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CIIPP Toolkit Methodology for CIIPP Implementation - PRIMER Prepared by CEPT University, Ahmedabad

ABSTRACT

The CIIPP Toolkit has been developed by the Cities Development Initiative for Asia (CDIA) to assist cities and municipalities throughout Asia to do a better and more structured job in urban infrastructure planning, prioritization and programming.

This document illustrates methodology for implementing the City Infrastructure Investment Prioritization and Programming (CIIPP) Toolkit in the Indian context through the case of Rajkot City in Gujarat. The document is a “primer”, which can be used as a quick methodology to implement the tool in similar Indian context. The steps identified here are based on the experience of Rajkot Municipal Corporation.

CDIA is a multi-donor initiative assisting medium sized cities in Asia to meet the urban infrastructure investment challenge. CDIA offers pre-project preparation and capacity-building to turn existing city development strategies into an urban reality.

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The diagram above shows three phases of implementing CIIPP tool in India. The process of getting ready for implementation is little complicated in Indian cities due to constant change in leadership and non- standard data management of urban local bodies. To successfully implement the tool pre-workshop preparations are extremely important in medium size cities.

The implementation of CIIPP process can be divided in to 3 main stages as mentioned above in the diagram.

STAGE 1: Pre Workshop Preparation STAGE 2: During Workshop STAGE 3: Post Workshop

Stages under each one of those stages have been explained in detail in the report where each of the stages have been further divided into steps “to be taken” for effective implementation of CIIPP in Indian context.

Selection and approval process of the cityCDIA - CITY -NPO agreementData Collection and preperationIndetify stateholdersIdentify shortlist of projects

Stage 1: Pre Worshop

Preperations

Implementation of CIIPPPrioritize key identified projectsPrioritization and Investment Packaging Exercisepresentation of results

Stage 2: During Worshop

ReviewFeedbackPublic AwarenenssDocumentation

Stage 3: After Workshop

1.0 Methodology for CIIPP Implementation in India

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CIIPP IMPLEMENTATION PROCESS

STEP 1: City scan and selection of City for CIIPP implementation

STEP 2: • CDIA - City communication • CDIA -NPO agreement

STEP 4: Desk Research on City Review of existing planning documents Review of Institutional Framework of the Urban Local Body (ULB)

STEP 3: • Establish contact and

briefing of CIIPP

STEP 5: • Visit 1: Ice breaking and information sharing (3 working days)

STEP 6: • Desk preparation for Data requirement

STEP 7: • Visit 2: Data collection ( Duration - 3 to 5 working days) • Meeting with different departments • Dummy run of the tool with available data • Identify key officials to attend the CIIPP Implementation

STEP 8: • Review and preparation for CIIPP implementation • Communication with officer in-charge for remaining data

STEP 9: • CIIPP Implementation Workshop

STEP 10: • Feedback and Reflections

STAGE: 1

STAGE: 2

STAGE: 3

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Rajkot Municipal Corporation website ajkot Municipal Corporation website

2.0 STAGE 1: Pre Workshop Preparations Step 1: Selection of city

Mid sized developing city One of the 65 JNNURM cities Strong Development vision for infrastructure planning Proactive Municipal Corporation and political support Above average performance in one or more urban sectors in India Leading in E-governance, M-governance, SWM, GIS, etc. Prior collaboration with CDIA Prior collaboration and current working relationship between city – NPO

Step 2: Communication

Step 3: Research on city : Review of existing documents

Size of the city Administrative boundaries City Vision and goals Population projections Growth rate List of projects Broad budgeting for proposed projects

Administrative structure Published documents

NPO – City Communication

CDIA-NPO Activity Agreement

CDIA-City Communication

Rajkot City Map City Development Plan Detail Project Report

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Step 4: Establish contact and briefing of CIIPP

Information to be sent

CIIPP toolkit (hard copy) CIIPP Manual(hardcopy) List of data required (General, City Specific, Project specific)

Step 5: Visit 1:Ice breaking and information sharing / Meeting with key officials

DOs DON’Ts

Meeting with political wing ( Mayor / Chairman) Meeting with Municipal Commissioner of the city Meeting with chief accountant / financial officer at the budget department Meeting with JNNURM department head (if any) Meeting with other departments (transport, waste, water…) Meeting with officials (Social, health, housing…) Establish a core team for CIIPP Implementation Identification of the main data sources Sector specific data collection

Be secretive about the process Acting without understanding the office hierarchy. Taking important decision without consulting department heads / commissioner

Step 6: Desk preparation for Data requirement

Email Communication with Finance Department prior to visit

City specific data list CIIPP Manual

Duration of the visit: 3 working days – could be stretched to 5days depending on the

availability of concerend officials

Required financial data Required Project data Required Genera City Data

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Preparation of Data sheets

Simple format / language

In hardcopy and not in a computer software format

Clearly defined for different departments

Separate data requirement as per the departments of the municipal corporation

Step 7: Visit 2: Data Collection Data collection List of Projects Identify core team for the CIIPP Implementation workshop Finalize agenda / workshop program Finalize logistical requirement

Data Collection Excel sheets printed for project level information

Financial data Gather suggestions from city officials

List of Projects

Selection of City Officials for CIIPP Implementation

Selected officials for implementing CIIPP from the RMC

JNNURM project development cell Town planning Water supply Construction Transportation Environmental Garden and electricity Social development and other additional city engineers

Sector based list of projects

Selected list of projects

Cross sectoral list of projects

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Selection of Political wing

Diagram here shows the selection of decision makers selected for the CIIPP introductory as well as final summary session.

Finalizing the agenda

Step 8: Review and prepare for workshop Feed in financial data section of the toolkit with the data compiled

Insert project level information as well as general city level information in CIIPP

Recheck all fields to make sure that no discrepancy is left.

