GUIDELINES FOR DISTRICT PLANNING FOR DEVELOPMENT and POVERTY REDUCTION

Transcription

1 Republic of Zambia Ministry of Finance and National Planning GUIDELINES FOR DISTRICT PLANNING FOR DEVELOPMENT and POVERTY REDUCTION A MANUAL FOR USE BY DISTRICT PLANNERS Zambia Social Investment Fund Ministry of Finance and National Planning Kambendekela House Dedan Kimathi Road P.O. Box 31559, Lusaka. (Revised Version) November 2004

2 About this Manual This manual has been primarily developed for use by District staff for planning for development and poverty reduction. The manual is divided into various sections according to the district planning process, that is, from the District Situation Analysis, Poverty Assessment, District Development and Poverty Reduction Strategy, Annual Investment Plan, District Information System. Guidance is provided to the user on specific steps and activities that have to be undertaken in the District Planning Process as well as on the expected outputs at the various stages of the district planning process. Additional information that is required by districts to undertake a comprehensive district planning process has been provided as annexes to this manual. These include the following: Service provision standards Refined PRSP indicators system Guidelines for the establishment and management of Area Development Committees Facilitation modules for the establishment and management of ADCs. It is also important to note that this manual is not a stand alone manual and has to be used in conjunction with various other manuals that provide tools and information on specific stages and outputs of the district planning process. In particular, the manuals to be used in combination with this manual are: Facilitating Social Development A handbook for use by facilitators District Implementation Manual Participatory Monitoring and Evaluation A Trainers Guide on Participatory Monitoring and Evaluation. Finally, the manual adopts an interdisciplinary approach to district planning for development and poverty reduction. Consequently, effective district coordination is imperative for the realization of the planning processes and outputs described in this manual.

3 Executive Summary The Government of the Republic of Zambia aims to provide local government with the means to improve its capacity for strategic development planning for poverty reduction. The government recognizes district planning and co-ordination as critical to any poverty reduction programme because planning enhances the capacity of districts to allocate scarce development resources effectively and responsively to those areas and those people most in need. The government and its partners have, therefore, pledged to support a process of district planning which improves the capacity of district teams to analyze, address and monitor poverty in their districts. The government will facilitate a process, which will assist all districts to achieve an increasingly comprehensive district planning process that corresponds to the districts capacity. The type of plan expected is different for every level of capacity, starting with a very simple District Situation Analysis (DSA), to, when capacity is built, a District Information System (DIS), which will monitor and analyze poverty in the district. The DIS will be based on a District Situation Analysis, a comprehensive District Development and Poverty Reduction Plan, and an Annual Development Plan. In addition, the DIS will also depend on the Sub District Structures for the collection of data. The District Information System will further form a major input to the monitoring of poverty in the country, informing the Poverty Reduction Strategy Process. The development of this decentralized district planning system for development and poverty reduction was initiated late in It started with a thorough review of existing district planning capacities and processes, visits to various districts throughout Zambia and meetings with other institutions and partners involved with district planning. A five-day consultative workshop was held in March 2002 and this process represented a major stage of the development process of a national and district planning system for Zambia. Representatives of the main stakeholder institutions participated in the workshop and these included Ministry of Finance and National Planning, Ministry of Local Government and Housing, the GTZ supported District Development Programme (GTZ/ddp), United Nations Development Programme supported District Development Programme (DDP) in Eastern Province, Netherlands Development Organization (SNV), Zambia Social Investment Fund (ZAMSIF), provincial, municipal and district council planning units and the Copperbelt University, Department of Urban and Regional Planning. The system, processes, formats were further reviewed and then piloted in Mkushi district in May Since then, the district planning process elaborated in this manual in has been in use throughout Zambia and a number of lessons have been learnt, some positive while others have been negative. This prompted the need to revise the process and manual based on the experiences gained overtime and the review exercise was therefore undertaken in June 2004 with the participation, once again, of the institutions mentioned above. The process described above established a consensus on common planning processes and formats. It was agreed that this decentralized district planning process would facilitate targeting, identification, appraisal and approval of programmes and projects that would reduce poverty. The district planning system would also improve the capacity of districts to identify indicators of poverty thereby facilitating the planning and monitoring of poverty reduction programmes and projects. The poverty focus of this planning system differentiates it from others. This multi-sector holistic poverty reduction approach needs strengthening and the importance of interdisciplinary planning is being emphasized. ii

