorsthat

canhaveanimpactonastrategicplan.


Alllevelsofgovernment;civilsociety;andbusiness

organizations

Target/beneficiary Theorganizationcarryingouttheanalysisitself

Descriptionoftool ASWOTanalysistypicallyinvolvesfourkeysteps.

Step1involvesthecollectionandevaluationofkeydata

thatcouldimpactstrategicplanning.Theseincludeinternal

(institutional)factorsaswellasexternalfactors,including

political,economic,social,technological,legaland

environmentalissues.Oncethesekeydatahavebeen

collectedandanalyzed,thecapabilitiesoftheorganization

orcitytomanagethesefactorsareassessed.

Step2involvessortingthedataintofourcategories:

strengths,weaknesses,opportunities,andthreats.

Strengthsandweaknessesrelatetointernalissueswithintheorganizationorcity.Opportunitiesandthreatsarise

fromexternalfactorsoutsideoftheorganizationorcitythatcannotbedirectlycontrolled.Whereasstrengthsand

opportunitiesarelikelytobehelpfulinachievingthe

objectivesofaplan,projectorproposal,weaknessesand

threatsarelikelytobeharmfulinmeetingtheseobjectives.

Step3involvesthedevelopmentofaSWOTmatrixforeach

planoreachprojectunderconsideration(seediagramfor

anexampleofamatrix).ASWOTanalysiscanbeappliedto

aparticularplan,toanticipateandmitigatekeyissuesthat

mayarise.Or,aSWOTanalysiscanbeusedtohelp

decision-makersevaluateseveralalternativeproposalsor

Tools

116

coursesofaction.Inthiscase,adifferentSWOTmatrix

shouldbeproducedforeachproposaloralternative.The

matrixwiththehighestnumberofstrengthsand

opportunitiesandthelowestnumberofweaknessesand

threatsemergesasthebestproposal.

Step4involvesincorporatingtheSWOTanalysisintothe

decision-makingprocess.

OneofthechallengesofaSWOTanalysisistodecidewhich

factorsbelonginwhichofthefourcategories.Thefollowing

arestandarddefinitionsofthetwointernalandtwo

externalfactors.

Astrengthisafactorthatcomesfromwithinan

organizationorcityandcontributestogoodperformance.

Aweaknessisalsoafactorthatcomesfromwithinan

organizationorcity,butwhichisresponsibleforpoor

performanceorsub-optimalperformance.

Anopportunityisapotentiallypositivedevelopmentthat

arisesfromchangesintheexternalenvironment.

Athreatalsoemergesfromtheexternalenvironment,but

inthiscaseitislikelytohaveanegativeimpactonthecity,

organization,proposalorplan.


Advantages(+)

+ Flexibleandversatileframeworktoanalyseawide

rangeofcomplexrealitiesandsituations.

+ ASWOTframeworkissimpleandeasyto

comprehendandapplybyallstakeholdersin

strategicplanning,includingcommunity

stakeholders.

Disadvantages(¾)

— Canleadtoover-simplificationofcomplexrealities,

iftheanalysisisnotdonewellorgooddataisnot

available.

— Decisionsabouthowtocategorizedifferentfactors

andtrends(asexternalorinternal,orevenas

positiveornegative)canbehighlysubjectiveand

dependononeactor’sperspectiveatanygiven

time.

Relatedtools Similartoolsinclude:

§ PESTLEorPESTELanalysis



Harrison,JeffreyP.(2010)StrategicplanningandSWOT

analysis,In:Harrison,JeffreyP.,Essentialsofstrategic

Tools

117

planninginhealthcare.Chicago,HealthAdministration

Press,pp.91-97.

Newton,PaulandNewton,Helen,(2013)SWOTanalysis:

strategyskills,s.l.,FreeManagementEbooks(FME).

Tools

118

Diagramsandtools

Figure21:IllustrationofbasicSWOTanalysisset-up

Intro: 4

Opportunities

Threatsexternal environmentof organization or area

SWOTAnalysis

Strengths

Weaknesses

internal environment of organizationor area

-

+

Tools

119

Tool 11: Problem tree tool

Phase Phase2:Wherearewegoing?Visionandstrategicobjectives

Sub-phase Sub-phase2.1:Visioningandbuildingconsensusonkeythemes

Nameoftool Problemtreeanalysis

Objective Theobjectiveofproblemtreeanalysisistounderstandthe

natureofproblemsoropportunities,theircausesorrootsand

theireffects.Theanalysisformsastrongbasisforsetting

objectives.


Theprocessofdevelopingaproblemtreenormallytakeshalfa

day.


Thetoolisverysuitabletouseaspartofaparticipativeprocess.

Itallowsallparticipantstoputforwardtheirideasandforthem

tobeorganizedinaclearunderstandablemanner.Ithelpsbuild

astrongfoundationforlaterstagesoftheplanningprocess.


Theteamorganizingtheplanningprocessshouldarrangethe

process.Itisapparentlysimple,butshouldbeledbyaskilled

moderator.Itiseasyforparticipantstoplayausefulrole.Itis

importanttoengagestakeholdersintheactivitytoensurewide

supportfortheissuesbeingtackled.

Target/beneficiary

Allstakeholdersgainfromagoodprocessasissuescanbeput

onthetableatanearlystageintheprocess.

Descriptionoftool Thetoolmapsouthierarchiesofcauseandeffectrelatingtothe

mainissues–problemsandopportunities–facingacityora

community.Itismostcommonlycarriedoutusingcardsand

pin-boards,butcanalsobedoneusingcomputerprogramsand

Mindmapping(seeMindmappingtool).Thisdescription

assumesthatcardsarebeingused.

Step1Identifykeyissues.Organizeameetingoftheplanning

teamwithrepresentativesofmajorstakeholders.Thisshouldbe

akeymeetinginaplanningprocess.Allparticipantsshouldbe

given3cards(orA4sheetsofpapercutinto3)andmarkers.In

thismeetingintroducethemainissuesfacingthecitybasedon

priorresearch.Eachparticipantwritesoneachoftheirthree

cardsoneofthethreeissuestheyconsidermostimportantfor

thecity.Theythenpintheircardstosheetsheadedbythepre-

identifiedissuesoronsheetsfor“otherissues”

Step2groupscarryoutproblemtreeanalysisfocussedonthe

priorityissuesfoundForeachtopicagroupissetuptocarryout

theproblemtreeanalysis.Eachgroupshouldhaveafacilitator.

Step2agroupmemberswritedownwhattheyfeelthe

problemsareconnectedtothemaintheme(forexample,high

unemploymentmaybethethemeforagroup).Oneproblem

(oropportunity)ononecard–withlargeletterssothatthe

groupcanreadfromadistance.(15minutes)

Tools

120

Step2bpreliminaryproblemtree.Thecardsareplacedonthe

pinboard–groupedtogetherwhenthesame,andarrangedso

thatcausesareatthebottomandeffectsatthetop.Theaimis

toidentifythecoreprobleminthemiddle.Additionalcards

shouldbeaddedrefiningcausesandeffects.Forexample,

unemploymentcouldbeinfluencedbypoorinfrastructure,poor

educationandtrainingandalsobyexternalmarketconditions.

(30minutes)

Step2cidentifythecoreproblem.Trytoidentifythecore

problemandtestitbyapplyingthequestionsshownintableX

below.Discussandrefinethecoreproblem.

Step2dreportingandamalgamatingTheteamsreportontheir

findings.Themoderatorpresentstheconclusions.Photographs

shouldbetakenofthefinalproblemtreessotheycanbe

recordedaspartoftheplanningprocess.


Advantages(+)

+ Issuescanbeidentifiedandagreed.

+ Rootcausesofproblemsareidentified–whichlater

becomethefocusofactionsinactionplans.

+ Themethodencouragesinter-sectoralthinkingand

action.

+ Opportunitiescanbeintroducedaswellasproblems.

+ Theeffectsareidentifiedwhichhelpsinbuilding

politicalsupportforaction.

+ Itformsastrongfoundationforobjectivesetting.

Disadvantages(¾)

— Ittakestime,organizationandagoodfacilitator.

— Ifnotwellfacilitateditcanstrengthenpre-conceptions.

— Focustendstobeonproblems(itis,afterallcalled

problemtreeanalysis).

Relatedtools SWOTanalysiswillalreadyhavebroughtupinternalandexternalproblemsandopportunities.Thisallowslogical

cause/effectrelationshipstobethoughtthrough.

SMARTobjectives.Coreproblemscanbeturnedintocore

objectivesandthenimprovedthroughuseforSMARTobjective

tests.

Logicalframework.Thelogicalframeworkusesthesame

cause/effectlogic,sotheproblemtreeanalysishelpstoseta

goodbasis.

Monitoringandevaluationtools.Thesetoolslinkbackintoobjectivesandproblemsandissues

Stakeholderanalysis.Linkstothequestionsofwhoseproblemit

is

Mindmapping.Atooltothinkthroughconnectionsbetweensubjects–canbeusedforproblemanalysisandalsofor

planning.

Tools

121



MDF(2005)MDFTool:problemtreeanalysis,Ede,MDF.

Roberts,B.H.(2015)Toolkitforrapideconomicassessment,

planninganddevelopmentofcitiesinAsia,Manila,Asian

DevelopmentBank(ADB).

UNCHS(1991)Guideformanagingchangeforurbanmanagers

andtrainers,(Trainingmaterialsseries)Nairobi,UnitedNations

CentreforHumanSettlements.

URBACT(2013)UrbactIIlocalsupportgrouptoolkit,Saint-

Denis,URBACT.

Diagramsandtools

Figure22:Problemtreeexample


Problemclarification

Thefollowingquestionsaredesignedtohelpyouthinkthroughyourproblem.

Relations between problemsThe problem tree: example

mismatch betweensupply and demand for water

harm totourist industry

limitedfinance

high usagelimited supply

limited groundwater

periodic watershortage

Leakage in system

No water meters

wastefulhabits

limits on new housing

unwillingnessof industry to

invest

unemployment

healthproblems

attitudes

Effe

cts

Roo

ts

Core problem

Tools

122

Table11:ProblemanalysisquestionsKeyquestions1Whatistheproblem?(Writearoughdescriptionandunderlinekeywordsand

phrases)

2Whyisitaproblem?Whatwoulditlooklikeifitweresolved?

3Whoseproblemisit?Whoownsit?

4Whowouldbeinterestedinasolution?-Nameindividuals/organisationswhomight

bewillingtoputsomeeffortintofindingasolution.Whowouldbethemost

importantpersonorgroup?

4Whereisitaproblem?Thewholetown/partofthetownorpartofthesurrounding

district?

5Whenisitaproblem?Specialtimeofday?Seasonal?

6Howlonghasitbeenaproblem?Weeks?Months?Years?

7Areyoudealingwiththerealproblem?Itmaybeasymptomofabiggerproblemor

asolutiontoaproblem.Ifitiseither,gobacktoquestionno.1andredefinethe

problem

8Whatwouldhappenifnothingwasdoneabouttheproblem?

Note:Thisexerciseisadaptedfromchartsincludedin"Guideformanagingchangeforurbanmanagersandtrainers",UNCHS1991

Tools

123

Tool 12: Linkage analysis tool

Phase Phase3:Howarewegoingtogetthere?Strategy

formulation

Sub-phase Sub-phase3.1:Developstrategicoptionsandprioritisation

Nameoftool LinkageAnalysis

Objectives Linkageanalysisisusedtoexploretheconnectionsbetween

objectivesandpotentialactivitiesandbetweenthe

activitiesthemselves.

Theobjectivesoflinkageanalysisare:

§ Toidentifywherepotentialactivitieshavestrong

positiverelationshipstoobjectivesandother

activities(cancreateasynergy),or

§ Havestrongnegativerelations(cancreatea

conflict)betweenobjectivesandotheractivities.

Thisallowstheteamtoseewhichactivitiesshouldbe

connectedinlocationand/ortiming.

Timerequired Thiscanbecarriedoutin2-3hours,dependingonthe

complexity.



Usetoolto:

ü Toexploretheconnectionsbetweenpotential

activitiesalreadyproposedordevelopedduring

brainstorming

ü Toensurethedevelopingstrategykeepsfocussed

onobjectives


Theplanningteamwillberesponsibletoorganise,if

possibleusinganeutralmoderator.Itisgoodtoworkon

thiswithparticipationofthesamepeopleinvolvedinother

majorstepsoftheprocessi.e.technicaldepartments,

infrastructureorganizations,residents’representatives–

accordingthenatureofthepotentialactivities.

Target/beneficiary Theteaminvolvedindevelopingthealternativestrategies.

Descriptionoftool § Thetoolisusedtogetherwiththemappingofpotential

activities.Thisallowslocationbasedlinkagestobe

seen.

§ Thepreparationofthelinkageanalysishasthe

followingsteps:

§ Step1.Locateanyofthepotentialactivitiesidentified

onamapthatcoversthecityatscalesufficienttobe

abletolocatesitesbutstillcoverthewholecity.

Tools

124

§ Step2.Usingthetablebelowasaguidemakeawall

chart.

§ Listthemainactivitiesthathavebeenidentifieddown

thelefthandside(rowheaders),andalongthetop

(columnheaders).

§ Listthemainobjectivesofthestrategicplan–butonly

onthelefthandside

§ Blankouttheconnectionboxeswherethesameitems

connect

Step3.Foreachpairofconnectionsineachboxmarkthe

relationshipasfollows:

§ Positiverelationship:whereoneprojecthelpsanother

(iscompatiblewith)orsupportstheother:strong:++,

slightly:+

§ Negativerelationship:whereoneprojectinterferes(is

notcompatible)withtheother:strong:--,low:-.

§ Neutralrelationship:markwith0

Step4.Foreachpairwherethereisastrongrelationship

writeashortnote(table2)indicatinghowbenefitscouldbe

obtainedorproblemsminimized.Examplescouldinclude

integratedspatialplanning,coordinationoforganization,

linkwithtaxation,coordinatedtiming.

Step5.Rateeachoftheactivitiesagainsttheobjectives.

