Local Area Development Programme in Iraq · Local Area Development Programme in Iraq Financed by...

Local Area Development Programme in Iraq

Financed by the European Union

Implemented by UNDP

GUIDELINES FOR STRATEGIC PLANNING FOR LOCAL AUTHORITIES

IN IRAQ

February 2018

LADP in Iraq – Guidelines for Strategic Planning for Local Authorities in Iraq

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CONTENT

Guidelines for Strategic Planning for Local Authorities in Iraq

Content ............................................................................................................................................................ 3

List of Figures ................................................................................................................................................... 5

List of Tables .................................................................................................................................................... 5

Abbreviations ................................................................................................................................................... 6

Introduction ..................................................................................................................................................... 7

I. CBSP model for local economic development .......................................................................................... 9

II. Development of Strategic Plan following the CBSP model ..................................................................... 12

1. Steps in developing the Strategic Plan for local economic development ................................................ 13

1.1. Initiate and agree on the strategic planning activity .............................................................................. 13 1.2. Organise the public-private strategic planning Task Force..................................................................... 13 1.3. Develop vision for the economic future of the community ................................................................... 14 1.4. Identify stakeholders ................................................................................................................................ 14 1.5. Develop and analyse baseline data .......................................................................................................... 15 1.6. Conduct SWOT analysis ............................................................................................................................ 15 1.7. Identify Strategic Issues ............................................................................................................................ 16 1.8. Identify Critical Strategic Issues and organise WGs around them ......................................................... 16 1.9. Develop Action Plans to address Critical Strategic Issues ....................................................................... 17 1.10. Apply Logical Framework Approach ........................................................................................................ 17 1.11. Integrate Action Plans to produce the PDS ............................................................................................. 18 1.12. Implement, monitor and update the PDS ............................................................................................... 19

2. Suggested timeframe and agenda .............................................................................................................. 20

III. Implementation – institutionalising local economic development ......................................................... 22

1. The importance of PPPs – and role of local Economic Development Entity ............................................ 22 2. Forms of organisation for local economic development – types of local EDEs........................................ 23

2.1. Government-run entity – Local Economic Development Department/Office ...................................... 23 2.2. Company owned by the City Government .............................................................................................. 24 2.3. Non-government organisation (PPP, NGO, etc.) ..................................................................................... 25

3. Mission, objectives and services of local EDEs ........................................................................................... 25 4. Staff and budget of local EDEs .................................................................................................................... 26 5. Establishing a local EDE ............................................................................................................................... 26

5.1. Steps .......................................................................................................................................................... 26 5.2. Lessons learnt............................................................................................................................................ 27

6. Resources of interest regarding EDEs ......................................................................................................... 28

IV. Guidance for monitoring and updating the Strategic Plan ...................................................................... 29

1. Introduction ................................................................................................................................................. 29 2. Preliminary steps ......................................................................................................................................... 30 3. Level 1: Implementation monitoring and updating the SAPs .................................................................... 32 4. Level 2: Outcomes monitoring and testing the Intervention Logic........................................................... 33 5. Level 3: Environment monitoring and updating the PDS .......................................................................... 35

Annex 1 – PDS Toolbox................................................................................................................................... 37

Tool 1 – Participatory Workshop Checklist ...................................................................................................... 37 Tool 2 – Community Based Strategic Planning (CBSP) Flow Chart .................................................................. 38 Tool 3 – Stakeholder Management Tools ......................................................................................................... 39

Tool 3.1 – Stakeholder identification ................................................................................................................. 39 Tool 3.2 – Stakeholder analysis and mapping ................................................................................................... 39 Tool 3.3 – Stakeholder expectations assessment ............................................................................................. 40 Tool 3.4 – Stakeholder engagement methods .................................................................................................. 40 Tool 3.5 – Stakeholders communication and reporting plan ........................................................................... 41


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Tool 4 – CBSP perspective diagram ................................................................................................................. 42 Tool 5 – Model SC Invitation Letter .................................................................................................................. 43 Tool 6 – Economic Scan ..................................................................................................................................... 44 Tool 7 – Circles of Influence .............................................................................................................................. 46 Tool 8 – Question and Answer (Q&A) Procedure ............................................................................................ 47 Tool 9 – Business Survey ................................................................................................................................... 48 Tool 10 – Vision Procedure ............................................................................................................................... 52 Tool 11 – Brainstorming Procedure .................................................................................................................. 53 Tool 12 – Small Group Work ............................................................................................................................. 54 Tool 13 – Weighted Voting Procedure ............................................................................................................. 54 Tool 14 – SWOT Analysis ................................................................................................................................... 55 Tool 15 – Refining the Vision............................................................................................................................. 55 Tool 16 – Strategic Issues Procedure ................................................................................................................ 56 Tool 17 – Critical Strategic Issues Procedure ................................................................................................... 56 Tool 18 – Logical Framework Approach ........................................................................................................... 57

Tool 18.1 – Log Frame analysis and planning .................................................................................................... 57 Tool 18.2 – Problem Tree ................................................................................................................................... 58 Tool 18.3 – Goal Tree ......................................................................................................................................... 59 Tool 18.4 – Log Frame Planning Matrix ............................................................................................................. 60 Tool 18.5 – Assumption Test .............................................................................................................................. 63

Tool 19 – Action Plan and Summary Action Plan ............................................................................................ 64 Tool 20 – Activity Chart ..................................................................................................................................... 69 Tool 21 – Information and communication tools ............................................................................................ 70

Tool 21.1 – Press Release ................................................................................................................................... 70 Tool 21.2 – Leaflet .............................................................................................................................................. 71 Tool 21.3 – Radio/TV Programme ...................................................................................................................... 72

Tool 22 – Project Management Cycle: Knowledge Areas ................................................................................ 74

Annex 2 – Suggested agenda for PDS development meetings (SC/WG) .......................................................... 75

Suggested Agenda SC Meeting 1: Convene the Steering Committee............................................................. 75 Suggested Agenda SC Meeting 2: Provide Information; Begin Developing Vision ........................................ 76 Suggested Agenda SC Meeting 3: Conduct Full SWOT Analysis ..................................................................... 76 Suggested Agenda SC Meeting 4: Draft Vision Statement, Identify Strategic Issues ..................................... 77 Suggested Agenda SC Meeting 5: Identify Critical Issues, Organise WGs ..................................................... 77 Developing Action Plans: the Working Group Meetings ................................................................................. 78 Suggested Agenda SC Meeting 6: Presentation of Action Plans Developed by WGs ................................... 81 Suggested Agenda SC Meeting 7: Produce Draft PDS ..................................................................................... 81 Suggested Agenda SC Meeting 8: Finalise PDS after Period Of Public Comment .......................................... 82 SC Meeting 9: Present PDS to Local Government(s) for Adoption ................................................................. 82

Annex 3 – Suggested agenda for monitoring/updating meetings (MG) .......................................................... 83

Suggested Agenda: Initial Monitoring Group Meeting .................................................................................... 83 Suggested Agenda: First Monitoring Group Meeting ..................................................................................... 84 Guidelines for Quarterly Monitoring Group Meetings .................................................................................... 84 Suggested Agendas for Level Three Monitoring Annual Review .................................................................... 85


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LIST OF FIGURES

Figure 1 Development of Strategic Plan following CBSP methodology (13-step process) 12

Figure 2 Development of Strategic Plan following CBSP methodology (13-step process) 38

Figure 3 Stakeholder mapping – roles analysis 39

Figure 4 CBSP process for local area development: working together to promote the interest of the community 42

Figure 5 Circles of influence: levels of control the SC has in shaping the economic future of the community 46

Figure 6 The SWOT Analysis scheme 55

Figure 7 Refining the vision process 55

Figure 8 Example Problem Tree 59

Figure 9 Example Goal Tree 60

Figure 10 Assumption test decision path 63

Figure 11 Knowledge areas of the Project Management cycle 74

LIST OF TABLES

Table 1 Suggested schedule and tasks to be accomplished at each TF/WG meeting 20

Table 2 Procedures for TF/WG meetings 21

Table 3 Suggested PDS monitoring and update schedule 30

Table 4 Implementation Scan chart (to be prepared for each intervention) 32

Table 5 Participatory workshop checklist 37

Table 6 Indicative list of stakeholders 39

Table 7 Analysis and mapping of stakeholders by role 40

Table 8 Analysis of stakeholder expectations 40

Table 9 Stakeholder engagement methods 40

Table 10 Stakeholder communications log 41

Table 11 Typical format for data presentation in a scan, using total employment 2000-2015 as an example 45

Table 12 Log Frame Planning Matrix template 60

Table 13 Flow of internal logic for filling in the Log Frame matrix Column D (preconditions and assumptions) 61

Table 14 Log Frame Planning Matrix template filled in for our example 62

Table 15 Sample Action Plan (AP) form 67

Table 16 Summary Action Plan (SAP) form 68

Table 17 Activity Chart template 69


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ABBREVIATIONS

AP Action Plan

CBSP Community Based Strategic Planning (process/methodology)

CSO Civil society organisation

GoI Government of Iraq

LA Local Authority(ies)

EDE (Local) Economic Development Entity

Log Frame Logical Framework

LADP Local Area Development Programme (EU-funded, UNDP-implemented)

MG Monitoring Group

NGO Non-governmental organisation

PDS Provincial Development Strategy (5-year plan) – Economic Development Strategic Plan

PPP Public-Private Partnership

Q&A Question and answer (e.g. session during meeting)

SAP Summary Action Plan

SC Steering Committee

SMART Specific, Measurable, Achievable, Relevant, Time bound (e.g. indicators)

SWOT Strengths, Weaknesses, Opportunities, Threats (analysis model)

TF Task Force

TL Team Leader

VMOSA Vision, Mission, Objectives, Strategies, Action Plans (planning model)

WG Working Group


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INTRODUCTION

The responsibilities of local authorities (LAs) in Iraq with regard to economic development are increasing. In the context of democratic decentralisation, the local government has greater responsibility for (1) the economic welfare of its citizens, (2) its own fiscal health, and (3) the management of its assets. At the same time, transformation to a market economy means that the government no longer operates businesses; instead, the government (at all levels – including LAs) has a new responsibility to promote economic development by creating conditions that are conducive to private business operation and private investment. Experience around the world suggests that, at the local level, creating such conditions – and therefore economic growth – requires to (1) improve the local business environment and (2) use local public investment in a strategic way to drive economic development.

Community-based strategic planning for economic development builds a strong foundation for LAs to meet these new responsibilities and function effectively in the new economic environment. It does so by:

Bringing local government, business leaders and civic leaders together to forge and pursue a shared vision of the community’s economic potential and how to achieve it;

Mobilising both public and private resources in support of this vision; and

Creating a favourable business climate that encourages local entrepreneurs to create new business and expand existing ones and is attractive to outside investors.

Community-based strategic planning for economic development builds private–public partnerships (PPPs) to strengthens local economic development capacity; and it mobilises community resources to achieve shared goals. Thus, although local economic development occurs within the framework of national economic policies and plans, the province is a centre of economic activity and it can influence its own economic future.

Building on the LADP model of Community-Based Strategic Planning (CBSP) for economic development, this Guidelines document is designed to help Local Authorities in Iraq to apply CBSP for economic and social development. The LADP development initiative operates under the assumption that effective local economic development depends upon three pillars: (1) a development strategy that enjoys broad support; (2) an entity with clear responsibility for overseeing implementation of the strategy and subsequent local economic development activities; and (3) adequate resources and authority.

This Guidelines document is central for disseminating the LADP economic development strategic planning model to Local Authorities in Iraq. It is a practical rather than a theoretical documentation, which reflects what has been accomplished in LADP demonstration sites, as well as lessons learned in the course of training GoI officials to work with LAs. The Guidelines document can also serve community leaders interested in devising their own development strategies, as well as consultants who want to expand their capacity to assist in local strategic planning for economic development.

The Guidelines document is organised into four chapters:

Introduction of the LADP model of Community Based Strategic Planning (CBSP) for economic development; 1.

Outline of the strategic planning process. This includes (1) a concise description of the 13-step CBSP planning 2.model for developing a Provincial Development Strategy (PDS); and (2) description of the actual planning process through a series of agendas for TF (Steering Committee) and working group (WG) meetings. This chapter also presents useful tools to apply at each step in the PDS planning process;

Discussion of options for institutionalising local economic development by establishing an entity to deal 3.with the local economic development. Chapter 4 addresses the creation of a local economic development capacity to deal with the local economic development, including implementation, monitoring and updating the Strategic Plan (e.g. the PSD);

Introduction to the PDS implementation, monitoring and updating. 4.


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Additionally, three Annexes which present:

The compendium of PDS tools – based on techniques and approaches that have proven effective during the process of strategic plan development in other parts of the world (mainly the Balkans and Central Europe); instructions to guide their use are included;

Agenda and guidelines for Task Force and Monitoring Group meetings – where each specifies the tasks to be accomplished at the meeting, suggests a time frame and suggests techniques and approaches for achieving the meeting goals.


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I. CBSP MODEL FOR LOCAL ECONOMIC DEVELOPMENT

The LADP model for Community-Based Strategic Planning (CBSP) for local area (economic and social) development builds on community-based economic development planning approaches and models developed and successfully applied in the United States and elsewhere. It draws upon models developed by the Urban Institute during the Pilot Local Government Partnership Program (LGPP) in Poland; models developed by Norton Berman Ltd. during the succeeding LGPP and Local Government Reform Project in Croatia (LGRP); and experience in strategic planning process in Iraq implemented by RTI Local government Project (LGP). Finally, the LADP model reflects insights gained during work with the LADP pilot provinces regarding the unique environment of Iraq at the beginning of the 21st century.

What do we mean by “economic development”?

Economic development usually refers to the creation of wealth through increase in employment and income levels. As such, economic development allows LAs to increase tax revenues and, consequently, to improve the capacity of local government to provide services – becoming an instrument for social development. Thus, local economic development is economic change that results in improved economic standards of living for residents and improved provision of public services by the local government to local residents.

In a market-oriented economy, the key characteristics of local economic development are as follows.

To be effective, local government’s economic development function must be a continuous activity. The economic environment changes due to outside events – technological improvements, discoveries, political events – and economic development efforts must continually adjust to the changing environment. In a market economy, competition intensifies the environment of constant change.

Local economic development activities occur within the framework of national economic policies and plans. However, the local area is a centre of economic activity and can influence its own economic future because it has the power to create and maintain a local environment conducive to private sector economic activity. Also, LA officials have the power to work for change in national laws and policies.

The resources that local government brings to economic development are human, institutional, business, physical and financial. The tools that it has to enhance those resources are its service provision and regulatory responsibilities plus its information provision capabilities and management skills. Local government enhances its economic development capacity and mobilises additional resources through partnerships with business, NGOs, citizens, and other governments in its economic region.

Economic development occurs as a result of actions and investments by the private and public sectors and in a democracy, with the concurrence of the community.

Expectations of return to capital (profit) shape private investment decisions. Public sector economic development activity seeks to attract investment by creating and maintaining an environment where private business can prosper. Such an environment is called a good business climate. Privatisation makes the business climate increasingly important.

Attracting investment is also related to locational advantage. Locational advantage means that firms in that location are more likely to prosper than a similar business in a different location. Locational advantage can stem from geographic factors such as proximity to major markets and good transportation, and also from local characteristics such as a well-trained workforce and educated populace. Local government promotes economic development by efforts to create or exploit locational advantages; for example, by investing in infrastructure improvements and education.

Attracting outside investors drives economic development only in part. Successful economic development strategies recognise that (with minor exceptions) most economic growth and job creation occurs from local business persons creating and expanding local firms – not from attracting large corporations from the outside. Therefore, primary attention should be given to creating a local business environment within which local business persons are supported in taking risks and reinvesting their profits in the community. Moreover, experience shows that fostering such a business climate is also the best approach to interest outside firms in locating in the local area, which can be


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an important factor that contributes to economic development. Finally, foreign investors are attracted to communities where local business people speak positively about their local government and their local area as a place to do business.

What do we mean by “strategic planning”?

Strategic planning is a tool for adjusting to a changing environment and for setting priorities. It is a tool that the public sector has borrowed from business. It is a creative process – art as well as science – by which a community envision their future and develop the necessary procedures and operations to attain that future. Like economic development, strategic planning is a continuous process – not an event. It must be used as a tool for adjusting to a changing environment and for setting priorities – not as an instrument for solving all problems.

Strategic planning differs from the traditional model of comprehensive planning in several important ways:

Strategic planning is pro-active. Through the strategic planning process, the community seek to shape their future – not just prepare for it;

Strategic planning focuses only on the critical strategic issues and directs resources to the highest priority activities. Setting priorities is necessary because the resources available to the local government (governorate) are less than the demands on them. By contrast, comprehensive planning covers all activities that must be done without indicating which ones are the most important;

Strategic planning is led by those tasked to implement the resultant strategic plan; it entails ownership. By contrast, a comprehensive plan prescribes who should implement it but it does not require the inclusion of those entities in the strategic planning process.

For strategic planning to be successful, its focus must be carefully articulated and agreed upon at the beginning of the process. For example, strategic planning for economic development addresses issues that affect jobs, income, attracting investment, access to capital, utilities and transportation infrastructure, and other factors directly linked to sustainable economic growth and prosperity. Equally important, strategic planning addresses only these issues which can be changed or influenced; it focuses resources where they will have an impact.

What do we mean by “community-based” strategic planning?

“Community-based” refers to public participation in strategic plan development. A Task Force (TF – e.g. Steering Committee) comprised of community representatives produce the community-based strategic plan (e.g. the Provincial Development Strategy, PDS). The TF personifies the public-private partnership (PPP) required for effective local economic development. Ideally, the TF is co-chaired by the Governor and by an important business leader. Its members include representatives of local government, business, educational institutions, workers organisations, and community groups such as NGOs with an interest in economic development.

External experts may serve on the Task Force and/or support its deliberations by providing information, but all TF members share equally in the decisions that shape the community-based strategic plan. Representatives of private and public sectors and CSOs together develop a vision for their local area and choose their own priorities. The community-based strategic plan establishes priorities, set directions, and defines projects with initial Action Plans (AP). Once the plan (PDS) is adopted, experts develop the more specific plans needed for project implementation.

Community involvement strengthens strategic planning in several ways:

Transparency and inclusiveness: While the strategic plan establishes priority areas for development, it has political as well as economic dimensions. Community involvement contributes to a transparent and inclusive process.

Implementation/resource mobilisation. Community involvement promotes the plan implementation. Beyond government resources, it helps mobilise the resources of the community toward achieving the economic goals. Successful strategic planning involves the entities that will be tasked with the implementation of the plan.


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Support and credibility: Participation of community leaders in plan development gives the resulting plan credibility in the community. Consensus among TF members promotes a community consensus in support of the Plan.

The public is kept informed about progress and findings during the process of developing the strategic plan, and public meetings at key points during the process provide venues for broader community participation. Following each TF meeting, a press conference helps disseminate information to all citizens. TF members can serve as spokespersons during the planning process, making presentations to other groups in the community and obtaining their input. Depending on the local area, other media may be employed too to keep the public informed – e.g. a special supplement in the city newspaper, a programme on the local television, and/or postings on the Province website (if the Province have one).

It is important to acknowledge that community involvement also burdens the planning process. It is more difficult for a consultant to work with a community-based TF than it would be to simply develop a plan without involving the community. Organizing and supporting the TF takes time. The TF have to invest time in consensus building and negotiations. Still, the benefits of community involvement justify the extra effort.

Community involvement continues into the implementation phase as a process for progress monitoring toward stated goals and objectives – including updating the strategic plan with modifications and adjustments in as appropriate to respond to changing environment and needs.


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II. DEVELOPMENT OF STRATEGIC PLAN FOLLOWING THE CBSP MODEL

Completing an economic development strategic plan (PDS) is a necessary and important step in promoting local economic development. The PDS identifies strategic issues that should be addressed to promote local development. Short, medium and long-term interventions and actions are identified during the planning process.

The LADP strategic planning model describes how to produce a strategic plan for local development. The process involves the community and lays the foundation for PPP in the implementation of the strategic plan. The model is illustrated in the flow chart below (Figure 1), and its components are described in the texts that follow. We note that one component (step 3 – developing a vision for the economic future of the community) in fact occurs several times in the course of the planning process.

Figure 1 Development of Strategic Plan following CBSP methodology (13-step process)

Develop vision of the economic and social future of the province in the next planning period

Organise the public-private strategic planning Task Force

Identify stakeholders (stakeholder management)

Conduct SWOT Analysis

Develop and analyse baseline data

Socio-economic trends

Economic development infrastructure

Business survey Key industries

Identify Strategic Issues

Identify Critical Issues

Establish Action Groups around Critical Issues

Develop Action Plans (APs) to address Critical Issues

Draft AP Group 1

Draft AP Group 4

Draft AP Group 3

Draft AP Group 2

Integrate Action Plans to produce the Strategic Plan (PDS)

Implement, Monitor and Update the Strategic Plan (PDS)

Apply Logical Framework Approach (LFA)

Initiate and agree on the strategic planning activity

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1. Steps in developing the Strategic Plan for local economic development

1.1. Initiate and agree on the strategic planning activity

Usually, creation of a community-based strategic plan for economic development is initiated and led by the Governor, but a Deputy Governors, a Provincial Council members or even a business leaders may be the initiators and leaders. Sometimes more than one local government is involved. Creating a PDS requires work and commitment, an investment of time from community leaders and an investment of resources from the sponsoring organisations. The LADP model is based upon cooperation among public and private sector entities, and so the first step is for those entities to agree how they will work together.

The model can be implemented on the local level without extensive assistance from outside experts. However, there are costs associated with the process - for meetings, research, preparation of materials, mailing and facilitation to support Task Force (Steering Committee) deliberations. The sponsors identify the financial and staff support that will likely be needed and how they will provide that support. For example, provincial chambers of economy (are they any) maintain economic databases (check). The chamber is asked to participate on the PDS TF because it is an important business organisation, it also is asked to provide data. Institutions such as Employment Offices and provincial chambers of craftsmen are also valuable sources of data and insight. The local government may provide meeting facilities and staff support. If there is an economic development agency, it can serve as the secretariat for the planning process.