Dummy project should be run to test the tool with newly acquired data and Information.

Preparation of workshop kit: CIIPP manual, CD containing the excel tool, stationary and folder

Step 9: CIIPP Implementation Workshop Upon going through all the steps mentioned above the new CIIPP toolkit is ready with city data. Based on city’s convenience the exercise / workshop could be held to complete the implementation process.

Main Inclusions in the agenda Sufficient time for prioritization exercise Discussion time at different stage of workshop Summary session for PIP (Project Investment Package) Sufficient time for concluding remarks and presentation with higher authority Sufficient time slot for feedback and comments from the corporation and the participants

Agenda

Duration of the visit: 3 to 5 working days depending on the availability of concerend officials and data

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Step 1: Inauguration session of the CIIPP implementation workshop

Inaugural plenary o Inaugural plenary on the first day is more of an ice breaking session for CIIPP implementer

as well as the city officials and political wing. o The session aims to acknowledge the activity and kick start the process through basic

introduction of the tool and its benefits. Introduction to CIIPP and importance in Indian planning process

o This session is one of the most important sessions to give a walkthrough of the process to the governing body and the technical staff present at the forum. The session included short presentation on

Urbanization challenges in India What is the toolkit about (preferably in local language or Hindi) Introduction to the toolkit and its component Examples of other such exercises and its output in different Asian cities.

Introduction of governing body Detail introduction of the technical staff going to be involved in the exercise

o Knowledge on who these people are and what kind of projects they handle becomes extremely important for the moderator / facilitator of the CIIPP prioritization exercise.

Step 2: CIIPP Toolkit exercise with the city staff

Discuss the “Short List” of projects with the selected group of technical staff of the corporation Discuss the pre- fed financial data with all other technical staff Upon approval of the selection discuss strategy to implement the exercise

o Option 1: all selected officials and technical staff do the exercise o Option 2: officials are divided into groups and smaller groups does the exercise

Depending on the time availability and the size of the corporation and the selected department’s technical staff, the decision of how to implement the exercise can be taken by NPOs

3.0 Stage 2: During Workshop

Short inaugral session must not take more then 1 hour or maximum of 2 hours

Project Prioritization exercise with larger RMC Group of officials

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Dummy project run with the entire group of city officials o A dummy project run must be done before the actual process starts to familiarize the group

on type of questions and time required. Team CIIPP exercise -break up in groups ( optional)

o In some cases it is possible that the city has many departments and quite a few of their technical staff wants to get involved in such exercise. In such cases it would be more efficient to break the large group of technical people in to 2 or more smaller groups to easily carry out the exercise.

DOs DON’Ts

Preferabaly arrange such exercise on a holiday or on not so busy day for the corporation to have better engagement of the corporation Firm / effective facilitation Try to make strategic groups Group for the CIIPP exercise must include technical staff from diverse departments Selection of the group Make sure that officials involved in the exercise understand each question and are responding accordingly Regulate equal participation amongst technical staff / group members Sufficient time for discussion for summary table Allow discussion and encourage reflection on the scoring and ranking of projects Regulate timing for all individual project questionnaire

Unstructured / open ended program Allow few officials to dominate the exercise Include non- technical staff in the group Involve higher authorities / commissioner in the process

Duration of the exercise: 1 full day or 2 days depending on the list of projects

Project Prioritization exercise with RMC Officials

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Step3: final ranking and summary of the prioritized projects

Brief introduction of the process of the scoring and ranking Explanation on how answers given by officials change the result and scoring Highlight results of the projects and some of the highest scoring projects from the selected “short- list” of projects Sufficient time allocation for summary exercise of the process

o This part of the exercise is one of the most interesting part where all different projects can be compared based on the score that they have gained under different scenarios

Allow discussion for final ranking of the prioritized projects Manually rank the priority of the project

Step4: Prioritization and Investment Packaging (PIP) Exercise

This stage of the exercise gives an opportunity to look at the prioritized projects with financial feasibility of the municipal corporation. PIP also gives an opportunity to city officials to see loan arrangements and debt service capacity of their corporation. PIP allows city officials to choose projects which are feasible and can be taken on board for current or coming years keeping available municipal budget. Presence of city accountant or a budget officer is extremely necessary for this part of the exercise to first explain the financial scenario, revenues and expenditures of the corporation and loans that city has or is in a process to take. PIP would give city officials to once again see the complete picture and would give them an option to either change their ranking based on availability of funds.

Image of the Summary sheet after the completion of the exercise

PIP Exercise Results

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DOs DON’Ts

Assign sufficient time for this exercise Do the exercise in presence of the city accountant or a budget officer This exercise must happen collectively with all department heads and technical staff involved in the CIIPP implementation and prioritization exercise Allow discussion Have a facilitator, who is familiar with the municipal finance subject to be able to help city officials in their decision making and also to suggest alternatives of phasing / breaking projects in parts to meet city budget.

Avoid financial discussion Do this exercise in groups Allow decision makers to influence the discussion

Step 4: presentation to the governing body / decision makers

Invite Municipal Commissioner and the political wing for the session Briefly explain the process and how the exercise was conducted and what Nominate a city official / department head form the group to present the results of the exercise to the higher authority. Give enough time to the governing body to reflect on the results and give them an opportunity to flag their views

Duration of the exercise: 1 session of about 2 – 3 hours

Presentation to the governing body / decision makers

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Review of the process

o as NPO / Facilitator o from the point of view of city officials o from the point of view of governing body

Reflection from the city officials o What was the overall opinion on the exercise

Publicity and awareness o sharing results with residents of the city through local newspapers

Way Forward o Can it become part of their normal decision making process of selecting projects? o How city would like to use this tool in future?

4.0 Stage 3: Post Workshop

Newspaper clippings