Theresultisidentifiedgroupingsofactivitieswhichwill

helpwiththeformulationofalternativestrategies


Advantages(+)

+ Introducesthespatialdimension

+ Helpstheteamexplorepotentialsynergies

+ Helpsavoidconflictingactivities

+ Keepsafocusonobjectives

+ Relativelyquick-takeshalfaday

Disadvantages(¾)

— Anadditionalstep,butonenormallyworthwhile

Relatedtools LinkageanalysishasastrongrelationshipwithGAM,butis

carriedoutaspartofdevelopingstrategiesratherthan

testingandcomparingstrategies.

Referencesandfurther

resources

ThismaterialwasdevelopedoriginallybyIHSandDPU.Itis

includedinthedraftguidelinesforsustainableurban

developmentpreparedfortheEuropeanCommission


EuropeanCommission(2002)Towardssustainableurban

development:astrategicapproach,(Consultative

guidelinesforurbandevelopmentco-operation),Brussels,

EuropeanCommission.

Tools

125

Diagramsandtools

Figure23:Proposedset-upforlinkageanalysisProjectormajoractivityandobjectives

1 1

2 2

3 3

4 4

5 5

6 6

7 7

8 8

9 9

10ObjectiveA 1

0

11ObjectiveB 1

1

12ObjectiveC

Source:ForbesDavidson,IHS

Ineachboxmarktherelationshipasfollows:Positiverelationship:whereoneproject

helpsanother(iscompatiblewith)orsupportstheother:strong:++,slightly:+Neutral

relationship:0Negativerelationship:whereoneprojectinterferes(isnotcompatible)

withtheother:strong:--,low:-.

ImplicationsWherestrongpositiveornegativerelationsareindicated,notethemina

simpletablelikethatbelowwithabriefnoteoftheirimplicationsfordevelopingthe

project.Thiswillprovideaninputtodevelopingandappraisingtheproject.

Strongrelationship Whatbenefitor

problem,andfor

whom?

Implicationforstrategy–howto

maximizebenefitorminimizerisk

Tools

126

Tool 13: Brainstorming

Phase Phase2:Wherearewegoing?Visionandstrategicobjectives

Sub-phase Sub-phase2.2:Setstrategicobjectives

Nameoftool Brainstorming

Objectives Brainstormingisusedtodevelopactionideasbasedonearlier

analysisusingtoolssuchasforce-fieldanalysis(Tool9).

Specifically,it:

§ stimulatesthedevelopmentofarangeofpossibleactions

andstrategieswhichpotentiallycanmeettheoriginally

definedobjective

§ encouragesthinkingoutsideofthenormalorroutine

approaches

§ Facilitatesparticipationandideasfromstakeholdersnot

normallyinvolved


Usethetool:

ü Todevelopactionideas

ü Asabasefordevelopingstrategicoptions

ü Canbeusedwithatechnicalteam,butshouldalsobe

usedwithawidergrouptodevelopmoreideas

ü Withstakeholdersinawellmoderatedparticipation

meeting


Theplanningteamshouldorganizeamoderatedsessionaspartof

theplanningprocess.Themainstakeholdersshouldagreethe

contents

Target/beneficiary

§ Planningteam

§ Everyoneparticipatingintheplanningprocess

Descriptionoftool

Therearetwomainformsofbrainstorming—oralandwritten.

Theyaresimilar,exceptthatthewrittenformstartswitheach

individualwritingideasdownfirst.Thisencouragesmoreareasof

thought,andisconsideredtobeamoreproductiveform.

Ideasarewrittenoncards–thisisuseinthemeta-planapproach.

Therearesimple,butimportantruleswhichareexplainedinthe

exercise.

§ Step1:Themainareaswhereactionisnecessaryareidentified.

TheseareidentifiedusingtoolssuchasForce-FieldAnalysis(Tool

9).Forexample,lackoffinancemightbeidentifiedasanarea

limitingaction.Thiscanthenbecomeanareaforbrainstorming

§ Step2:Groupareaswhereactionideasareneeded.Typical

groupswouldinclude:

§ Resources

§ Institutionalcapacity

§ Physicalapproaches

Tools

127

§ Preparelargesheetsofpaperonawallandputtheheadingona

card.

§ Step3:ProvideparticipantswithcardsorA4sheetsofpaperand

markersandaskthemtowriteoneideaononecard

§ Step4:Remindparticipantsofthebrainstormingsessionwhat

problemistobetackledandgive3minutestocomeupwithideas

§ Step5:Askparticipantstofixtheircardsonthesheetsofpaper

§ Step6:Themoderatorgoesthroughtheideas/groupsthemand

stimulatesmoreideasdirectlyfromtheparticipants.Heorshe

canalsouseprovocations(crazyideas)tostimulatethinkingin

newdirections.Theroleofthemoderatorisimportant.For

example,participantsmaycomewithideasofhowtogetmore

resourcesbutthenbestimulatedtothinkofideasofhowto

improveefficiency.


Abrainstormingsessionshouldbemanagedasahigh-intensity

highenergyactivity.Emphasisshouldbeonkeepingmomentum

andflowofideas.Whenideasdryup–moveon.Dependingon

thenumberofactionareasitmaytakeabout3hours.Itmaybe

necessarytomanagethetimewithinwhatisrealisticallyavailable.


Advantages(+)

+ Thetoolcanstimulateusefulandcreativeapproaches

+ Thetoolisrelativelysimple

+ Awellmoderatedsessioncanbefunandbuildsownership

+ Ithelpsbuildsupportforapproacheswhichwillbefurther

developedaspartofastrategy

Disadvantages(¾)

— Althoughapparentlysimple,itisnoteasytodowell

— Forsuccessitrequiresaskilledandknowledgeable

moderator

— Maynotworkwellincertaincultures

Relatedtools BrainstormingisoftenusedafterForceFieldAnalysisandasan

inputtostrategydevelopment.

Mindmappingcanbeusedtoshowtheconnectionbetween

actionideasandalsoasanalternativewaytoorganize

brainstorming.Themindmapcanbeprojectedonascreenand

participantideastypedindirectly.Thisisquickandtheresultscan

easilybedistributed.

Wellmoderatedfocusgroupdiscussionscanalsobeused.Again,

thequalityofmoderationisveryimportant.



UN-Habitat(1989)Communityparticipationinproblem-solving

anddecision-making(2):leadership,Nairobi:UN-Habitat.

Tools

128

Tool 14: SMART objectives

Phase Phase2:Wherearewegoing?Visionandstrategic

objectives

Sub-phase Sub-phase2.2:Setstrategicobjectivesandbuildconsensus

onstrategicdirections

Nameoftool SMARTobjectives

Objectives Theaimofthetoolistoencouragethedevelopmentof

objectives,whichwillprovideagoodbasisforproject

developmentandlaterevaluation.


Usetoolto:

ü Refineobjectivesandmakemeasurable

Mainactor(s)responsibleandparticipating

Theplanningteamisresponsible.Thisisanactivitywhere

thedevelopmentofthesmartobjectivesisbestdonebya

planningteam,buttheresultshouldbediscussedand

agreedwithawiderrepresentativegroup

Target/beneficiary § Theplanningteam

§ Thewiderparticipatorygroup

Descriptionoftool § SMARTstandsforfiveimportantqualitiesofobjectives

relatingtourbandevelopment.Objectivesshouldbe:

§ Specificintermsofplace

§ Measurableintermsofwhatistobeachieved(nothowtoachieveit)

§ Acceptable.Thismeansthatanobjectiveshouldbe

acceptedbykeystakeholders.Theprocesstoset

andagreetheobjectiveshouldbeparticipatoryto

maximizeacceptance.(notesomesourcesuse

“Achievable”butthatisverysimilarto“realistic”)§ Realistic.Itshouldbepossibletoreachthe

objectivewithregardtoresourcesincludingfinance

andorganizationalcapacity§ Timebound.Itiscriticalthatobjectivesarerelated

toameaningfultimeframe.Thetimeframeshould

itselfbelinkedtopoliticalandsocialrealitiesaswell

astophysicaldevelopmentaspectsTheprocesstodevelopSMARTobjectivesgoesthroughthe

followingsteps:

§ Step1Thestartingpointofthistoolistheinitialor

draftobjectivedevelopedthoughanothertool.

ProblemTreeAnalysis(toolXX)isrecommendedfor

this,butisnottheonlymeans.ProblemTreeAnalysis

enablescoreproblemstobeidentified.Thesecanbe

turnedintoobjectives.Forexample,aproblem

identifiedas“noaccesstobasicinfrastructureina

Tools

129

certainarea”couldbeturnedintothebroadobjective

“ensureaccesstobasicinfrastructureinacertainarea”.

§ Inaddition,itisimportanttolookatobjectiveswhich

maybedevelopedfromthevisioningprocessand

SWOTanalysis.

§ Step2Makeeachobjectivespecificbyadaptingitso

thatitanswersthefourquestionslinkedtoSMART.This

canbedonebyindividualparticipantswithsuggestions

writtenoncardsorsheetsofpaper(seeMetaplantool

XX).Ifusingcardsorpaper–pinorstickonawall/

whiteboard/flipchart

§ Step3Discussandrefineeachobjectiveuntil:

§ ItmeetstheSMARTcriteria

§ Groupmembersagreeontheobjectiveandits

formulation

Totaltimerequiredforuseofthetool

Objectivesettingisfundamentalforthedevelopmentofa

strategy,andismoredifficultthanitappears.Allowhalfa

dayforaparticipativeexercise.


Advantages(+)

+ Itiseasytoremember

+ Helpscreateasoundfoundationtostrategy

development

Disadvantages(¾)

— Althoughitlookssimpleitisdifficulttodowell

(appliestoallobjectivesetting)

— SMARTrepresentsonlyalimitedselectionof

questionsaboutthequalityofanobjective.Other

listsaremorethorough.

Relatedtools ProblemtreeanalysisisausefulstartingpointSWOTanalysisidentifiesissueswhichcanbereformulated

intoobjectives

Visioningtoolsprovideawideframework

Referencesandfurthersources

TheversionofSMARTdescribedhereisdevelopedforIHS.

Theattachedtableisanadaptationofmaterialin


UNCHS(1991)Guideformanagingchangeforurban

managersandtrainers,(Trainingmaterials)Nairobi,United

NationsCentreforHumanSettlements.

Tools

130

Tool 15: Project programming sheet

Phase Phase3:Howarewegoingtogetthere?Strategyformulation


Nameoftool Projectprogrammingsheet

Objectives Theprojectprogrammingsheetisatoolthathelpsthe

processoftranslatingtheSMARTobjectivesintostrategic

options,whichareconcreteprogrammesandprojects,

through:

• Identifyingumbrellaorganizationsovergroupsof

relatedproject;or

• Coordinatinganumberofrelatedprojectsovertime

todeliverbenefitstotheorganization.

Programsareusedtocategorizehugeworkeffortsinto

smallersetofrelatedprojects,someofwhichareexecuted

sequentially,whileothersareexecutedinparallel.


Useprojectprogrammingsheet:

ü Whenidentifyingstrategicoptionsforthe

implementationoftheSMARTobjectives.

ü Whenidentifyingprojectsthataddressthe

problems/developmentneedsidentifiedinthe

situationanalysis.

ü Whencoordinatingthematicallyandspatiallythelist

ofprojectsthathavebeenidentified.


Membersoftheplanningteam,supportedbymembersof

municipaldepartments,andtechnicalexpertswhose

expertiseisconsideredusefulforspecificprojects

Target/beneficiary • Municipaldepartments–responsiblewithproject

implementation

• Projectbeneficiaries–communityresidents,other

stakeholders’groups,etc.

Descriptionoftool Todevelopaprojectprogrammingsheet,theplanningteam

shouldgothroughthefollowingsteps:

Step1.Reviewthelonglistofprojects

Theteamwillgothroughthelistofprojects

identified/collectedfromthecommunityandstakeholders’

groups.Thisstepisimportantforcheckingiftheprojects

respondtotheactualneeds,ifthereareneedsthathavenot

Tools

131

beenaddressed(andadditionalprojectsareneeded),orif

redundantprojectsneedtobeeliminatedfromthelist.

Step2.Coordinateprojects

TheteamwillcoordinatetheprojectswiththeSMART

objectives,andamongthemselves,accordingtotheirtheme

andtotheirspatiallocation.Acertainnumberofproject

categorieswillresultforeachSMARTobjective.These

categoriesarethedevelopmentprograms.

Step3.Fillintheprojectprogrammingsheet

Theteamwillfillinthesheetattached(table1),whereunder

eachSMARTobjective,willwritedownthenameofthe

programs,andthelistofprojectsthatbelongtoeach

program.Foreachprojectsomebasicinformationisneeded,

suchas:aprojectcode(tobeeasilyfundintheprojectlist),

title,location,briefdescriptionofprojectcomponents.


Accordingtothenumberofprojects,todevelopproject

programmingsheetsforallSMARTobjectivesmighttake1-2

days.


Advantages(+)

+ Theprojectprogrammingsheetisausefultoolfor

organisingprojectsandensuringthelogicsequence

vision–objectives–programsandproject.

+ Itisalsoaninstrumentthatprovidesabasisfor

furtherprioritizationofprojects.

Disadvantages(¾)

— Itistimeconsuming,anditrequiresprofessional

expertiseandconsultation.Itisdifficultsometimesto

differentiatebetweenabigprojectandasmall

program,andclarityaboutthecontentofprojects

mightbelackingatthisstage.

Relatedtools Projectprioritisationtool

Logicalframework(logframe)



Racoviceanu,S.Constanta;C.,andMarius;C.,etal.(2016)

TheintegratedurbandevelopmentstrategyforthePloiesti

growthpole:2014-2020.Washington,WorldBank.


Pennink,C.andRacoviceanu,S.(eds.)(2013)Integrated

PlanningandUrbanstrategies(IPUS):participantshandbook,

Tools

132

Rotterdam,InstituteforHousingandUrbanDevelopment

Studies(IHS).

Diagramsandtools

Table12:Projectprogrammingsheet

Title

ofSMAR

Tob

jective:

Programtitle:

Project

number

andproject

code:

Projecttitle: Location: Projectdescription

(mainthemes):

1

2

3

n

Programtitle:

Project

number

andproject

code:


(mainthemes):

Programtitle:

Project

number

andproject

code:


(mainthemes):

Source:IHSRomaniatrainingmanualonIntegratedplanning(2010)

Tools

133

Tool 16: Logical framework


Sub-phase Sub-phase3.3:Strategicactionplanning

Nameoftool LogicalFramework(Logframe)

Objectives Thelogicalframeworkprovides,inashortandclearform,the

mostimportantaimsandmeasuresofastrategyorproject.At

thetimeofdesign,itclarifieswhathasbeenagreed.After

implementationitprovidesabaseforevaluation.