4 Strategic planning for poverty reduction emphasizes a decentralized and participatory approach; interdependency of actions rather than treating each action as independent; long-term outcomes rather than short-term outputs; and mutual collaboration between all players in the district. The linkages between the district and communities, through Area Development Committees (ADCs) and District Development Coordinating Committees (DDCCs) and that of the provincial and national levels need to be strengthened and the district planning process should provide input to support and inform the Poverty Reduction Strategy Process (PRSP). The district planning process elaborated in this manual, further endeavours to harmonize the indicators for the District Development and Poverty Reduction Strategy (DDPRS) at district level and those of PRSP at national level. The importance of the role of local government and the district sector agencies in data collection and reporting on the achievements and impacts as part of the monitoring of the implementation of the PRSP cannot be over emphasized. The collection of data and formulation of District Development and Poverty Reduction Strategies will also provide a basis for setting realistic targets for poverty reduction which should be congruent with the aspirations of the PRSP and at a higher level, the Millennium Development Goals (MGS). Inadequate access to and management of information, poor co-ordination between sectors, unclear roles among and within sector agencies, lack of legal backing for district planning and unclear policy are among some of the issues identified as constraints to district planning. iii

5 LIST OF CONTENTS SECTION 1 INTRODUCTION Introduction to these Guidelines Process of Development of the Guidelines Literature Review and Discussions with Organizations Involved National District Planning Consultative Workshop Review Meeting Mkushi District Pilot Workshop Review of District Planning Process and Manual District Planning Capacity Building Programme Workshops for District Planners District Planning in the Districts Development of the District Information System Development of Processes for Information Flow, Resource Allocation and Policy Change.4 SECTION 2: DISTRICT PLANNING for DEVELOPMENT and POVERTY REDUCTION Introduction Objectives of District Planning Defining the Process of District Planning Poverty Assessment and District Development and Poverty Reduction Strategy Annual Development Plan Poverty Monitoring and Analysis District Information System (DIS) District Planning Stages and Processes SECTION 3: DISTRICT SITUATION ANALYSIS OUTLINE Introduction general district characteristics Location (map of Zambia or Province showing location of district) General Physical Characteristics of District General District Administration Political System, Governance and Traditional Leadership Demography Land and Land Use Economic Activities Agriculture Tourism, Environment and Natural resources Mining Trade and Industry Employment Socio-Economic Services and Infrastructure Water and Sanitation Roads and Transport Power and Communication Housing Social Service Delivery Health Education Community Development and Social Welfare Sub Sector Cross Cutting Issues : HIV/AIDS Security Local Courts Other Development Partners and their Programmes Problems and Solutions Associated with Development of the District Situation Analysis Summary of Issues Identified in the DSA i

6 SECTION 4: DISTRICT POVERTY ASSESSMENT Introduction District Poverty Assessment and Risk Analysis SECTION 5: DISTRICT DEVELOPMENT AND POVERTY REDUCTION STRATEGY Introduction Objectives of the District Development and Poverty Reduction Strategy (DDPRS) Steps in Formulating DDPRS Strategic Planning for Poverty Reduction Sector Planning for Poverty Reduction How to Improve Strategies for Poverty Reduction: Characteristics of District Development and Poverty Reduction Strategy. 75 SECTION 6: ANNUAL INVESTMENT PLAN Introduction Identification of Funding Agencies and Strategies Types of Finance Discretionary Finance Non Discretionary Finance Examples of Some Discretionary Funding Agencies and Strategies An Example of Setting Up Sector Priorities Calculating the Available Resources Proposed Format for Annual Investment Plan SECTION 7: MONITORING AND EVALUATION OF THE DISTRICT DEVELOPMENT POVERTY REDUCTION STRATEGY (DDPRS) Introduction Examples of some Indicators Example of Indicators from DDPRS Exercise Suggested Indicators to Monitor Poverty Reduction in the District [to be combined with the other list and PRSP indicators] Process of Monitoring District Development and Poverty Reduction Evaluation Introduction Objective of Evaluation Process of Participatory Evaluation SECTION 8: DISTRICT INFORMATION SYSTEM Functions of the District Information System Activities Required to Achieve District Information Systems Annex 1: Participants Involved with Development of the District Planning Manual...92 Annex III Zamsif levels of planning and community based development...90 List of Figures: Figure 1.2 Flow Chart showing the Process of Preparation of District and National Planning Systems for Zambia..5 Figure 1.4 Figure Figure Figure Proposed Linkages Between District and National Planning, Information and Policy Change..6 Development, Planning and Poverty Reduction...8 Tools and Processes of Community Participation in Planning. 10 Process and Methods of District Planning for Development and Poverty Reduction ii

7 Figure 5.1 Figure 5.2 Figure 5.3 Figure Example of Changing Negative situation to Positive Situation 58 Strategic Planning for Poverty Reduction 59 Strategic Planning Framework..60 Three Pillars of Poverty Reduction...66 List of Tables: Table 1.5 Process of District Planning at District Level..15 Table 5.7 Table 5.7 Table 6.1 Table Table Table Table Table Example of Social Risk Management Framework.64 Example of Strategies to Improve Social Services Indicators..65 Examples of Indicators from DDPRS Exercise..69 Summary of Funding Agencies and Strategies..74 Examples of Discretionary Funding Agencies 75 Non-Discretionary Sources of Funding 77 Actual Budget based AvailableResources Versus Allocation..77 Proposed Format for Annual Plan 79 iii