Activity By whom Tools

Identify potential Task Force members Governor, Deputy Governor(s), Head of Planning Department

Tool 3 Stakeholders Management Tools

Meet with key people to explain the project and seek their support, including orientation meeting for the Provincial Council

Governor, Deputy Governor(s), Head of Planning Department

Tool 2 CBSP flow chart

Invite people to serve on the TF; follow-up with a phone call


Tool 5 Model invitation letter

Identify resources to support the planning process - internal resources such as loaned staff, databases, meeting space, office supplies; financial support from internal and/or external sources

Governor, Deputy Governor(s); Head of Planning Department and technical staff

Make arrangements for the initial meeting Designated Governorate staff (Head of Planning Department)

Tools 1 Participatory Workshop Checklist

Compile data for scan – socio-economic trends, the economic development infrastructure, and information about key industries

Designated governorate technical staff

Tool 6 - Economic scan

Identify and summarise or copy for distribution to the TF: relevant local plans and programmes information on the legal and regulatory environment of

local government

Designated governorate staff Tool 4 – CBSP perspective diagram

1.2. Organise the public-private strategic planning Task Force

Task Force membership reflects the public-private co-operation that supports economic development in a market economy. Ideally, the Governor and an important business leader are co-chairs. Task Force members include leaders from city and local governments (districts, sub-districts), from the business community (Chamber of economy, Chamber of craftsmen, employment office – if they exist, etc.), associations of employers and other important business organisations, healthy and bankrupt firms too. There is representation from educational institutions, and from citizens groups and NGOs.


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Prepare list of selected members (this action can be combined with stakeholders identification process)

Governor, Deputy Governor(s) Tool 5 – model invitation letter

Organise first SC (Steering Committee) meeting to distribute roles – Chairman or Head of SC, Secretary, and person responsible for communications (reporting).

Designated technical staff (Head of Planning Department)

Tool 1 – Participatory Workshop Checklist

Inform Public about initiating PDS process and establishing SC

Governorate Communication Department

Tool 21 – communication tools

Agree on scope of work of SC and timeframe SC Members Tool 2 – CBSP flow chart Tool 7 – Circles of influence

1.3. Develop vision for the economic future of the community

A plan is designed to move a situation from one point to another. A vision of the desired economic future describes the destination for the PDS. Each individual’s vision of the future reflects his or her values. Developing a consensus vision requires that thoughtful consideration of the community situation override parochial self-interest.

Developing the vision occurs throughout the planning process. The discussion of vision and values begins at the organisational meeting when TF members are asked to state their hopes for the planning process – what they would like the TF to achieve. After hearing information about the current situation at the second meeting, the TF begins to develop a shared vision. Only at the end of the planning process is the vision statement finalised in the PDS document.


Organise and hold a workshop to develop a vision of the future of the province

SC Chair, SC members and Planning Department

Tool 11- Brainstorming Procedure Tool 8 – Q&A procedure

Produce 1st draft Vision (that will be verified after SWOT analysis)

SC members, Planning Department

Tool 11- Brainstorming Procedure Tool 8 – Q&A procedure Tool 12 – Small group work

Communicate PDS progress with public Communication Department Tool 21 – information and communication tools

1.4. Identify stakeholders

Task Force membership should represent all entities whose cooperation likely will be needed for plan implementation, including city council members from other parties. Because the plan is likely to call for actions by city departments, participation of department managers is important. If top managers - public or private sector - cannot make the time commitment required of Task Force members, they are asked to send a trusted deputy to represent them in Task Force deliberations. It is very important that top managers be regularly de-briefed on the results of the Task Force work and can give their input at any time of the process. While continuity is valuable, the TF membership is not closed. If it becomes apparent that other individuals could make important contributions to the development of the PDS, they will be invited to join the Task Force and its working groups.

The PDS process is made transparent by keeping citizens informed about the work of the Task Force, and providing opportunities for citizens to give their suggestions. For that reason, media coverage of the process is encouraged by press conferences after each meeting.

Activity By whom Tools Invite SC member to attend stakeholders identification and management process

SC Chair, Planning Department Tool 5 – Model invitation letter

Organise workshop to explain stakeholders management

SC Chair, Planning Department (If possible external consultant could be involved)

Tool 3 – Stakeholder Management Tools

Distribute responsibilities for running stakeholders management process

SC Chair, active SC members, Head of Planning Department

Tool 8 – Q&A procedure Tool 11- Brainstorming procedure

Second workshop to discuss list of stakeholders and to make final selection

SC members Tool 3 – Stakeholder Management Tools

Communicate process to public Communication department Tool 21 – Communication tools


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1.5. Develop and analyse baseline data

Strategic decisions are decisions based upon information, and so strategic planning for economic development starts by gathering information about the economy and factors affecting economic health. This is done in an analytical process called an economic scan. The Economic Scan is an analytical process of comparing and contrasting information about economy and factors affecting economic health; it compares and contrasts the local situation with wider trends to produce information needed to guide development of the PDS. It uses hard statistics (such as production, trade, import and export, unemployment rate, etc.) as well as softer information from interviews and surveys about the local economy and the community. Information describing the current situation is called the baseline data, and it represents the starting point for the PDS.

Information is an important ingredient throughout the PDS process. Before the first meeting of the TF, the partners supporting the process will begin compiling the statistical information about socio-economic trends, key industries, and the economic development infrastructure - physical and programmatic - that makes up the economic scan. At the first meeting Task Force members will be asked to assist with a survey of local businesses regarding the business climate. The economic scan and business survey results will be presented to the Task Force at its second meeting.

It is important to realise that neither the economic scan nor the business survey is an end in itself. Rather, the scan is an overview of the current situation, and the business survey gives insights into the business climate. The scan analysis provides a filter that informs the next steps of the PDS process. Later, the TF will focus on specific topics - the critical strategic issues. This is the appropriate time for more in-depth analysis, analysis that targets the critical strategic issues. By deferring in-depth analysis until critical strategic issues have been selected, the PDS process reduces the threat of information overload upon the TF and spends planning resources more efficiently.


Conduct survey and collect baseline data

Baseline Study Expert – this could be expert designated by government, but experience show it would be more effective if this has been done by external expert.

Present draft Baseline study to SC for review and comments

Baseline Study Expert, SC

Produce final Baseline Study that will be approved by SC

Baseline Study expert, SC

1.6. Conduct SWOT analysis

The TF use an analytical framework “SWOT analysis” to organise information from the baseline data, the business survey and their own personal knowledge. The SWOT categorises situations as internal strengths or weaknesses (things that can be controlled) or as external opportunities or threats (elements that cannot be controlled but that contribute to economic development) – all relevant to local economic development.

The SWOT framework promotes a strategic focus on situations that the entities represented on the Task Force can impact. It differentiates between internal and external factors. In the context of economic development planning the SWOT focuses potential interventions on factors like the presence or lack of a local economic development agency, workforce preparation, local tax and regulatory structures, local service provision, or the condition of the town centre. However, it is also important to recognise that communities cannot alter national programmes and regulations, but local leaders often have influence on national political decisions that underlie those programmes and regulations.


Organise SWOT analysis workshop SC Chair, Designated LG technical staff, SC Secretary

Tool 5 – Model invitation letter

Produce SWOT analysis for the Province SC members, LG technical staff, LG Planning department

Tool 11 – Brainstorming procedure Tool 8 – Q&A procedure Tool12 – Small group work Tool14 – SWOT analysis Tool 13 – Weighted voting procedure


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Discuss and refine the Vision according to SWOT analysis

SC members, LG technical staff, LG Planning department

Tool15 – Refining the vision

Present results of the SWOT to the governor SC Chair, Communications Department

1.7. Identify Strategic Issues

Contrasting the situation described by the SWOT analysis with the vision of the desired economic future helps the Task Force to identify strategic issues - those issues that are likely to impact the economic future of the community and affect achievement of the vision. Strategic issues are usually found on the negative side of the SWOT. They are the internal weaknesses that restrict local economic progress and the external forces likely to have a negative impact on the local economy (threats).

Strategic issues are expressed in the form of questions for which there are more than one answer. This follows the commitment of strategic planning to make decisions based upon information. A statement that limits potential responses to the strategic issue would be premature at this point in the planning process, because it is not likely that the Task Force has enough information to select the best response.


Organise workshop to discuss Strategic Issues

SC Chair; Designated LG technical staff, SC Secretary

Tool 3 – Stakeholder Management tools

Identify Strategic Issues SC Members, Planning Department, designated LG staff from other departments

Tool 11 – Brainstorming procedure Tool 8 – Q&A procedure Tool12 – Small group work Tool 13 – Weighted voting procedure Tool16 – Strategic Issues Procedure

1.8. Identify Critical Strategic Issues and organise WGs around them

Critical issues are those strategic issues that are (1) the most important to the achievement of the desired economic future and (2) the most likely to be affected by local intervention. These two criteria reflect the strategic planning commitment to (1) focus on the highest priority needs and (2) concentrate on those things that can be changed or at least influenced by the people doing the planning.

The local economic development capacity should be considered seriously here: i.e. what is the present capacity and what is needed to foster long-term economic development in the community.

The selection of critical issues sets both the agenda for future work and the direction of the strategic plan. Once the critical issues have been identified, the TF divide into Working Groups (WGs) – one per each critical issue – to conduct in-depth study of each critical issue, making most efficient use of TF resources.

The Critical Strategic Issues should be prioritised and their number should be ideally limited to three or four, rarely more, so the TF focuses on the highest priorities and limited resources are used optimally.

Specifying assumptions reveals strengths and weaknesses of proposed interventions and highlights areas that the more detailed proposal should address. Although it is too early to develop budgets beyond an initial rough estimate, as part of action plan development, the Working Groups should weigh estimated costs against expected benefits. The consultant or other staff supporting the strategic planning process provides information regarding available resources and if necessary, keeps the WGs focused on the critical issues. A realistic approach is a priority. The WGs should look for promising interventions that can be accomplished quickly and without major investments, to identify innovative approaches that have proven successful elsewhere, and to carefully assess the feasibility of interventions that will require long-term or extensive commitments.

This work should be all done at the same workshop/meeting.


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Organise workshop to discuss Strategic Issues

SC Chair Designated LG technical staff, SC Secretary

Tool16 – Strategic Issues Procedure

Identify Strategic Issues SC Members, Planning Department, designated LG staff from other departments

Tool 11 – Brainstorming procedure Tool 8 – Q&A procedure Tool12 – Small group work Tool 13 – Weighted voting procedure Tool16 – Strategic Issues Procedure

Communicate PDS progress to the public Communication Department Tool 21 – Information and communication tools

1.9. Develop Action Plans to address Critical Strategic Issues

Each working group develops an action plan addressing its critical strategic issue. The LADP model uses (Logical Framework Approach to test the feasibility of potential interventions. The Log Frame matrix, which is the product of the Log Frame approach, will specify the proposed intervention, the logic behind that intervention, the assumptions that underlie that logic, and how progress can be measured toward achievement of goals. Log Frame is a project management technique developed by the US Government in the late 1960s (USAID) that has been adopted by many international donors, Including the World Bank and the European Union, as a requirement for sponsored projects. The Log Frame approach is very useful when working with community-based task forces. It imposes a discipline that supports the development of plans that are realistic, coherent and relevant to the identified problem.

The working groups are likely to think of more proposed interventions than available resources will support. Log Frame analysis helps the working group assess the feasibility of potential interventions and then select the most promising proposals. Only after the Log Frame approach has demonstrated that a proposed intervention is feasible does the working group start to develop intervention details.


Identify Planning Groups according to the result of selection of Critical Strategic Issues (one group per Critical Strategic Issue

SC members, LG Planning Department

Designate responsibilities to each group and work on Action Plans

SC members, LG Planning Department; Planning Groups

Tool 20 – Activity Chart Tool 21.1 – Press Release

Present action Plans to the Steering committee Process Initiators Tool 19 – Action Plan and SAP

1.10. Apply Logical Framework Approach

Application of the Logical Framework Approach (LFA) (1) serves to strengthen the internal logic of plans, (2) contributes to a transparent planning process by specifying the assumptions upon which decisions rest, and (3) promotes accountability by integrating performance measurement into the planning process from the beginning.

Once the WG has worked through the steps of the LFA, it has a completed matrix for each proposed interventions. Information from the Log Frame matrix is used to complete a summary action plan. The LFA requires an investment of time and perhaps research resources. There may be a tendency to try to jump to the end and complete a Log Frame matrix without going through the analysis phase of the LFA. This causes difficulties and leads to inferior planning and should be avoided. While working through the Log Frame approach, additional information may need to be compiled and/or individuals with specific expertise may be added to the working group. Four to six weeks of weekly meetings should be allocated for this most creative and rigorous part of the PDS process. Notably, WGs in the demonstration provinces found this to be a challenging process, but they were very pleased with the results.


Presentation of Log Frame Approach Planning Expert (preferably experienced Consultant)

Tool 18 – Logical Framework Approach

Producing “Problem Trees” based on selected Critical Strategic Issues

SC, Planning Department, Technical Departments

Tool 18.2 – Problem Tree

Producing “Goal Trees” based on Problem Trees


Tool 18.3 – Goal Tree

Device Log Frame Matrix for each problem/goal identified


Tool 18.4 – Log Frame Planning Matrix


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1.11. Integrate Action Plans to produce the PDS

The Summary Action Plan (SAP): (1) defines the entity with the lead responsible for implementation of the strategies plus any partners; (2) estimates the amount and identifies the source(s) of resources needed for implementation, and (3) sets the schedule for implementation. The SAP is used to summarise the proposed interventions in a clear and consistent format, which then helps the full task force to integrate the several proposed interventions into an economic development strategic plan. A Log Frame Planning Matrix links the planning phase with actual implementation.

In an informational session, each WG presents its summary action plan to the Task Force (Steering Committee), describes key choices that were made during the planning process, and answers questions from other Task Force members, who may request additional information. The Task Force assess the resource requirements of the combined action plans but makes no decisions regarding relative worth or priority at this session. In a second session, the Task Force integrate the summary action plans into a PDS.

This is likely to involve difficult decisions about allocation of limited resources, and so it benefits from professional facilitation. On the positive side, proposals in different action plans might reinforce each other, indicating very promising proposals. On the negative side, there might be internal contradictions between action plans or competing proposals for using for the same resources. Resolution of these issues is part of the integration process. At this session, the facilitator should be assisted by a recorder (note taker), because these decisions and the reasoning behind them will be part of the final plan document.

The Task Force have to weigh many factors as it integrates the summary action plans into a coherent strategic plan for economic development. In some cases, the availability of resources can only be assumed; for example, grants and loans from national ministries and international donors. The strategic planning process can accommodate uncertainty, because the model includes monitoring and updating. The strategic plan is revised as additional information becomes available.

Once the interventions have been integrated into a single plan, the Task Force may choose to develop an activity plan for each proposed intervention in the PDS. Alternatively, this task may be left for experts once the plan has been adopted. The optional activity plan builds upon the information in the Log Frame matrix and summary action plan but provides greater detail. It describes a schedule and responsibility for the individual tasks and activities that will be required to implement the proposed intervention. Finally, the Task Force develop guidelines for monitoring, updating and implementing the PDS. These guidelines complete the draft plan.

The draft PDS produced by this process is presented at community meetings, and citizens are invited to comment. At its final meeting, the Task Force considers citizen input and finalises the PDS. Supporting staff will produce a final plan document that includes the following sections:

The names and affiliations of Steering Committee members

A brief summary of the process that produced the strategic plan

The vision for the economic future of the community

A summary of the SWOT analysis

A brief description of each critical issue; how and why it was chosen

The economic development strategic plan - prioritised and integrated action plans

Supporting documentation is provided in an appendix to the plan:

The environmental scan

Business survey results

Detailed SWOT results

The Log Frame matrix and summary action plan for each critical issue

Activity plans for each intervention (Optional)

Guidelines for monitoring, updating and implementation

Comments from the community


Integrate Action Plans into draft PDS

SC, Planning Groups, Planning Department

Tool 19 – Action plan and SAP (Gantt chart or preferably MS Excel Project)


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1.12. Implement, monitor and update the PDS

Because strategic planning is a process and an approach to decision-making rather than a single event, the completion of the PDS document is both an end and a beginning. Once the work of the SC ends, the implementation, monitoring and updating process begins. While the Log Frame matrix includes information to guide monitoring, it is also important to clarify the responsibility for this activity. Thus, the SC is asked to provide guidelines for monitoring, updating and implementation. Some SC members will be involved in implementation activities. Others may want to stay involved, perhaps serving on a committee to oversee PDS implementation.

Implementation

Implementation is the test of the strategic planning process. The LADP model lays the foundation for implementation, because it creates a shared vision and consensus in the community about issues, priorities, and how the community should respond. Moreover, those who will be asked to implement the plan have been involved in creating it.

Because it was built upon a foundation of action plans, the PDS document describes the implementation process. However, the first step of implementation is to submit the PDS to the Governor and perhaps the Provincial Council, for adoption. Although those entities were represented on the Steering Committee, formal adoption of the plan is important because it represents an institutional and legal commitment to implementation.

The PDS needs the support of an entity responsible for overseeing plan implementation. The decision about which entity fills this role depends on the local situation. An existing entity may be assigned this responsibility, or an oversight committee can be formed from the members of the Task Force who are willing to continue their service. Or new people may become involved. Another option is to create a new entity to fulfil this role. If there is no local government economic development agency, creating one might have been addressed as a critical issue. If not, it must be addressed now. Options for establishing a local economic development agency are presented in section 3 of this guideline.

Although PDS implementation at the level of identified projects implementation is not direct responsibility of the Steering Committee a certain local government entity should be involved in initiating phase of project implementation – particularly selecting project management team and appointing Project Manager.

Tool 22 Knowledge Areas shows the distribution of responsibilities in the course of project implementation.

Monitoring

Monitoring provides the information needed to assess plan implementation and to guide modifications and updates that will keep efforts on track toward realizing the vision.

The entity that oversees implementation also monitors progress. Regular monitoring reports, which are made public, maintain a transparent process and reinforce the commitment to implementation. Monitoring should track each intervention on the following dimensions:

Indicators from the Log Frame matrices assess if planned interventions are not only taking place but also having the desired results

A comparison of summary action plans, activity plans, and budgets reveal if (1) resources are being used at the level allocated and (2) the intervention is on schedule

An organisational review looks for changes in individuals and organisations that may affect their abilities to complete implementation assignments.

Updating

The strategic plan is a tool for adjusting to change, and so it has to be kept fresh with periodic reviews and current information. Most databases are updated annually when new information becomes available from government sources. The new information informs a new environmental scan. When a new scan is completed, it is an auspicious time for the monitoring entity to seek answers to four additional questions:

Is this issue still critical to the community’s economic future?

Does this intervention continue to address the critical issue?


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Do programme benefits continue to justify the resources required for implementation?

Are there any unintended (negative) consequences of the intervention?

The PDS is a living document. This means that it changes over time, adapting to changing circumstances. The information generated by monitoring and updating is input for this plan maintenance. It is represented in the PDS diagram by the dotted line running from the last box back up to the box, develop and analyse baseline data. Eventually the results of implementation, monitoring and updating will indicate that it is time to begin the full cycle again, working with a community based task force. Unless the external environment is undergoing rapid and significant change, the strategic plan should remain viable for five to ten years. In a rapidly evolving environment such as Iraq, however, more frequent updating may be needed.


Identify potential task force members – Monitoring committee, Implementation Board, Evaluation Committee or any other form of entity that will take responsibility for implementation of the PDS, including monitoring and update

Governor, Deputy Governor(s) Steering Committee


Details regarding implementation/EDE establishment, and monitoring/updating follow in Chapters V and VI below.

2. Suggested timeframe and agenda

The LADP strategic planning process requires about six months, provided there are no interruptions for holidays or other delays. However, it is more realistic to plan 12 months for the entire process.

Project sponsors will need a month for preparatory activities, and once the Task Force begins work, it takes about five to eight months to complete the economic development strategic plan (PDS – it depends on provincial SC commitment). A timeframe that minimises interruptions to the schedule is recommended to help maintain momentum and enthusiasm among the task force members.

The full Task Force meets every two weeks except (1) between Meetings 1 and 2 when a longer interval is needed to conduct the business survey, (2) while WGs are developing APs, and (3) after Meeting 7 when there is an interval for public comment. During the action-planning phase, WGs meet weekly for 6–8 weeks. Table 1 below shows the suggested schedule and the tasks to be accomplished at each TF/WG meeting. However, the model is flexible. For example, Meetings 3, 4 and 5 could be combined into a weekend workshop, and then the process would take only 5 months. For a shorter process, the TF could meet weekly, but this requires more from project staff; i.e. they must quickly prepare and distribute meeting summaries.

Table 1 Suggested schedule and tasks to be accomplished at each TF/WG meeting

Week Meeting type Tasks

Week 1 (1 month prior to the Initial Meeting)

Begin preparations Organise Planning Task Force (Steering Committee) Assign staff Organise “Orientation Meeting” for the Provincial Council Conduct Economic Scan

Week 5 Initial Meeting – TF Meeting 1

Explain the process Goals for the process Responsibilities of task force members and staff

Week 6-7 TF Meeting 2 Provide information Begin developing vision

Week 8 TF Meeting 3 Conduct full SWOT

Week 9 TF Meeting 4 Revise Vision statement Identify Strategic Issues

Week 10 TF Meeting 5 Establish Working Groups related to Strategic Issues (1 WG per strategic issue)

Week 11 WG Meeting 1 Identify critical strategic issues Problem and goal trees Identify information needs Begin action plans


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Week 13 WG Meeting 2 Finalise problem and goal trees Identify alternatives for interventions

Week 15 WG Meeting 3 Start work on log frame matrices

Week 19 WG Meeting 4 Finish log frame matrices and summary action plans Organise presentation to TF

Week 21 WG Meeting 5 (optional)

Finish log frame matrices and summary action plans (if necessary) Organise presentation to TF

Week 25 TF Meeting 6 Present summary Action Plans to Governor

Week 29 TF Meeting 7 Produce PDS draft Organise public review to collect comments

Week 29-33 TF Meeting 8 Finalise PDS draft

Week 35 Final Meeting – TF Meeting 9

Present PDS to local authorities (and celebrate)

Week 37 (2 weeks after the Final Meeting)

Dissolve the Planning Task Force (Steering Committee) Establish (by senior officials) a new Implementation Task Force (Implementation

Committee/Group/Board) to ensure proper implementation of the PDS – incl. monitoring, evaluation and update of PDS;

As necessary, identify and form sub-committees (e.g. monitoring committee, evaluation committee, etc.) with specific tasks and responsibilities.

This timeframe is tentative and could be changed according to availability of staff in each province. Also, working dynamic usually vary from group to group and this has to be taken in consideration. It is important to maintain a comfortable environment for TF work. In addition, the following procedures should be standard for all meetings.