Specifically,it:

§ Clarifiestheoverallgoal

§ Specifiesthemainobjectives

§ Identifiesthekeyactivitiestoreachtheobjectives

§ Clarifiestheassumptionsandrisks

Underwhichcircumstancestousethetool.

Usethetool:

ü Todiscussandagreethemainmeasuresofastrategy

orproject

ü Asabasefordesigningandimplementinga

monitoringandevaluationprocess


Theplanningteamshoulddeveloptheframeworkonthebasis

ofobjectivesdevelopedinaparticipativemanner.Themain

stakeholdersshouldagreethecontents


§ Allparticipatingintheplanningprocessandall

beneficiaries

Descriptionoftool § Thetoolformsastandardsummaryofthekeymeasuresof

aproject.Assuchitisusedbymanydevelopment

agenciesasarequiredpartoftheprocessbecauseitgives

aclearframeworkforagreementandabasisfor

monitoringandevaluation.Thepreparationanddiscussion

ofthetoolisimportantinensuringthereisclarityand

agreement.

§ Thelogicoftheframeworkontheverticalaxis(going

down)isthatthebroadgoalsidentifiedatthetopare

progressivelyrefinedintoobjectivesandthenactions.On

thehorizontalaxisthemeansofmeasurementare

identifiedandalsotheassumptionsconcerningavailability

ofresourcesandrisks.

§ Preparationgoesthroughthefollowingsteps:

§ Step1Readthedefinitionsofthedifferentelementsinthe

logicalframeworkandensurethatthoseinvolved

understandthem.

§ Step2Theplanningteamfillsintheformhelpedpartlyby

theoutputsofothertools,forexampleSMARTobjectives.

Tools

134

§ Step3Thecompletedframeworkisdiscussedandagreed

withthewidergroupofparticipativeplanningstakeholders

toensurecommonunderstandingandagreement.

§ Step4Onceagreedtheframeworkformsthebasisof

agreements,monitoringandevaluation.Theidentified

risksandstatedassumptionsformthebasisofflexibilityin

implementation.


Thetimetakentofilltheformdependsonwhetherallthe

backgroundworkhasbeendone.Foraplanningteamitmight

takehalftooneday,dependingonlevelsofagreement.Asa

toolforaparticipativesession,allow2-3hourstodiscussand

hopefullyagree.Itmaytakelongerifissuesarecontentious.


Advantages(+)

+ Thedocumentisclearandconcise

+ Itfocusesattentiononthemostimportantelements

+ Itisfunctionalasabasisforclarityandagreement

+ Itformsaclearbasisformonitoringandevaluation

Disadvantages(¾)

— Althoughapparentlysimple,itisnoteasytodowell.

— Iftheentrypointisproblemanalysis,toomuch

attentionmaygotheproblemsratherthan

opportunities

— Intheoryflexible(risksandassumptionsareexplicit)

buttheremaybebureaucraticinflexibilitytochanges

inactivitiesandtargetslosingflexibility.

Relatedtools ThelogicalframeworkusesasinputsSMARTobjectivesandthestrategyandactionplansdevelopedusingtoolssuchasforce-fieldanalysis,brainstormingandlinkageanalysis.Itisalsothebasisofworkingwithmonitoringandevaluationtools.



DFID(2003)ToolsforDevelopment:ahandbookforthose

engagedindevelopmentactivity,London,Performanceand

EffectivenessDepartment,DepartmentforInternational

Development.

Thisisausefulpracticalguide


GOPP,SIPUInternational,Davidsonetal.(2011)Toolkitfor

strategicplanningforGovernoratesandMarakez,Cairo.

Tools

135

Diagramsandtools

Figure24:Samplelogicalframework

Table13:Logicalframework-descriptionofcontents

Narrative VerifiableIndicator(s) MeansofVerification Assumptions,preconditions,risks

GoalThebroader(national,

sectoralorprogram

level)development

impacttowhichthe

projectcontributes

Measuresofthe

extenttowhicha

contributiontothe

goalhasbeenmade

(usedduring

evaluation)

Sourcesofinformation

andmethodsusedto

collectandreportit

Purpose:Thedevelopment

outcomeexpectedat

theendoftheprojectto

whichallcomponents

willcontribute

Conditionsattheend

oftheproject

indicatingthatthe

Purposehasbeen

achieved(usedfor

projectcompletion

andevaluation)


andmethodsusedto

collectandreportit

Assumptions

concerningthe

purpose/goallinkage

Intro: 15

StructureofalogframeObjectives,purpose,etc.

Baseline(thestartingsituation)

PerformanceIndicators

MeansofVerification Assumptions/Risks

TheLong-termoverallobjective(goal):

Short–term,specificobjective(outcome):

Results(Outputs):

Activities: Inputs Costs Assumption/risksActivity1:

Activity2

Activity3

Activity4

Activity5

Tools

136

Narrative VerifiableIndicator(s) MeansofVerification Assumptions,preconditions,risks

ObjectiveThespecificoutcomeof

eachproject

component,achievedas

theresultofdelivering

specificoutputs

Measuresofthe

extenttowhich

component

objectiveshavebeen

achieved(usedduring

review&evaluation)


andmethodsusedto

collectandreportit

Assumptions

concerningthe

component

objective/purpose

linkage

Output(s)Thedirectmeasurable

results(goodsand

services)oftheproject

whicharelargelyunder

projectmanagement’s

control

Measuresofthe

quantityandquality

ofoutputsandthe

timingoftheir

delivery(usedduring

monitoringand

review)


andmethodsusedto

collectandreportit

Assumptions

concerningthe

output/component

objectivelinkage

Inputsandoutputs

ActivitiesThetaskscarriedoutto

implementtheproject

anddeliverthe

identifiedoutputs

Inputssuchasbudget

allocationscanbe

listedhereaswellas

outputs

Implementation/work

programtargets

(usedduring

monitoring).


andmethodsusedto

collectandreportit

Assumptions

concerningthe

activity/output

linkage

Source:AdaptedfromGOPPetal201131

31GOPP,SIPUInternational,Davidsonetal.(2011).Cairo:Toolkitforstrategicplanning

forGovernoratesandMarakez.

Tools

137

Tool 17: Goal Achievement Matrix (GAM)


formulation


Nameoftool GoalAchievementMatrix(projectprioritisation)

Objective TheGoalAchievementMatrix(GAM)isatoolthatfacilitates

theprocessofprojectprioritisation.DuringCDSformulation,

theplanningteamwillbefacedwithalonglistofproject

options,andtheywillhavetoprioritisethem,inanobjective

andtransparentway.Thiswillrequireworkingwithamulti-

criteriadecisionmakingprocesstochoose.

Whentousethetool UseGAMtool:

ü Whentheprogrammesandprojectsareformulated,

andthereisalonglistofprojects,whichcannotbe

implementedentirely.

ü Whenbuildingaparticipativeprocessfor

prioritisationofprojects,byinvolvingstakeholders

fromthesectoral/thematicgroups.



municipaldepartments,themayorandcitycouncil

representatives,aswellasthematicstakeholders’working

groups

Target/beneficiary § Municipaldepartments–responsibleforproject

implementation

§ Projectbeneficiaries–communityresidents,other


Descriptionoftool TheGAMtooloperatesascoringcalculationonalonglistof

projects(usuallyinanExcelsheet,ifavailable),basedona

setofobjectivecriteria.Forthisreason,aprioritizationteam

(i.e.theplanningteam,supportedbythematicworking

groups)willgothroughthefollowingsteps:

Step1:Determinecriteriarelevanttothestrategy

§ Themostimportantpointisthecriteriachosenfor

assessment.Theprioritizationteamwilldiscussand

selectthecriteriarelevantforthestrategy,criteria

whichhelpachievingthestrategicobjectivesalready

formulated.Thesecouldinclude:

- Focusontheobjective

- Technicalfeasibilityoftheproject

- Financialfeasibility(resourceavailability)

- Commitmentfromkeydecisionmakers

- Co-ordinationwithotherprojects

- Others

Tools

138

§ Step2:Selectweightsandscoringindicators

§ Criteriacaneitherbeallgiventhesameimportance,

orweight,ortheycanbedifferentiallyweighted.For

example,iftheoverallstrategyisaimingtoimprove

livingconditionsforthepoor,thenacriterionwhich

indicatesstrongtargetingofthepoorshouldgeta

higherweightthanacriterionrelatedtovisual

appearance.

§ Theprioritizationteamwillfillinthetable1below.

Onthetoparethecriteria.Below,thecharacteristics

ofeachcriteriontobemeasuredaredescribed,in

threelevels.Seetheexampleintable1a.

Step3:FillintheGAM

§ Usingtheresultsofstep2,theprioritizationteam

willfillintheGAMintable2.

Step4:Concludetheassessment

Theprioritisationteamwilldiscusstheresults,

applyingcommonsense.Dotheresultsseemto

makesense?Ifnot,whynot?Perhapssomeofthe

criteriaorweightingsdonotmakesense.Basedon

thesediscussionstheycantrytoadjustweightings

andseewhathappens.Ifcommonlydecided,

weightingscouldbechanged.Butingeneralterms,

resultsneedtobecombinedwithadditional

prioritizationtools.


Advantages(+)

+ GAMisahighlyvisible,transparenttooltoselect

priorityprojects,allowingabroadparticipationof

stakeholdersinthematicgroups.

+ Asthecriteriausedtochooseprojectsisdecidedina

transparentmannerbythepeopleinvolved,thereis

nofeelingonthepartofstakeholdersthatprojects

werechosenindiscriminately.

Disadvantages(¾)

— Itistimeconsumingandneedstechnicalexpertise

(touseExcelsheets)inordertointegratethe

prioritizationresultsfromvariouspersons,and

variousworkinggroups.

— Itstillprovidesroomforsubjectivebias,asthefinal

scorecouldsometimesleadtodecisionswhichare

notsupportedbythecommunity(orbythedecision

makers).Criteriamightneedreadjustment,or

additionalprioritizationtoolsshouldbeusedaswell.

Relatedtools ThistoolislinkedtotheLinkageanalysistoolandtheImpact

AssessmentMatrix,astheyallarecomplementarytoolsfor

projectprioritisation.

Tools

139

Diagramsandtools

Table14:GAMscoringcriteriaGroups Weight Project1 Project2 Project3 Project..nProjectname

EXAMPLE Criterion:Coverage 5 Score Score Score Score

100% 4 4 4 4

75% 2 2 2 2

50% 0 0 0 0

Criterion: Score Score Score Score

4 4 4 4

2 2 2 2

0 0 0 0


4 4 4 4

2 2 2 2

0 0 0 0


4 4 4 4

2 2 2 2

0 0 0 0


4 4 4 4

2 2 2 2

0 0 0 0



Racoviceanu,S.Constanta;C.,andMarius;C.etal.(2016)

TheintegratedurbandevelopmentstrategyforthePloiesti

growthpole:2014-2020.Washington,WorldBank.

Tools

140

Table15:Exampleofscoringcriteria

StrategicObjective:

Projecttobeassessed Score Score

FocusTheprojectisfocuseddirectlyontheobjective

Theprojectwillhelpmeettheobjective,butindirectly

Theprojectisnotfocusedontheaboveobjective

4

2

0

Adequacy:Theprojectisadequatetoachievetheobjective

Itismarginalinachievingtheobjective

Itwillnotmeettheobjective

4

2

0

Feasibilityofimplementation:Theprojectisveryfeasibletoimplement

Theprojectisquestionableintermsoffeasibility

Theprojectisunlikelytobefeasible

4

2

0

Resourceavailability:Canbeimplementedwithexistingresources

Requiresgettingresourcestogetherwhichwouldbedifficult

Notpossibletogettheresourcestogether

4

2

0

Commitment:Willgetthecommitmentofseniordecisionmakers

Willbedifficulttogetcommitment

Willcertainlynotgetcommitment

4

2

0

Integration:Theprojectwillhavepositivebenefitsonmeetingotherpriorityplannedobjectives

Theprojecthasnoimpactonmeetingotherplannedobjectives

Theprojectwillhavenegativeimpactonmeetingotherplannedobjectives

4

2

0

Othercriteria:*

*Note: if other criteria are used, overall scoring should be adjusted

Tools

141

Table16:GAMcriteria,scoresandweights

Criteria/weight Projects/scoresxweights

total

Tools

142

Tool 18: Impact assessment matrices


formulation


Nameoftool Impactassessmentmatrix(projectprioritisation)

Objective Totesttheprojectsagainstrelevantcriteria


Whendevelopingstrategicoptions,thecitywillcomeup

withalonglistofpotentialprojects.Thistoolisusedwhen

prioritizingandchoosingprojectfromthislonglist.


TheCDSteam,membersoftheplanningteam,supported

bymembersofmunicipaldepartments,themayorandcity

councilrepresentatives,aswellasthematicstakeholders’

workinggroups

Target/beneficiary § Municipaldepartments–responsibleforproject

implementation

§ Projectbeneficiaries–communityresidents,other


Descriptionoftool Animpactanalysislooksatthewiderimpactoftheproject

iftheplanisimplemented.Economicfeasibilityispartof

impactanalysis.Ithasabroaderviewthanfinancial

analysis.

Otheraspectsofimpactincludeimpactonthe

environment,impactonthejobmarketorimpactonsocial

situation.

Theactorsusingthetoolwillusethetabletostimulate

discussionontheshorterandlongertermimpactsofthe

projectsineconomic,social,political,environmentaland

culturalterms.Ratingtheseimpacts,makesperceptions

duringthediscussionexplicitandiseffectivein

communicatingwiththemunicipalitytheseperceptions.

Step1:Withtheplanningteamrevieweachpotential

strategyagainstthemainheadingsinthetablebelow.