8 Acknowledgements The Ministry of Finance and National Planning of the Government of the Republic of Zambia would like to acknowledge the following institutions and thank their representatives who actively participated in the development of the district planning process discussed in these guidelines: Ministry of Local Government and Housing; the Municipal and District Councils of Chibombo, Mkushi, Choma, Mazabuka, Kaloma, Lundazi, Chinsali, Mansa, Chongwe, Mumbwa, Solwezi, Mwinilunga, Lukulu, Sesheke, Nakonde; the Copperbelt University, Department of Urban and Regional Planning; GTZ/ddp; UNCDF, DDP Eastern Province; SNV; MPU and ZAMSIF. The attendance list of the Consultative, Review and Pilot Workshops are found in Annex II of these guidelines. In addition acknowledgements go to the following persons who participated in the review of this manual, namely, Ms Chitembo Kawimbe, Senior Planner at the Department of Physical Housing, Ndola; Basil Mweempwa, Advisor at GTZ/Support to Decentralized Rural Development, Southern Province; Noel Muchimba, District Planning Officer, Mkushi District Council; Mrs. Linda Siwale, Senior Planner at Department Physical Planning and Housing, Livingstone; Adrian Katema, Director of Planning at Mansa Municipal Council; Ronald Daka, Director of Planning at Chipata Municipal Council; Brian Nakaanda, Regional Facilitator, ZAMSIF, Southern Province; Richard Chilikwela and Stan Chisanga, Programme Officers for Capacity Building, Zambia Social Investment Fund. iv

9 List of Acronyms and Abbreviations ADC ADP / AIP AIDS ASIP AWPB BESSIP CBO CBOH CHW CMAZ CMMU CIF CSO CTI DA DATF DIF DDCC DDPRS DIS DSA D-WASHE DAC DH DPO DPU DHMT DNTA ESP EEPA EINMS FHANIS FINNIDA FFW GRZ GTZ HBC HIV HP IDA IEC IPF IMT LA LCMS LCMU MAC MCDSS MCT MENR MLGH MoE Area Development Committee Annual Development Plan or Annual Investment Plan Acquired Immune Deficiency Syndrome Agricultural Sector Investment Programme Annual Work Plan and Budget Basic Education Sub Sector Investment Programme Community Based Organizations Central Board of Health Community Health Worker Churches Medical Association of Zambia Community Management and Monitoring Unit Community Investment Fund Central Statistical Office Community Transport Infrastructure District Administrator District HIV/AIDS Task Forces District Investment Fund District Development Coordinating Committee District Development Poverty Reduction Strategy District Information System District Situation Analysis District Water and Sanitation, Health and Education District Agriculture Coordinating Committee District Hospital District Planning Officer District Planning Unit District Health Management Team District Training Needs Assessment Environmental Support Programme Environmental Education and Public Awareness Environmental Information Network and Monitoring System Food Security, Health and Nutrition Information System Finnish International Development Agency Food for Work Government of the Republic of Zambia German Development Co-operation Home Based Care Human Immune Virus Health Post International Development Agency Information Education and Communications Indicative Planning Figure Intermediate Means of Transport Local Authorities Living Conditions Monitoring Survey Living Conditions Monitoring Unit Ministry of Agriculture and Co-operatives Ministry of Community Development and Social Services Mother to Child Transmission Ministry of Environment and Natural Resources Ministry of Local Government and Housing Ministry of Education v

10 M&E MOH MFNP MPU MU MWS MEWD NAC NBA NGO NGOCC NHSP NORAD O&M OVC PAT PAM PAG PAU PEF PDCC PLA PMA PMR PRA PSC PTA PUSH PLWA PRSP RAS RHC RF ROADSIP SC SEA SIDA SNV SRM STD STI SOPU TB TBA TDAU UHC UNCDF UNICEF USAID VCT VIP VWASHE WSRSU WFC ZAMSIF Monitoring and Evaluation Ministry of Health Ministry of Finance and National Planning Micro-Projects Unit Management Unit Ministry of Works and Supply Ministry of Energy and Water Development National HIV/AIDS, STD and TB Council Needs Based Assessment Non-Governmental Organization Non-Governmental Organization Coordinating Committee National Health Strategic Plan Nowergian Agency for Development Operations and Maintenance Orphans and Vulnerable Children Provincial Assessment Team Programme Against Malnutrition Participatory Assessment Group Programme Administration Unit Pilot Environmental Fund Provincial Development Coordinating Committee Participatory Learning and Action Poverty Monitoring and Analysis Project Management Report Participatory Rural Appraisal Planning Sub Committee Parents Teachers Association Programme for Urban self-help People Living HIV/AIDS Poverty Reduction Strategy Paper Remote Access administration Software Rural Health Centre Regional Facilitator Road Sector Investment Programme Steering Committee Standard Enumeration Area Swedish International Development Agency Netherlands Development Organization Social Risk Management Sexually Transmitted Diseases Sexually Transmitted Infections Strategic and Operational Planning Unit Tuberculosis Traditional Birth Attendant Technology Development and Advisory Unit Urban Health Center United Nations Capital Development Fund United Nations Children s Fund United States Agency for International Development Voluntary Counselling and Testing Ventilated Pit Latrines Village Water and Sanitation Health Education Water Sector Reform Support Unit Women for Change Zambia Social Investment Fund vi