Table 2 Procedures for TF/WG meetings

Standard procedure Tools

Begin each meeting by reviewing and agreeing upon or agreeing to modify the proposed agenda

Suggested workshop agendas

Track the progress of plan development Process (diagram) with an arrow that moves with each meeting, showing current activity

Tool 2 – CBSP Flow Chart

Stress that the Task Force represents the community Tool 4 – CBSP Graph

Display a map of the plan area Map provided by the local government

At the end of each meeting, hand out a working agenda and homework assignment for the next workshop

Suggested workshop agendas

Maintain a transparent process Hold press conference/issue press release on TF decisions and information presented during meetings (see Tool 21 – Information and communication tools)


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III. IMPLEMENTATION – INSTITUTIONALISING LOCAL ECONOMIC DEVELOPMENT

1. The importance of PPPs – and role of local Economic Development Entity

After the PDS, a second emphasis in the LADP CBSP model lies on public-private cooperation (PPPs).

Very often, the local government is perceived by business people as an obstacle to business development and growth. Government has legitimate regulatory functions to ensure that businesses protect the health and safety of workers, the public and the environment. As the representative of the local population, government has an important role in promoting economic development that will provide good jobs and generate tax revenue to support public services.

But, local government in a market economy cannot establish businesses, direct production, or create a market for local goods and services. A key assumption for the PDS process is that local government’s primary economic development responsibility is creating a favourable environment for business operation and development.

At the end of the planning process the focus must shift to implementing interventions and managing efforts to promote economic development. Often, as in this model, the strategic plan is developed by a TF/Steering Committee, where some members volunteer their time and expertise and some of them are appointed to fulfil this task in parallel with their regular daily work at local government offices. As it moves from planning to implementation, local economic development benefits from continuing cooperation among local officials, private businessmen and women, and CSOs. Implementation of the PDS is a process that involves broader group of stakeholders and, in most cases, external entities such as investors, banks, international organisations and agencies. As such it requires different type of expertise in the group that will run the process. The importance of cooperation – specifically private-public cooperation is widely recognised.

1

The partnership of private (business) and public (government) entities is crucial for effective local economic development. Leading international institutions recognise the crucial role that local governments, as well as the private sector, play in economic development. Thus, local governments should lead the effort to plan for local economic development, and should do so in close collaboration with the private sector.

Local governments often assume the leadership role because implementation and management of economic development requires leadership, staff, budgetary resources and continuity. It is important to remember that economic development is a long-term process that requires sustained effort and support. Major results can only be expected over many years. Of course, it is vital to achieve short and medium-term results as well, but it should be understood at the outset that successful economic development requires a long-term commitment. At the same time, it is not uncommon for the PPP to be active during strategic planning, but to falter during the extended period of implementing actions called for by the strategic plan.

In this context, establishing a local economic development entity (EDE) that has the stability, resources and vision to lead local economic and business development is a challenge – while at the same time, the EDE has an important role in maintaining the public-private partnership. The PPP process is supported by assuring private sector involvement in forming and managing an implementation entity for economic development. Significant role in the PDS implementation process will be assumed by a local EDE if established.

Establishing separate local government body that will assume responsibility for implementation of the strategic plan is not mandatory; not all local governments are ready at the moment to take such complicated action, and rather establish some sort of committee that will serve as “implementation task force.” However, we would suggest establishment of EDE whenever is possible, since task forces, committees, boards or groups are consisted of people who have other responsibilities and are proven to be dysfunctional.

1 Cf. World Bank: “Most broad-based, comprehensive local economic development strategies are delivered through public/private sector partnerships that are driven or led by the local authority” – see www.worldbank.org/urban/led/step_four.html.


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2. Forms of organisation for local economic development – types of local EDEs

Below we examine the options for establishing an effective local economic development entity. Local governments have responded in several ways to the challenge of delivering economic development services, implementing interventions and managing economic development.

There is no single right way to organise the local economic development function. Worldwide, at the local level, local economic development departments or offices (EDEs within the LA structure) are the most common institutional response. However, non-government entities are also used (NGOs, PPPs, private companies, etc.). Non-government entities are the most common form of regional economic development agencies. In localities where economic development has been a focus over an extended period there are frequently both types of entity.

It is important to recognise that local EDEs, NGOs or other forms of local economic development bodies are not exclusive and that several independent but cooperating organisations in a given locality may be more effective than a single organisation that attempts to meet every economic development need. Often, individual EDEs have a mandate keyed to a particular programme such as an enterprise zone, or a particular client, such as small and start-up businesses, or jurisdiction such as “downtown” development, or uniting the efforts of several neighbouring local governments.

Models from the US and Canada provide possible examples for addressing issues associated with establishing a local EDE. However, there is growing experience in the former Soviet states that can also be examined. Experience from Balkan countries is also important since decentralisation (and responsibility of local governments) is different from both Soviet Union and SAD experience. Chapter III.6 below provides suggested relevant resources.

2.1. Government-run entity – Local Economic Development Department/Office

EDEs within the LA structure are usually departments, or divisions within departments, and have a well-defined mission, dedicated staff, and separate budget. In smaller communities the economic development function is often handled by a division within another governorate department. Often, such EDEs report directly to the Governor or chief executive. This type of EDEs operate as the primary local economic development implementation entity.

In the history of local government, this is a fairly recent development tied to the recognition that localities compete for businesses, jobs, and the social benefits that flow from full employment of the local workforce in well-paying and secure jobs. Economic development in the USA and other developed market economies is becoming a major and critical LA activity on par with other local government functions. Elsewhere around the world, local economic development is usually an emerging area and the target of increasing attention among LAs.

This type of EDEs are the primary point of contact between the municipal administration and the business community. They promote the city or province as an attractive location for business, provide information about the local area, the local region, the workforce, and the existing economic base. They also facilitate interactions between businessmen and provincial departments, and represent the local business community within the governorate administration. Often, they operate business incubators, one-stop-shops for business registration and permitting, and manage special “zones”, industrial parks, loan programmes, and other business support activities. An EDE within the LA structure may have responsibility for managing and updating a formal economic development strategic plan.

Before the local government can enter into partnership with private businesses in strategic planning and implementation through this type of EDE, a number of questions need to be asked, as follows.


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Area Questions to ask

Local strategies and policies

Is there a local economic development strategy? Does the local government cooperate with business to implement the strategy?

Is there a Capital Investment Plan1 (CIP) consistent with the economic development strategy? Has the local government followed its own plans and shown consistency in dealing with investors? Is the business community routinely consulted in planning public investments and making other

decisions that affect doing business in the city? Is communication between the public and private sectors institutionalised in the form of task forces,

advisory bodies to the Governor and Council, participation on boards of municipal companies and in some permanent organisation that oversees the local economic development strategy?

Local taxes and communal fees

Are communal fees reasonable given the level of local services? Can investors predict their local tax burden with some certainty?

Local regulatory environment

Is assistance available to help investors comply with local permit and licensing requirements? Are regulations and requirements both reasonable and predictable? Is local enforcement consistent?

Local service provision

Are public services such as police and fire protection adequate? Are graduates of local schools good workers? Are municipal utilities and environmental facilities well run? Are local records concerning land ownership accurate?

Local asset management

Does the local government maintain the real estate and infrastructure it owns? Does the local government make the most effective use of the properties it owns?

Strengths:

Focusing municipal government attention on improving the local economy;

Giving the business community a locus within the local government structure where its needs and concerns can be heard and addressed;

Coordination and consolidation of government services and functions that impact business;

Access to government resources, stability and continuity in performing the functions and activities required for long-term development.

Potential weaknesses:

The local government budget may not provide the level of funding needed to carry out important economic development functions and the EDE may not be permitted to raise funds from private or other sources;

The EDE is subject to jurisdictional limits and to government rules, regulations, political pressures and bureaucracy that may limit innovative and creative economic development approaches;

Shifting economic decision making and actions to government may distort and perhaps inhibit economic progress;

Because this EDE is a government organisation, participation and leadership of the business community may be inhibited.

2.2. Company owned by the City Government

The most used method of organizing economic development activity is to create a company owned (partially or fully) by the Local Government.

An example of this type of EDE is Barcelona Activa, organised in Dec 1986 as a Municipal Private Society, wholly owned by the Barcelona City Council. The relationship between the corporation and the city government has allowed for integration of economic development and employment policies with the shared goal of promoting employment creation and future oriented firms; this has become an outstanding example of public-private cooperation. Barcelona Activa priorities are adopted by its board of directors, which includes representatives of all elected political groups represented in the City Council, trade unions, and universities of Barcelona. Barcelona Activa is part of the local pact for employment, with the involvement of employers' organisations and trade unions. Project resources come from the city government, the EU, the Central Government, the Regional Administration, and the various companies and institutions. Innovative projects and programmes have enabled Barcelona Activa to triple municipal funding by attracting outside financial support.


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2.3. Non-government organisation (PPP, NGO, etc.)

While it is rare for an non-government organisation to be established to support economic development at the municipal or local level, the NGO is the most frequent type of entity established in support of regional economic development. When this form is used, it is most often a “public-private” partnership where city representatives are a significant, sometimes, majority fraction of the controlling board, which also includes members from the Chamber of Commerce, other business organisations, provincial government and local educational institutions. Sometimes the focus of the NGO can be as broad and inclusive as an economic development agency under the LA structure; but often the mission is more narrowly defined.

Strengths:

Greater flexibility in organisation (for profit, not for profit),

Mission and operation less subject to government rules and limits,

Potentially greater appeal to a wide range of private business interests

A targeted focus free of the requirement to serve a general public mission

A wider range of funding sources and the flexibility to raise funds through providing for profit services

An absence of jurisdictional limits.

Potential weaknesses:

Uncertain long-term funding if the NGO depends on private fund raising and on competing for grants and contracts

Difficulty assuring long-term public participation and establishing a mission which includes general public interests

Difficulty in gaining government support for activities because the organisation is outside the government structure

Danger of being captured by dominant business players and failing to include entrepreneurs, new businesses, and resistance by established players to adopting a new vision as opportunities change.

3. Mission, objectives and services of local EDEs

Whatever the form of organisation, most local EDEs have similar missions and offer similar services. The websites for EDE examples mentioned in this Chapter provide the mission statements for the EDEs (sources are provided in Chapter III.6 below). Most mission statements include the following goals:

Promotion and acceleration of business and economic development.

Job creation and upgrading of the quality of jobs.

Workforce development and training.

Attraction of new businesses and retention and expansion of existing businesses.

Liaison between businesses and local government.

Marketing of the locality and its business environment.

Services offered usually include:

Liaison with government agencies and departments

Business information such as land use, zoning, permits, taxes, licenses, regulations, and facilitation of new business set-up and business expansion

Information on available business sites and facilities

Information on workforce availability and characteristics

Access to and administration of loan, grant, tax incentive programmes

Operation of incubators and special zones

Organisation of seminars, conferences, trade shows, and business exhibitions

Locality marketing often showcasing major local economic strengths, economic development strategy, existing leading businesses, business incentives and workforce characteristics.


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In any locality, special programmes or services may be offered which are tailored to local needs and opportunities, and to programmes that may be available in that location such as federally supported enterprise zones in US inner cities. Increasingly, all relevant information is offered online.

4. Staff and budget of local EDEs

Although recognised as important, most municipal departments of economic development and most local development agencies are of modest scale in comparison with other city departments. A major part of their activities involve compiling and distributing information and responding to information requests. Core staff usually include a director, two or three professional staff with expertise in business development, information management, marketing and event management. Where the agency is responsible for operating loan or grant programmes, or property management activities, specialised staff will manage and operate those programmes. Another interesting example is Getafe Initiatives, a highly successful, self-sustaining local development agency in Getafe (Spain), a small city of the Community of Madrid. Larger cities with very active economic development programmes will have significantly larger staffs.

Budgets are almost entirely devoted to staff support although an extensive marketing campaign can be a significant cost item. For example, regional or (in the USA) state level development agencies purchase expensive advertising space in major business publications, and other media.

5. Establishing a local EDE

5.1. Steps

The following are five key elements in establishing an economic development department or agency regardless of their type (run by government, through PPP, by NGO or purely business owned).

Scope of Work. The first and most important step in establishing an effective EDE is determining what the 1.entity will do. In writing a scope of work for the entity there is a tendency to make the mandate very broad and inclusive. This tendency should be resisted. The agency or department will be far more effective if its activities are well defined and well-focused. Doing less very well is far more effective than doing more poorly. Success in doing a few things will justify expansion to additional activities. Moreover, a modest scope of work can be implemented with a small staff and modest budget. Here we are considering establishment of a local EDE with lead responsibility for overseeing implementation of the PDS. This may or may not include specialised functions such as operating a loan fund or a business incubator.

Business Plan. Once the scope of work has been clarified, the next step is to develop a business plan. The 2.business plan clearly identifies the human, financial, and institutional resources that are required to deliver the scope of work. The business plan must convince potential supporters and critics that the EDE is viable, well organised and capable of doing what it proposes.

Champions. It is important to identify one or several champions who are devoted to the success of the entity 3.and who have the capacity to present the entity to important stakeholders. The PDS TF is a likely source of champions. During the start-up period, it is crucial to present the vision of the entity in a persuasive and clear manner. Later, continued support can be requested based on results and a champion becomes less critical. An effective champion will also be able to draw on resources outside the organisational home for the entity such as the Chamber of Commerce, other business groups such as Rotary, other levels of government and individual business donors.

Collecting economic data. The data required to update the economic scan is essentially the same 4.information that potential investors seek. Thus, the local EDE should be collecting this information and making it accessible not only for the scan, but also for dissemination to the general public and potential investors.

Short and medium term results. Finally, although economic development requires a long term effort, short 5.and medium term results are important to building and retaining support. Marketing, for example, can


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produce short-term visible results. SME support can produce measurable results in a period of a few years. Events such as trade fairs have high visibility and can increase both business and public support very quickly. Mundane, but important services such as facilitating business interactions with government departments can build a support base in the business community. The scope of work and business plan should identify several actions and activities that will produce visible short-term results and provide services valued by stakeholders.

5.2. Lessons learnt

At what point in the process of strategic planning and in developing the economic development role of local government should establishment of an EDE be considered?

Fostering lively and productive interchange between business and government is usually a significant role for local EDEs and is an important aspect of economic development implementation as well as strategic planning. Thus, the capacity to implement economic development and how this capacity will be developed and structured is a crucial issue to be addressed during the PDS process.

If there is no existing local EDE, one may be established at the beginning of the PDS process and asked to support the planning process and then to implement the PDS. The alternative is to wait until completion of the PDS before establishing a local EDE. The benefit of waiting is clarity about what the local entity would be asked to achieve and perhaps greater political support for its creation. The cost of waiting has proven to be a delay in establishing a permanent entity. There should be no apparent delay in PDS implementation, however.

There are risks associated with this approach, because there can be pressures to implement projects in an opportunistic rather than a strategic manner. Are opportunities being lost because actions are taking place without the insight, discussion and facilitation that the regional development agency/entity can provide?

Should a single unified entity be established, or is achieving economic development objectives better served by several distinct organisations?

Worldwide, multiple EDEs in the same or overlapping jurisdictions are common. One reason for this phenomenon is that achieving a limited scope of work and showing visible results is easier when the organisation is highly focused. Second, legal restrictions may limit or impede a single organisation, a city economic development department for example, from carrying out certain activities. Third, the priorities and agendas of different parties, a county and city for example, or large and small enterprises, may overlap but not entirely coincide. Multiple organisations provide benefits of focus and flexibility. Progress may be more readily achieved by distinct organisations meeting the ED needs of their specific constituencies.

The weakness of multiple organisations is the need for coordination, which can be problematic. Multiple EDEs may duplicate services and functions, fail to coordinate activities and waste resources on unproductive competition.

Recognizing the role for both a local government EDE and one or more non-governmental EDEs, does not remove the question of how and where to begin. Even where there are multiple EDEs, one has to be established first.

How are the roles of the business community (large and small enterprises) and local government to be determined and managed in establishing and operating the EDE/EDEs?

In some places the private sector played a major role in development of the PDS and acted as champions for the process. How will this continued participation be assured?

Some places proposed RDA makes little place for significant ownership or participation by the business community. It is almost entirely a government organisation with greater than 80% capitalisation by the city and/or county. This is not unusual, but in addition, there does not seem to be any organisational mechanism for business participation and input in establishing the organisation’s objectives, activities, or management. Instead, business will be invited to partner on particular projects. The other WG includes business representation, but it is an interim organisation.


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6. Resources of interest regarding EDEs

Lubbock, Texas – www.ci.lubbock.tx.us

Tucson, Arizona – www.cityoftucson.org/oed – Tucson has an especially active government-run EDE with wide ranging business services and programmes

Savanna, GA – www.seda.org/home – the Savannah Economic Development Authority is an interesting and fairly unique example of an NGO formed to support municipal economic development. The authority was established with a majority of board members appointed by the Savannah city administration, with other members from the business community and county. It is self-financing through property management activities including commercial property development. Based in a mid-size American city, the Authority as raised USD 933 million in economic development investment, creating more than 6500 new jobs, since its inception in 1995.

Asheville, North Carolina – www.ci.asheville.nc.us/business/business.htm – where most economic development functions are performed by a division within the Planning Department

Cleveland – www.clevelandgrowth.com

Fairfax, VA – www.fairfaxcountyeda.org

Tampa-Bay Economic Development Corporation, Florida – www.tampagov.net/dept_TEDCO

Getafe (Spain/Madrid) – http://www.getafeiniciativas.es/english/gisa/index.htm

Barcelona Activa – www.barcelonactiva.cat/barcelonactiva/cat - Municipal Private Society, wholly owned by the Barcelona City Council

Panevezy, Lithuania – http://lgi.osi.hu/resources/practices/pdf/panevezy.pdf

Study of experience in 22 Russian municipalities: Principal Changes in Municipal Economic Development [in Russia] 1998-2000 – www.urbaneconomics.ru/eng/publications.php?folder_id=4&mat_id=2&page_id=19

Akron Ohio – www.ci.akron.oh.us/econom.html – is a good example of the information function of local economic development office

Bryson, J. (1995), Strategic Planning for Public and Non-profit Organisations – http://citeseerx.ist.psu.edu/viewdoc/download?doi=10.1.1.458.5630&rep=rep1&type=pdf

World Bank – www.worldbank.org/urban/led/step_four.html, www.worldbank.org/urban/led/role_of_led_wb.html.

http://www.getafeiniciativas.es/english/gisa/index.htm

http://lgi.osi.hu/resources/practices/pdf/panevezy.pdf

http://citeseerx.ist.psu.edu/viewdoc/download?doi=10.1.1.458.5630&rep=rep1&type=pdf%20


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IV. GUIDANCE FOR MONITORING AND UPDATING THE STRATEGIC PLAN

1. Introduction

The last step in the process of community-based strategic planning for local economic development is implementation, monitoring and updating. This step is also the beginning of an ongoing cycle monitoring and updating that keeps the PDS relevant in a changing environment and maintains the strategic approach to local economic and social development.

The test of a plan is its implementation. Monitoring and updating assess how actual implementation is proceeding; if implementation is moving the community toward achieving the PDS vision; and if the PDS needs revision to make it more realistic or to keep it current. Monitoring and updating are guided by (1) the PDS document, (2) information developed during PDS preparation, and (3) information developed during preparation specifically for the monitoring process. Several of the tools used during PDS preparation are also useful here – specifically, the Summary Action Plan and the Log Frame Planning Matrix are crucial.

Responsibility for monitoring and updating of the PDS will rest with the Provincial Government, part or all of the PDS Task Force, but it could also be designated to another entity (e.g. local EDE). The term “Monitoring Group” is used here to encompass any of the possible configurations. Ideally, the monitoring group (MG) will include representatives from the local government, the business community, the non-governmental sector, other actors relevant to the PDS implementation, and certainly, leadership from local economic development entities. The monitoring group may act as a whole or establish subcommittee(s) to deal with specific issues.

Monitoring and evaluation/updating are essential components of strategic planning. However, these processes cannot be as tightly specified as the PDS preparation process, because the monitoring process will vary depending on the PDS recommendations for each locality and on the progress made in their implementation. Monitoring occurs over time and it has to respond to an ever-changing situation. Therefore, the following sub-chapters specify how to begin the monitoring process, provide guidelines on how to proceed; they also set the parameters for the monitoring process and the role of the Team Leader (TL) in this process.

There are three levels of monitoring and evaluation. At levels 1 and 2, the focus is on the recommended interventions and the results of their implementation; at level 3, the focus is on updating the PDS.

Level 1 monitoring asks “Is the intervention being implemented as recommended in the PDS?” A 1.comparison of what has occurred with what was set forth in the Summary Action Plan (SAP) for the respective intervention answers this question. Level-1 monitoring considers the details of implementation, the actions taken – or not taken – to implement the recommended intervention.

Level 2 monitoring asks “Is the intervention producing the outcomes that lead to achieving the expected 2.results, project purpose and goal?” The performance indicators listed in the second column of the Log Frame Planning Matrix answer this question. Level-2 monitoring assesses the achievement of the expected results, project purpose and goal (i.e. the intended outputs, outcomes and impact of the intervention), as they link the intervention to the PDS vision.

Level 3 monitoring asks “Has the environment changed in ways that affect the choice of critical issues, 3.interventions, and implementing entities in the PDS?” The answer uses information generated by the first two levels of monitoring, an update of the economic scan, and an organisational review of the implementing entities. Level-3 monitoring updates the PDS and indicates when the situation has changed so significantly, that it is time either to refresh the PDS or to repeat the full planning process.

Table 3 provides a suggested meetings schedule and it shows how to integrate the three levels of monitoring.

Level 1 and 2 monitoring are organised around individual interventions; they proceed in a format that aligns with the intervention activities. In most situations, quarterly meetings will be sufficient to keep the monitoring group informed of progress on implementation.

Level 2 monitoring begins once outcomes information is available. This will vary from one intervention to another and may not begin until well into the process.


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Level 3 monitoring is an annual event that follows the fourth quarterly meeting. The MG may decide to add meetings when there is an issue that needs additional attention or to skip a meeting if there is nothing to discuss.

Table 3 Suggested PDS monitoring and update schedule

Meetings Level of Monitoring

Meeting products 1 2 3

Organising meeting

Organisation of the Monitoring Group Introduction to the PDS monitoring and updating process

Quarterly meetings

*

Information on implementation of interventions Early warning if interventions are not producing outcomes that lead to expected

results and achieving the project purpose and goals* Recommendations for refining or modifying the Summary Action Plans (as necessary)

Annual meeting

*

Annual progress report on implementation of interventions and their outcomes and any changes made in the Summary Action Plans

Recommendations regarding revising the PDS

[*]Level 2 monitoring begins once outcomes information is available.