Discussboththeshorttermimpact(uptofiveyears),and

thelongerterm(20yearsplus)impactswiththeteamand

rateastowhethertheimpactislikelytobepositive,

unclearornegative.Forthesediscussionsitispreferableto

beabletorefertoproperlyexecutedimpactanalysisbutif

thesedonotexistitisstillimportanttodiscuss,andwhere

consideredimportantorlegallynecessarythenaproper

studyshouldbeorganizedasaninput.

Tools

143


Advantages(+)

+ Thistoolallowsforarapidappraisalofthesituation

+ Itsetsinmotiontheideaofdiscussingimpactfrom

differentperspectivesandmakestheseexplicit

Disadvantages(--)

— Itcanleadtoover-simplificationofcomplex

realities,iftheanalysisisnotdonewellorgood

dataisnotavailable.

Relatedtools ThistoolislinkedtothelinkageanalysistoolandtheGAM,

astheyallarecomplementarytoolsforproject

prioritization.



UNHabit(1991Guideformanagingchangeforurban

managersandtrainers,Nairobi,UnitedNationsCentrefor

HumanSettlements(Habitat).

Materialforthisnoteisadaptedfromthis.Impactassessmentrules,suchasenvironmentalimpact

assessment,differbetweencountries.Itisimportantto

checklocalregulationsOtherareasincludesocialimpactassessmentandresilienceassessment.

Tools

144

Diagramsandtools

Table17:Impactassessmentform(circletheappropriatenumber)

Impactofstrategy:

positive unclear negative

Economic Shortterm

Longterm

2

2

1

1

0

0

Social Shortterm

Longterm

2

2

1

1

0

0

Political Shortterm

Longterm

2

2

1

1

0

0

Environmental Shortterm

Longterm

2

2

1

1

0

0

Cultural Shortterm

Longterm

2

2

1

1

0

0

TOTAL

Tools

145

Tool 19: CLIMACT Prio



Nameoftool CLIMACTPrio

Objective TheaimoftheCLIMACTPriotoolistoprovidesupportto

decisionmakerstoidentifyandprioritizelocaladaptationand

mitigationactionsatacitylevel(inagivencase).Theanalysisis

undertakennotonlytoidentifyadaptationandmitigation

actionsbutalsotoprioritizewhichactionsshouldbe

implementedfirst.CLIMACTPriotoolappliesaMultiCriteria

Analysis(MCA)evaluation.


TheCLIMACTPrioToolcanbeusedtoinformreal-lifedecision-

makingonclimateadaptationandmitigationplanning.When

usedinthiscontextwerecommendtotakeatleastonedayto

runthefirsttwostepsofthetool(Formulatinganinitialwish

listofActionsandFeasibilityAssessment)andonetotwofull

daysfortheremainingsteps(Criteriaselection;Impactmatrix;

Weightingofcriteria;Finalresults).Theprocesscantakelonger

dependingontheavailabilityofstakeholders.



Theneedtotackletherisksposedbytheimpactsofclimate

changetodevelopmentandpovertyreductiongoalshas

triggeredagrowingrangeoftoolstointegrateadaptationand

mitigationintodevelopmentco-operationandplanning.Fora

longtimedevelopmentplannersandprojectmanagershave

usedawidevarietyoftoolstomanageabroadrangeof

environmentalrisks,includingthoseposedbyclimate

variability.Someofthesetoolshavealsonowbeenmodifiedto

takeintoaccounttherisksposedbyclimatechange.

Atthesametime,therehasbeenarecentemphasison

developingmorededicatedtoolswhichhaveanexplicitfocus

onscreeningforclimatechangerisksandonprioritizing

adaptationactionsinorderforlocalgovernmentstoconduct

localclimatechangeadaptationactionplans.

Thesekindoftoolscanbeusedbothforinformativedecision

makingandcapacitybuildingpurposes.Itiswithinthissetof

toolsthatCLIMACTPriotoolwasdeveloped.


TheactorresponsibletoutilizeCLIMACTPrioarediverse

dependingontheuseofthetool:

ü Mainuse:cityadaptationormitigationplanning>

Responsibleactor:thetaskforceinchargeoftheClimate

AdaptationorMitigationActionplan

Tools

146

ü Mainuse:trainingofcity/regional/nationalgovernment

officers>Responsibleactor:apublicofficertrainedtouse

CLIMACTPrio

ü Mainuse:trainingMastercoursestudents>Responsible

actor:courseleader/climateexperttrainedtouseCLIMACT

Prio

Target/beneficiary CLIMACTPrioTool’smaintargetgroupsarelocalandnational

governments,urbanplanners,citymanagers,academicand

researchinstitutionsinthefieldofclimatechangeinurban

areas.

Descriptionoftool CLIMACTPrioisaclimateawareness,decisionsupportand

capacitybuildingtoolforscreeningandprioritizingoflocal

climatechangeactions.CLIMACTPrioutilizesamulti-criteria

approachtoassistdecisionmakersandurbanplannersto

identifyawiderangeofdecisioncriteriaandsetpriorities

amongobjectiveswhileperformingananalysisandassessment

ofclimatechange(mitigationoradaptation)actions.

Thismethoddoesnotnecessarilyidentifyan“optimal”option,

butratherrequirestheusertodrawconclusionsbylookingat

differentcomponentsofthewholepictureoftheassessment

andprioritizationprocess,whileseekingaconsensusdecision

betweenstakeholderswithdifferentneeds,concerns,and

priorities.

CLIMACTPriotoolprovidesaninteractiveformattohelpusers

structureanddefinethedecisionsunderconsideration.The

toolaskstheusertoenterinformationthroughaguidedmenu

ofinstructionsandusesamenu-drivengraphicrepresentation

ofresultsfortheevaluationofclimatechangeactions.

Theuserfirstidentifiesspecificactionstobescreened

accordingtotheirfeasibilityandthenselectstheimpact

assessmentcriteriaandobjectivesthatwillbeusedtoassess

theselectedactions.Whilefollowingtheclimateactions

prioritizationprocess,theusersratestherelativeimportanceof

criteriaandassignscores(qualitativeandquantitative)to

describehoweachoptionmeetseachcriterion.TheCLIMACT

Priotoolisstructuredinsixmainsteps:

1) Identificationofpreliminarywish-listofactionsbasedoncitiesvulnerabilityprofiles,broaderdevelopment

goalsandvisions(thisstepformsthebasistousethe

tool)(Mainactors:policymakersandcityofficers)

2) FeasibilityAssessment:Consistsinthescreeningofeachactionidentifiedinthewish-listagainstpre-

definedfeasibilitycriteriaandformulationofashortlist

ofactionstotakefurtherintotheassessment(Main

actors:policymakersandcityofficers)

3) EvaluationCriteriaIdentification:Basedoncityvulnerabilityprofiles,broaderdevelopmentgoalsand

thepreliminarylistofadaptationactions,evaluation

Tools

147

criteriaareidentified.(Mainactors:cityofficersand

civilsociety)

4) Impactassessment:Consistsofexperts’judgmentsand

impactassessmentmatrixalongwithnormalizedscores

andgraphs;(Mainactors:relevantexperts/consultants

dependingonthetypeofactions);

5) Weightingofcriteria:Consistsintheweightingofcriteriabythestakeholdersandthegenerationof

relevantgraphs(Mainactors:policymakers,city

officers,civilsociety,privatesector);

6) Results:Consistsofthepresentationofweightedscores,finalrankingandthegenerationofrelevant

graphs(Mainactors:Allthosepartofprevioussteps)


Advantages(+)

+ TheCLIMACTPriofacilitatestheuseofboth

quantitativeandqualitativemeasurementscales,and

thismakesitpossibletoaddressinterdisciplinary

problemslikethoseinvolvingthemultiplesetsofvalues

andobjectivesunderlyingclimatechangeandbroader

environmentalissues.Multi-criteriaAnalysis(MCA),

offersaplatformforproblemsolvingbyreachinga

compromiseordefiningacoalitionofviews,without

dictatingtheindividualorcollectivejudgmentsofthe

partners.

+ Stimulatesdialogueandthecreationofanenvironment

wherepolicy-makersandcityofficialsscrutinizetheir

prioritiesandrecognizeexistingstrengthsandgapsbut

arealsoabletoforeseethechallengesaheadinterms

ofreachingconsensusaboutdifferentvaluesetsin

urbandevelopment.

+ Enhanceschancesofknowledgetransferand

identificationofknowledgeholdersofbothscientific

andtechnicalnaturebybothscientists(actingas

experts)andpractitioners,hencealsoconfrontingthe

twodifferentworkinglogicsthattoooftenfunction

separately.

+ Thetoolempowersstakeholdersthatuseittojustify

thechoiceofaspecificcourseofactionintheeyesof

cityleaders(e.g.mayors)forbuy-in.

Disadvantages(¾)

— Addingreliableestimatesofnon-marketvariables

— Thetoolhasacertaindegreeofsubjectivityinthe

choiceofactions,criteriaandassigningofweights.

— Bringingtogetherstakeholdersfromdifferent

governmentlevels,departmentsand/orcivilsocietyto

discussandreachaconsensusoncityprioritiesmaybe

challengingbecauseofconflictingagendas,schedules

andvalues.

Tools

148

— MCAisadataintensiveanalysis

Relatedtools Cost-EffectivenessAnalysis

Cost-BenefitAnalysis



(CLIMACTPrio)toolCapacitybuildingandDecisionSupport

tool:CLIMateACTionsPrioritization[online]Availableat::

http://www.ihs.nl/research/research_projects/climact_prio_to

ol/[Accessed11July,2016].

Olivotto,V.(2014)CLIMACTPrio:ADecisionSupportToolforCLIMateACTionsPrioritization(PresentationatResilientCities2014,5

thGlobalForumonUrbanResilienceandAdaptation,29-

31May,2014,Bonn,Germany)[online]Availableat:

http://www.blueap.eu/site/wp-

content/uploads/2014/06/CLIMACTPrio_ICLEI2014_Olivotto.pd

f[Accessed11July,2016].


Haque,A.N.;Grafakos,S.andHuijsmanM.(2012)Participatory

integratedassessmentoffloodprotectionmeasuresforclimate

adaptationinDhaka,EnvironmentandUrbanization,vol.24,no.1,pp.197–213.

Tools

149

Tool 20: Organisational change checklist


formulation

Sub-phase Sub-phase3.2:Establishprocessforcontinuousstrategy

development

Nameoftool Organisationalchangechecklist

Objective Thistoolallowskeyactorsto:

§ Discussthekeyelementsoforganisationalchange

necessarytoguidetheimplementationoftheCDS

§ Discussthepositiveandnegativeaspectsofthischange


Whenconsideringtheorganisationalchangethatwillbe

necessarytoexecuteprojects.

Thistoolfocusesontheorganisationalimplications,inlocal

government,ofexecutingaCDS.Doingthismayrequire

newrolesandresponsibilitiesandnewcapacities.

ExecutingaCDSmayrequire:

ü Thinkingthroughhowimproveserviceprovision

ü Howtoorganizerelationshipsbetweenthe

departmentstoimplementnewprojectseffectively

ü Howtoworkwithpartnersandwhatthiswouldmean

fortheorganizationsingovernment.


Mayorormayor’soffice,TheDepartmentHeads,incertain

circumstances,ProjectManagers

Target/beneficiary Municipaldepartments–responsibleforproject

implementation

Descriptionoftool Thistoolisasimpletablethatprovidesquestionstoguide

discussionsandmakingissuesexplicit.Italsoguidesthe

userinconsideringtheeffectsofchangeforthestaffand

theactionsthatwillhavetobetaken.Ithelpstoplan.

ExecutingaCDSmayrequire:

ü Thinkingthroughhowimproveserviceprovision

ü Howtoorganizethedepartmentstoimplementnew

projectseffectively

ü Howtoworkwithpartnersandwhatthiswouldmean

fortheorganisationsingovernment.

Step1:

Tools

150

Organiseafocusgroupdiscussionwithaskilledandneutral

moderator.

Step2:

Circulatethelistofquestionstoparticipantsinadvance

Step3:

Akeypersonexplainsthepotentialrequirementsarising

outofaCDS.

Tobeginthediscussion,participantsareaskedtoconsider

anddiscussthefollowingquestionsinthecontextofbeing

abletoconductandimplementaCDS.

§ Willtheworkundertakenbystaffchange(forexample

fromtheactualcollectionofwastetothemonitoringof

wastecollectionbysomeoneelse)?

§ Willtheorganisationalchangerequirenewskillsand

capacity?Shouldtrainingbeobtained?

§ Wouldtheneedsofdepartmentalcooperationrequire

newworkingrelationships?

§ Howshouldstaffwhowillbeaffectedbythe

partnershipbeinvolvedintheprocess?

§ Mightanychangestodecision-makingstructuresbe

required?

§ Mightadepartmentordivisionofthelocalgovernment

needtoberestructured,shutdownorstartedup?

§ Mightthelocalgovernmentberequiredtoretrench

stafforhirenewstaff?

Pleasealsofillinthetablebelow.Thetableasksyouto

considertheorganizationalchangenecessary,forwhom

thismighthaveimplicationsandwhattypesofimplications

thesemightbe,aswellastheactionsthatwillbenecessary

toimplementtheorganisationalchange.


Advantages(+)

+ Thistoolallowsforarapidappraisalofthesituation

+ Itsetsinmotiontheideaofdiscussing

organizationalchangefromdifferentperspectives

andmakesexplicitwhothesechangeswillaffect.

+ Ithelpstoconsideractionsthatarerequiredto

implementchange.

Disadvantages(--)

— Itcanleadtoover-simplificationofcomplex

realities,iftheanalysisisnotdonewellorgood

dataisnotavailable.

— Thenatureofchangesmaynotbecleartothe

participants

Relatedtools ThistoolislinkedtotheLinkageAnalysistoolandtheGAM,

astheyallarecomplementarytoolsforproject

prioritization.

Tools

151



UniversityofQueensland(2013)TheUniversityof

Queenslandguidetoleadingorganisationalchange,

Brisbane,UniversityofQueensland.

Tools

152

Diagramsandtools

Table18:Templateforassessingorganisationalimplications

PossibleOrganisationalChange ImplicationsforWhom? RequiredActions

Willtheworktobeundertakenby

staffchangeandhow?

_____________________

_____________________

_____________________

_____________________

Willrelationsbetweendepartments

change?

_____________________

_____________________

_____________________

_____________________

Willrestructuringberequired?