11 SECTION 1 INTRODUCTION 1.1 Introduction to these Guidelines The Government of the Republic of Zambia aims to provide local governments with the means to improve the capacity for strategic development planning for poverty reduction. By doing so, the availability and use of quality basic social services by beneficiary communities and specific vulnerable groups will be improved, local governance will be strengthened and the capacity to provide timely information on poverty and social conditions and facilitate its use in policy making increased. The government recognises decentralised district planning and co-ordination as critical to any poverty reduction programme because it should enhance the capacity of districts to allocate scarce development resources more effectively and responsively to those areas and those people most in need. The government and its partners will support a process of district planning which improves the capacity of district teams to analyze, address and monitor poverty in their districts. The government is aware that several district support programmes have developed standard processes, content and formats for district planning systems over the years. These have been assessed and where appropriate used. Several different stakeholders, including district and provincial planners, policy makers and cooperating partners participated in the development of these guidelines. There are several different possible ways to plan for development and poverty reduction. Some districts already have developed Strategic District Development plans. Processes are also known by different titles. These guidelines are designed to guide the process of objective analysis of local conditions for planning development and poverty reduction. Not all the information is required in all districts to achieve an objective analysis. It is more important to use the information collected rather than collect it for its own sake. The processes of district planning, which are presented in these guidelines, are designed to encourage participation at all levels. Planning is to be coordinated at the district level by the District Planning Officer. Planning workshops and processes will be supported by government 1 so that participation by district council, sector representatives, NGOs, traditional leaders, sub district representation, communities, private sector, and faith based organizations is ensured. HIV/AIDS, gender and the environment will be mainstreamed into the planning process as critical issues for poverty reduction. In most districts, the capacity for participatory and district planning is lacking - especially data collection and analysis and policy development. Today, no districts assess and analyze poverty although significant amount of data are collected and maintained in the district by all sectors. The government aims to assist the districts to achieve an increasingly comprehensive district planning process as districts capacity improves. The type of plan expected is therefore different for every level of capacity, starting with a very simple District Situation Analysis (DSA), which would summaries and analyze the existing situation in the district. It is expected that when capacity is built, districts will 1 Through the District Investment Fund (DIF) of ZAMSIF and other co-operating partners such as SNV, GTZ/ddp, MPU, Ireland AID, UNCDF and other district development projects. 1

12 develop, update and use a District Information System (DIS), which will monitor and analyze poverty in the district. The District Information System will be based on the District Situation Analysis, a comprehensive District Development and Poverty Reduction Plan, and an Annual Development Plan. The District Information System will thus form a major input to the monitoring of poverty in the country. It is anticipated that the process will take time. It is also expected that planning capacity in some districts will be strengthened by ongoing interventions, such as ZAMSIF, MPU, UNCDF, GTZ and SNV, Ireland AID and others. 1.2 Process of Development of the Guidelines Literature Review and Discussions with Organizations Involved A thorough review of planning processes, manuals and various workshop reports was undertaken. (Refer to Annex III Bibliography). Meetings and discussions were held with the following institutions and organizations: SNV - discussions were held in Lusaka; UNCDF - visits were made to Eastern Province DDP and to Lundazi, Petauke and Chipata districts in Eastern Province; GTZ - visits to Choma, Mazabuka, Monze and Kalomo districts. ZAMSIF staff attended GTZ National Stakeholders Forum (24/01/02); Visits were made to several districts, which have not had external support - Chibombo, Mpika and Chongwe districts. Based on the experiences and information, draft formats of Situation Analysis, District Poverty Assessment and District Development and Poverty Reduction Strategy were developed for discussion National District Planning Consultative Workshop The National District Planning Consultative Workshop was held at Ibis Gardens, Chibombo District, between 18 th 22 nd March The workshop developed formats and processes for district planning. The workshop was attended by 18 leading district planners, selected provincial planners with district planning backgrounds, GTZ planning advisors, SNV programme officers, Copperbelt University and ZAMSIF staff. Participants from the Ministries of Finance and National Planning and Local Government and Housing successfully represented both the national perspective and that of policy makers. The participants of the workshop developed the materials, processes and formats to be used in district planning throughout Zambia. The participants of the Consultative Workshop were also trained to backstop and support the district planners to lead and implement the process of district planning in their districts Review Meeting The District Planning Consultative Workshop Report was reviewed by a core team of facilitators and the changes and comments were incorporated both into the report as well as these guidelines Mkushi District Pilot Workshop The materials, process and facilitation notes were then tested at the district level in Mkushi district so that the perspectives of district participants were incorporated. The processes undertaken to develop these guidelines are illustrated in Figure