2. Preliminary steps

Agreement of priorities and sequencing

If the resources required to implement the PDS clearly exceed the available or potential resources, then before monitoring can begin, it is necessary to:

Establish priorities among the PDS recommendations. If possible, a designated Team Leader (or external consultant) should work with the original Task Force to determine the priorities. If the TF cannot be reconvened, the MG should begin its work by establishing priorities.

Clarify the sequencing of projects as necessary. Timeframes set forth in the Summary Action Plans should provide sequencing information that helps with this task.

Setting priorities and sequencing is done after the initial MG meeting and before the first regular MG meeting.

Negotiating consensus about priorities can be difficult and time-consuming, but it is necessary to ensure that the PDS is truly a strategic plan and not a “wish list.” All priority and sequencing recommendations should consider practicalities and focus on achieving the vision. Consensus building and decision-making tools such as the Q&A procedure and weighted voting can help the MG establish priorities (see Annex 1 PDS Toolbox – Tools 8 and 13). Consensus is preferable to a majority voting decision, but it is not always possible. Once priorities and sequencing have been established, monitoring should focus on the highest priority and most immediate recommendations – or else, it will be an overwhelming task.

Understanding the requirements of a successful monitoring process and the role of the Team Leader

In monitoring, as in the development of the PDS, the process is important to success. The most successful monitoring process will be positive, transparent, participatory and strategic. In this process, the Team Leader (TL) supports the Monitoring Group (MG) by providing the framework within which they work so as to ensure successful monitoring and updating process.

Positive means that the MG keep their attention firmly focused on finding practical and realistic solutions to problems that have arisen. The TL may help the MG to avoid falling into the trap of seeking scapegoats when implementation does not proceed as planned. During PDS preparation, you may have used stakeholder management tools (see Annex 1 PDS Toolbox – Tool 3) to show that the TF was a unit working together for the future of their wider community. These tools also apply to the MG and they may help remind the MG that their job is to keep implementation moving toward achievement of the PDS vision.


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Transparent means that the MG share information – in a timely manner – with relevant LA officials and members of the TF that prepared the PDS. Also, in concert with the annual meeting and when something notable has occurred, the MG and the LA inform the public regarding progress in implementing the PDS and achieving its vision. Monitoring results can be provided to the public through a public meeting, press conference, press release, website posting or other means. Summary information is usually sufficient for public information, but details should be made available for those who request them or ask questions.

Participatory means that the MG (like the TF that created the PDS) involve those asked to implement the PDS and provide opportunity for input from the community.

The MG should include representatives from the local government, the business community, the non-government sector, others who are relevant to PDS implementation, and certainly any local economic development entities. Membership will vary depending upon the content of the PDS. E.g. if the PDS contains recommendations directed toward education, then education institutions should be represented on the MG.

Opportunities for input from the community should be integrated into the information sharing described above. E.g. a public meeting could include Q&A period, and a website could include a survey.

Strategic means that throughout the monitoring process, the TL direct the MG in an approach to problem solving which bases decisions on reliable information and focuses on achieving the PDS vision. Providing the MG with adequate information to support its decision-making will include that the TL:

Prepare for meetings – gather and analyse relevant information, organise the information it in an easily understood format, and when possible, provide information to MG members in advance of meetings. This task also includes arranging for presentations from implementing entities as needed;

Facilitate meetings – keep the meetings on target by following the agenda, ensure that all participants are treated and treat each other with courtesy and respect, and ensure that everyone has a chance to be heard and that no-one dominates the discussion (see Annex 1 PDS Toolbox, Tool 1 Participatory Workshop Checklist);

Document progress – for each meeting, write a meeting summary that describes the work that was accomplished and the decisions that were made; distribute this as soon after each meeting as possible. Documentation helps the MG to maintain momentum and to avoid wasting time on constantly revisiting decisions because one or two people disagreed or were absent;

Maintain communications between meetings – maintaining a level of contact with implementing entities will allow the TL to identify emerging issues and keep the MG informed. If a problem appears, the TL will informs the MG and offer the option of a special meeting to address the issue.

Agreement on responsibilities and expectations

There is a significant amount of work required to identify, gather and analyse the information that the MG need to do their job well. At minimum, the TL is responsible to identify the information needed to guide decisions, to facilitate meetings and to document the work of the MG (see above). However, some of the actual work may be assigned to others. E.g. if the LA has institutional capacity in economic development, it may make sense for this body take lead responsibility for information gathering and analysis (given that the Economic Scan information is also used when communicating with potential investors – see Annex 1 PDS Toolbox, Tool 6).

The allocation of responsibilities and tasks should be agreed upon before monitoring begins. Thus, the first task for the TL is to document agreement on responsibility regarding:

Meeting planning and logistics;

Information gathering and analysis:

What is expected of the TL

What is expected of the MG members, and

What is expected of any other participants or supporting entities;

Record keeping and report preparation;

Public participation.


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Because the information needs of monitoring are difficult to predict, the TL may want an agreement that places a limit on the time the TL will devote to information gathering and analysis without receiving additional compensation. Similarly, the number of meetings can vary from the five described in this guidelines, and so the TL may want to specify an expected range to be included in the TL contract.

3. Level 1: Implementation monitoring and updating the SAPs

Level 1 monitoring begins as soon as the PDS is adopted, preferably within 3 months of adoption. The first step is to organise the MG and to convene a brief initial meeting to discuss the monitoring process, the expectations of MG members, and the expectations of the TL.

Monitoring implementation uses the Summary Action Plans (see Annex 1 PDS Toolbox – Tool 19), which the PDS task force prepared for each recommended intervention. Each SAP (1) specifies the action to be taken, (2) assigns responsibility for implementation, (3) estimates the costs of implementation and the source of those funds, and (4) provides a schedule for implementation. The MG assess implementation by comparing actual implementation activities to the SAP. Thus, relevant information includes not only actions taken toward implementation but also changes in cost estimates or schedules, the reasons for these changes, and their expected impact upon implementation. If there has been any change in assignment of responsibilities for implementation, this is also noted.

The Implementation Scan is a chart that compiles the relevant information in an easily used format (see Table 4). Column 1 (actual implementation) includes information from the Summary Action Plan (SAP); Column 2 (actual implementation) includes information about what has taken place with regard to implementing the action; Column 3 (differences) describes how actual implementation has so far differed from the plan. As such, the Implementation Scan performs the same function in the monitoring process that the Economic Scan performs in PDS preparation: above al, it identifies potential problem areas and topics for further investigation. The Implementation Scan information can then be used to refine and add detail to the SAP.

A separate Implementation Scan is completed for each intervention. The TL may prepare only Column 1 and ask a representative from the lead implementing entity to provide the MG with information to help complete Column 2 (e.g. through presentation at MG meeting). If this is not feasible, the TL may gather the information ahead of time and present the MG with a scan that has Columns 1 and 2 completed. In any case, the information is presented to the MG, who complete Column 3. It is not necessary to note every minor difference. However, if you are uncertain about the importance of a difference, include it; it is better to delete this topic later than to omit it or to recreate it.

If a high-priority intervention is not yet scheduled to begin, the TL still prepares an Implementation Scan by filling in Column 1. This Implementation Scan is given to the MG for information purposes. Having this information about all the proposed interventions, including ones that have not yet stared, helps the monitoring entity to remain strategically focused on the complete PDS and its vision.

Table 4 Implementation Scan chart (to be prepared for each intervention)

Planned implementation per SAP

Actual implementation as of [insert date]

Differences planned vs actual

Briefly summarise the recommended intervention and the actions to be taken to implement it.

Briefly describe the actions that have actually been taken.

Note any differences between the actions taken and the actions called for in the SAP.

Specify the entity that has the lead responsibility for the intervention;

List any entities that will be partners or provide resources.

List what the lead entity has done or has included in its work plans to implement the intervention;

List what the entities that have agreed to be partners or provide resources have done – i.e. which of these entities have started work on the intervention or included it in their WPs.

Note which entities have started work on expected activities and which have not; which have included implementation activities in their work plans and which have not;

Note any changes in assigned responsibilities and the reasons for these changes (if known)


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List the resources – financial (estimated costs) and other – that will be needed for implementation and identify the likely providers of these resources.

List the entities that have committed funds or other resources, and specify what each has committed; note any changes in estimated costs

Note any changes in costs and cost estimates, any additions or deletions to the list of funding sources, and the reasons for these changes (if known)

Specify the timeframe for implementation: Start date Any important intermediate dates Completion date.

Describe what has been achieved: Actual start date Actual or expected intermediate dates Actual or expected completion date.

Note any changes in schedule and the reasons for these changes (if known).

Once the MG identify the significant differences between planned and actual implementation, their task is to clarify how and why the differences occurred. Unless there is a widely understood explanation that is common knowledge, the MG should ask the lead entity to attend the next MG meeting and explain the reasons that plan and implementation diverge. Representative(s) from the lead entity can provide details and specifics that help explain discrepancies between the plan and its implementation. The representative should also tell the MG how they expect implementation to proceed from this point forward and to describe any changes that they feel would promote a successful implementation.

When the MG understand why discrepancies occurred, they can use this understanding to refine and, if necessary, develop realistic modifications to the SAP for the intervention. Developing recommendations for modifying the SAP may be done by MG as a whole, or by a subcommittee formed for this purpose. This activity should be conducted in a positive spirit and maintain a focus on achieving the vision of the PDS. Entities that will be asked to implement the changes should be involved in developing the recommendations.

In some cases, the TF may have provided more detail in the PDS by preparing an Activity Chart for a proposed intervention (see Annex 1 PDS Toolbox – Tool 20). If the Implementation Scan reveals significant differences between recommendation and implementation, a similar comparison using information from the Activity Chart in an Implementation Scan will provide more detail, but this is optional. In either case, the Implementation Scan chart points out where plan and action diverge. The next steps are to find out why this has happened and what if any changes should be made to adjust to reality.

As noted previously, the monitoring process is not as clearly defined as the PDS preparation process, because its content varies depending on each locality’s PDS recommendations and the progress made in their implementation. Unless there are specific issues that need extra attention, quarterly meetings should suffice to keep the MG informed and active.

Suggested agenda for the initial MG meeting, the first quarterly MG meeting and guidelines for subsequent meetings are provided in Annex 3.

4. Level 2: Outcomes monitoring and testing the Intervention Logic

Once an intervention has been implemented, the monitoring focuses on its outcomes. During the PDS process, the TF prepared a Log Frame Planning Matrix for each recommended intervention (see Annex 1 PDS Toolbox – Tool 18). The performance indicators listed in Column 2 of the Log Frame matrix are used to monitor outcomes (while Column 3 identifies the data sources that allow to track indicator value changes).

Monitoring of outcomes follows the intervention logic set forth in the Log Frame matrix. It asks:

Did the intervention achieve the expected results described in the Log Frame matrix? 1.

Are the expected results helping to achieve the project purpose? 2.

Is the project purpose contributing toward achieving the goal? 3.

When performance indicator data become available, this data is compared to the performance indicator outcomes listed in the Log Frame matrix. It may take time for an intervention to start affecting the target situation. However, tracking performance indicator data should begin as soon as possible. Early data will establish trends and a baseline


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from which to measure change. The responsibility for compiling performance indicator data should have been established prior to the start of monitoring (see Annex 3 Chapter 2 above); still, the TL may need to remind the responsible party that this information is needed.

If implementation does not lead to the expected outcomes, the performance indicators in the Log Frame matrix will reveal where the intervention logic failed. The next task is to learn why the intervention logic failed. The MG need to identify the reason(s) that an intervention did not produce the desired outcomes in order to know how to respond. Only when the problem is properly defined can an effective solution be devised.

The first place to look for insights is Column 4 of the Log Frame matrix, which specifies the assumptions that underlie the intervention logic: Was an assumption not realised?

It is also possible for interventions to have unintended negative outcomes and this should be investigated.

Using the Log Frame Planning Matrix in MG analysis to determine why the intervention logic failed

The two hypothetical cases below build on the example problem and intervention used in Annex 1 Tool 18.

Case 1: The parking garage is built and people use the shuttle buses to reach the city centre; traffic in the centre is reduced and people are no longer reluctant to go to the centre; more people shop in the centre. Still, economic revitalisation of the city centre does not occur. The number of shops that close continues to exceed the number of new shops that open.

To investigate the failure of this intervention to produce the expected outcomes, the MG interview shopkeepers and find that the shops increased gross sales but did not become more profitable. The PDS assumed that more shoppers would bring economic revitalisation, because increased sales would make the shops more profitable. However, this stated assumption was not realised.

The MG then seek answers as to why the shops did not become more profitable: were they badly managed? Did their costs rise faster than their sales?

Case 2: The parking garage is built and people use the shuttle buses to reach the city centre; traffic in the centre is reduced and people are no longer reluctant to go to the centre. Still, the shops experience no increase in sales.

The intervention logic failed because the link between people returning to the centre and more shopping in the centre was not realised. In this case, the stated assumption was realised, but the expected results still did not lead to achieving the project purpose.

It appears that there was a failure to recognise an assumption by the planners. Perhaps people found other places to shop where they got more value for their money? Or perhaps people come to the centre to socialise but cannot afford to buy more than the barest necessities?

It may be that the intervention produces unintended negative outcomes: e.g. maybe people are not shopping in the centre because they no longer have their cars close at hand and do not want to carry packages on the bus.

The MG need more information to help it identify the problem. A good starting point would be a survey of pedestrians in the city centre.

In both cases, performance indicators in the Log Frame matrix showed where the intervention logic failed to produce the expected outcomes, while looking at the assumptions suggested why the intervention logic failed. However, in neither case did the Log Frame matrix provide all the needed information. It is still up to the MG, with support from the TL, to investigate why the failure occurred.

As projects are implemented and the focus of monitoring shifts to assessing impacts, quarterly meetings should continue to suffice. The MG may decide to add meetings when there is an issue that needs attention or to skip a meeting if there is nothing to discuss. The MG may work as a whole or create subcommittees to investigate problems with intervention logic.


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5. Level 3: Environment monitoring and updating the PDS

Strategic planning requires to continually adjust to a changing environment. To do so, it is necessary to monitor the economic environment and identify relevant changes. During PDS preparation, the TF conducted a SWOT analysis of the socio-economic situation in the local area. The TF considered the resources available to support economic activity and the available financial, human and organisational resources that could contribute to PDS implementation. Level 3 of the monitoring process looks for changes in these factors, including changes that have occurred as a result of PDS implementation. This is a more demanding activity than monitoring at levels 1 and 2; it is undertaken once a year.

While monitoring at levels 1 and 2 produces recommendations on HOW an intervention should be implemented, level 3 monitoring considers IF an intervention should continue to be implemented. The following questions frame this assessment:

Does this intervention continue to address the critical issue?

Is this issue still critical to achieving the vision for the community’s economic future?

Do the programme benefits continue to justify the resources required for implementation?

Have there been any unintended negative consequences of the intervention?

Are the right organisations and individuals involved in implementation?

Level 3 monitoring builds on the information provided by monitoring at levels 1 and 2, but it also requires additional information about the socio-economic environment. The following are examples of how level three monitoring uses the results of level one and two monitoring:

If level 1 monitoring results show little or no progress in implementation of the PDS, a key question is how to move things forward. For example, have any changes in SAPs recommended by the MG been implemented? If an PDS recommendation is not realistic, how can it be modified to make it realistic?

If level 2 monitoring shows that an intervention has had the intended impact, level 3 monitoring asks if the critical issue still represents an impediment to achieving the vision. It is also asks if this aspect of the problem has been addressed but other aspects remain and should be the target of interventions;

Levels 1 and 2 monitoring results inform discussions of costs relative to benefits and consideration of unintended negative impacts.

Additional information about the socio-economic environment updates the information used during the PDS process.

Current data is incorporated into the Economic Scan (see Annex 1 PDS Toolbox – Tool 6).

If there are significant changes in the economic environment, the MG may also want to conduct a new business survey and review the SWOT (see Annex 1 PDS Toolbox – Tools 9 and 14).

A comparison of current information with the information used during PDS preparation helps the MG to decide if the issues defined as strategic and critical are still crucial to achievement of the PDS vision. Questions listed in the strategic and critical issues tools are useful guides for this discussion (see Annex 1 PDS Toolbox – Tools 16 and 17).

Finally, monitoring at level 3 considers the institutional capacity of entities involved in implementing the PDS to see if the recommendations for implementation responsibility are still appropriate. An organisational review looks for changes in roles or capacities that may affect an entity’s ability to complete implementation assignments – e.g. changes in mission, budget, or staffing levels.

Level-3 monitoring/updating requires at least two sessions and a significant commitment of preparation time:.

Session 1 provides the MG with updated information about the economic environment and a summary of monitoring information from levels 1 and 2 regarding implementation and outcomes. PowerPoint presentations are recommended for both topics.

Session 2 asks the MG to review the PDS in the light of the new information and to identify what (if anything) needs to be done to update the PDS. MG decisions at Session 2 determine what follows:


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Most likely, the ongoing monitoring activities (including revisions to SAPs) have been sufficient to maintain the PDS. Implementation is ongoing, and nothing more is needed to keep the PDS current. In this case, the MG resume their schedule of quarterly meetings for another year;

If implementation of PDS recommendations, changes in the socio-economic situation, and/or a major event has altered the environment, more significant change may be required. The MG may call for “refreshing” the PDS by developing new recommendations to address the critical issues.

If the environment has changed so significantly that the critical issues need to be redefined, it may be time to repeat the full PDS planning process.

How Rijeka responded to a changed environment

The experience of Rijeka – one of the first LGRP partner cities – provides an example of the middle path. Rijeka decided to refresh its PDS less than two years after its adoption. By this time, key interventions in the Rijeka PDS had been implemented, a new regional economic development agency had been created, and a multi-million dollar World Bank loan was financing port and related road improvements that would impact both the economic and the physical landscape.

An initial review by leaders of the TF that had created the PDS concluded that the critical issues remained appropriate. However, important new opportunities – including some resulting from successful implementation of PDS recommendations – called for the development of new recommendations for addressing the critical issues.

At this point, an MG convened, comprised of representatives of the LA and entities involved in implementation met. The MG heard the results of implementation to date, and then divided into WGs, who developed new recommendations for addressing these critical issues. The regional development agency was assigned primary responsibility for implementing many of the new recommendations.

Suggested agendas for MG Meetings and Sessions 1 and 2 are provided in Annex 3.


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ANNEX 1 – PDS TOOLBOX


The LG strategic planning project involves community members, business representatives, and government officials as members of the Steering Committee that develops the Plan. The methodology and logistics of the meetings are important to establishing and maintaining the participatory mode.

For each meeting, meeting planners must pay attention to the three elements of a workshop – team, facility, and facilitation – and they must ensure that workshop rules are clear and communicated to all participants.

Table 5 Participatory workshop checklist

Element Questions to ask for each workshop meeting Y/N

Team Have you chosen, in a transparent way, team members who represent key stakeholders for the issue?

Have you informed them about the goal, agenda, methodology and timing of the process?

Do they know and understand that the process is participatory and they have to follow the rules?

Facility Have you put signs showing how to get to the room from the entrance? Have you put a welcoming poster at the entrance?

Have you arranged the tables in the meeting room in U or similar shape? Are you sure that nobody created rows or installed a presidential table?

Have you prepared the materials you will need to facilitate discussions (flip chart, arrangements for presentations, A4 papers, post-it, markers, sealing tape, etc.)?

If professional flip chart not available – have you arranged packing paper to put it easily on the wall?

Have you checked possibility of hanging charts on the wall? Have you arranged refreshments for team members?

Facilitation Have you made people comfortable and welcome when they come into the room (greeting them, offering cup of coffee, helping them find a seat, letting them know you consider the meeting and their participation to be important)?

Did you prepare flip charts in advance with the rules (see example below), agenda, etc. to post where everyone can see them?

Have you made sure that people know each other?

Have you explained the agenda, rules, approach, definitions (if needed) at the beginning?

Are you prepared to celebrate the success (thank you, congratulations, awards) at the end of the work?

Are you aware of and prepared to avoid traps, like staring late (the first meeting is critical), not following the agenda, some members dominating the discussion?

Example of workshop rules:

Think positively

Focus on the goal

All members are equal

All members have the right to speak

No member will dominate the team

When presenting your thoughts, be precise

No question is a “dumb question”

Be on time

Switch off your mobile.


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Tool 2 – Community Based Strategic Planning (CBSP) Flow Chart

Figure 2 Development of Strategic Plan following CBSP methodology (13-step process)

Develop vision of the economic and social future of the province in the next planning period

Organise the public-private strategic planning Task Force

Identify stakeholders (stakeholder management)

Conduct SWOT Analysis

Develop and analyse baseline data

Socio-economic trends

Economic development infrastructure

Business survey Key industries

Identify Strategic Issues

Identify Critical Issues

Establish Action Groups around Critical Issues

Develop Action Plans (APs) to address Critical Issues

Draft AP Group 1

Draft AP Group 4

Draft AP Group 3

Draft AP Group 2

Integrate Action Plans to produce the Strategic Plan (PDS)

Implement, Monitor and Update the Strategic Plan (PDS)

Apply Logical Framework Approach (LFA)

Initiate and agree on the strategic planning activity

3

2

4

6

7

8

9

12

13

10

1

5

11


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Tool 3 – Stakeholder Management Tools

Tool 3.1 – Stakeholder identification

The list below includes some of the roles/groups who may be stakeholders in the LA-led CBSP initiative. Use the list to identify your own list of stakeholders or as a checklist – to make sure no roles are missed.

This list is not exhaustive; as you add stakeholders, try to keep the list manageable.

Apply stakeholders analysis/mapping (see Annex 1.3.2 below) to determine who to include in the final list of stakeholders.

In cases of overlap between stakeholder groups, rest assured that it is better to have some duplication than to miss potentially important stakeholders.

Internal stakeholder identification and mapping is mandatory for the establishment of the sectoral working groups. These stakeholders are representatives in sectors related to the respective topic/focus of each WG. This process assures internal coordination and alignment with the defined strategic objectives.

Table 6 Indicative list of stakeholders

Internal stakeholders Business and Industry CSOs Media

Central level LA level

Members of Parliament Regulators Other government

departments and agencies (incl. Ministries and their local representatives)

Civil servants in other departments of the LA

Provincial Councils members

Budget holders (ones responsible for allocations and spending)

Chambers of commerce and industry

Professional associations

Labour unions Contractors Main industries

Community organisations (women, youth, etc.)