_____________________

_____________________

_____________________

_____________________

Willretrenchmentorredeployment

ofstaffberequired?

_____________________

_____________________

_____________________

_____________________

Willitbenecessarytoemploynew

staff?

_____________________

_____________________

_____________________

_____________________

Willexistingstaffrequirenew

capacities(knowledge/

attitudes/skills)?

_____________________

_____________________

_____________________

_____________________

Howshouldstaffaffectedbythe

changedapproaches,beinvolvedin

theprocess?

_____________________

_____________________

_____________________

_____________________

Tools

153

PossibleOrganisationalChange ImplicationsforWhom? RequiredActionsWillanychangestodecision-making

structuresberequired?Andhow

shouldkeydecisionmakersbe

involved?

_____________________

_____________________

_____________________

_____________________

Other?

_____________________

_____________________

_____________________

_____________________

Note:thistemplateshouldberevisedaccordingtothepotentialchangesbeing

considered

Tools

154

Tool 21: Project fiches


formulation

Sub-phase Sub-phase3.3:Strategicactionplanning

Nameoftool Projectfiches

Objective Theprojectficheisatoolthatsupportstheactionplanning

process,detailingeachprojectbriefly,andhelpingtheteam

to:

§ Formulateprojectobjectives,targetgroups,project

activitiesandexpectedresults;

§ Estimatecostsofprojectcomponents;

§ Identifyperformanceindicatorstomeasureresults

§ Determineinstitutionalarrangementsnecessaryfor

projectimplementation,monitoringandevaluation


Approximately8hoursperproject(dependingonthe

projectcomplexity)



Useprojectfiche:

§ Whentheprojectprioritizationphaseisfinalized

andthelistofpriorityprojectsisagreedupon.

§ Ifyouwanttosupporttheimplementationprocess

withadetailedprojectportfolio.

§ Whenyouprepareaprojectapplicationtobe

submittedtoafundingagency.



municipaldepartments,andtechnicalexpertswhose

expertiseisconsideredusefulforspecificprojects

Target/beneficiary § Municipaldepartments–responsiblewithproject

implementation

§ Projectbeneficiaries:communityresidentsand

otherstakeholders’groups,etc.

Descriptionoftool Theprojectficheisatoolthatisorganizedonspecific

sectorprogrammes.Oneachprogramaworkingteamtakes

thepriorityprojectsonebyoneanddetailseachproject

accordingtothetablebelowandtothefollowingsteps:

Tools

155

Step1:Projectidentification(1hour)

Theteamwilldiscusstheproject–itscontributiontothe

strategyobjectives,anditslocationcharacteristics

Step2:Projectdescription(4hours)

Theteamwillidentifytheprojectobjectives(SMART

objectives)andthetargetgroup(s).Thentheprojectwillbe

brokendownintoseveralcomponents(activities),whose

valueanddeadlineneedtoberoughlyidentified.Project

results,aswellasthespecificindicatorstomeasureresults

willbeidentifiedaswell.

Theteamwilldiscussthepotentialrisksintheproject

implementation,astheserisksmighthaveanimpactonthe

revisionoftheprojectcomponentsandprojectdesign.

Step3:Institutionalarrangements(3hours)

Theteamanddepartmentsstaffwillalsodefinewhowilldo

whatontheproject,asthismayinvolvearangeof

stakeholders.Theywillestablishinstitutional

roles/mechanismsforrelevantstakeholders,aswellas

operationalarrangementsneededforprojectfunding,

implementationandmonitoring.


Advantages(+)

+ Theprojectficheisausefultoolforproject

preparationasitidentifiestheprojectcomponents

andthenecessarystepsfortheproject

implementation.Itmightleadtotheamendmentof

theprioritylist,assomeprojectsmaybeunfeasible

ifcarefullyanalysed.

+ Itisalsoaninstrumentforprojectfundingasit

representsthefirstdraftofaprojectapplication

form.

+ Itisafirststepforanorganizationalchange

(restructuring)asithighlightsthevariousactors

thatneedtobeinvolvedandtheirspecifictasksand

responsibilities.

+ Italsounderlinesthespecificexpertisethatis

neededinthedifferentimplementationstages,and

itprovidesaninitialviewonthefurther

procurementactivities.

Disadvantages(¾)

— Itrequiresprofessionalexpertiseandaccurate

informationontechnicalaspectsandprices.Ifthis

informationiswrong,theconclusionscandistort

theimplementationdecision.

Tools

156

— Althoughitlookslikeanactionplan,itisonlyafirst,

quickassessmentoftheprojectdesign.Therefore,

theprojectficheshouldbefurtherdevelopedintoa

projectactionplan,orintoaprojectapplication,

basedonspecificrequirementsandtemplates

providedbydifferentfundingagencies.

Relatedtools Projectprioritisationtool

Ganttchart



EuropeanCommission(2012)Projectfiche–IPAMulti-

beneficiaryprogrammes/ComponentI,Brussels,European

Commission.

EuropeanCommission(2008)StandardSummaryProject

Fiche–IPAcentralisedprogrammes:Projectnumber1:

StrengtheningoftheinstitutionalcapacitiesoftheNational

BankofSerbia(NBS),Brussels,EuropeanCommission.

Diagramsandtools

Table19:Indicativecontentofaprojectfiche1.PROJECTIDENTIFICATIONPROJECTTITLE

PROJECTCODE

THEOBJECTIVETOWHICHTHE

PROJECTCONTRIBUTES

LOCATION&LOCATION

CHARACTERISTICS

LOCATIONMAP

2.PROJECTDESCRIPTIONPROJECTOBJECTIVES TARGETGROUP PROJECTCOMPONENTS ESTIMATEDVALUE IMPLEMENTATIONTIME

1

2

3

4

5

EXPECTEDRESULTS

INDICATORSTOMEASURE

RESULTS

Tools

157

POTENTIALPROJECTRISKSAND

MITIGATIONMEASURES

3.INSTITUTIONALARRANGEMENTSMECHANISMFORPOLITICAL

PROCESSANDCOMMUNITY

INVOLVMENT

RESPONSIBLEORGANISATION:

Projectmanagement

Monitoring

Evaluation

Adaptationtounexpected

obstacles

OPERATIONALARRANGEMENTS:

concession,lease,PPP,etc

Source:IHSRomaniatrainingmanualonIntegratedplanning(2010)

Note:Thistemplateshouldbeadaptedaccordingtoavailableinformationanddonor

requirements.

Tools

158

Tool 22: Gantt chart tool

Phase Phase3StrategyFormulation

Sub-phase 3StrategyActionPlanning

Nameoftool GanttChart

Objectives TheaimofaGanttchartistosequenceactivitiesinamanner

thattakesaccountofthefunctionalandtimerelationsbetween

activities,clarifiesresponsibilitiesandresourceneeds,and

makesefficientuseofresources.Specifically,thetoolisusedto:

§ Identifyconnectionsbetweenactivities

§ Clarifytimingandrelativetimingofactivities

§ Planrelativetimingrelatedtologicofactivitiesanduse

ofresources


Usetoolinparticulartoworkonactionplans,butcanalsobe

usedatabroaderlevelontheoverallstrategy:

ü Todevelopastrategyoractionplanfromabroad

collectionofpossibleactivitiestoasetofagreedand

actionabletasks

ü Tocommunicate,discussandadaptaplanofaction


Thisistypicallyatoolusedbythecoreplanningteam.Ina

participativecontextitcanbeusedbythewholegroupthatis

participatinginmajorplanningsteps.Thetooldescribedhereis

theparticipatoryform.

Target/beneficiary

§ Thecoreplanningteam

§ Thewidergroupofstakeholdersinvolvedinmajor

planningsteps

Descriptionoftool Thetoolisastapleofprojectmanagementandtherearemany

softwaretools,suchasMicrosoftProjectwhichcanbeusedata

detailedtechnicallevel.Itisalsopossibletousespreadsheet

softwareandfreecomputerbasedtools,e.g.openworkbench.

Theversionofthetoolusedhereisadaptedforuseina

participatorycontext.Thiscanbefurtherdevelopedandused

withsoftwareafterthemainparticipatoryphase.

Themainstepsareasfollows:

§ Step1.Dividestrategyintotasks.Ataskisadistinctpieceofworkthathasadefinedoutput,andastarting

andanendingpoint.Tobeabletousetaskstoplan

workyouneedtoalsobeabletodefineresponsibility,

resourcesneededandtheconnectionofatasktoother

tasks.Seesamplecard(illustration1).Aimfor15-20

maintasks.Thekeyistoidentifymaingroupsof

activitiesneededtoreachobjectives.Eachofthesecan

laterbesubdivided

Tools

159

§ Step2.Oncethemainactivitygroupsareagreedand

tasksidentified,entertheinformationoncardsorhalf

sheetsofpaper(seemodel) § Step3.Putalargesheetofpaperonawall,makea

roughtimeschedulealongthetopinweeks/months

anddowntheleftmargin,makesurethereisspacefor

themaintasksidentified(seeillustration).Fixthetask

cardstothechartusingameanssuchaspinsorpost-it

notesthatallowcardstobere-arranged § Step4Foreachtaskindicatethestartandenddate

usingPostitnotesorsimilar. § Step5Rearrangetotakeaccountofrelationships

betweentasksandtheabilitytomanagethem.


Thisactivitycanbeundertakenin3hoursto6hoursdepending

onthecomplexity.


Advantages(+)

+ Simpletouseandappropriateforparticipative

approach

+ Visibleandtransparent

+ Agreedversioncanbecapturedphotographically

Disadvantages(¾)

— Theresultsneedtobecopiedmanuallytoacomputer

basedsystem

Relatedtools TheGanttchartusestheoutputsoftoolssuchasForce-FieldAnalysisandBrainstorming.Italsoconnectstocapacityneedsassessments


ThereismuchinformationavailableondifferentformsofGantt

charts32.


Geraldi,J.andLechter,T.(2012)Ganttchartsrevisited:a

criticalanalysisofitsrootsandimplicationstothemanagement

ofprojectstoday,InternationalJournalofManagingProjectsinBusiness,vol.5,no.4,pp.578-594.Maylor,Harvey(2001)BeyondtheGanttchart:project

managementmovingon,EuropeanManagementJournal,vol.19,no.1,pp,92-100.

Wilson,J.M.(2003)Ganttcharts:acentenaryappreciation,

EuropeanJournalOperationalResearch,vol.149,no.2,pp.430-437.

32TheapproachdescribedherewasdevelopedbyForbesDavidsonforIHS

Tools

160

Diagramsandtools

Figure25:Ganttchartillustratingparticipativeprocess


Gantt chart for action plan

2 3 4 5 6 7 8 9 10 11 121

Months

Use moveable triangles of paper

Tasks going beyond one year

Responsibility

Responsibility

Responsibility

Responsibility

Responsibility

Responsibility

Responsibility

Responsibility

Responsibility

Responsibility

Task name

Carry out surveys

analyse results

Revise strategy

Finalize planning

Finalized

responsibilities

develop detailed plan

obtain approvals

construction

Monitor and review

Resources

Resources

Resources

Resources

Resources

Resources

Resources

Resources

Resources

Resources

Tools

161

Tool 23: Swim lane diagrams


Sub-phases Sub-phase3.1:Developstrategicoptionsandprioritisation

Sub-phase3.3:Strategicactionplanning

Nameoftool Swimlanesdiagram

Objectives Aswimlanediagramisusedtohelpmapaprocessandits

relationshipwithdifferentstakeholders


Usethetool:

ü Toexploretherelationshipbetweenplanningand

implementationactivitiesanddifferentstakeholders

throughthedifferentprojectphases

ü Particularlyusefultomapoutprocessesforobtaining

agreementtoproposals


Planningteam


§ Stakeholdersinvolvedinplanningteams

Descriptionoftool§ Aswimlanediagramisawaytorelatetheactivitiesina

planningprocesswiththemaininstitutionsinvolvedover

planningphases.Itisparticularlyusefulwhenacomplicated

setofapprovalsisnecessary,ofteninvolvingdifferent

organizationsandbothcentralandlocalgovernments.

§ Theworkwiththetoolcanbedonebytheplanningteam.Itis

goodtoworkthroughitwithrepresentativesofthedifferent

organisationsinvolved,sothatthereisagreementonthe

process.

§ Step1:Prepareachartwiththetimeacrossthetop,

subdividedbythefourphases.Thiscanbeonacomputer,

butforparticipationitisgoodtomakeitonalargesheet

ofpaper.Seetheexample,below,toseehowthisworksin

practice.Theexampleisforastrategicplanningprocessin

Egyptwhereapprovalofdifferentlevelsofgovernmentis

necessary.

§ Step2:Downtherighthandsideofthechartenterthe

mainactors.

§ Step3:makealistofthemainactivities.Puteachona

PostItlabelorpieceofpaper(oratextboxusinga

computer).

§ Step4:Placethelabel/boxoppositethemainorganization

thatneedstoact(initiate/develop/organize/approve)and

undertheappropriatedate/time.Drawahorizontalline

representingthetimetheactivitywilltakewiththat

organization.

Tools

162

§ Step5:Next,extendthelinevertically(upordown)tothe

nextorganizationororganizationswhoneedtoact.

Continuethroughthefourphases

§ Step6:Repeatfortheotheractivities.

§


Thisactivityshouldtakeafewhours


Advantages(+)

+ Thetoolisrelativelysimple,andusesworkthathasto

bedoneanyway

+ Thetoolmakescleartheprocessvisuallyandfocuses

onthetimenecessaryforapprovals(planningteams

areoftenover-optimisticabouthowfastexternal

decisionscanbeimplemented)

+ Thetoolworkswellinaparticipativecontext

Disadvantages(¾)

— Althoughrelativelysimple,someparticipantsmaynot

beusedtoworkingwithorunderstandingprocess

diagrams.Somelearningtimeisrequired.

Relatedtools Ganttchart


Tools

163

Diagramsandtools

Figure26:Relationshipbetweenthreelevelsofgovernment(caseofEgypt)

Note:Thefigureaboveshowstherelationshipbetweenthreestakeholders–inthiscase,

levelsofgovernment–andthephasesofastrategicplan33.