13 1.2.5 Review of District Planning Process and Manual The District Planning for Development and Poverty Reduction approach has been in use from June 2002 to date in the majority of districts in Zambia and has resulted in the production of District Situation Analysis (DSA), Poverty Assessments (PA), District Development and Poverty Reduction Strategies (DDPRS) and Annual Investment Plans (AIP) for the purpose of directing investment and development in the districts with varying degrees of success. Some districts have managed to produce and use the various outputs of the planning process in relatively short time while others have spent more time. The quality of the planning documents or tools i.e. DSA, PAs and DDPRS have also varied from district to district. During the time that the District Planning for Development and Poverty Reduction manual has been in use, a number concerns and issues have been raised which have prompted the need for a review of the process and manual. Specific issues and concerns that have been raised by users include: Lack of specific guidelines when conducting Poverty Assessment: i. Criteria for zoning and number of zones in which poverty assessments are to be done was not provided. ii. Steps on how to conduct the poverty assessment in the field iii. (qualitative aspects) not elaborated Lack of, or difficulties in accessing quantitative data on poverty assessment Lack of provision in manual to compare existing standard versus ideal standard to allow development of interventions e.g. actual number of persons served by one borehole versus ideal number per borehole Difference in formats of indicator system between district planning process/manual and PRSP (lack of harmony) Review period for DSA not elaborated; how review should be done not explained Specific outputs of the various planning stages not categorically stated i.e. the guidelines on sequence of the planning process outputs were not clear. District Planning Process not adequately facilitated at district level i.e. district staff that were trained in provincial workshops did not adequately facilitate process at district level (weakness in process of selling process and manual) This issue has more to do with dissemination than the planning process itself or manual. 1.3 District Planning Capacity Building Programme Workshops for District Planners The government supports the capacity building programme for district planners throughout the country. The content and format of the district planning workshops has been following the processes developed by District Planning Consultative workshop. The workshops were held in each Province between May and June District Planning in the Districts The District Planners, with support from their trainers, then initiated, facilitated and began implementing the process of district planning in June 2002, according to the agreed process and formats. The District Planners have had access to various district funds (e.g. ZAMSIF, GTZ/ddp, DCI, SNV and others) for this purpose Development of the District Information System The District Information System (DIS) will be used to monitor and analyze poverty and effectiveness of development programmes and projects at the district and 3

14 community level. Capacity will be strengthened at the district level to achieve this function. The DIS will also form the basis of a bottom up poverty monitoring system which will be used by the Strategic Operations and Planning Unit (SOPU) in the MFNP to monitor and analyze poverty in the country Development of Processes for Information Flow, Resource Allocation and Policy Change The Ministry of Finance and National Planning is expected to use the district information and planning system to monitor poverty, recommend policy change and resource allocation. The mechanisms of information flow between the districts and the national level have been developed and agreed. Figure 1.4 shows how these mechanisms operate. Table 1.4 summarizes some of issues related to the linkages at different levels of government. These were identified during the District Planning Consultative Workshop, in March Nine 9 pilot districts have been selected by SOPU and the system developed, installed and capacity built. The lessons learnt from the pilot will assist scaling up to all districts in Zambia. The districts are: Mwinilunga, Senanga, Mufulira, Kalomo, Petauke, Luwingu, Samfwa, Chongwe, and Mkushi. 4

15 Figure 1.2 Flow Chart showing the Process of Preparation of District and National Planning Systems for Zambia 5

16 Figure 1.4 Linkages Between District and National Planning, Information and Policy Change National Level PMA/SOPU Steering Committee Ministry of Finance and National Planning National Poverty Reportconsolidation of Provincial reports Policy development and recommendation Poverty Monitoring and Analysis Information Policy Change Recommendation Policy Cabinet Change Office Cabinet Office Ministries Provincial Level PDDC Provincial Information System consolidation of DIS. Allocation of resources District Assessments by Provincial Assessment team Technical Advice to Districts District Council District Level DDCC District Strategic Planning for Poverty Reduction District Information System based on district planning process. Policy change Information Policy change recommendations CBOs ADC NGOs Line Departments 6