NGOs Charities Religious leaders Tribal leaders

Newspapers, TV stations

Influential journalists/ bloggers/ commentators

Tool 3.2 – Stakeholder analysis and mapping

Figure 3 Stakeholder mapping – roles analysis

2 Role: Primary/secondary

High influence Low interest

Strategy: Meet their needs Engage and consult on interest area Try to increase level of interest Aim to move to box to the right (red/primary)

1 Role: Primary (Key players/Promoters)

High influence High interest

Strategy: Top priority Focus efforts on this group Involve in governance/decision-making bodies Engage and consult regularly

4 Role: Tertiary

Low influence Low interest

Strategy: Least important Minimum effort Inform via general communications – newsletters,

website, mail shots Aim to move into box to the right (yellow)

3 Role: Secondary

Low influence High interest

Strategy: Show consideration Make use of interest through involvement in low

risk areas Keep informed and consult on interest area Potential supporter/goodwill ambassador

Interest

Infl

uen

ce


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Table 7 Analysis and mapping of stakeholders by role

Role Strategy List of stakeholders

1 Primary (Key players/Promoters) High influence High interest

Top priority

2 Primary/ secondary High influence Low interest

Meet their needs

3 Secondary Low influence High interest

Show consideration

4 Tertiary Low influence Low interest

Least important

Tool 3.3 – Stakeholder expectations assessment

Ask each stakeholder from your final list to complete one table of expectations as shown below, with as many rows as needed. [The text in brackets] is example text; this needs to be replaced with pertinent content.

Table 8 Analysis of stakeholder expectations

Stakeholder name: [Women’s NGO]

Stakeholder expectations

N Area of expectations Priority* Short-term Long-term

1 [Women participation in education] [The LA ensures enough same-gender (female) schools.]

[Increased attendance of women at all levels of education.]

2

3

4

5

6

*Priotity scale: 1=highest, 2=medium, 3= lowest.

Tool 3.4 – Stakeholder engagement methods

Engaging stakeholders can happen through direct contact or making use of online tools, social media and print materials. A number of methods can be utilised across communication channels to reinforce/extent reach and impact.

Table 9 Stakeholder engagement methods

Face-to-face (direct contact) Online Social media (social networking sites)

Can happen face-to-face, online, and/or through social media

Print/media

Advisory committee Meeting (public/project) Briefing (public/project) Conference/large meeting Workshop Focus group Display/exhibit Walking/site tour Open house/day Interview Corporate hospitality Information hotline Phone call

Email Blog Skype (call,

conference) Webinars Website Tele-/video-

conferencing Online

collaboration

Posts, streaming, webinars, podcasts (audio post), videos, and messaging on: Twitter Facebook (pages,

groups) Google Groups,

Google + LinkedIn YouTube/ Vimeo

Forum Petition Poll Survey Q&A session/

responding to individual questions

Game Video

Memo Newsletter Leaflet Addressed letter Circular letter Article in existing circular letter

(leaflet/ newsletter) Magazine/news article Video/TV broadcast/report Radio bradcast/report Press release Infographic


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Tool 3.5 – Stakeholders communication and reporting plan

Plan your actions to engage each stakeholder based on (1) their role (and respective strategy to apply – see Annex 1.3.2 above) and (2) assessment of needs (Annex 1.3.3 above). Use the template table below to plan your communication with your stakeholders. Log all planned communication even if it is ‘on a daily basis’ or ‘ad hoc/as needed’. This will enable you to ensure that your communications are appropriate and timely and that their outcomes remain focused. [The text in brackets] is example text; this needs to be replaced with pertinent content.

After each WG meeting, the WG can prepare a draft statement/press release regarding the discussions held/decisions reached, and forward this to stakeholders using the established channels (e.g. through the Governorate press office); for preparation of this draft, the resources can be used of invited external stakeholders (NGO, media representatives, etc.).

Table 10 Stakeholder communications log

N Stakeholder Role Information requirements Information provider

Frequency of communication

Channel

1 [Women’s NGO]

[CSO; representative on the PDS EDE]

[Topics discussed & main points reached in WG on women’s issues and WG on education; information on forthcoming public briefings & discussions]

[WG, Press Office] [Be-weekly] [Mailed summary of WG meeting minutes, Facebook posts]

2

3


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Tool 4 – CBSP perspective diagram

People are asked to serve on the strategic planning Task Force (Steering Committee) because they represent important entities in the community – government, educational institutions, NGOs, etc. But once the Steering Committee convened, its members are asked to take a broader perspective and consider what is best for the community as a whole – and not just what is best for their own institution. The below diagram reminds us that we are all part of the larger community.

Figure 4 CBSP process for local area development: working together to promote the interest of the community

Citizens’ Groups

Business

Media

NGOs/CSOs Educational institutions

Local Government

Steering Committee

The COMMUNITY


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Tool 5 – Model SC Invitation Letter

The below letter is presented as a model to illustrate the information that should be included in the invitation letter. Elements that have to be customised are identified […]. Usually, the invitation letter is a formality, following personal

contacts between the people sponsoring the development of the PDS and the people being invited to serve on the Steering Committee.

The letter is signed by the sponsor(s) of the planning process. Usually this is the Governor and a business or chamber leader, who serve as co-chairs of the Steering Committee.

Dear [title – Mr/Ms/etc. – and name of addressee],

The Governorate of [Governorate name] is undertaking the development of a strategic plan for economic development. We are facing significant economic issues due to: [list local issues, for example difficulties of economic transformation, job losses at our major firms, difficulties in attracting sufficient investment].

It is our belief that a strategic plan will help us manage the economic challenges we face. It will organise our activities and resources toward the goal of improved economic conditions for our citizens, our businesses, and our local government. It will also be a tool for attracting investors for businesses.

The strategic plan will be created by a Steering Committee including representatives of the provincial government, business and community leaders. We request your participation on this very important Steering Committee in your capacity as [position in relevant organisation]. We believe that your knowledge and insight will contribute greatly to this effort. Participation on the Steering Committee requires a commitment of time for attendance at meetings and participation in deliberations. We sincerely hope that you will be able to make this commitment – either personally or through a trusted deputy.

The first meeting of the Steering Committee will be an introductory workshop on [date]. At this workshop, we will describe the strategic planning process, the goals for this effort, and the responsibilities of the Steering Committee. Steering Committee members will adopt a schedule for the planning process, which is likely to require 10 to 12 half-day meetings over a period of 6-8 months. During this planning process, Steering Committee members will be asked to work together to define the future we want and to identify the actions we can take toward achieving that future.

Throughout the planning process, the Steering Committee and sub-committees will be supported in their work by staff from the [local government]. Strategic planning requires that decisions be based upon information, and the staff will be responsible for providing the Steering Committee with the information it requires for its work.

We sincerely hope that you will agree to serve as a member of the Provincial Development Steering Committee. We will contact you soon to discuss this work with you in person.

Sincerely,

[Signature]

[Title and name], [Organisation]

[Date]


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Tool 6 – Economic Scan

Strategic plans are built upon a foundation of information. Steering Committee members are chosen to provide a range of personal information and experiences. Once the Steering Committee is organised, its members are provided additional information, beginning with the economic scan.

The scan uses statistics plus information gathered in interviews and from documents to create a database about the current economic situation. Analysis of that database is called the economic scan. The scan informs Steering Committee deliberations. It also establishes the baseline against which progress toward goals can be measured and provides information for use in future marketing efforts.

When allocating resources to the economic scan, it is important to remember two things: (1) The economic scan is an important tool, but it is not an end in itself; (2) The scan database, once created, should be maintained and updated as new data becomes available.

An existing database, such as that maintained by the local government, offers a starting point for scan development. Where there is no available database, the task is to create one. Maintaining the scan database usually is the responsibility of the local economic development agency.

The economic scan has several steps:

Define the economic area,

Compile and analyse socio-economic statistics,

Identify and profile key industries, and

Assess the infrastructure to support economic development.

Throughout, the economic scan should clearly attribute data to its source. This helps users assess the likely accuracy

of the data.

Define the economic area

The economic area is the geographic area, for which data are available, that best describes the local market for goods, services and labour. The economic area often includes more than one local government. Changing local government boundaries in Iraq complicate the definition of the economic area. A viable solution is to use data about the county and supplement it with the more limited data available for the governorate or cities in the economic area.

Compile and analyse socio-economic data

Statistics describing population, income, employment and the economic base are basic to the economic scan. If another topic is of concern, relevant measures should be added. For example, if housing is a concern, then the

baseline data would include measures of housing supply, demand and condition. If the commercial sector were a concern, the baseline data would include retail sales data.

The following lists basic measures for an economic scan:

Population

Total population

Components of population change - births and deaths; migration

Age and sex distribution

Population in the labour force

Educational attainment of adults

Number and average size of households

Income

Total personal income

Income per capita

Household income distribution

Sources of personal income


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Employment and economic base

Total employment and employment by major industrial sector

Unemployment and characteristics of unemployed individuals

Output by major industry

Net revenues and expenditures by industry.

Table 11 illustrates a typical format for data presentation in a scan, using total employment as an example. More complex measures such as employment by industry often is presented in two steps. The first table presents the changes in all industries for the target area, and a second table, formatted like the table below, compares each industry in the target areas to similar areas and the nation.

Table 11 Typical format for data presentation in a scan, using total employment 2000-2015 as an example Area 2000 total 2015 total 1995-2015 % Change

Employment Employment Change Index

Provincial capital

Province

Iraq 1.00

Where there is a significant deviation from the national average, the analysis seeks the reasons for that deviation and its implications for the future. Expressing each rate of change as an index relative to the national level, which always is set equal to 1.00, simplifies comparisons over time and between areas. Applying the same technique to current levels of employment or output produces location quotients that identify concentrations of industries in the target area.

Profile the key industries

Analysis of employment and economic base data identifies concentration of industries and shows (1) which industries are contributing the largest shares of employment and income to the local economy, and (2) which smaller industries are growing rapidly and gaining importance. These are the key industries for economic development and so they receive additional attention in the economic scan. For key industries, the economic scan gathers information about products and markets, expected major job changes, gains from new facilities and losses from bankruptcies, restructuring and liquidation.

Assess the infrastructure to support economic development

The infrastructure to support economic development includes the physical infrastructure of transportation, environmental, and communications systems. It also includes business support programs offering management and technical assistance, incubators, educational and research organisations, business service providers such as freight forwarders or accountants, and financial institutions providing access to capital. All contribute to the framework that supports economic activity. Of greatest import is the infrastructure supporting key industries.

Organisations that provide management and technical assistance to business are of particular interest. These entities include both government and non-government organisations - county and governorate economic development agencies, the Chamber of Economy, Business Information Centers, local foundations for business, programs at local universities, offices of the Ministry of Labor, and other entities with similar activities. Other examples are free trade zones, incubators, industrial and research parks.

This final section of the economic scan includes information about the adequacy of the physical infrastructure, the framework that supports business activity, and summary information about the business support programs and organisations.

Note: Economic Scan is not replacement for Baseline Study which is comprehensive document that is a part of Provincial Development Strategy and is comprehensive and more detailed set of data and information that is basis for development and implementation of PDS.


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Tool 7 – Circles of Influence

The Circles of Influence depict the different levels of control the Steering Committee has in shaping the economic

future of the community. Together, the circles represent all that affects the economic future. In the outer circle are things we cannot affect – e.g. trade barriers in other countries or changing

technologies; In the inner circle are those things we can control. For example, local governments can support economic

development by improving the quality of services, including the customer orientation of municipal employees. Investors look for stability – local governments can make the investment environment in their governorate more stable through consistent regulatory and permitting processes and a predictable, fair tax structure;

The middle circle – the circle of influence – is the one most open to interpretation and to possible surprises. E.g. in the context of a municipality, it may include laws and regulations at the national level that an association of Governors or Mayors of cities and provinces may influence.

The Circles of Influence diagram illustrates two important truths regarding strategic planning:

We make an impact when we focus our energies on those things that we can control or influence. Time spent bemoaning things outside our control is time wasted. Instead, we should be looking for actions that we can take and actions we can influence others to take that will move us closer to our goals. We look for responses within our control or influence to unchangeable realities that affect our ability to achieve our goals;

By expanding representation on the strategic planning Steering Committee (SC), we enlarge the circles of control and influence of the SC:

The SC includes representatives of governorate and county governments, the business community, and other institutions such as universities and citizen groups. This broad representation gives the SC circles of control and influence that are larger than those for any single institution;

The circles of influence illustrate the power of both public-private partnership and of community participation. They show why all who will be asked to implement plans should be involved in plan development.

Figure 5 Circles of influence: levels of control the SC has in shaping the economic future of the community

Little or no control

External realties

Indirect control

What we can do to

influence others

Direct control What we can do

ourselves


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Tool 8 – Question and Answer (Q&A) Procedure

Each member of the Steering Committee is given a few small pieces of paper and asked to write down any questions they have about the topic under discussion – one question to each piece of paper. (The pieces of paper should not be too large – this is not a request for expositions.)

The questions are turned into the meeting staff who will organise them by topic while the Steering Committee takes a break.

When the Steering Committee returns from the break the speaker answers the questions by topic. At the end of the answers, the Steering Committee is given an opportunity to ask follow-up questions.

SC members always should be given an opportunity to ask questions about information that has been presented or activities they are being asked to do. The most direct approach is to ask the group if anyone has questions. But some people may be reluctant to speak out while others may be reluctant to stop talking and give others a chance. The Q&A procedure is designed to give everyone an equal chance to ask questions.

This procedure also gives the speaker or facilitator an opportunity to organise questions by topic and combine duplicate questions so that the questions can be answered efficiently. Please note: there should be a “break” of at least 15 minutes scheduled to give the meeting staff time to organise the questions.

The Q&A procedure can be made more interesting by the use of (1) “Post-Its” or similar papers that will adhere to a surface and (2) a chart or picture illustrating the topic under discussion. The Steering Committee members stick their questions onto the relevant part of the chart or picture. For example, if the topic is the strategic planning process, Steering Committee members can stick their questions to the strategic planning process diagram and put the question on that part of the diagram it addresses. Or if the topic is a development proposal, the Steering Committee members can stick their questions on the relevant part of the site plan. One look at the pictures with the questions attached shows where people have questions about the proposal.


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Tool 9 – Business Survey

A survey of local business managers contributes valuable insights to the assessment of business climate and adds important detail to the statistics in the scan. Business leaders know how the strengths and weaknesses of the local environment affect their firms. The business community is represented on the strategic planning Steering Committee, but additional and valuable insights can be gained through interviews with business leaders not on the Steering Committee. This also broadens the community participation.

In contrast to statistical data, which report what has already happened, interviews with business leaders can provide

information about is going to happen. Information about plans to expand or shrink employment, build or alter facilities indicates where the local economy is heading. Information about why these decisions are being made is

especially valuable, because it helps identify points of intervention for the economic development strategic plan.

The interviews with business leaders should be conducted using a standard format so that the answers can be

aggregated and analysed. The preferred number of interviews depends upon the number of firms in the local

economy. For a large governorate, at least 20 to 30 of the larger employers (in and out of bankruptcy) and a dozen

entrepreneurs should be interviewed.

It is important to begin interviews by assuring all persons interviewed that their responses will be kept confidential,

and it is extremely important to honour that promise. Information from interviews of large firm managers will be

aggregated, as will interviews of entrepreneurs, and only the aggregate information will be made public. No comments will be attributed to any individual without the individual’s written consent.

A basic business interview guide follows. It is intended as an illustration and a starting point. The lead staff person

with input from the Steering Committee co-chairs should adapt these questions to meet the unique needs of the

local situation. The LG experience was that many Steering Committee members find the results of the business survey to be the most interesting information presented.

(The survey template is overleaf.)


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Business Survey Interview Guide

Company Name ___________________________________________________________

Name, Title, and Telephone Number of the interviewee.

________________________________________________________________________

Questions Concerning Companies

1. Type of business_______________________________________________________

2. Main product or service__________________________________________________

3. Is this the seat of the company? Yes_________ No__________

4. Who are your main clients?

__________ individual consumers, __________ other companies, __________ public sector

5. What percentage of your sale goes to the consumers in

________the governorate, ________the province, ________Iraq, _______ Worldwide?

6. How many people do you employ? __________________________________

7. How many do you expect to employ in a year ________, in three years ________?

8. If you expect that the level of employment is going to change significantly, please give the

reason?

____________________________________________________________________

9. Does the company have plans to make new capital investments in these premises?

__________ yes, __________no

If yes, please describe them and the planned timing of the investment.

___________________________________________________________________

Questions Regarding the Local Business Climate

1. Which are the three most positive things about GOVERNORATE as the place to do business?

________________________________________________________


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2. Which are the three most negative things about the GOVERNORATE as the place to do business?

___________________________________________________________________

3. On scale from 1 (poor) to 5 (good), please evaluate your governorate as the place to carry out your

company’s business.

1---2---3---4---5

The following sentences describe a governorate government that is working hard to create a good business

climate. On a scale from 1 (not at all) to 5 (very accurate), please evaluate how well these statements

describe GOVERNORATE.

The governorate government encourages a consumer service ethic in its employees, especially those who deal directly with the public.

1---2---3---4---5

The governorate makes permitting process for establishing a new business easy and understandable.

1---2---3---4---5

The governorate makes permitting process for building, remodeling, or expanding a business facility

reasonable quick and fair.

1---2---3---4---5

Compared with other provinces in Iraq, local taxes and fees affecting businesses are reasonable.

1---2---3---4---5

The governorate’s system for collecting taxes and fees is fair and efficient.

1---2---3---4---5

The governorate consults the business community when making major decisions about public investments.

1---2---3---4---5

The governorate government is accountable and responsible its use of public funds.

1---2---3---4---5

Does governorate ask businesses for voluntary contributions for special public needs?

Yes_________ No__________

If yes, are such requests reasonable?

Yes_________ No__________


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6. In Iraq, cities/municipalities are in charge of providing a growing number of services. On a scale from 1

(poor) to 5 (excellent) please evaluate the following governorate services.

Protection of the environment 1--- 2--- 3--- 4--- 5

Housing 1--- 2--- 3--- 4--- 5

Providing utility services 1--- 2--- 3--- 4--- 5

Administration of municipal property 1--- 2--- 3--- 4--- 5

Providing police protection 1--- 2--- 3--- 4--- 5

Providing fire-protection 1--- 2--- 3--- 4--- 5

Collecting and waste disposal 1--- 2--- 3--- 4--- 5

Maintenance of roads 1--- 2--- 3--- 4--- 5

7. What would you like the GOVERNORATE to do in order to make it a place with better conditions for the

operation of your business?

8. What would you like the GOVERNORATE to do in order to make it a place with better conditions for

business operation in general?

9. Do you have any additional remarks on business climate in the GOVERNORATE?

Thank you for your participation in this survey. Your opinion will help us in our effort to make the GOVERNORATE a better place for business operation.

Date of the interview and signature of the person conducting the interview

______________________________________________ _____________

NAME DATE


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Tool 10 – Vision Procedure

Vision Task:

Picture the future you would like to see in your governorate after 5 or 10 years of successful economic development:

What are the most important economic activities in your governorate?

What kinds of jobs and industries are employing people?

What services are available thanks to a healthy local economy?

What is the rest of the world saying about your governorate?

The vision describes the economic future that we want for our governorate. It is the goal statement for the economic development strategic plan and guides the decisions that are made in plan development. The vision statement describes what our governorate would look like in 5 or 10 years as a result of successful economic development. This picture reflects the answers to the above questions. The vision is likely to describe:

The most important economic activities

The kinds of jobs that are employing people

Public services

The image and reputation of the governorate

Developing the vision begins by asking each member of the Steering Committee to think about that picture and answer the questions in the vision task. All those ideas ore recorded. Later in the process, the Steering Committee decides what the most important parts of the vision are and what a realistic vision is. If the Steering Committee feels uncomfortable discussing visions for the future, the discussion leader can encourage creative thinking by asking people to imagine it is five years in the future and they are (1) writing a letter about their governorate to someone who is about to visit or (2) they are reading an article in the local newspaper about the local situation.


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Tool 11 – Brainstorming Procedure

Part 1

Think of a number of approaches or strategies that we can use to address this issue.

Think quickly and tell us your ideas without first considering if they are realistic.

Take a break

Part 2

Group similar ideas and combine duplicates.

Consider the likely costs and potential benefits of each idea and eliminate those that are not likely to be worthwhile.

Assess the probability of successful implementation of each idea and eliminate those that are not likely to be successful.

Develop the most promising ideas into more detailed proposals.

Brainstorming is used early in the planning process to generate ideas and spur creativity. It is a two-stage process that first generates ideas and then evaluates them. Separating those two stages is crucial to the success of brainstorming. The brainstorming process is most effective in a group setting. Large groups may be broken down into smaller groups, which then report back the results of their brainstorming.

The brainstorming activity is led by a facilitator who defines the issue being addressed and then either acts as recorder or asks a member of the group to act as recorder. The facilitator encourages everyone to contribute in an open and judgment-free atmosphere.

The recorder needs either a flip chart or a large blackboard on which to write. Everyone in the group should be able to see what the recorder has written. As each sheet is filled, it is taped to the wall. It is important to write down all the suggestions WITHOUT noting contradictions, overlaps, or making any kind of judgment about the ideas. Sometimes far-fetched ideas lead to a good strategy.

The second stage often uses the weighted voting technique to pare down the list generated in stage one.


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Tool 12 – Small Group Work

An efficient approach to tasks such as brainstorming is small group work. Using this approach: The Steering Committee divides into groups of 7 to 10 members each. 1.

Each group is assigned a private meeting space, goes there, and selects a discussion leader and a recorder 2.who will take notes.

Each group then generates a list of strategic issues (or completes another assigned task) using a 3.brainstorming technique or in informal discussion.

The recorder keeps track of the issues generated and why they were selected. 4.

The full Steering Committee reconvenes to hear a report from each discussion leader. The notes taken by 5.the recorder are used for the group reports and then turned in to the meeting staff as part of the meeting record.

Tool 13 – Weighted Voting Procedure

Weighted Voting Task

You have been given a number of votes (usually about ten); 1.

Allot your votes among the options being considered. You can allot as many as half of your votes to a 2.single option, but you cannot allot more than your total of number of votes.

Weighted voting is used to establish priorities and/or to narrow down a long list of options. Before the actual voting begins, the facilitator or team leader makes sure that everyone understands the options under consideration. People are given an opportunity to add to the list, and similar options are combined into one. When the list of options has been finalised, the weighted voting begins.

Weighted voting can be used in a single step or in multiple steps. With multiple steps, a long list can be narrowed down to a smaller number of options and then the weighted voting procedure repeated on that shorter list until the desired number remains. Weighted voting is often used in the second stage of brainstorming to select the best ideas.