33Source:ForbesDavidsonandKhaledAbdelHalim,GuidelinesforStrategicPlanningfor

GovernoratesforUN-HabitatEgypt,2011

Tools

164

Tool 24: DAC/OECD evaluation questions

Phase Phase4:Howtoimplementandknowifweareontrack?

Sub-phase Sub-phase4.2:Monitoringandevaluationofthestrategy

Nameoftool OECD-DACevaluationquestions

Objective/s Toensurethatthequestionsaskedduringanevaluationcover

importantaspects


Monitoringshouldbecomearoutineoperation.Evaluationis

normallyasignificantexerciseanddependingonthescalecan

takeateamseveralweekstocomplete.



Monitoringandevaluationshouldbeplannedfromthestartof

theprocess.Thishelpstoidentifyaspectstomonitor,which

willmakethelaterevaluationeasierandmoreeffective.

Agreeingwhowillbeinvolvedinmonitoringandevaluationalso

helpstoidentifytheappropriatemeasuresandtools.


Theplanningteamshouldensurethatmonitoringand

evaluationresponsibilitiesareidentifiedatanearlystage.

Stakeholderspotentiallyinvolvedshouldagreewithmeasures

andresponsibilities.

Target/beneficiary

Thebeneficiariesarepotentiallyallimpactedbyastrategic

planningprocessandalsothosesupportingtheprocess.

Descriptionoftool TheOECDDevelopmentAssistanceCommitteehasdevelopeda

usefulsetofquestionstohelpunderstandimportantaspectsof

adevelopmentactivity.Thequestionsformausefulframework

forundertakingmonitoring.

Thequestionsare:

Relevance.Theextenttowhichactivitiesmeetpoliciesand

priorities.Specificsubquestionsinclude:

§ Towhatextentareobjectivesstillvalid?

§ Areobjectivesconsistentwithoverallgoals?

§ Areactivitiesandoutputsconsistentwithintended

impactsandeffects?

Effectiveness

Theextentofachievementoftheobjectives.

Tools

165

§ Towhatextentaretheobjectivesmetorlikelytobe

met?

§ Whatarefactorsinfluencingthis?

Efficiency

Weretheoutputsachievedwithgooduseoftheinputs.

§ Wereactivitiescost-effective?

§ Wereactivitiesachievedontime?

§ Wasimplementationefficientrelatedtoalternatives?

Impact

Thisreferstothechangesasaresultofprojectactivities.They

canbepositiveornegative,intendedorunintended.Itshould

alsopickupinfluencesfromexternalfactors,e.g.theoverall

economicsituation.Thescaleofimpactshouldbeassessed.

OECD,DACsub-questionsinclude:

§ Whathashappenedasaresultoftheprogrammeor

project?

§ Whatrealdifferencehasaprojectmadetothe

beneficiaries?

§ Howmanypeoplehavebeenaffected?

SustainabilityThisistodowithwhetheractivitiesarelikelyto

continueafterspecificprogrammesand/orprojectscease.It

includessocial,economicandenvironmentalsustainability.

Questionsinclude:

§ Aretheactivitieslikelytocontinueafterproject

activitiescease?

§ Whatweremajorfactorshelpingorhindering

implementation?Aretheylikelytocontinue?


Advantages(+)

+ Provideagoodsetofquestionswhichexplore

importantaspectsofdevelopment-

+ Widefamiliarityandacceptance

Disadvantages(¾)

— Needsrefinementtomeetneedsofspecific

activities.

Relatedtools Thishasstronglinkswithmonitoringandevaluationtools,

SMARTobjectives,andlogicalframeworks



OECD/DAC(1991)Principlesforevaluationofdevelopment

assistance,ParisOrganisationforEconomicCo-operationand

Development,DevelopmentAssistanceCommittee.

OECD(2002)Glossaryofkeytermsinevaluationandresults

basedmanagement=Glossairedesprincipauxtermesrelatifsà

Tools

166

l'évaluationetlagestionaxéesurlesrésultats=Glosariodelos

principalestérminossobreevaluaciónygestiónbasadaen

resultados,Paris,DACWorkingPartyonAidEvaluation,

OrganisationforEconomicCo-operationandDevelopment.


Chianca,Thomaz(2008)TheOECD/DACcriteriaforinternational

developmentevaluations:anassessmentandideasfor

improvement,JournalofMultiDiscipinaryEvaluation,vol.5,no.9,pp.41-51.

References

167

References

3PsCommunityParticipationConsultants,2012.Participatoryappraisalhandbook:introductionto

participatoryappraisaltrainingcourse.3PsCommunityParticipationConsultants:York.Available

at:http://www.3ps.org.uk/files/Download/PA%20Handbook240412.pdf[Accessed23June

2016].

ACTConsultants,2011.Urbanforesightbasedonpublicparticipationasatoolforintegratinglocal

residents’requirementsontheirownneighbourhoodintothemasterplanofthecity:thecaseof

Molinay2017,Seraing,Belgium.2011.Goodandpracticestotackleurbanchallenges.Paris:ACT

Consultants.pp.199-219.Availableat:

http://ec.europa.eu/regional_policy/sources/docgener/studies/pdf/citiesoftomorrow/citiesofto

morrow_case.pdf.[Accessed22June2016].

AleppoCityDevelopmentStrategy,2010.AleppoCityDevelopmentStrategy.Aleppo:Madinatuna,

AleppoCityDevelopmentStrategy.Availableat:

http://madinatuna.com/downloads/brochures/cds-borchure-en.pdf[Accessed2February2016].

AsianDevelopmentBank(ADB),2004.CityDevelopmentStrategiestoreducepoverty.Manila:Asian

DevelopmentBank.Availableat:

http://www.adb.org/sites/default/files/publication/27946/content.pdf[Accessed2February

2016].

AsianDevelopmentBank,2016.Guidelinesforpreparingadesignandmonitoringframework.Manila:

AsianDevelopmentBank.Availableat:http://www.adb.org/sites/default/files/institutional-

document/32509/guidelines-preparing-dmf.pdf[Accessed31August2016].

Basti,A.E.,Amin,K.,Lahouel,M.,Madbouli,M.,etal.,2009.Sana's:aCityDevelopmentStrategy

(WorkingPaperno.83912).Washington:WorldBank.Availableat:http://www-

wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2014/01/10/000333037_201

40110123902/Rendered/PDF/839120WP0Box380e0Sana0a0pub01005009.pdf[Accessed2

February2016].

Bazregar,M.R.,Alizadeh,E.,Hajipoor,K.andPakshir,A.2014.ApplicationofCityDevelopment

StrategyforimprovementofinformalsettlementsinIran:casestudyofMouzirjneighborhoodof

Babol.ResearchJournalofAppliedSciences,EngineeringandTechnology,7(24),pp.5242-5248.Availableat:http://maxwellsci.com/print/rjaset/v7-5242-5248.pdf[Accessed3February2014].

Belsky,E.S.,DuBroff,N.,McCue,D.,Harris,C.,etal.,2013.Advancinginclusiveandsustainableurban

development:correctingplanningfailuresandconnectingcommunitiestocapital.Cambridge:

JointCenterforHousingStudiesofHarvardUniversity.Availableat:

http://www.jchs.harvard.edu/sites/jchs.harvard.edu/files/jchs_isud_2013.pdf[Accessed3

February2016].

Berg,C.v.d.,2013.Strategicplanningforpoliticalparties:apracticaltool.Stockholm/TheHague:

InternationalInstituteforDemocracyandElectoralAssistance(InternationalIDEA)/The

NetherlandsInstituteforMultipartyDemocracy(NIMD).Availableat:

http://www.idea.int/publications/strategic-planning-for-political-

parties/loader.cfm?csModule=security/getfile&pageid=57974[Accessed29august2016].

References

168

Blunden,P.,Wong,S.,Wong,I.andWheeler,L.,2014.Thecollectiveimpactassessmenttool.Melton:

CityofMeltonCommunityLearningBoard.Availableat:

http://learningcities.uil.unesco.org/fileadmin/content/Pictures/Resources/Melton_-

_Collective_Impact_Assessment_Tool.pdf[Accessed3February2016].

Bongwa,A.,2011.Endofprogrammeevaluation:LakeVictoriaCitiesDevelopmentStrategies:final

report.Nairobi:UN-HABITAT.

Buckley,R.andTsenkova,S.,2001.SofiaCityDevelopmentStrategy[Draft].Calgary:Universityof

Calgary.Availableat:http://www.ucalgary.ca/tsenkova/files/tsenkova/SofiaStrategy.pdf

[Accessed3February2016].

BuffaloCityMetropolitanMunicipality,2007.BuffaloCityDevelopmentStrategy:managingacityin

transition:draftconsolidationreport.BuffaloCity:BuffaloCityMetropolitanMunicipality.

Availableat:http://foresightfordevelopment.org/sobipro/download-file/46-112/54[Accessed3

February2016].

Carus,F.ed.,2010.Policypaperonurbanstrategicplanning:localleaderspreparingforthefutureof

ourcities.Barcelona:UnitedCitiesandLocalGovernments(UCLG).

Case,L.,2002.CityDevelopmentStrategies:lessonsfromUMP/UN-HABITATexperiences:[Bamako,

Mali;Cuenca,Ecuador;Colombo,SriLanka;Johannesburg,SouthAfrica;SantoAndre,Brazil;

Shenyang,ChinaandTunis,Tunisia.](Urbanmanagementprogrammepublicationseriesno.29).

Nairobi:UnitedNationsHumanSettlementsProgramme(UN-HABITAT).Availableat:

http://mirror.unhabitat.org/downloads/docs/CDS_final_with_cover.pdf[Accessed2February

2016].

CenterforMediterraneanIntegration(CMI),2011.Towardsanewgenerationofcities:guidebookfor

CityDevelopmentStrategiesinSouthernMediterraneancountries.Marseille:Centerfor

MediterraneanIntegration(CMI).Availableat:

http://www.cmimarseille.org/sites/default/files/newsite/library/files/en//UD1_GuidebookCDS_E

N.pdf[Accessed2February2016].

Chambers,R.,1994.Theoriginsandpracticeofparticipatoryruralappraisal.WorldDevelopment,22(7),pp.953-969.Availableat:http://ac.els-cdn.com/0305750X94901414/1-s2.0-

0305750X94901414-main.pdf?_tid=5699a258-3926-11e6-ba46-

00000aacb362&acdnat=1466674930_89b38a82016d89b465dc2fd735e75120[Accessed23June

2016].

ChandigarhAdministration,n.d.CityDevelopmentPlanChandigarh[UndertheJawaharLalNehru

NationalRenewalMission,MinistryofUrbanDevelopment(JNNURM),GovernmentofIndia).

Chandigarh:ChandigarhMunicipalCorporation.Availableat:http://mcchandigarh.gov.in/cdp.pdf


Chianca,T.,2008.TheOECD/DACcriteriaforinternationaldeveliomentevaluations:anassessment

andideasforimprovement.JournalofMultiDisciplinaryEvaluation,5(9),pp.41-51.Availableat:http://journals.sfu.ca/jmde/index.php/jmde_1/article/download/167/183[Accessed29June

2016].

CitiesAlliance,JointWorkProgrammeonresilientcities.Availableat:

http://www.citiesalliance.org/JWP-ResilientCities[Accessed29August2016].

References

169

CitiesAlliance,2007.AlexandriaCityDevelopmentStrategy:movingfromvisiontostrategyand

implementation:documentationoftheprocessandresults2004-2007.WorldBank:Cities

Alliance.Availableat:

http://siteresources.worldbank.org/INTEGYPT/Resources/Documentation_Alexandria_CDS_June

1_2007.pdf[Accessed3February2016].

CitiesAlliance,2007.Livablecities:thebenefitsofurbanenvironmentalplanning:aCitiesAlliance

studyongoodpracticesandusefultools.Washington:Citiesalliance.Availableat:

http://www.unep.org/urban_environment/pdfs/liveableCities.pdf[Accessed2February2016].

CitiesAlliance,2013.Morocco'sTetouanpavesthewaywithitscitydevelopmentstrategy.

Washington:WorldBank.Availableat:http://www-


30906164334/Rendered/PDF/809550BRI0Citi0Box0379824B00PUBLIC0.pdf[Accessed8July

2016].

CitiesAlliance,2014.Africaregionalstrategy:finaldocument:recommendationsforthedevelopment

ofanAfricanstrategyprogrammeofaction2014-2016.Washington:WorldBank.Availableat:

https://www.citiesalliance.org/sites/citiesalliance.org/files/Africa%20Strategy%20Final%20June%

202014.pdf[Accessed8July2016].

CitiesAllianceandCitiesAlliance,2013.TransformingMumbaiintoaworld-classcity(CitiesAlliancein

Action).Washington:WorldBank.Availableat:http://www-


30906162751/Rendered/PDF/809380BRI0Citi0Box0379824B00PUBLIC0.pdf[Accessed8July

2016].

CityofCapeTown,2012.CityDevelopmentStrategy(CDS):backgroundinformationandprocess

goingforward.CapeTown:CityofCapeTown.Availableat:

http://www.capetown.gov.za/en/CapeTown2040/Documents/CDS_Background_Info_March_20

12.pdf[Accessed2February2016].

CityofCapeTown,2012.CityofCapeTown:CityDevelopmentStrategy.CapeTown:CityofCape

Town.Availableat:https://www.capetown.gov.za/en/IDP/Documents/CDS.pdf[Accessed2

February2012].

CityofCapeTown,2012.CityofCapeTown:five-yearplanforCapeTown2012-2017:Integrated

DevelopmentPlan(IDP)2012/13Review.CapeTown:CityofCapeTown.Availableat:

https://www.capetown.gov.za/en/IDP/Documents/IDP12_final_May12.pdf[Accessed02

February2016].

CityofCapeTown,2012.CityofCapeTownCityDevelopmentStrategy[overview].CapeTown:Cityof

CapeTown.Availableat:https://www.capetown.gov.za/en/IDP/Documents/CDS_Overview.pdf


CityofCapeTown,2013.Economicgrowthstrategy.CapeTown:StrategicPolicyUnit,Officeofthe

ExecutiveMayor.Availableat:

https://www.capetown.gov.za/en/IDP/Documents/EconomicGrowthStrategy.pdf[Accessed2

February2016].