17 SECTION 2: DISTRICT PLANNING for DEVELOPMENT and POVERTY REDUCTION 2.1 Introduction District planning should be a decentralised and democratic planning system, which responds to people s expressed needs and aspirations. A democratic decentralised planning system aims to allow decisions to be made by those whom the decisions affect. People know their problems, constraints and opportunities. If people are involved in decision making, the people feel a sense of ownership and responsibility, the development activities are more sustainable, and relationships are developed between development agents and the local people they are expected to serve. 2.2 Objectives of District Planning The objectives of district planning are: To put in place a co-ordinated policy framework for the district, which can direct investment in development activities that result in poverty reduction and assist the population to better manage risk; To ensure the most efficient use of scarce resources available to the district which are directed to the identified priorities; To attract investment to the district including the mobilisation of local resources; To improve the participatory process in planning in order to improve the co-ordination amongst all the stakeholders; To ensure local accountability for development decisions; To provide a framework for monitoring and evaluation. The District Planning System presented in these guidelines focuses on poverty reduction for development. Development is defined as a process of qualitative change in individuals, groups of individuals, community and the nation. The process results in improvement in quality of life, which has its own indicators. Planning is a process of facilitation, which assists a group of individuals, or community to understand the situation in which they are so that they are able to change it. Planning uses experience of population to identify appropriate solutions to real problems. The outcome of planning should result in empowerment of the poor, improvement in standard of living for the poor and poverty reduction. The relationship between development, planning and poverty reduction is illustrated in Figure Defining the Process of District Planning The process of district planning must allow for plans to evolve, to change, and to iterate - plans are not static, they are dynamic. As situations change, so do the plans. Planning is a learning process. The process of district planning must also allow for participation of all stakeholders, especially at the community level. The tools used and suggested by these guidelines can also be used at the community level, providing the district planning process with information related to poverty from the communities. A suggested model is illustrated in Figure

18 Figure Development, Planning and Poverty Reduction DEVELOPMENT I S N O T PROJECTS I S N O T IS REALISED ONLY WHEN the POPULATION IS FULLY LIBERATED FROM THE CLAWS OF POVERTY PLANNING I S Development is a process of qualitative change in individuals, groups of individuals, community and the nation. The process results in IMPROVEMENT in QUALITY of LIFE, which has its own indicators. I S A wish list which does not take into account the priorities of the population Empowerment Improve status DEVELOPMENT Planning is the process of facilitation, which assists a group of individuals, or community understand the situation in which they are so that they are able to change it. Planning uses experience of population to identify appropriate solutions to real problems 8

19 In order to facilitate the dynamic and participatory nature of district planning, and to allow for differences in district capacities, districts may follow the stages of planning that are suggested below: District Situation Analysis (DSA) The District Situation Analysis is a process described in a document that gives information about the district, describes sectors, and analyses the information. It compiles information on district status, its assets, opportunities, constraints and aspirations. The DSA should also include an analysis of constraints and opportunities facing each sector using information derived from the data collected by the various sectors and organizations operating in the district. The DSA describes the district situation based on empirical data. It recognizes the communities affected by a particular problem by location, population, sex, age etc. The district will conduct a SWOT analysis to establish the strengths, weaknesses, opportunities and threats. A problem analysis should also be conducted to understand the causes and effects of particular problems. The process of developing the DSA involves all departments or sector agencies, NGOs and other organizations operating in the district. Formats have been developed for each department and sector. The DPO with the help of the PSC must introduce these to the DDCC members and distribute for members to complete within a given time frame. Thereafter each department or sector in workshop situation will submit these. The PSC will consolidate these and report these and report to the next DDCC meeting. The PSC will develop the DSA highlighting the main priority problems using a multisectoral approach. The DSA must be approved by the Council. 9

20 Figure Tools and Processes of Community Participation in Planning POLICY TECHNICAL PLANNING FULL DISTRICT COUNCIL Sub committees of Council DDCC Planning Sub i District Level District Information System Annual Development Plan District Development Poverty Reduction Strategy Risk Analysis and Poverty Assessment District Situation Analysis ADC Community Based Organizations Area Development Committees Sub-district Level Situation Analysis mapping Poverty Assessment and Risk Analysis Participatory Strategic Planning Participatory Monitoring and Evaluation Information Policy 10

21 2.3.2 Poverty Assessment and District Development and Poverty Reduction Strategy. The District Situation Analysis is combined with a Poverty Assessment to develop a District Development and Poverty Reduction Strategy. The Poverty Assessment will identify target groups, priority risks and analyze poverty reduction in terms of the Social Risk Management Framework. Participatory exercises at district and community levels may also be facilitated to give localized definitions of poverty and poverty reduction strategies. The District Development and Poverty Reduction Strategy will use the Poverty Assessment and will provide strategies to address the priorities identified in the DSA and Poverty Assessment. The results of the poverty are based on the community s perception of poverty (qualitative), its causes and manifestations will then be used to develop strategies to address problems identified in the DSA. The process of Poverty Assessment will include identification representative communities (samples), prioritizing social risks and analyzing poverty reduction in terms of the Social Risk Management Framework. Participatory exercises or tools will be used at community level to give localized definitions of poverty and poverty reduction strategies. The District Development and Poverty Strategy must be recommended to, and approved by the Council Annual Development Plan The Annual Development Plan or Annual Investment Plan is based on District Development and Poverty Reduction Strategy priority activities. Depending on available funds and other resources from various sources, the district will decide on which priority activities (projects) to fund during a particular year. The District Planning Officer must present to the DDCC a comprehensive breakdown of funds available to the district in a particular year under the categories of discretionary and non-discretionary funds. Priority activities will then be allocated to various funds taking into account the funding criteria attached to these funds. The development of the Annual Development Plan must follow Governments budgeting calendar. The ADP should further take into account proposed and approved / ongoing programmes and projects by sector/ funding source/ cost / location. The Council must approve the Annual Development Plan. Targets and indicators must be set and a monitoring system for the ADP developed and agreed by the DDCC. The monitoring of specific community based activities must involve the community using the Participatory Monitoring and Evaluation approach. The PSC will coordinate the monitoring activities in the district Poverty Monitoring and Analysis District Information System (DIS) Key sector and poverty indicators identified during the strategic planning process are collected, monitored and analyzed at district level. A District Information System (DIS) should be put in place which monitors these indicators and analyzes poverty. The DIS will also include a project monitoring information system. 3 The suggested flow of the process of District Planning (Process and Methods of District Planning for Development and Poverty Reduction) is illustrated in Figure The DIS is fully developed and implemented by districts in Level 5. Annex IV 11