Weighted voting can be easily implemented by giving each voter the chosen number of votes represented by coloured stickers. People cast their votes by attaching the stickers to the preferred options. The results give a quick visual picture of group priorities. A variation uses multiple colours to distinguish among the first, second, etc. choice of the voter.

Once the votes have been tabulated, the group should be given a chance to assess the results and adjust them if there is consensus on the need for adjustment.


55

Tool 14 – SWOT Analysis

The below diagram illustrates the strategic planning format for analysis factors that affect your city/local area ability to realise your vision for the economic future. To use it:

Identify the forces and conditions that will help realise the vision – the positive factors; 1.

Identify forces and conditions that will make it more difficult to realise the vision – the negative factors; 2.

Separate each group into external and internal forces and conditions by asking: Does this factor describe 3.the local situation and trends, local actions and policies that we can control or at least influence – or is it an external reality outside our control?

Figure 6 The SWOT Analysis scheme

Tool 15 – Refining the Vision

The chart illustrates the process of filtering initial visions through SWOT results. SWOT results are strictly linked to reality and therefore can help the Steering Committee move from preliminary visions towards realistic ones.

Figure 7 Refining the vision process

OPPORTUNITIES

VISIONS

STRENGTHS

MORE REALISTIC VISIONS

WEAKNESSES

SWOT reality

THREATS

Positive

Negative

Internal

External


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Tool 16 – Strategic Issues Procedure

Strategic Issues Task

Using the results of the SWOT analysis, identify the issues that affect our ability to achieve our vision. Please consider these four questions as you identify the strategic issues.

What is the issue? Be sure to phrase the strategic issue in the form of a broad question. For example: “How can we support and encourage development of new enterprises?” “How can we keep skilled labor force from leaving to go abroad?” “How can we improve traffic flow in the center of our governorate?”

Are there responses within our control or influence? The issue should be one the Steering Committee members can do something about.

Why is this an issue? How is it related to the vision of economic development, strengths and weaknesses or external opportunities and threats?

What will happen if we do not address this issue? Will this keep us from achieving our vision?

Generating strategic issues focuses the Steering Committee on the most important challenges and policy choices. The Steering Committee considers (1) the results of the SWOT analysis and (2) their vision for the economic future of the governorate when it generates strategic issues.

Strategic issues seek ways to build upon strengths and to address weaknesses. They also look for responses within our circles of control or influence that will exploit opportunities or deflect threats,

An issue is not strategic unless it affects the Steering Committee’s vision for the governorate’s economic future.

Strategic issues are broad rather than specific and always expressed as a question with more than one possible answer. Specific governorate comes later in the strategic planning process.

Tool 17 – Critical Strategic Issues Procedure

The initial list of strategic issues is usually much too long for a reasonable strategic plan, which should address three or four issues. Therefore the Steering Committee needs to select the critical strategic issues that it will address in the economic development strategic plan.

First the Steering Committee agrees upon the criteria it will use to decide which strategic issues are most critical. Then it uses these criteria to make the selection. Some examples of criteria are:

When will this issue confront our governorate?

How broad will the impact of the issue be?

Will resolution of this issue likely require the development of new partnerships?

Will resolution of this issue require the commitment of significant resources?

What are the probable consequences for not addressing this issue?

Does the Steering Committee have the capacity to address this issue? Are there answers within our circles of control or influence?

If the Steering Committee is unable to reach consensus about which are the critical strategic issues, a weighted voting procedure can be used to narrow down the list of strategic issues.


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Tool 18 – Logical Framework Approach

The Logical-Framework (Log Frame) approach was developed by the US Government in the late 1960s as a managing-for -results tool. International donor organisations have found it to be an effective approach for strategic planning, especially in a workshop setting. There are multiple versions of the Log Frame in current use. Their common purpose is to guide development of plans that are realistic, coherent and relevant to the identified problem.

The LA uses a six-step process Log Frame Approach (LFA). The Problem Tree (Tool 18.2), the Goal Tree (Tool 18.3), the Planning Matrix (Tool 18.4), and the Assumptions Test (Tool 18.5) comprise the LFA to project design used by the LA. These tools guide the working groups as they develop action plans for addressing their critical issues. It is the responsibility of the facilitator to insist that the working groups proceed through all steps in the proper order and do not jump to the planning phase and Log Frame matrix without first going through the analysis phase. Not doing so is the most common source of difficulty.

The LFA builds realistic plans with strong internal logic. It relates actions to goals, identifies risks, and subjects assumptions to careful scrutiny. It also establishes a framework for monitoring and evaluation. However, the Log Frame approach requires careful explanation so that working groups can use it effectively. If the facilitator does not have experience with the Log Frame approach, he or she can get more information on-line, where most major donor organisations have posted guidebooks.

The LFA has two major phases, analysis and planning. Each phase has several steps. The steps of the analysis

phase - analyses of (1) the problem, (2) the objective, and (3) alternative interventions - are outlined below.

Tool 18.1 – Log Frame analysis and planning

Log Frame Analysis phase

ANALYSE THE PROBLEM – identify the key issue, constraints and opportunities, cause and effect relationships. Tools used in this step are:

SWOT Results and Vision Statement

Circles of Influence (Tool 7)

Brainstorming (Tool 11)

Problem Tree (Tool 18.2).

The problem analysis produces a specific graphic description of the problems associated with the critical issue. The description is based upon information and differentiates between causes and effects.

ANALYSE THE OBJECTIVES – develop objectives for intervention by converting the problem tree into a Goal Tree (Tool 18.3). This produces a hierarchy of objectives and focuses alternatives on root causes rather than effects.

ANALYSE THE ALTERNATIVES – identify possible interventions for achieving the goal tree objectives. This may require additional research; for example, seeking information about interventions that have worked well in other localities.

The LFA phase produces a list of alternative interventions that address the critical issue. The analysis phase may seem to be tedious and unnecessary for the purpose of simply developing alternative interventions. However, its value will become apparent in the planning phase, which comes next.

Log Frame Planning phase

The Log Frame planning phase uses the Planning Matrix (Tool 18.4) and the Assumptions Test (Tool 18.5) to assess the feasibility of the alternatives produced by the analysis phase, and then to develop plans for the most promising alternatives. Completing the planning matrix is a multi-step process.

The original Log Frame Planning Matrix had four rows and four columns, the format the LA Log Frame approach uses. Its four columns represent:

Intervention Logic: What does the proposed intervention want to achieve? Performance Indicators: How can we tell if we have achieved it? Sources: Where can we get information to measure achievement? Assumptions: What else must happen for this to succeed?


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The four rows of the Log Frame Planning Matrix represent: The Goal: the objective of addressing the critical issue

The Purpose: what the results are supposed to achieve

The Expected Results: the expected impact of the intervention

The Proposed Intervention: proposed activities, programs, etc.

Variations on the Log Frame Planning Matrix have emerged over more than thirty years of use by multiple entities in different countries, but all stress the same internal logic for the planning matrix. The vertical logic states, if this occurs, and that is true, then this will be the result. Vertical logic flows upward; i.e. if the intervention is implemented, it will produce results that lead to achieving the purpose, which will contribute to achieving the goal. The horizontal logic specifies what must be true for the vertical logic to work (applying assumptions in Column D to the intervention logic in Column A) and provides a basis for monitoring and assessment. Columns B tells what to measure in order to assess achievements and Column C lists sources of the measurement information.

The planning matrix used by the LG is similar to the Worldwide Union version. If the proposed intervention is a

project for which outside funding will be sought, this version can easily be adjusted to meet the criteria of the EU

or another funding entity.

Tool 18.2 – Problem Tree

Problem trees help identify promising opportunities for intervention. Almost always, the most powerful strategy for intervention is to attack problems that are root causes – rather than problems that are effects. Problem trees guide WGs toward powerful strategies by clearly identifying causes and effects. How this operates becomes clearer in the next step, when the problem tree is transformed into the goal tree (see Tool 18.3 below).

The steps in creating a Problem Tree are as follows.

Prepare. Creating a Problem Tree is a process that uses flip charts, wall space, tape and coloured markers. 1.Proper preparation is crucial, and the facilitator may want to ask for an assistant to help record ideas.

Generate ideas. The problem tree exercise begins with a brainstorming session: 2.

Restate the critical strategic issue of the WG as a critical problem, e.g.: How can we reduce unemployment? → High rate of unemployment;

WG members suggest problems that are causes of or contribute to the critical problem (specific causes – not general problems such as lack of funds);

A facilitator writes each problem on an individual piece of paper and tapes this on the wall. When doing this, the goal is to group related problems together as much as possible and to suggest connections. There are usually multiple levels of causes and effects because a single problem is frequently the effect of one problem and the cause of another.

Organise the Problems. Take a break to allow the facilitator to finish grouping related problems in a 3.hierarchy of cause and effect:

The critical problem is at the top – this is the highest-level effect;

A cause is taped to the lower part of the chart;

An effect is taped higher on the chart but below the critical issue;

Related causes and effects are connected with arrows.

When the WG reconvene, they should (1) eliminate any problems that are not important to the vision or are outside the circles of influence/control, and (2) comment on the hierarchy of cause and effect the facilitator produced during the break.

It may be clearer to put each group of problems on a separate flip chart. Keep related problems near each other. When all the problems are up on the tree in an order that makes sense, connect related causes and effects with arrows and decide where you would draw a line between causes and effects that would separates root causes of the problem from effects.

The following graphic shows how the Problem Tree works for an example case.

The critical strategic issue How can we reverse the decline of economic activity in the governorate centre? has become the critical problem Reduced economic activity in the governorate centre.


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Contributing problems described during the brainstorming session – including difficulty in reaching the centre, traffic congestion, closed shops and empty offices, poorly maintained buildings, as well as trash on the streets and sidewalks – are grouped and organised in relation to each other, from causes to effects. The arrows indicate causal relationships.

The final outputs shows how the various specific contributors to reduced economic activity in the governorate centre build on each other – from causes to effects. In result, opportunities for effective intervention are suggested (e.g. need to improve the availability of parking in the centre; need to reduce cars in the centre) – which can then feed into the Goal Tree (see Tool 18.3 below).

Figure 8 Example Problem Tree

Tool 18.3 – Goal Tree

While it follows the cause-to-effect logic of the Problem Tree, the Goal Tree establishes a hierarchy of objectives – from desired project results to goals.

The steps in creating a Goal Tree are as follows:

Start with the Problem Tree; 1.

Reformulate problems as objectives: i.e. Increased traffic congestion → Reduced traffic congestion; 2.Increased cars in the centre → Fewer cars in the centre;

Review the logic: Where the problem tree moved from causes to effects, the goal tree should develop a 3.strategy moving from project results to goals.

The Goal Tree for our example is illustrated below.

Note that the top level reverts the critical issue from the Problem Tree into an overall goal, while the lowest level suggests targets for various interventions to achieve the goal (i.e. do something to provide adequate parking – e.g. introduce green belt to reduce cars in the centre).

The arrow moving from bottom (project activity results) to top (goal) represents the intervention logic for the planning matrix (see Tool 8.4 below) – i.e. if this occurs, then that will happen.

Reduced economic activity in the city centre

Poor maintenance Vacant buildings

More office vacancies; lower rents Closed retail shops

Downtown offices in less demand

Increased traffic congestion

Increased cars in the centre Inadequate parking

Effects

Causes

Fewer people shop in shops in the centre

Trash in the streets

Difficult to get to downtown destinations


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Figure 9 Example Goal Tree

Tool 18.4 – Log Frame Planning Matrix

The Planning Matrix is at the heart of the Log Frame approach:

Completing the Planning Matrix reveals weaknesses and identifies inconsistencies, thus contributing to stronger and more realistic plans. Completing the Planning Matrix can uncover problems or aspects of proposed actions that need to be modified. If a proposed intervention survives the tests of the Log Frame planning matrix, it becomes a recommended intervention;

The planning matrix remains a valuable tool throughout implementation and operation. By linking the intervention back to the strategic goal(s) and specifying how performance is to be measured, the Log Frame matrix contributes to an environment where implementation is evaluated against goals and constant improvement is encouraged.

Table 12 Log Frame Planning Matrix template

Column A Column B Column C Column D

Intervention logic Performance indicators Sources of verification Assumptions

Goal (impact):

Purpose (outcomes):

Results (expected outputs):

Intervention (inputs): Resources needed:

Sources of support:

Preconditions:

The steps in filling in the Log Frame Planning Matrix are as follows.

Step 1: Fill in the intervention logic (Column A), working from top to bottom

Drawing upon the statements in the Goal Tree, start by putting the Goal for the proposed intervention in the top

cell of Column A; then fill in the purpose of the proposed intervention, the expected results of the intervention and finally the proposed intervention – which responds to the lowest level of the Goal Tree.

The example Planning Matrix filled in below (Table 14) continues the hypothetical example used in the problem and goal trees (Tools 18.2 and 18.3 above). The hypothetical intervention is to Build a parking deck outside the

Increased economic activity in the city centre

Better maintenance Fewer vacant buildings

Fewer empty offices; more income to owners More retail shops open

Downtown offices are in higher demand

Reduced traffic congestion

Fewer cars in the centre Parking is adequate

Goal

Project Activity results

More people shop in the centre

Cleaner streets

Downtown destinations are more accessible


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city centre and provide shuttle service to the centre. Note that the goal, expected results, and project purpose all come from the Goal Tree example in Tool 18.3 above. The arrow in the Goal Tree moving from bottom to top represents the Intervention Logic (if this occurs, then that will happen).

To keep the Log Frame matrix from becoming too complicated, there should be only one project purpose. If there are multiple purposes for a project and it is important to cover them all, then create more than one planning matrix. Usually, however, it is enough to identify the primary purpose and work with this.

Step 2: Fill in the resources needed and sources of support for the proposed intervention (last row of Columns B and C)

At the level of the proposed intervention:

Resources needed for implementation include e.g. financial resources, staff time (working hours), assistance with specific tasks that will be required to complete the planned intervention, and any on-going or operating costs. Estimates are appropriate here and can be refined later;

Sources of support include the institutions and funding sources expected to provide resources for the intervention. If sufficient potential resources to implement a proposed action cannot be identified, then intervention will not succeed as proposed. Stop working on the planning matrix until the proposed intervention is re-defined, broken into stages, or sufficient resources are found.

Step 3: Complete the underlying assumptions of the intervention logic (Column D)

Column D contains the assumptions that underlie the intervention logic (Column A). Completing the assumptions column starts at the lowest level and works upward. The overall logic is if–and–then (see Table 13):

If we have [these] preconditions [1] (additional to sources of support and required resources), then we 1.can start implementation of the intervention;

If we complete the intervention (given the resources and sources of support), and we have [these] valid 2.assumptions [2], then we can achieve the Results;

If we deliver the Results and we have [these] valid assumptions [3], then we can achieve the Purpose; 3.

If we accomplish the Purpose and we have [these] valid assumptions [4], then we can achieve the Goal 4.(overall objective) of the project.

Table 13 Flow of internal logic for filling in the Log Frame matrix Column D (preconditions and assumptions)



Goal

Purpose Assumptions [4]

Results Assumptions [3]

Intervention Resources needed Sources of support Assumptions [2]

Preconditions [1]

The lowest cell in Column D lists pre-conditions. Pre-conditions are any legal, physical, or other conditions that must be met before it is possible to proceed with the implementation of the proposed intervention. All preconditions must be met for implementation to begin.

For example, in our example, it may be that the proposed parking space is not consistent with the existing urban plan. Then either the proposal or the plan must change so that the proposed parking space and plan do not contradict each other. If the problematic pre-condition cannot be changed, the proposed intervention is not feasible and needs to be modified.

Not all interventions have pre-conditions. If there are none, this cell is left empty. Remember, resources and support availability (already addressed in Step 2) are not preconditions.

(end)

THEN

IF

THEN

IF

THEN

IF

THEN

AND

AND

AND

IF

(start)


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If no precondition presents an insurmountable obstacle to the implementation of the proposed intervention, the WG complete assumptions in Column D, moving upward. E.g. in the example, we assume that if there is a parking garage and shuttle service, then people will use it – which will serve to reduce traffic in the centre. The completed Log Frame planning matrix for the hypothetical example (Table 14) is simplified; in practice, there probably would be more assumptions.

The assumptions test guides the WG as they determine the appropriate assumptions (see Tool 18.5/Figure 10 below). If any one of the assumptions is incorrect, then the logic of the intervention is broken, and the feasibility of the proposed intervention should be questioned. The WG can only complete the Log Frame planning matrix after verifying the logic of the intervention.

Step 4 (final): Fill in the performance indicators and sources of verification for goal, purpose and results (Columns B and C above the bottom row)

Columns B and C builds in accountability and lays the foundation for monitoring. Column B lists the performance indicators that will be used to measure progress. A performance indicator is useful if (1) there is accessible information on it, and (2) it allows to track change that has occurred as a result of intervention in Column A. In other words, Column B lists the indicators that allow to objectively verify change in result of project interventions. Column C is concerned with the availability of information to allow objective verification of change in the value of indicators.

A good starting point for identifying potential performance indicators is the Problem Tree produced during the problem analysis. The situations identified as “effects” and listed in the problem tree upper middle area are often good indicators for Column 2 of the Log Frame matrix (e.g. traffic congestion levels, retail sales levels, vacancy/rent rates). The completed Log Frame planning matrix for the hypothetical example (Table 14) is simplified; in practice, there probably would be more indicators and sources of verification.

Table 14 Log Frame Planning Matrix template filled in for our example



Goal: Increased economic activity in city centre

Increase in number of shops in the city centre;

Increased rent rates; Increase in related municipal

tax revenues; etc.

Municipal statistics Governorate statistics Survey results; etc.

Purpose: More people shop in the centre

Increased retail trade rate; etc.

Survey results Chamber of Commerce

annual reports; etc.

Shops in the city centre will become more profitable.

Results: Reduced traffic congestion and adequate parking make the city centre more accessible

Available parking spaces Rent rates; etc.

Municipality data; Survey results; etc.

People will no longer be reluctant to go to the city centre.

Resources needed: Estimated cost of the land, cost of planning and construction, staff, etc.

Sources of support: Budgets (when available)

Enough people will use the parking and shuttle bus.

Preconditions: The proposed parking deck complies with the urban plan; land is available.

Step 1 – what are we trying to accomplish and why

Step 2 – how will we get there (what enables us to get there)

Step 3 – what other conditions must exist

Step 4 – how will we measure success

Intervention: Build a parking deck outside the city centre and provide shuttle service to the city centre


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Tool 18.5 – Assumption Test

Assumptions are crucial to the logic of the Log Frame planning matrix. However, not all assumptions are equally important, and not all need to be included in the planning matrix. The assumptions test tool helps the WG to select the appropriate assumptions – i.e. the external factors that will affect the success of the proposed intervention.

The assumptions test is a decision path – as illustrated in Figure 10. For each assumption, follow the path linked to your answers until you reach the respective directive.

As evident from the possible paths, if any of the assumptions is not likely to realise and if the intervention cannot be redesigned to overcome this obstacle, then the intervention is not feasible. The WG should develop an alternative intervention.

Figure 10 Assumption test decision path

Is this assumption important for the success of the project?

DO NOT INCLUDE this assumption in Column D of the

Log Frame planning matrix Is the

assumption

likely to

realise? INCLUDE this assumption in Column D of the Log Frame

planning matrix

Can we redesign the intervention so that its success

does not rely on this assumption?

The intervention is NOT

FEASIBLE

REDESIGN the

intervention

Perhaps

Certainly

No

Yes No

Yes No


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Tool 19 – Action Plan and Summary Action Plan

An Action Plan (AP) serves to help change makers turn their visions into reality and increase the efficiency and accountability within an organisation. This section provides a guide for developing and utilizing your Action Plan.

What is an Action Plan

The Action Plan serves to turn your organisation's vision into concrete action steps to accomplish yours objectives and thus realise your vision. Each action step targets a specific change to be brought about in your community. An AP describes how and when the specific action steps will be taken to bring about this change. While the AP may address the general goals you want to see accomplished, the action steps will determine the specific actions you will take to help make your vision a reality. For each action step, the Action Plan specifies:.

What action or change will occur

Who will carry it out

When it will take place, and for how long

What resources (i.e., money, staff) are needed to carry out the change

Communication – who should know what.

Criteria for a good Action Plan

The Action Plan for your initiative should meet several criteria, specifically it needs to be:

Complete – the AP lists all the action steps or changes to be sought in all relevant parts of the community (e.g., schools, business, government, faith community);

Clear – the AP makes it very clear who will do what by when;

Current – the AP reflects all completed and current work, and it anticipates newly emerging opportunities and barriers.

Why develop an Action Plan

As stated in the well-known adage, “People don't plan to fail – they fail to plan." While you certainly do not want to fail, it makes sense to take all the steps necessary to ensure success. This includes developing an Action Plan. There are many good reasons to work out the details of your organisation's work in an AP, including to:

Lend credibility to your organisation – an AP shows members of the community (including donors) that your organisation is well ordered and dedicated to getting things done;

Make sure that no detail is overlooked;

Evaluate what is and what is not possible for your organisation to do;

Ensure efficiency – to save time, energy and resources in the long run;

Ensure accountability – to increase the chances that people will do what needs to be done.

When to develop an Action Plan

Ideally, an AP should be developed within the first six months to one year within the start of a development organisation – after the vision, mission, objectives and strategies have been determined. Before you are ready to start getting things done, the AP will give you a blueprint for running your organisation or initiative. However, remember, that an AP is always a work in progress; it is not something you can write, lock in your file drawers, and forget about. Keep it visible; display it prominently. As your organisation changes and grows, you will want to continually (usually monthly) revise your AP to fit the changing needs of your group and community.

How to write an Action Plan

Step 1: Determine what people and sectors of the community should be changed and involved in finding solutions

If you have been using the VMOSA (Vision, Mission, Objectives, Strategies, Action Plans) model, you might have already done this, when you were deciding upon your group's objectives. Again, try to be inclusive. Most of the health and development issues that community partnerships deal with are community-wide; thus, they need community-wide solutions. Possible sectors include the media, the business community, religious organisations,


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schools, youth organisations, social service organisations, health organisations, etc. You may consider asking some members of the community to join the action planning group, including:

Influential people from all the groups in the community affected by your initiative (e.g. from churches and synagogues, the school system, law enforcement, etc.)

People who are directly involved in the problem (e.g. local high-school students and their parents might be involved in planning a coalition trying to reduce teen substance abuse)

Members of grassroots organisations

Members of the various ethnic and cultural groups in your community

People you know who are interested in the problem or issue

Newcomers or young people in the community who are not yet involved.