References

170

CityofTshwane,2006.GrowthanddevelopmentstrategyfortheCityofTshwane(alimitedsetofhigh

impactstrategies).Tshwane:CityofTshwane.Availableat:

http://www.tshwane.gov.za/sites/business/Growth%20Development%20Strategy/GDSFinalDraft

_Oct2006.pdf[Accessed29August2016].

ColomboMunicipalCouncil,2000.CityDevelopmentStrategy:Colombo.Colombo:Colombo

MunicipalCouncil.Availableat:

https://openknowledge.worldbank.org/bitstream/handle/10986/18724/879740WP0Box380ent0

Strategy0Colombo.pdf?sequence=1&isAllowed=y[Accessed2February2016].

Dalal-Clayton,B.andBass,S.,2002.Sustainabledevelopmentstrategies:aresourcebook.London:

Earthscan.Availableat:http://www.sd-network.eu/pdf/resources/Dalal-

Clayton,%20Bass%20(2002)%20-%20Sustainable%20Development%20Strategies%20-%20A%20R

esource%20Book.pdf[Accessed3February2016].

Dekker,S.andSinger,J.,2011.Integratedcommunitysustainabilityplans:monitoringandevaluating

success[PreparedforSustainableCities].Vancouver:SustainableCitiesInternational.Available

at:http://sustainablecities.net/our-resources/document-library/doc_download/216-icsp-s-

monitoring-and-evaluating-success[Accessed2February2016].

DFID,2003.Toolsfordevelopment:ahandbookforthoseengagedindevelopmentactivity.London:

PerformanceandEffectivenessDepartment,DepartmentforInternationalDevelopment.

Availableat:

http://webarchive.nationalarchives.gov.uk/+/http:/www.dfid.gov.uk/Documents/publications/to

olsfordevelopment.pdf[Accessed29June2016].

DiNapoli, T. P., 2002. Local government management guide : strategic planning. New York: Office of the New York State Controller, Division of Local Government and School Accountability. Available at: https://www.osc.state.ny.us/localgov/pubs/lgmg/strategic_planning.pdf [Accessed 9 September 2016].

EconAnalysisandCentreforLocalGovernment,2005.Theimpactsofcitydevelopmentstrategies:

commissionedbyTheCitiesAlliance(ECON-Reportn.2005-063).2005:EconAnalysis.Available

at:https://www.citiesalliance.org/sites/citiesalliance.org/files/cds-impact-study-final-report-

august-11-2005%5B1%5D.pdf[Accessed2-February2016].

EconomicPolicyAgency-TbilisiCityHall,2010.CityDevelopmentStrategyforSustainable

Development–Marketingbrochure.Tbilisi:EconomicPolicyAgency,TbilisiCityHall[Institutefor

HousingandUrbanDevelopmentStrategies(IHS)andIHSRomania].

EuropeanCommission,2002.Towardssustainableurbandevelopment:astrategicapproach

(Consultativeguidelinesforsustainableurbandevelopmentco-operation).Brussels:European

Commission.Availableat:http://www.ucl.ac.uk/dpu-

projects/21st_Century/resources/institutional/Pdf%20files/Tow_Sust_Urb_EU_Guidelines.pdf

[Accessed24June2016].

EuropeanCommission,2012.Projectfiche-IPAmulti-benficiaryprogrammes/componentI.

EuropeanUnion:Brussels.Availableat:

http://ec.europa.eu/enlargement/pdf/financial_assistance/ipa/2012/multi-

beneficiary/pf1_tempus-2012_final.pdf[Accessed29June2016].

References

171

FreeManagementE-Books(FME),2013.ThePESTLEanalysis:strategyskills,[SummaryofNewton,P.

andBristol,H.PESTLEanalysis,s.l.,FreeManagementE-Books(FME)].s.l.:FreeManagementE-

Books(FME)].Availableat:http://www.free-management-ebooks.com/dldebk-pdf/fme-pestle-

analysis.pdf[Accessed23June2016].

Frojmovic,M.,Elliot,B.andLevac,L.,2007.Localgovernmentparticipatorypracticesmanual:atoolkit

tosupportpublicparticipationinmunicipaldecisionmaking.Ottawa:InternationalCentrefor

MunicipalDevelopment,FederationofCanadianMunicipalities(FCM).Availableat:

https://www.fcm.ca/Documents/tools/International/[Accessed6-July2016].

FundaciónCIEDES,2014.Methodologyandbestpracticesinurbanstrategicplanni(n)ginthe

Mediterranean.Málaga:FundaciónCIEDES.Availableat:

http://www.medcities.org/documents/20544/0/Libro_Mediterraneo_ING_OK.pdf/c2e8f3ea-

ee6d-4199-bd49-cf89750e25a3[Accessed4February2016].

Geraldi,J.andLechter,T.2012.Ganttchartsrevisited:acriticalanalysisofitsrootsandimplications

tothemanagementofprojectstoday.InternationalJournalofManagingProjectsinBusiness,5(4),pp.578-594.Availableat:

http://www.emeraldinsight.com/doi/pdfplus/10.1108/17538371211268889[Accessed24June

2016].

GHKGroup,2000.CityDevelopmentStrategies(CDSs):takingstockandsignpostingthewayforward:

adiscussionreportforDFID(UK)andtheWorldBan.London:GHKGroup.Availableat:

http://www.citiesalliance.org/sites/citiesalliance.org/files/cds-taking-stock-dfid%5B1%5D.pdf


GHKResearchandTraining,2001.Literaturereview:addressingpovertythroughCityDevelopment

Strategies(ResearchproojectfortheDepartmentforInternationalDevelopment(UK)).London:

GHKResearchandTraining.Availableat:

http://r4d.dfid.gov.uk/PDF/Outputs/urbanisation/R7853-GHK_literature_review.pdf[Accessed3-

February2016].

Grady,H.M.andTheis,J.,1991.Participatoryrapidappraisalforcommunitydevelopment:atraining

manualbasedonexperiencesintheMiddleEastandNorthAfrica.London:InternationalInstitute

forEnvironmentandDevelopment(IIED)andSavetheChildren.Availableat:

http://pubs.iied.org/pdfs/8282IIED.pdf[Accessed23June2016].

Guardian,The,2015.Howtowritealogframe:abeginner’sguide[online]Availableat:

https://www.theguardian.com/global-development-professionals-network/2015/aug/17/how-

to-write-a-logframe-a-beginners-guide[Accessed10July2016].

Harris,N.,2014.Frommasterplanstocitydevelopmentstrategies(DPU60Workingpaperseries:

reflectionsno.162/60).London:DevelopmentPlanningUnit(DPU),TheBartlett,University

CollegeLondon(UCL).Availableat:https://www.bartlett.ucl.ac.uk/dpu/latest/publications/dpu-

reflections/WP162.pdf[Accessed3February2016].

Harrison,J.P.,2010.StrategicplanningandSWOTanalysis.In:J.P.Harrisoned.,2010.Essentialsof

strategicplanninginhealthcare.Chicago:HealthAdministrationPress.pp.91-97.Availableat:

http://www.ache.org/pdf/secure/gifts/Harrison_Chapter5.pdf.[Accessed23February2016].

References

172

InstituteforSustainableFutures(ISF),2007.DevelopingCityDevelopmentStrategies(CDS)for

Vietnamesecities:aguidetoassistcityleaders.Sydney:InstituteforSustainableFutures(ISF),

UniversityofTechnology.Availableat:

https://opus.lib.uts.edu.au/bitstream/10453/35069/1/paddon2007cdsvietnam.pdf[Accessed4

February2016].

Kotler,P.,Haider,D.H.andRein,I.,1993.Marketingplaces:attractinginvestment,industryand

tourismtocities,statesandnations.NewYork:FreePress.

Kumar,S.,1999.Forcefieldanalysis:applicationsinPRA.Forcefieldanalysis:applicationsinPRA.

1999.PLAnotes;36.London:InternationalInstituteforEnvironmentandDevelopment(IIED).

pp.17-23.Availableat:http://pubs.iied.org/pdfs/G01849.pdf.[Accessed23June2016].

Majale,M.,2009.DevelopingparticipatoryplanningpracticesinKitale,Kenya(Casestudypreparedfor

Planningsustainablecities:GlobalReportonHumanSettlements2009).Nairobi:UnitedNations

HumanSettlementsProgramme(UN-Habitat).Availableat:http://unhabitat.org/wp-

content/uploads/2010/07/GRHS2009CaseStudyChapter04Kitale.pdf[Accessed4February2016].

Maylor,H.,2001.BeyondtheGanttchart:projectmanagementmovingon.EuropeanManagementJournal,19(1),pp.92-100.Availableat:http://www.sciencedirect.com/science/article/pii/S0263237300000748/pdfft?md5=6b61c7a4b5

aa308c9610204749114b05&pid=1-s2.0-S0263237300000748-main.pdf[Accessed24June2016].

MDF,2005.MDFtool:problemtreeanalysis.Ede:MDF.Availableat:

http://www.sswm.info/sites/default/files/reference_attachments/MDF%202005%20MDF%20To

ol%20Problem%20Tree%20Analysis.pdf[Accessed7July2016].

Metropolis,n.d.CityDevelopmentStrategyforsustainabledevelopment-phaseII:Alexandria,Egypt.

s.l.:Metropolis.Availableat:http://policytransfer.metropolis.org/case-studies/egypt-alexandria-

sustainable-city-development.pdf[Accessed2February2016].

Metropolis,n.d.CityDevelopmentStrategyPeshawar,Peshawar,Pakistan.s.l.:Metropolis.Available

at:http://policytransfer.metropolis.org/case-studies/pakistan-peshawar-city-development-

strategy.pdf[Accessed3-February2016].

Moodley,S.,2009.Thepowerofimagination:longtermplanningforcitysustainability:50lessons

fromDurban,SouthAfrica2007-2009.Durban:CorporatePolicyUnit,eThekwiniMunicipality.

Availableat:

https://www.citiesalliance.org/sites/citiesalliance.org/files/CA_Images/durban_lessons%5B1%5D

.pdf[Accessed2February2016].

Moser,C.andMcllwaine,C.1999.Participatoryurbanappraisalanditsapplicationforresearchon

violence.EnvironmentandUrbanization,11(2),pp.203-226.Availableat:http://eau.sagepub.com/content/11/2/203.full.pdf[Accessed23June2016].

Mullerbeck,E.,2015.SWOTandPESTEL.In:M.Arivananthaned.,2015.Knowledgeexchnagetoolbox:

groupmethodsforsharing,discoveryandco-creation.NewYork:UNICEF.pp.136-147.Available

at:http://www.unicef.org/knowledge-exchange/files/SWOT_and_PESTEL_production.pdf.

[Accessed23June2016].

References

173

Newton,P.andNewton,H.,2013.SWOTanalysis:strategyskills.s.l.:FreeManagementEbooks

(FME).Availableat:http://www.free-management-ebooks.com/dldebk-pdf/fme-swot-

analysis.pdf[Accessed23June2016].

OECD,2001.TheDACguidelines:strategiesforsustainabledevelopment:guidancefordevelopment

co-operation.Paris:OrganisationforEconomicCo-operationandDevelopment(OECD).Available

at:http://www.oecd.org/development/environment-development/2669958.pdf[Accessed4

February2016].

OECD,2002.Glossaryofkeytermsinevaluationandresultsbasedmanagement=Glossairedes

principauxtermesrelatifsàl'évaluationetlagestionaxéesurlesrésultats=Glosariodelos

principalestérminossobreevaluaciónygestiónbasadaenresultados.DACWorkingPartyonAid

Evaluation,OrganisationforEconomicCo-operationandDevelopment:Paris.Availableat:

http://www.oecd.org/dac/evaluation/2754804.pdf[Accessed29June2016].

OECD,2014.Maintreamingcross-cuttingissues:7lessonsfromDACpeerreviews.Paris:Organisation

forEconomicCo-operationandDevelopment(OECD).Availableat:

https://www.oecd.org/dac/peer-

reviews/Final%20publication%20version%20of%20the%207%20Lessons%20mainstreaming%20cr

oss%20cutting%20issues.pdf[Accessed08July2016].

OECD/DAC,1991.Principlesforevaluationofdevelopmentassistance.OrganisationforEconomicCo-

operationandDevelopment,DevelopmentAssistanceCommittee:Paris.Availableat:

http://www.oecd.org/dac/evaluation/50584880.pdf[Accessed29June2016].

Parnell,S.andRobinson,J.2006.Developmentandurbanpolicy:Johannesburg'sCityDevelopment

Strategy.UrbanStudies,43(2),pp.337-355.Availableat:http://usj.sagepub.com/content/43/2/337.full.pdf+html[Accessed3February2016].

Peltenburg,M.,Davidson,F.,Teerlink,H.andWakely,P.,1996.Buildingcapacityforbettercities:

cases.Rotterdam:InstituteforHousingandUrbanDevelopmentStudies.Availableat:

http://www.ihs.nl/fileadmin/ASSETS/ihs/Library/_1_11196_Building_capacity_for_Better_Cities.

_Cases.pdf[Accessed31August2016].

Peltenburg,M.,Davidson,F.,Teerlink,H.andWakely,P.,1996.Buildingcapacityforbettercities:

conceptsandstrategies.Rotterdam:InstituteforHousingandUrbanDevelopmentStudies(IHS).

Availableat:

http://www.ihs.nl/fileadmin/ASSETS/ihs/Library/18__1_11195_Building_better_capacity_for_bet

ter_cities__concepts_and_strategies_1996.pdf[Accessed31August2016].

PhnomPenhMunicipality,2005.CityDevelopmentStrategy:2005-2015.PhnomPenh:Department

ofPlanning,PhnomPenhCity.Availableat:

https://cityofwater.files.wordpress.com/2011/12/city-development-strategy.pdf[Accessed2

February2016].

PracticalActionSouthernAfrica,2012.CommunityBasedUrbanPlanningToolkit(CBUPT):astep-by-

stepapproachtocommunitybasedurbanplanninganddevelopmentinZimbabwe.Harare:

PracticalActionSouthernAfrica.Availableat:http://practicalaction.org/media/download/29979


References

174

Racoviceanu,S.C.,Cristea,Marius,China,A.,Sandu,D.D.,etal.,2016.Theintegratedurban

developmentstrategyforthePloiestigrowthpole:2014-2020.Washington:WorldBank.