22 Figure Process and Methods of District Plannning for Development and Poverty Reduction 1 Situation Analysis Information -population, topography, sector information, economic activities, social service delivery. Identification of Priority Constraints and Opportunities by Sector Method 2 Social Risk Management and Poverty Reduction Framework Method Presentation Poverty Assessment What is poverty? Who are poor? Why? Where? Risk Analysis What are the main risks? What makes poor people poorer, what makes non poor people poor? 3 8 Poverty Monitoring and Analysis District Information System District Information system collects agreed critical sector indicators, analyses these and reports to PDCC and NDCC 7 Annual Investment Development Plan Take strategies from 6, make action plan for 12 months. Identify indicators. i 6 Implementation of DDPRS Departmental/Sector Planning and Funding Strategies Sectors, players prioritize sector plans to address strategies identified in DDPRS. For each strategy, sectors identify responsibilities and indicators, resources and funding strategies Risk Management And Poverty Reduction Framework Identify strategies which will assist communities, households and individuals to prevent, mitigate or cope with identified risks. Fit the strategies into matrix for the district. 4 Multi Sector Strategic Planning for Poverty Reduction - District Development Poverty Reduction Strategy Identify cause and effect of risks. Develop strategies for poverty reduction and identify critical indicators. Methods Cause and Effect Analysis Negative to positive, identification of courses of action strategies.

23 2.4 District Planning Stages and Processes Step 1 A District Development Coordinating Committee (DDCC) meeting is held to discuss need for planning, agree the processes of planning, roles and responsibilities, deadlines. Step 2 District Situation Analysis is developed. Sectors or DDCC sub committees facilitate brain-storming sessions with main stakeholders in the district to develop the sector situation analysis. A sector SWOT analysis is also facilitated to identify constraints and opportunities of the sector. Critical sector indicators, which are easily available at the district level, are identified. Sectors or sub committees present outputs of session to District Planning Officer. PSC led by DPO collects information from all sectors, NGOs, councillors, faith based organizations etc. The District Planning Officer co-ordinates and the drafting of the District Situation Analysis. Step 3 DPO presents DSA to full DDCC for technical approval. DDCC presents District Situation Analysis to District Council for approval. The DSA is reviewed by DDCC members and District Council on an annual basis. Step 4 Step 5 Step 6 Step 7 Step 8 Step 9 Step 10 Step 11 Step 12 Poverty Assessment, Risk Analysis and District Development and Poverty Reduction Strategy (DDPRS). A District Planning Workshop is coordinated and facilitated by DPO and District Planning sub committee for all DDCC members to undertake the Poverty Assessment and Risk Analysis and to develop District Development Poverty Reduction Strategy. District Planning Office edits the workshop output and drafts the DDPRS. The DDPRS is reviewed by DDCC technical sub committees, sectors. DDPRS is presented to DDCC for review and consensus building. DDCC presents the DDPRS to District Council for scrutiny and approval. Develop Annual Development Plan from DDPRS using DDCC. DDCC recommends ADP to District Council for approval. Annual reviews of DDPRS revise objectives, strategies, activities and priorities, redefine new targets and formulate new strategies based on experience. Revise Annual Development Plan. Monitoring and Evaluation PSC to monitor progress of multi sector strategies against objectives and targets. Develop District Information System on demand led basis. DPO with assistance from PSC to maintain DIS. 13

24 Step 13 DPO presents Quarterly Reports to DDCC. District presents quarterly and annual reports to PDCC. Table 1.5 summarizes the above steps to be followed in process of district planning. The outputs at each level are specified. 14