Step 2: Convene an action planning group in your community to design your Action Plan

This might be the same group of people who worked with you to decide your group's strategies and objectives. If you are organizing a new group of people, try to make your planning committee as diverse and inclusive as possible. Your group should represent the people most affected by the problem or issue.

Once everyone is present, go over your organisation's: Vision Mission Objectives Strategies Targets and agents of change (e.g. youth, parents and guardians, clergy) Proposed changes for each sector of the community (e.g. schools, faith community, service organisations,

health organisations, government, etc.).

Step 3: Develop an Action Plan composed of action steps that address all proposed changes

The AP should be complete, clear and current; it should include the information and ideas you have already gathered while brainstorming about your objectives and your strategies; and it should specify the action steps you must take to reach your objectives while still fulfilling your vision and mission. It is now the time for all of the VMOSA components to come together. Each action steps will determine the specific actions you will take to help make your vision a reality. To write action steps, members of the action planning group will need to determine:

What action or change will occur

Who will carry it out

When it will take place, and for how long

What resources (i.e., money, staff) are needed to carry out the change

Communication (who should know what)

Review your developed Action Plan carefully to check for completeness. Make sure that each proposed change will help accomplish your group's mission. Also, be sure that the AP taken as a whole helps you complete your mission – make sure you are not leaving anything out.

Example of Action Plan preparation

The (fictional) RTR Coalition seeks to prevent teenage pregnancy in the local community. The action planning group includes teachers at the local high school, local teenagers and their parents, members of the clergy, counsellors and school nurses, staff of the county health department, and members of youth organisations, service agencies, and other organisations that focus on youth issues.

As a specific action step toward preventing prevent teenage pregnancy, they RTR Coalition aim to increase public awareness regarding contraception and unwanted pregnancy at the local high school. The following is the section of the Action Plan for this action step:

What action or change will take place: Posters, displays and other information about contraception and the facts about unwanted pregnancy will be posted in the hallways of the local high school. The posters and other information will become a permanent part of the high school. Posters and information will be regularly changed as new materials become available.

Who will carry it out: A sub-committee comprised of parents and guardians, teachers, students, and coalition members will be responsible for maintaining the displays. The coalition as a whole will work toward finding funding to purchase the materials. Maria and Alex of the schools action group will be responsible for researching and ordering the materials.


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By when will it take place, and for how long: The coalition will try to have posters hanging and displays visible within six weeks of deciding on the action step.

What resources are needed to carry out the step: The coalition will approach the school district to request funding for the project. Otherwise, the group will seek funding from other sources such as foundations and local businesses to finance the programme.

Communication about the action step: The school principal and leadership of the Parent-Teacher Organisation (PTO) should be given information about this planned change.

Regarding this this section of the RTR Action Plan, we note that:

It appears complete – the step seems fully developed; nevertheless, we would need to review the entire Action Plan to see whether all community and system changes that should be sought are included;

It is clear – we know who will do what by when.

It seems current – we would need to know more about other current work (and new opportunities and barriers) to judge whether this portion of the Action Plan is up-to-date.

Step 4: Follow through on implementation of the AP

Once you have determined what needs to be done and how, it is time for follow through. Remember the 20/80 rule: successful efforts are 20% planning for success and 80% follow through on planned actions.

Keep everyone informed about what's going on. Communicate to everyone involved how his or her input was incorporated. No one likes to feel like her wit and wisdom has been ignored.

Keep track of what you have done (and how well). Always keep track of what the group has actually done. If the community change (a new program or policy) took significant time or resources, it's also a good idea to evaluate what you have done, either formally or informally. Keep several questions in mind for both yourselves and others:

Are we doing what we said we would do?

Are we doing it well?

Is what we are doing advancing the mission?

You can address these questions informally (ask yourself, chat with friends and other people), as well as formally, through surveys and other evaluation methods.

Get members in the organisation to accomplish what was planned. Every community organisation has undoubtedly had this happen: you plan and you assign tasks to get everything you have planned to do accomplished; everyone agrees (maybe they even offer) to do certain task; but by the next meeting, nothing has been done. There are several things to do to get members to do what they promised they would. Measures can be particularly tricky in the case of volunteers, because you do not want to lean too hard on someone who is donating their time and energy to begin with. Measures may include:

Make regular phone calls (by staff members or dedicated volunteers) asking members how they are doing with their tasks. This should offer support – not demand or criticism. I.e. rather than ask “Are you doing what you're supposed to,” ask “How are you doing? Can we assist you in some way?” A friendly call such as this can be seen as helpful, give the member the sense that he is a very important part of the group, and serve as a great reminder to do what he said he would do;

Help members to fulfil their commitment as best you can;

Distribute print copies of the AP to all members, with names attached to specific tasks. (Additionally, this can be a great time to ask for feedback before the plan becomes "official.");

Make sure timelines (with due dates) are complete, clear and current;

At regular group meetings (committee/board meetings), ask members to report on accomplishing the tasks they have set out to do. Consider making this a regular part of the meeting agendas;

Recognise accomplishments.

Make sure to update the AP on a regular basis to ensure that it stays current.

Celebrate a job well done! Celebrate the accomplishment of tasks. You and those you work with deserve it. Celebration helps keep everyone excited and interested in the work they are doing. It is very important for motivating members to recognise that getting something done actually means something, and is recognised by the group as a whole.


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Table 15 Sample Action Plan (AP) form

Action Plan for [Initiative Name]

Community focus area: …

Community change sought: …

Collaborating organisation(s)/group(s): …. Community Sector: ….

Action steps

Action step Who When Resources and Support (financial, human, political, etc.)

Potential barriers/ resistance

Communication plan

What needs to be done?

Who will undertake the action?

By what date will the action be done?

Resources available

Resources needed

What individuals/ organisations might resist? How?

What individuals and organisations should be informed about/involved with thes action in the course of implementation?

Step 1: … By: …

… … … … … …

Step 2: By:

Step 3: By:

Step 4: By:

Summary Action Plan

The Strategic planning process asks WGsto prepare a Summary Action Plan (SAP) for each recommended

intervention, and then to use this summary to present the recommended interventions to the full Steering Committee. The purpose of the SAP is to organise the information about each recommended intervention in a format that facilitates integrating those interventions into PDS.

As with the Log Frame planning matrix, the SAP emphasises the link between planning and implementation. The

SAP uses information from the Log Frame planning matrix, and it also adds two types of information: (1) a list of the entities to be responsible for implementation of the proposed intervention, and (1) the proposed schedule for implementation.

While preparing the SAP, the WG can uncover potential problems or aspects of proposed interventions that should be modified before the SAP goes to the Steering Committee. For example, the WG can reveal conflicts in schedules that call for modification of the proposed timing for one or more proposed interventions. Once the SAP is presented to the Steering Committee, the scheduling information is important for integrating the proposed interventions from each WG AP.

The SAP does not refine estimates from the Log Frame planning matrix of the resources that will be required for implementation. Later in the process, if the proposed intervention becomes part of the PDS, the implementing entities will improve the accuracy of those estimates.


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Table 16 Summary Action Plan (SAP) form

Summary Action Plan

Action Plan: Action Number […] of […]

Strategic goal

List the goal that intervention pursues (from the Log Frame Planning Matrix, Column A Row 1).

Strategy

List the strategy that the intervention will implement (from the Log Frame Planning Matrix “purpose,” Column A Row 2).

Action

Describe the action to be taken (from the Log Frame Planning Matrix, Column A Row 4 – with more details; note the expected Results, Column A Row 3)

Responsible agency (partners)

Specify the entity that has the lead responsibility for the intervention and list the any entities that will be partners or provide resources. Every entity on the list should be involved or at least consulted in developing action plan.

Estimated costs, other resources required

List the costs associated with the intervention (this information should be in the Log Frame Planning Matrix, Column B, bottom Row).

Sources of funding

List the sources of funding to cover the cost of intervention and sources of other resources required (this information should be in the Log Frame Planning Matrix, Column C, bottom Row).

Schedule

List the dates for start and completion for the action; if there are intermediate dates, list them too. (This could be defined by “road map” with milestones if necessary.)


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Tool 20 – Activity Chart

The Summary Action Plan (see Tool 19) and the Log Frame Planning Matrix (see Tool 18.4) developed by the WGs and integrated into an PDS by the Steering Committee provide sufficient basis for more complex action plans to be developed by professionals in the implementing entities. However, optionally, the Steering Committee or WG may choose to provide greater detail about how they envision one or more of the recommended interventions of the PDS to be implemented. The Activity Chart is a tool for this purpose. Optionally, the table-format Activity Chart can be replaced by Gantt chart. We note that completing the Activity Chart requires sufficient information or expertise, which usually Steering Committees do not have.

Table 17 Activity Chart template

Activities and tasks Responsible entity Schedule Required resources

1 Activity 1

1.1 Task

1.1.1 Sub-task

1.1.2 Sub-task

1.2 Task

1.2.1 Sub-task

1.2.2 Sub-task

2 Activity 2

2.1 Task

2.2 Task

[…]


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Tool 21 – Information and communication tools

Effective communication and information exchange are both critical to the success of participatory planning for local development. Citizen participation in local community development is possible only when information exchange is a two-way process: (1) downward dissemination (from LA to citizens) and (2) upward dissemination of information (from citizens to LA).

A preliminary step toward communication is done when the LA informs citizens about important plans and decisions made regarding community development.

Full communication is established when citizens respond to the information received, provide comments (e.g. on plans and decisions), and suggest solutions for improvements in planning and decision-making.

The communication process comes into full circle when citizen responses influence positive changes in planning and more effective implementation of projects and activities related to local development.

In this regard, distinction is made between information and communication tools:

Information tools (e.g. press release, leaflet, newsletter) are designed to improve the availability of information regarding service provision and LA activities. Although these tools require no formal feedback channel, there is an assumption that the LA will find a way to understand the citizens’ reactions to information through informal channels.

Communication tools (such as TV/radio programme, social media posts) provide information to citizens as well as enable citizens to express their opinions and comments.

Effective communication requires that information from the LA “speak” to the audience – i.e. that information

content takes into the concerns of the target audience (businesses, CSOs, youth, wider public, etc.) as well as uses

language and terminology adjusted to make the messages understandable and relatable to the target audience.

The successful implementation of communication tools will demonstrate the willingness of the LA – and increase

the capacity of the LA – to develop activities based on public-civic partnership and to ensure the effective

implementation of joint projects.

Tool 21.1 – Press Release

When to use

To communicate periodic data on service performance;

To provide the public with updates on financial status of the LA/municipality;

To communicate any other important information through the press.

Description

A press release is a short (1-2 page) document containing specific information on a topic that the LA wants to communicate to the general public through a variety of sources. It ensures that all media outlets/information disseminators have access to the same information, and that all information reported to the public is accurate.

A press release can form the basis for a newspaper article or a TV story, or a blog entry, or it can be published in the media with no changes at all. Therefore, proper grammar, spelling, titles, style and prose need to be ensure

by editing prior to sending out the Press Release.

A press release should only focus on one topic. If multiple topics need to be addressed at the same time, multiple press releases should be issued. Each press release should start with a clear headline that addresses the main news point; the first paragraph should answer the questions who, what, when, where, and why – and sometimes how – so the reporter or editor (and eventually, the reader) may know immediately what the release is about. In the second paragraph, convince the reporter or editor that the story is of interest to their audience – through facts/statistics and communicating the important information about the topic. A press release is about facts; use of opinions can advance the story/help to extend its reach – but all opinions need to be placed in quotes and the person quoted should be identified (name, time, place/occasion the opinion was expressed).


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Steps to issue a Press Release

Appoint a person responsible for issuing all press releases. This ensures that there is always a single source 1.that the press can contact for information, and that multiple releases are not issued on the same topic;

Prepare a list of all recipients to whom a Press Release should be sent. This list should include: 2.

Names of the individuals at each media outlet responsible for receiving press releases;

Names of influential bloggers, relevant industry or CSO actors as per your list of stakeholders;

Address, phone, fax number and e-mail address of each media recipient;

Deadline for publication;

A copy of the form that each media outlet prefers or requires for submission of press releases.

For each press release you prepare: 3.

At the top, type the name and address of the LA or print the release on a LA letterhead. Include the name, address and telephone number of the person to be contacted in case additional information is required. This should be the person responsible for issuing all press releases;

Start with a clear engaging headline that addresses the main news point;

Insert the date that the material may be used by the press immediately after the Headline;

Get right to the point: who, what, when, where, why. Try to answer as many of these questions in the forst sentence. With special attention to the “why,” elucidate the newsworthiness of the release (to industry, to communities, etc.) and set the stage for the compelling news story journalists want to tell;

Use facts and statistics in the lead paragraph to underline the importance of the story;

Follow with any discussion on “so what” and “how”;

After, identify any attributed quotes to include – in so far as they serve to reinforce the main message (e.g. LA commitment to community involvement in local development planning) and to extend interest in the news (thereby extending its reach);

Ensure the use of key words that clearly define your announcement, as well as “speak”/connect to the target audience;

Ensure proper grammar, spelling, titles, style and prose;

Identify any multimedia (photos, videos, audio files) to make available on request. (Alternatively, you can upload any such enhancing material to e.g. a shared Google Drive folder, and include the link to this in the press release.) Selected multimedia should be such that help spread awareness and gain social traction; and as much as possible, they should be identified with caption (what is seen in the photo/video);

Send out the press release. Send under embargo (delayed release) to the core news outlets first; this 4.gives the outlets the option of running a story based on the press release prior to the actual release – which prepares the audience and increases the impact of the release;

For main media/key releases, follow up with a phone call – to reinforce media relationships, and to 5.ensure that the recipient has received the release and to offer further information as needed.

Tool 21.2 – Leaflet

When to use

To explain specific topics (such as services, laws, and regulations) to a large and diverse audience

If other ways of explaining the issues are not effective or fail

Description

Leaflets (along with pamphlets and brochures) can be used to convey information on a variety of topics. They are often used to describe changes in services, laws and regulations in relation to services that the LA provides. They can also be used on a short-term basis to introduce or to do public outreach on topics such as local election guidelines, upcoming public discussions on plans, etc.

Each leaflet should focus on only one service or issue; because of this, leaflets are often issued in sets so that more than one issue can be covered at the same time. For example, leaflets on municipal waste collection, municipal water service, and municipal heating can all be issued at the same time, but each topic should be treated in a separate leaflet. This is because all information in a leaflet should be relevant to the audience who are reading it. The leaflet should include information on how to access the service and the contact information for the sector that provides the services or is responsible for implementing the law or regulation.


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A leaflet is always written in very clear language without a lot of technical terminology. This is to make the information as accessible as possible to a wide range of people, most of whom are not technical experts on the topics covered, and who will be more interested in how the issue affects them than the technology or specifics behind the issue itself. To ensure effective outcomes of this information channel, it is important to ensure that the leaflets use the respective key words that clearly “speak”/connect to the target audiences. It is also common to use graphics, pictures or diagrams, again because this is an easy way to make these publications more “user friendly.”

A leaflet does not have to be very sophisticated (and thus expensive to produce). It could be as simple as an A4-page folded copy (e.g. into three parts).

Steps

Identify the services that the LA provides and the laws and regulations that most impact citizens’ lives (or 1.because of complexity, need explanation the most). You may want to ask each sector head to help identify these;

Appoint a person in the relevant sectors to draft a short explanation of identified service or regulation; 2.

Make sure that the leaflet is simple, easy to read and to understand; limit to 1–2 pages. Any special terms 3.should be clearly defined;

Appoint an editor to supervise the production of the leaflets. This person should create a format that can 4.be used for all leaflets (including a shared visual language) and edit the drafts from the sectors so that the language is uniform, easy to understand and targeted to the respective audience;

Print enough leaflets to enable distribution the Information Office and other public places; 5.

Periodically review the leaflets to determine if any need to be updated or if new leaflets need to be 6.published.

Tool 21.3 – Radio/TV Programme

When to use

To communicate local government messages directly to the public.

To solicit citizen opinions and encourage feedback.

To foster a feeling of connection between citizens and local government staff.

Description

A radio or TV programme is designed to address a specific issue. Radio and TV are efficient ways to communicate about LA activities. They are useful for delivering specific messages and can also be used to facilitate public dialogue.

These programmes can be used to enable the Governor/LA officials to communicate directly with the public through speeches, interviews or call-in shows. Interacting with members of the public on TV or radio can be particularly effective: when listeners hear officials respond directly to citizens, they feel involved.

Such programmes may be held once, weekly, bi-weekly or monthly. Each programme should be focused on one specific issue to be discussed. For instance, one week the issue might be garbage collection; the next week – the budget. LA speakers should be as prepared as possible.

The programme formats may include:

LA officials deliver a prepared message or speech;

LA officials are interviewed by a reporter;

LA officials discuss a topic with a community group, composed of representatives of different target audiences (audiences related to the issue under discussion). Variations:

A call-in show in which a telephone number is available for the public to call in with their questions, or

The studio group includes members of the political opposition.


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Steps

Decide on the topic(s) to be addressed. 1.

Discuss the most effective format for a programme (one-time vs regular/weekly/monthly, etc.); 2.

Talk to local media; advertise the programming schedule. Provide a copy of the material you will use 3.during the programme (script, copy of speech, etc.);

Agree on the payment, if required. Payment may not be necessary if e.g. a reporter interviews an LA 4.official on a regularly scheduled news programme;

Announce the speaker, topic, and time on TV/radio several days in advance. Depending on the format of 5.the programme, you may also want to make a public announcement to invite people to participate or attend. In case a series of programmes will take place, include the schedule information in any LA Newsletter or Press Release (above). As much as possible, utilise social media to popularise the Programme;

If possible, decorate the studio with posters that promote/provide information on the LA. If the 6.programme is to present statistics or other data, prepare to present simple and clear charts or graphs. Make sure that the TV/radio station know in advance that you will be presenting this kind of information;

If your programme includes studio audience, keep a sign-in form to register the participants. 7.

At the end of each program, evaluate the effectiveness of the presentation and report to those involved 8.in its preparation and delivery, in order to take lessons learnt and make improvements.


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Tool 22 – Project Management Cycle: Knowledge Areas

The direct involvement of LAs in the Project Management Cycle is limited to the area of Project Scope Management – in sections Initiation, Scope Planning, Scope Definition and Scope Verification. The rest of the areas fall under the Project Management Team and the selected Project Manager. During the lifetime of the project, LAs are entitled to do monitoring and evaluation of the project – however this is responsibility of the monitoring body (e.g. Monitoring Committee), and not of the planning entity (Steering Committee).

Figure 11 Knowledge areas of the Project Management cycle

Project Management Knowledge Areas

Project Scope

management

Project Time

management

Project Cost

management

Project Quality

management

Human Resources

management

Project Communications

management

Project Risk

management

Project Procurement

management

Initiation

Scope planning

Scope definition

Scope verification

Scope change control

Task identification

Task sequencing

Duration estimating

Schedule development

Schedule control

Resource planning

Cost estimating

Cost budgeting

Cost control

Quality plan

Quality assurance

Quality control

Organisational planning

Staff acquisition

Team development

Communication planning

Information distribution

Performance reporting

Administrative closure

Risk management planning

Risk identification

Qualitative risk assessment

Quantitative risk assessment

Risk response development

Risk monitoring and control

Procurement planning

Solicitation planning

Solicitation

Source selection

Contract administration

Contract close out

Integration Management

Direct involvement of LA


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ANNEX 2 – SUGGESTED AGENDA FOR PDS DEVELOPMENT MEETINGS (SC/WG)

This annex outlines PDS planning process in more details – it could be used as addition to instructions written in the main part of the Guidelines.

Suggested Agenda SC Meeting 1: Convene the Steering Committee

Explain:

The Process,

The Goals for the Process, and

Participants’ responsibilities

ACTIVITY BY WHOM TIME TOOLS

Welcome: Purpose of the Meeting: Agenda

Governor; Business Leader 15 minutes

Introduce the Steering Committee

Self-introduction by members 20 minutes

Explanation of the LGRP model and planning process: solicit written questions about the process


30 minutes *CBSP perspective graph Tool 4 *PDS process (flow chart) Tool 2 *Circles of influence Tool 7

BREAK Staff organises questions from Q&A PROCEDURE

30 minutes *Q&A procedure Tool 8

Response To Questions Governor, Deputy Governor(s), Head of Planning Department

10 - 20 minutes

Begin developing vision SC members describe their goals for the PDS process - what they hope will happen as a result of it. Some may want to describe possible visions for the future of the community.

45 - 60 minutes *Brainstorming procedure Tool 11

Adopt meeting schedule SC chair or Consultant 10 minutes

Assign homework: think about your vision of the community and the important values your vision reflects. Write down your vision and underlying values; cooperate with the business survey

10 minutes *Business survey Tool 9 *Vision procedure Tool 10

*Tools included in the PDS Toolbox.

STAFF ASSIGNMENTS:

conduct business survey and prepare survey results report and presentation,

finalise scan report for distribution and charts for presentation

write up summary of meeting and distribute to participants along with a reminder of the time and location of the next meeting

make arrangements for the next meeting - three or four weeks in the future to allow time for conducting the business survey


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Suggested Agenda SC Meeting 2: Provide Information; Begin Developing Vision



Governor or Governor’s representative; Business Leader

10 minutes

Presentation of Economic Scan Information -

Presentation by Chamber of Economy ; Representative or Consultant - with a question and answer period

40 minutes

Presentation of Business Survey Findings -

Business Leader or Consultant - - with a question and answer period

30 minutes

BREAK 30 minutes

Begin developing and refining vision: small group work

Steering Committee members divide into 3 or 4 groups to discuss the current reality and the desired economic future of the community and what they value in the community. Each group reports back to the full Steering Committee and briefly describes its visions for the future.