Availableat:http://www-

wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2016/03/10/090224b0841ed

1b7/2_0/Rendered/PDF/The0integrated0wth0pole000201402020.pdf[Accessed23June2016].

Rasooli,M.,Badarulzaman,N.andJafaar,M.,2010.TheroleofCDSsinsustainabledevelopmentin

developingcountries(Paperpresentedatthe46thISOCARPCongress2010).TheHague:

InternationalSocietyofCityandRegionalPlanners(ISOCARP).Availableat:

http://www.isocarp.net/Data/case_studies/1644.pdf[Accessed3February2016].

Rasoolimanesh,S.M.,Badarulzaman,N.andJaafar,M.2011.Achievementtosustainableurban

developmentusingCityDevelopmentStrategies:acomparisonbetweenCitiesAllianceandthe

WorldBankdefinitions.JournalofSustainableDevelopment,4(5),pp.151-166.Availableat:http://www.ccsenet.org/journal/index.php/jsd/article/download/11340/8798[Accessed3

February2016].

Rasoolimanesh,S.M.,Badarulzaman,N.andJaafar,M.2013.AreviewofCityDevelopmentStrategies

successfactors.TheoreticalandEmpiricalResearchesinUrbanManagement,8(3),pp.62-78.Availableat:http://um.ase.ro/no83/5.pdf[Accessed3February2016].

Roberts,B.H.,2015.Toolkitforrapideconomicassessment,planninganddevelopmentofcitiesin

Asia.Manila:AsianDevelopmentBank(ADB).Availableat:

http://www.adb.org/sites/default/files/institutional-document/161535/toolkit-rapid-economic-

assessment-cities.pdf[Accessed7July2016].

RosárioPartidário,M.,Paddon,M.,Eggenberger,M.,Chau,D.M.,etal.,2008.Linkingstrategic

environmentalassessment(SEA)andcitydevelopmentstrategyinVietnam.ImpactAssessmentandProjectAppraisal,26(3),pp.219-227.Availableat:http://www.tandfonline.com/doi/pdf/10.3152/146155108X365861[Accessed2February2016].

RoyalTownPlanningInstitute(RTPI),Skillandcompetenciesforplanners.Availableat:

http://www.rtpi.org.uk/education-and-careers/cpd-for-rtpi-members/cpd-requirements/skills-

and-competencies-for-planners/[Accessed31August2016].

Ruijsink,S.andOlivotto,V.,2015.IntegratingclimatechangeintoCityDevelopmentStrategies(CDS).

Nairobi:UnitedNationsHumanSettlmentsProgramme(UN-Habitat).Availableat:

http://unhabitat.org/wpdm-package/integrating-climate-change-into-city-development-

strategies/?wpdmdl=112967[Accessed29January2016].

Sasanpour,F.andMehrnia,S.2012.ComparativesurveyofCityDevelopmentStrategyinseveralcity

ofWorldwide.JournalofSustainableDevelopment,5(4),pp.192-204.Availableat:http://www.ccsenet.org/journal/index.php/jsd/article/download/15956/10729[Accessed3

February2016].

Schwering,R.E.,2003.Focusingleadershipthroughforcefieldanalysis:newvariationsonavenerable

planningtool.Leadership&OrganizationDevelopmentJournal,24(7),pp.361-370.Availableat:http://www.emeraldinsight.com/doi/pdfplus/10.1108/01437730310498587[Accessed23June

2016].

References

175

Sivaev,D.,2015.Whatmakesagoodcitystrategy(Competititivecitiesforjobsandgrowth:

companionpaperno.8).Washington:WorldBank.Availableat:http://www-

wds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2015/12/09/090224b083c41

295/1_0/Rendered/PDF/What0makes0a0good0city0strategy0.pdf[Accessed3February2016].

Skosana,A.,2006.AtransformationalCityDevelopmentStrategy[paperpresentedat42ndISoCaRP

Congress2006].TheHague:InternationalSocietyofCityandRegionalPlanners(ISOCARP).

Availableat:http://www.isocarp.net/data/case_studies/868.pdf[Accessed3February2016].

Slocum,N.,2003.Participatorymethodstoolkit:apractitioner'smanual.Brussels:KingBaudouin

Foundation/FlemishInstituteforScienceandTechnologyAssessment(viWTA).Availableat:

http://archive.unu.edu/hq/library/Collection/PDF_files/CRIS/PMT.pdf[Accessed4February

2016].

Sohmen,V.S.andDimitriou,C.K.2015.Tencorecompetenciesofprogrammanagers:anempircal

study.InternationalJournalofHealthandEconomicDevelopment,1(1),pp.1-7.Availableat:http://www.gsmi-ijgb.com/Documents/IJHED%20V1%20N1%20P01%20Victor%20Sohmen%20-

Core%20Competencies%20of%20Program%20Managers.pdf[Accessed31August2016].

Stojkov,B.,2008.CityofBelgradedevelopmentstrategy:goals,conceptandstrategicprioritiesof

sustainabledevelopment.Belgrade:PALGOCenter.Availableat:

http://www.palgo.org/files/knjige/strategy%20low%20english.pdf[Accessed2February2016].

Taralunga,N.,2010.Introductionofcomprehensiveparticipationofcitizensaswellasgovernmental

andnon-governmentalorganizationsintheurbanplanningprocess:participatoryplanning

handbook.Skopje:NetworkofAssociationsofLocalAuthoritiesofSouth-EastEurope(NALAS).

Availableat:http://acor.ro/files/rel_internat/nalas/manuale-ghiduri-inlimbaengleza/NALAS

CitizenParticipationISBN978-9989-2928-3-5.pdf[Accessed6July2016].

Terakado,M.andWilliams,H.K.,2014.Investinginsustainablecities:challengesandopportunities.

Frankfurt:InternationalDevelopmentFinanceClub(IDFC)SpecialInterestGrouponSustainable

UrbanDevelopment.Availableat:https://www.idfc.org/Downloads/Publications/02_other_idfc-

expert_documents/IDFC_Investing_in_Sustainable_Cities_Paper_01-12-14.pdf[Accessed3

February2016].

Tilaki,M.J.M.andHedayati,M.2015.ExploringbarrierstotheimplementationofCityDevelopment

Strategies(CDS)inIraniancities:aqualitativedebate.JournalofPlaceManagementandDevelopment,8(2),pp.123-141.Availableat:http://www.emeraldinsight.com/doi/pdfplus/10.1108/JPMD-01-2015-0001[Accessed3February

2016].

UNCHS,1991.Guideformanagingchangeforurbanmanagersandtrainers(Trainingmaterialsseries).

Nairobi:UnitedNationsCentreforHumanSettlements(Habitat).Availableat:

http://www.eukn.eu/fileadmin/Lib/files/EUKN/2010/208-guide-for-managing-change-for-urban-

managers-and-trainers.pdf[Accessed24June2016].

UN-Habitat,1989.Communityparticipationinproblem-solvinganddecision-making:(2)leadership.

Nairobi:UnitedNationsCentreforHumanSettlements(Habitat).Availableat:

http://collections.infocollections.org/ukedu/uk/d/Jha19ce/2.html[Accessed22August2016].

References

176

UN-Habitat,2005.Promotinglocaleconomicdevelopmentthroughstrategicplanning:volume2:

manual.Nairobi:UnitedNationsHumanSettlementsProgramme(UN-Habitat).Availableat:

http://unhabitat.org/books/promoting-local-economic-development-through-strategic-

planningthe-local-economic-development-led-series-volume-2-manual-led-concepts-and-a-10-

step-planning-process/#[Accessed26August2016].

UN-Habitat, 2010. Citywide strategic planning : a guideline. Nairobi: United Nations Human Settlements Programme (UN-HABITAT). Available at: http://www.gltn.net/index.php/publications/publications/send/2-gltn-documents/17-citywide-strategic-planning-a-guideline-eng-2010 [Accessed 9 September 2016].

UN-Habitat,2015a.Cross-cuttingissuesprogressreport:2015.Nairobi:UnitedNationsHuman

SettlementsProgramme(UN-HABITAT).Availableat:http://unhabitat.org/wpdm-package/cross-

cutting-issue-progress-report-2015/?wpdmdl=116641[Accessed8July2016].

UN-Habitat,2015b.UN-Habitatpolicyandplanforgenderequalityandtheempowermentofwomen

inurbandevelopmentandhumansettlements:2014-2019,Nairobi,UnitedNationsHuman

SettlementsProgramme(UN-Habitat),Availableat:http://unhabitat.org/wpdm-package/un-

habitat-policy-and-plan-for-gender-equality-and-the-empowerment-of-women-2014-

2019/?wpdmdl=111608[Accessed10July2016].

UN-HabitatandUNCHS,1991.Guideformanagingchangeforurbanmanagersandtrainers.Nairobi:

UnitedNationsCentreforHumanSettlements(Habitat).Availableat:

http://unhabitat.org/wpdm-package/guide-for-managing-change-for-urban-managers-and-

trainers/?wpdmdl=111911[Accessed22August2016].

United Nations, 2002. Gender mainstreaming : an overview. New York: Office of Special Adviser on Gender Issues, Department of Economic and Social Affairs, United Nations. Available at: http://www.un.org/womenwatch/osagi/pdf/e65237.pdf [Accessed 8 September 2016].

UniversityofQueensland,2013.TheUniversityofQueenslandguidetoleadingorganisationalchange.

Brisbane:UniversityofQueensland.Availableat:

http://itali.uq.edu.au/filething/get/5391/6%20Org%20Change%20Guide.pdf[Accessed22August

2016].

VNGInternational,2010.Municipaldevelopmentstrategyprocess:atoolkitforpractitioners.The

Hague:VNGInternational.Availableat:http://www.vng-international.nl/wp-

content/uploads/2015/06/Toolkit_Municipal_Development_Strategy_Process_ENG.pdf

[Accessed29August2016].

Wates,N.,2000.Thecommunityplanninghandbook:howpeoplecanshapetheircities,townsand

villagesinanypartoftheworld.London:Earthscan.Availableat:

http://library.uniteddiversity.coop/REconomy_Resource_Pack/Community_Assets_and_Develop

ment/The_Community_Planning_Handbook-How_People_Can_Shape_Their_C.pdf[Accessed22

June2016].

Webster,D.andMuller,L.,2006.Guidetocitydevelopmentstrategies:improvingurban

performance:CitiesAlliance.Availableat:http://www.citiesalliance.org/doc/resources/cds/cds-

guidelines/cds_guidelines_final.pdf[Accessed29January2016].

Webster,D.andMuller,L.,2006.Citydevelopmentstrategyguidelines:drivingurbanperformance.

Washington:CitiesAlliance.Availableat:

References

177

https://www.citiesalliance.org/sites/citiesalliance.org/files/CA_Docs/resources/cds/cds-

guidelines/cds_guidelines_final.pdf[Accessed2February2016].

Wilson,J.M.,2003.Ganttcharts:acentenaryappreciation.EuropeanJournalofOperationalRessearch,149(2),pp.430-437.Availableat:http://www.sciencedirect.com/science/article/pii/S0377221702007695/pdfft?md5=1f616033e90

fc8acbbb2efdc87f37a23&pid=1-s2.0-S0377221702007695-main.pdf[Accessed24June2016].

WorldBank,2000.CityDevelopmentStrategy(CDS)SouthAsiaRegion:ProgressreportJuly2002.

Washington:WorldBank.Availableat:

https://openknowledge.worldbank.org/bitstream/handle/10986/18723/879720WP0Box380gy0S

outh0Asia0Region.pdf?sequence=1&isAllowed=y[Accessed2February2016].

WorldBank,2001.CityDevelopmentStrategyandcityassistanceprogramme:Kathmandu

MetropolitanCity:volume1.Washington:WorldBank.Availableat:

https://openknowledge.worldbank.org/bitstream/handle/10986/15529/481440ESW0v10P10Box

338889B01PUBLIC1.pdf?sequence=1&isAllowed=y[Accessed3February2016].

WorldBank,2001.CitydiagnosticreportfortheCityDevelopmentStrategy:KathmanduMetropolitan

City:volume2.Washington:WorldBank.Availableat:

https://openknowledge.worldbank.org/bitstream/handle/10986/16767/481440CDS0v20R00Box

338889B00PUBLIC0.pdf?sequence=1&isAllowed=y[Accessed3February2016].

WorldBank,2002.Cali,Colombia:towardaCityDevelopmentStrategy.Washington:WorldBank.

Availableat:

https://openknowledge.worldbank.org/bitstream/handle/10986/14086/multi0page.pdf?sequenc

e=1&isAllowed=y[Accessed3February2016].

WorldBank,2010.CityDevelopmentStrategy:Peshawar[assessment]volume2.Washington:World

Bank.Availableat:http://www-


40930130833/Rendered/PDF/563740v20Box385328B00PUBLIC0.pdf[Accessed3February2016].

WorldBank,2010.CityDevelopmentStrategy:Peshawar[mainreport]volume1.Washington:World



40930125553/Rendered/PDF/563740v10REPLA00Box385328B00PUBLIC0.pdf[Accessed3

February2016].

WorldBank,n.d.Toolname:institutionalmapping/Venndiagramming.Washington:WorldBank.

Availableat:http://siteresources.worldbank.org/EXTTOPPSISOU/Resources/1424002-

1185304794278/4026035-1185375653056/4028835-

1185375938992/1_Insti_mapping_Venn_diagramming.pdf[Accessed22August2016].

Zeijlon,A.,Tsenkova,S.,Ionkova,K.,Ebinger,J.,etal.,2003.Sofiacitystrategy.Washington:World



40110125032/Rendered/PDF/839130ESW0whit0BLIC00Sofia0Strategy.pdf[Accessed3February

2016].

References

178

Ziari,K.,Pourahmad,A.,Sheikhi,A.,Aghdam,A.S.,etal.,2014.CityDevelopmentStategiesof

Piranshahr.IndianJournalofScientificResearch,4(3),pp.457-464.Availableat:http://www.ijsr.in/upload/963054043Microsoft%20Word%20-%20Keramatollah%20Ziari,%20Ma

nuscript%20Final.pdf[Accessed2February2016].

CDS Toolkit “version 2.0” - City...

Documents

Transcript of CDS Toolkit “version 2.0” - City...