25 Table 1.5 PROCESS FOR DISTRICT PLANNING at the District Level Activity Output Actor Forum Seek mandate to commence process of district planning DDCC resolution Council resolution DDCC CBO Sub DDCC ADC Sub district teams Data collection Planning data and information DDCC CBO Sub DDCC ADC Preparation of DSA and present to DDCC and Full Council Preparation of Poverty Reduction Strategy Preparation of Strategic Plan and Presentation to Council Approved DSA District Development Poverty Reduction Strategy (DDPRS) Approved district strategic plan Sub district teams DDCC Council DDCC Full Council DDCC Full Council DDCC Council meeting Meetings with ADC, sub district Stakeholder workshops DDCC meetings Full Council meetings Stakeholder workshops DDCC meetings Full Council Stakeholder workshops DDCC meetings Full Council DDCC meetings Council meetings Preparation of Annual Development Plan Approved Annual Plan DDCC Full Council DDCC meetings Council meetings Establishment of Information system and data base Working district data bank DPU DDCC 15

26 SECTION 3: DISTRICT SITUATION ANALYSIS OUTLINE Definition of District Situation Analysis A District Situation Analysis is a simple activity or process that compiles and analyzes reports on the district status. It is a stocking activity, which discusses the assets, opportunities, constraints and aspirations of the district. It describes the status of all the sectors, as well as the demographic, topographic features of the district. The purpose of a DSA is: To analyze strengths and weaknesses in the district; To assist in the strategic planning process; To identify key development issues and stakeholders and partners; To give a basis for analysis and a baseline of a current situation. To analyze and identify priority problems and formulate possible solutions 3.1 Introduction general district characteristics The introductory part of the DSA can possibly contain the following information: Location (map of Zambia or Province showing location of district) General Physical Characteristics of District Climate simple description and any outstanding features; Topography brief description and noting outstanding features; Vegetation forestry, deserts, flood plains, valley, plateau types; Hydrology rivers, lakes, streams General District Administration Centre and sub centres District Council Sector Ministries present sector staffing levels Comment on any unusual features (e.g. sector ministries have not moved to new district) Political System, Governance and Traditional Leadership Numbers of constituencies, wards. (District map) Traditional Institutions and ethnic groups chiefdoms, tribes Demography Consider the following aspects: Population distribution District map showing settlement patterns densities, note rural urban features Population by age, sex Crude birthrate Population growth rate Life expectancy Dependency ratios Migration (in & out) 16

27 Population density Fertility rates Districts should obtain recent CSO census data. Show a population pyramid or simple table and note any outstanding features (e.g. numbers of young people under 20 or number of women more than 65). 3.2 Land and Land Use Describe main features of land management and its use: trust land, traditional forms of tenure, communal grazing land, commercial titled properties (if any); forest reserves, plantations, game management areas, national parks. If possible give %. Comment on access to land, gender bias (if any), e.g. numbers of women with title. 3.3 Economic Activities Agriculture [Source of Information District Agriculture Office, Ministry of Agriculture and Cooperatives (MAC), farmers associations, NGOs and Unions] Objective of Sector: to ensure food security at household, district and national level ass well as job creation. Farming systems* Commercial Farming Definition: more than 10 hectares Emergent Farmers Definition: between 2 and 10 hectares Small scale farmers: Definition : less than 2 hectares *For each, give locations, approximate number of farmers and hectares. If possible give average size of holding for each category Crop production Crop Productivity/ha of Commercial Farmer [state period] Item Detail of Item Categories/Quantities Crop 1 Crop 2 Crop 3 Standard/ Optimum Production per ha Current situation Production per ha Deficiency/Surplus Production per ha % production deficiency/surplus % production deficiency Surplus/Deficiency = Standard Current situation Comment on the production/per hectare; Is production to standard or below standard If the production is low than the standard production per hectare explain why [what are the factors to explain this]. Also comment on production trends. Show production per year for the crops for a period of time Crop Production Emergent Farmers Item Detail of Item Categories/Quantities Crop 1 Crop 2 Crop 3 17

28 Standard Current Situation Current Situation Optimum Level Deficiency % production deficiency Production per ha Production /ha Production per ha Production per ha Production per ha % production deficiency Comment on the production/per hectare; Is production to standard or below standard If the production is low than the standard production per hectare explain why [what the factors to explain this] Also provide information relating to number of farmers & total hectare. Show production per year for the crops for a period of time Crop Production of Small Scale Farmers Item Detail of Item Categories/Quantities Crop 1 Crop 2 Crop 3 Standard Production per ha Target Commercial Farmers Current Situation Production per ha Optimum Level Production per ha Deficiency Production per ha % production deficiency % production deficiency Comment on the production/per hectare; Is production to standard or below standard If the production is low than the standard production per hectare explain why [what the factors to explain this] Need extra information relating to number of farmers & total hectarage. Show production per year for the crops for a period of time Crop Production and Food Security Item Detail of Item Standard Food Consumption/person/day Population District Current Situation Food available/person/day Optimum Level Food Production Existing Food Production Surplus/Deficiency Amount of food Percent Food shortage Category/Quantity Crop 1 Crop 2 Crop 3 Crop 4 Food available/person/day = Total food Production divided by District population x