1 hour *Vision Procedure Tool 10 *SWOT-Vision filter Tool 15 *Brainstorming procedure Tool 11 *Small group work Tool 12

Assign homework: Review information provided and prepare to do SWOT

Steering Committee members receive written report of business survey results and a copy of the economic scan

10 minutes *SWOT analysis Tool 14


STAFF ASSIGNMENTS:

organise lists of values and visions developed in the small group work

write up summary of meeting and distribute to participants along with a reminder of the time and location of the next meeting

make arrangements for the next meeting -two weeks in the future

Suggested Agenda SC Meeting 3: Conduct Full SWOT Analysis




10 minutes

Begin SWOT: small group work

Steering Committee members divide into 3 or 4 groups to compile lists of strengths, weaknesses, opportunities and threats for economic future of the community Each group reports back to the full Steering Committee

1.25 hour *SWOT analysis Tool 14 *Brainstorming procedure Tool 11 *Small group work Tool 12

BREAK Staff organises SWOT lists prepared in small groups by topic; Steering Committee gets snacks

45 minutes

Finalise SWOT Steering Committee in a facilitated discussion to develop consensus

1 hour *Weighted voting procedure (if necessary) Tool 13

Assign homework: think about the key points of the visions related to the SWOT and what are the most important aspects of the vision

Steering Committee members receive vision and values summary from SC Meeting 2

10 minutes *Vision procedure Tool 10



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STAFF ASSIGNMENTS:

Write up summary of meeting - a report on the SWOT results - and distribute to participants along with a reminder of the time and location of the next meeting

Make arrangements for the next meeting - two weeks in the future

Suggested Agenda SC Meeting 4: Draft Vision Statement, Identify Strategic Issues


Welcome: Purpose of the Meeting: Agenda Governor or Governor’s representative; Business Leader

10 minutes

Review SWOT results Steering Committee discussion - do they fully agree with the SWOT summary they received

15 minutes *SWOT analysis Tool 14

Draft a consensus Vision Statement

Steering Committee in a facilitated discussion to develop consensus on one vision statement

45 minutes *Weighted voting procedure (if necessary) Tool 13

Prepare for Small Group Work – assign to groups

Facilitator 2 minutes

BREAK 20 minutes

Identify Strategic Issues Steering Committee members work in small groups to compile lists of strategic issues. Each group reports back (5 minute report) to the full Steering Committee

1.25 hour *Strategic issues procedure Tool 16 *Brainstorming procedure Tool #11

Assign homework: think about which strategic issues are most important to realizing the vision and how to define the issues; what aspects of those issues are causes of the problem and what are the effects of the problem; what they would be interested to work on in terms of action planning

10 minutes *Critical issues procedure Tool 17 *Problem tree Tool 18.2


STAFF ASSIGNMENTS:

write up summary of meeting, including a list of strategic issues organised by topic, and distribute to participants along with a reminder of the time and location of the next meeting

make arrangements for the next meeting - two weeks in the future

Suggested Agenda SC Meeting 5: Identify Critical Issues, Organise WGs




10 minutes

Identify Critical Issues Steering Committee in a facilitated discussion reviews the vision statement and decides which strategic issues are most critical to

1 hour *Critical issues procedure Tool 17 *Circles of influence Tool 7 *Problem tree Tool 18.2


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achievement of the vision *Weighted voting procedure (if necessary) Tool 13

Divide into Working Groups - one for each Critical Issue

Steering Committee – based upon individual interest

10 minutes

BREAK 30 minutes

Introduce LogFrame Model PowerPoint Presentation by Consultant/Facilitator - with a question and answer period

30 minutes *LogFrame explanation Tool 18

FIRST WORKING GROUP MEETING: See next page, section on working group meetings

Facilitator for each working group 1hour *Problem tree Tool 18.2 *Brainstorming procedure Tool 11 *Goal tree Tool 18.3


STAFF ASSIGNMENTS:

write up summary of meetings - Steering Committee and working groups - and distribute to participants along with a reminder of the time and location of their next working group meeting

prepare handouts of Problem Trees and Goal Trees for the critical issues and have them ready for the next meetings of the working groups

see next page, section on working group meetings for additional tasks and detail

Developing Action Plans: the Working Group Meetings

This process uses a LogFrame approach to develop action plans. For this approach to succeed, it is crucial that the working groups do not jump to the LogFrame matrix before completing the analysis phase. The facilitator should insist that the analysis phase of the LogFrame approach is fully implemented before the planning stage begins. Working Group meetings should last 1.5 to 2 hours with no break – except during the brainstorming session. If possible, refreshments – coffee, juice, water – are available in the meeting room. All meetings are facilitated. This is an intensive process of at least four meetings over four weeks. Intervals between meetings provide time for group members to think about the choices they will make at the next meeting.

FIRST WORKING GROUP MEETING

Organise working group; begin LogFrame analysis phase by developing problem and goal trees. (This is the second half of the fifth Steering Committee meeting.)

TOOLS: Problem Tree; Goal Tree

TASKS:

Adopt a schedule for the next three meetings – once a week is suggested – to develop the action plans and then begin the process.

Use the Problem Tree to organise consideration of the critical issue and focus on the root causes. It is useful to refer to the negative side of the SWOT results when describing relevant problems. NOTE: This discussion might identify additional information needs and, perhaps, people who should be invited to join the working group.

If there is time, the working group will translate problem trees into goal trees. If there is not time, the staff will do it before the next meeting – this is a fairly direct task.

HOMEWORK ASSIGNMENT:

Prepare for the next working group meeting brainstorming session by thinking about realistic and feasible interventions to address causes at the root of the problem tree. Are there any interventions that could be implemented easily and inexpensively?

STAFF:

make arrangements as needed for the working group meetings - on a weekly basis if possible

make arrangements for additional information resources as needed by working groups

finish, if necessary, and write-up the problem and goal trees and make copies for distribution at the beginning of the next meeting.


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SECOND WORKING GROUP MEETING

Finalise Problem and Goal trees if necessary; Identify alternative interventions. if time permits, select 3-4 interventions that appear most promising

TOOLS: Problem Tree; Goal Tree; Brainstorming Procedure; Circles of Influence

TASKS: The Problem Tree and its Goal Tree produced from the previous meeting serve as the basis for a facilitated brainstorming session to identify interventions – with an emphasis on the possible. (Interventions is the preferred term, rather than projects, because it includes but is not limited to projects.) Questions to direct the discussion include:

What can the institutions represented on the Steering Committee do to achieve the goals? The interventions must be within the circles of control or influence.

What can be done relatively quickly and easily? Start by looking for options that will require relatively small investments of resources that will show results quickly.

What longer-term interventions are feasible and realistic?

Are we focusing on the causes of the problem and not on the effects?

After a brief break to allow people to shift gears, the meeting reconvenes to assess the ideas that were generated by the brainstorming. Again, the emphasis is on what is realistic and feasible. Questions to be used in a facilitated discussion include:

Can we achieve this without outside help?

What forces support the success of this proposed intervention? What forces are likely to hinder success?

Are new partnerships or resources are required to achieve these suggested interventions?

Do the expected benefits (related to addressing the critical issue and achieving our vision) justify the level of investment likely to be required by this intervention?

Is it sustainable?

Finally, do our proposed interventions reinforce each other and create synergy?

The discussion is only to eliminate impractical ideas. There may still be more ideas for interventions than would be reasonable to include in an action plan, but that is fine. The meeting goal is simply to put together a short list of potential interventions.

HOMEWORK ASSIGNMENT:

Prepare for the next meeting when the working group will assess the feasibility of potential interventions. It may be necessary to gather additional information to help in the assessment of proposed interventions. Working Group members should contribute to this if at all possible.

STAFF:

Write up meeting – based upon the discussion. Get this out to working group members quickly. Also work with Steering Committee members gathering any additional information needed to help inform assessment of potential interventions. To prepare for helping the Steering Committee complete LogFrame matrices at the next meetings, the facilitator should think through the proposed interventions, look where the logic exists to support them on the goal tree, and think about what assumptions underlie that logic.

THIRD WORKING GROUP MEETING

Select 3-4 potential interventions (if the list is longer) and develop LogFrame matrices to test their feasibility

TOOLS: Weighted Voting (optional); LogFrame Matrix; LogFrame Assumptions Test

TASKS: If the list of potential interventions is more than four, in a brief facilitated discussion, decide upon the 3-4 potential interventions that appear most promising. If the group cannot reach consensus, use weighted voting.


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Begin developing the LogFrame matrices for the selected interventions, starting with the intervention that enjoys the greatest support from the working group. The first step is for the consultant to review the LogFrame matrix with the Steering Committee. Key points are:

The first purpose is to test the feasibility of proposed interventions.

Put the proposed intervention in the bottom square of column 1 and the critical issue stated as a goal in the top square, and then use the Goal Tree to define the intervention logic connecting them.

Use the Assumptions Test Tool to select important assumptions that underlie the intervention logic (Column 4).

If the assumptions are likely to be realised, the intervention appears to be feasible, and then you go on to complete the matrices as far as possible, filling in the measures and sources for columns 2 and 3.

HOMEWORK ASSIGNMENT: Help find any additional information needed to complete LogFrame matrices

STAFF: Write up meeting; Get any additional information needed to complete LogFrame matrices

FOURTH WORKING GROUP MEETING

Finish LogFrame Matrices and transfer the information to the Summary Action Plan format; Organise presentation to Steering Committee

TOOLS: LogFrame Matrix; Summary Action Plan

TASKS: Using information gathered since the last meeting, complete the LogFrame matrices and summary action plans for selected interventions. In a facilitated discussion, decide how the working group will present its action plan to the Steering Committee. Each working group should prepare a 15 – 20 minute presentation describing its critical issue, the proposed interventions – using the summary action plans - and the reasons for its selection of those interventions. Working group members should be prepared to answer questions and defend their proposals. The LogFrame matrix for each proposed intervention plus the problem and goal trees should be finalised so that they can be available for review by the full Steering Committee. The working group must decide:

Who will speak to the Steering Committee?

What are the important points to be included in the presentation?

Do they want to use video aids - overheads or PowerPoint?

HOMEWORK ASSIGNMENT: Prepare presentation for full Steering Committee

STAFF: Help working groups prepare presentations

FIFTH WORKING GROUP MEETING (OPTIONAL)

If the work cannot be completed in four meetings, a fifth is held.

SIXTH WORKING GROUP MEETING

n/a


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Suggested Agenda SC Meeting 6: Presentation of Action Plans Developed by WGs

NOTE: The agenda for this meeting is short, but if discussion is lively, it may require additional time. This is difficult to predict, and it is important that discussions are not cut short. Thus, participants should be invited to a three-hour meeting, which may be finished early.


Welcome: Purpose of the Meeting: Agenda Governor or Governor’s representative; Business Leader

10 minutes

Presentations from two working groups of Summary Action Plans -LogFrame Matrices and Problem and Goal trees

Working Groups (Each has 15-20 minutes for presentation followed by 10 -15 minutes for discussion)

1 hour

BREAK 30 minutes

Presentations from remaining working groups of Summary Action Plans LogFrame Matrices

Working Groups (Each has 15 - 20 minutes for presentation followed by 10 -15 minutes for discussion)

1 hour

Assign homework: think about how the proposed interventions relate to each other, areas of overlap, opportunities for synergy, and where proposed interventions reinforce or undermine each other.

10 minutes

STAFF ASSIGNMENTS:

write up a summary of the meeting – and append a copy of the LogFrame Matrix and Summary Action Plan for each intervention proposed by the working groups - and distribute to participants along with a reminder of the time and location of their next meeting, which should be in one or two weeks

compile a list of the programs and proposals with likely costs

Suggested Agenda SC Meeting 7: Produce Draft PDS




10 minutes

Develop PDS Draft Steering Committee in a facilitated discussion reviews the vision statement and the summary action plans to (1) begin identifying which proposals are most critical to achievement of the vision and (2) identify where the action plans reinforce each other; where they might undermine each other (3) finalise the vision statement

1.25 hour *Vision procedure Tool 10 *SWOT-Vision filter Tool 15

BREAK 30 minutes

Develop PDS Draft Steering Committee in a facilitated discussion prioritises the action plan proposals and decides which are to be incorporated in the PDS

1.25 hour *Circles of influence Tool 7 *Weighted voting procedure (if necessary) Tool 13

Assign Homework; Steering Committee members participate in community meetings to present the PDS; act as spokesmen: Working groups develop activity plans for selected interventions (optional)

10 minutes Activity plan Tool 19

* Tools included in the PDS Toolbox.


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STAFF ASSIGNMENTS:

Draft PDS document and distribute to Steering Committee members for review and comment

Support working groups in development of activity plans for selected interventions if the working group insists upon creating activity plans.

Revise draft as necessary and distribute to Steering Committee members

Set up opportunities for public review and comment, beginning with arrangements for Steering Committee meeting and presentation of strategic plan to the public

After period of public comment, summarise comments and identify issues that should be integrated into the draft PDS, suggested modifications, and other appropriate responses to public comment

Suggested Agenda SC Meeting 8: Finalise PDS after Period Of Public Comment


Welcome: Purpose of the Meeting: Agenda Governor or Governor’s representative; Business Leader, SC Chair

15 minutes

Present summary of public comment and any suggested changed in the draft PDS

Designated LG Staff 30 minutes

Finalise the PDS The Steering Committee, in a facilitated discussion, decides what modifications are required in the draft PDS

As needed

Homework assignment; work with the staff as needed to finalise document; prepare for submission to the City Council

10 minutes

STAFF ASSIGNMENTS:

Work with the Steering Committee to revise PDS as decided in the meeting; work with city officials to prepare final document for submission to the City Council

SC Meeting 9: Present PDS to Local Government(s) for Adoption

There is no suggested agenda for the final session of the Steering Committee. The local government body will determine where on its agenda the presentation of the PDS occurs. Ideally, there will be sufficient time for both presentation and discussion, and Steering Committee members will make the presentation and then be available to answer questions or respond to comments.

For members of the Steering Committee not actually involved in making the presentation, the final meeting is largely ceremonial. At the conclusion, the Steering Committee should be thanked for its hard work, and then it should celebrate all that it has accomplished


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ANNEX 3 – SUGGESTED AGENDA FOR MONITORING/UPDATING MEETINGS (MG)

The following suggested agendas and guidelines are intended to help clarify the monitoring process and to provide practical detail that will assist the TL. Please, do not feel that it is necessary to follow them exactly. As noted previously, the PDS monitoring and updating process is less tightly defined than the PDS preparation process. Therefore, we provide guidelines (instead of agendas) for the regular monitoring group meetings. Within these guidelines, a flexible and creative approach is required. The TL should be prepared to adjust the agendas and time frames to fit the situation. However, it is also important to always maintain the strategic approach: i.e. base decisions on information and remain focused on the vision.

Monitoring group members will accumulate a lot of paper. It is useful to give them a folder at the beginning of the year and be sure that all papers distributed have holes punched so that they can be put in the folder.

Initial MG meeting – suggested agenda A-2 MEETING

First regular MG meeting – suggested agenda A-3 GROUP MEETING

Regular MG meeting - guidelines A-4 MEETINGS

Suggested agendas for Level 3 MG meetings (Sessions 1 and 2) - suggested agenda

A-5 SESSIONS 1 AND 2

Suggested Agenda: Initial Monitoring Group Meeting

Time = 1.5 hours

Preparations:

Send the PDS to Monitoring Group members with the meeting invitation and agenda and have additional copies of the PDS available for those who forget to bring theirs

Have the PDS vision, Tool 2 (PDS Process Diagram), and Tool 3 (Community based Strategic Planning Process) in a visible place in the meeting room

Review the Participatory Workshop Checklist (Tool 1)


Welcome: Purpose of the Meeting Governor or other local government official

10 minutes

Introduce the TL and the MG* Self-introduction by members

20 minutes

PPT presentation about the monitoring process related to the local PDS

TL 20 minutes *PDS Process Diagram Tool 2 *Implementation Scan Chart

Questions and Answers MG and TL 10 minutes *Q&A procedure Tool 8

Clarify the expectations and responsibilities of the TL, MG, and others as relevant

TL describes agreement with local government and facilitates group discussion

15 minutes *CBSP process perspective graph Tool 4

Schedule next meeting – first quarterly meeting or preliminary meeting, if required.

TL facilitates group discussion

10 minutes

Assign homework: Distribute notebooks that contain a copy of the PPT presentation plus a copy of each action plan and each LogFrame matrix to be reviewed before the next meeting.

5 minutes *SAP Tool 19 *Log frame Planning Matrix – Tool 18.4

[*] The introduction is valuable because having to speak gets participants focused on the meeting. If everyone already knows everyone else, the team leader asks each to briefly answer a relevant question; for example, to describe their personal goals for participation on the Monitoring Group or their participation in PDS development.

STAFF TASKS:

Write up a meeting summary documenting distribution of responsibilities

Prepare an Implementation Scan for each recommended intervention


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Distribute copies of the meeting summary and scans- with holes punched so that these pages can be added to their notebooks - to monitoring group members

Make arrangements for the next meeting

Suggested Agenda: First Monitoring Group Meeting

Time = three to 3.5 hours

Meeting Preparations:

Have the PDS vision, Tool #3 (Community-based Strategic Planning Process), and Tool #6 (Circle of Influence) in a visible place

Have extra copies of meeting materials in case someone has lost or forgotten theirs

A review of the Participatory Workshop Checklist (tool #1 in the PDS Toolbox) can help in meeting planning.


Welcome participants Self-introduction 10 minutes

Review the summary of the previous meeting – is it accurate, and complete? Review the proposed agenda – modify if necessary and adopt it

Team leader facilitates group discussion

10 minutes

For each critical issue, present information on: what has been done to implement interventions and any outcome information that is available (This is not likely at the first meeting, but if there is any, it should be presented)

Team leader; Representatives of Lead Implementing Entities

One hour to 1.5 hours, including time for questions

*IMPLEMENTATION SCAN CHART (see above) *Logframe Planning Matrix (if outcome data is available) Tool #18.4

BREAK 20 minutes

Identify any substantive differences between the PDS recommendations and actual implementation

Decide if the monitoring group will work as a unit or divide into sub-committees, each focused on a critical issue or major intervention

Identify any additional information needed by the monitoring group or its subcommittee and how that information can be obtained.


One hour (estimated)

*IMPLEMENTATION SCAN CHART

Schedule the next meeting; assign any homework


10 minutes

Guidelines for Quarterly Monitoring Group Meetings

Time: The length of the meetings will depend upon the number of interventions that require in-depth attention. However, no meeting should go beyond two hours without allowing time for a break. Dividing into subcommittees is an efficient approach for addressing multiple topics. An alternative is breaking into small groups during meetings to deal with multiple topics. (See Small Group Work Tool #11 in Section 3 of the PDS Manual.)

Meeting Preparations:

Have the PDS vision, Tool #3 (Community-based Strategic Planning Process), and Tool #6 (Circle of Influence) in a visible place




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BEGIN EACH MEETING WITH THE FOLLOWING ACTIVITIES:

Welcome participants and ask them to “sign in” to document their presence 1.

Ask participants to review the written summary of the previous meeting to ensure that they consider it 2.accurate and complete. This summary documents the work of the monitoring group and will be the basis for its reports and recommendations.

Propose an agenda, ask participants to agree to it or modify it. Adopt it and follow it. 3.

INFORM THE MONITORING GROUP ABOUT WHAT HAS CHANGED SINCE THEIR LAST MEETING AND PROVIDE ENOUGH INFORMATION SO THAT THEY CAN REACT STRATEGICALLY.

Always ensure that the monitoring group has the information it needs as well as adequate time to consider and discuss that information before asking them to make a decision or recommendation. Level one monitoring uses the monitoring scan, and level two monitoring uses the LogFrame matrix, but the process itself is essentially the same for level one and level two monitoring. There are four steps.

Present information or have a representative of the lead implementing entity present information about 1.the following:

For level one, implementation progress that has occurred since the last meeting. If there is none, note that fact.

For level two any changes in the indicators defined as performance measures. If there are none, note that fact. 2. Allow time for questions and answers

Identify (a) any additional information needed so that the monitoring group or its subcommittee can 2.respond in a strategic manner to what it has learned and (b) how that information can be obtained.

Facilitate a discussion about what, if any, changes should be made to the summary action plan to ensure 3.that the intervention is realistic and can be implemented (level one) or will produce the expected results (level two). Or if more information is needed first, postpone this discussion until the information can be obtained and presented.

Agree upon a time for the next meeting.

AS SOON AS POSSIBLE AFTER A MEETING, WRITE A SUMMARY THAT DOCUMENTS THE TOPICS DISCUSSED, THE INFORMATION RECEIVED AND THE DECISIONS MADE AT EACH MEETING.

Suggested Agendas for Level Three Monitoring Annual Review

Preparations:

Have a poster with the PDS vision written on it in a highly visible place

Have a poster with the circle of influence on it in a highly visible place



SESSION 1 Information Presentation

Time: 2.25 hours


Welcome participants Governor or other Local Government Official

10 minutes

Review the proposed agenda – modify if necessary and adopt it


5 minutes

A PPT Summary of PDS implementation and outcomes based upon results of levels one and two monitoring as documented in meeting

Team leader; Representatives of Lead

1 hour total, allowing least 20 minutes for

*IMPLEMENTATION SCAN CHART *Logframe Planning


86

summaries, implementation scans and the LogFrame matrices; more detail for key projects may be appropriate. Also note any relevant organisational changes among implementing entities

Implementing Entities

questions and answers

Matrix (if impact data is available) Tool 18.4

BREAK - OPTIONAL

A PPT presentation updating the Economic Scan Team leader or representative of the entity that prepared the data

45 minutes total, allowing least 15 minutes for questions and answers

*Economic Scan Tool #6

Assign homework: Review the PDS and ask yourself: Does the vision still capture the goals and values

of the community? Have the SWOT factors changed? Are the critical strategic issues still the most

important? How well is implementation proceeding?

Be prepared to discuss these topics at the next session.

Team leader 10 minutes *The Vision Procedure Tool 10 *SWOT Analysis Tool #14 *Critical Strategic Issues Procedure Tool 17

SESSION 2: PDS Review

Schedule from 2 to over 3 hours – depending upon how significant likely changes are. Where changes are needed, this meeting identifies what needs updating and then defines the work program. If no changes are needed, this meeting can be very brief. If significant changes are needed, additional meetings may be required.


Welcome participants;

Governor or other Local Government Official

10 minutes

Review the proposed agenda – modify if necessary and adopt it


5 minutes

PDS Review: Have changes in the environment and/or impacts

of implementation affected the PDS SWOT? If so, can we update it with the information we have? Can we update it now or does it require more consideration?

Critical Issue Review: Are these issues still critical to achieving our vision? If not, can we update them with the information we have?


Up to an hour or more

You may want to refer to the tools used in PDS development: *SWOT Analysis Tool 14 *Critical Strategic Issues Procedure Tool 17

COFFEE 20 minutes

Intervention Review - for each of the interventions monitored during the past year, consider the following: Is implementation complete, ongoing, or unlikely? Do costs still justify likely – or documented –

benefits? Have there been any negative consequences? Are the right entities in charge of implementation? Are there interventions still to be implemented?


Up to an hour IMPLEMENTATION SCAN *Logframe Planning Matrix Tool 18.4

Define work program: Based upon the results of the previous discussions at this meeting, what if anything needs to be done to update the PDS?

If necessary: Define areas for further research and analysis. Schedule next meeting


30 minutes

Local Area Development Programme in Iraq · Local Area Development Programme in Iraq Financed by...

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