System k4 \ Republic of Malawi

Transcription

1 System k4 \ Republic of Malawi

2 DISTRICT DEVELOPMENT PLANNING SYSTEM

3 Foreword This Development Planning System Handbook for District Assemblies is the blueprint for local development planning in Malawi. It. sets out the procedures for the formulation of District Development Plans (DDPs) paving the way for a coordinated approach to the identification and implementation of development programmes and projects and a rationale and deliberate public investment. The Handbook also provides the mechanism for linking district and national level planning, budgeting, and monitoring and evaluation harmonizing in the process operational systems at sub-national level and promoting decentralized planning and local people participation - one of the main thrust of the country's Decentralization Policy. Identifying relevant development programmes and projects that is reflective of people's needs and priorities, let alone prioritizing and coordinating its implementation, is a long and arduous task that would have limited impact without the ownership of people in the districts. It is imperative that in all facets of the District Development Planning System (DDPS), from situational analysis to planning, implementation, and monitoring and evaluation, people at the grassroots level are involved. This approach leads to the development of local capacity and the sustainability of development efforts in the district. In the long-term, it is intended that this Handbook would not only contribute to the consolidation of democracy in Malawi. It is also designed to facilitate the achievement of people empowerment and the improvement in the overall quality of life. WILLIE W. SAMUTE Principal Secretary Department of Local Government Office of the President and Cabinet September 2001

4 Acknowledgement The Department of Local Government in the Office of the President and Cabinet prepared this handbook. It is thankful first and foremost, to the Principal Secretary, Willie W. Samute, without whose support this document may not have been produced. Thanks also to Mrs. Wezi E. Mjojo, Acting Programme Manager of the Decentralization Secretariat, for the guidance and support she generously provided. Special gratitude goes to Luckie K. Sikwese, National Planning Expert, who not only gave substantial and critical technical input but was also at the helm in the production of this document Sincere thanks to Jose Neil A. C. Manzano, Planning Advisor, for faking the lead in the formulation of the Handbook and to Messrs. Stuart Ligomeka (Institution Development Expert), Tibebu Tamrat (Financial Advisor), Elvis Njoka (Data Management Officer), Isaac Chauwa (Monitoring and Evaluation Officer), and Manuel Mang'anya (Data Specialist) for collaborating in the development of certain sections and chapters of the Handbook. Thanks also to Messrs. Chiunda, G. S. Z. Jere, and the staff of the Decentralization Secretariat for critically reviewing the initial drafts. Much thanks to the stakeholders represented by heads and officials from District Assemblies, government line agencies, and non-governmental organizations who provided valuable comments and feedback on the Handbook. All others who contributed in one way or another to the formulation of the Handbook our special appreciation. ii

5 1aSCe of contents Foreword... Acknowledgement i ii Contents... : iii List of figures List of Appendices List of Acronyms vi vii viii Chapter 1. Introduction 1.1 Purpose and Importance of the Handbook Users of the Handbook 1 Chapter 2. The district Development Planning System 2.1 Introduction Rationale for District Development Planning Stages of the District Development Planning System (DDPS) 2.4 Basic features of the DDPS Institutional Framework Village Development Committee (VDC) Area Executive Committee (AEC) Area Development Committee (ADC) District Executive Committee (DEC) Development Committee District Assembly (DA) 10 iii

6 2.6 Development Planning System Linkages National Planning Tools Malawi Vision Poverty Reduction Strategy Paper (PRSP) Sector Investment Programmes (SIP) District and National Development Planning Linkages 12 Chapter 3. District Development Planning Process 3.1 Production otsocial Economic Profile (SEP) Introduction Contents of SEP Outline/Format of SEP Data Requirements, Sources of Data Process of SEP Production Recommended Tasks and Responsibility of the SEP Task Force Time Frame Formulation of the District Development Plan Framework (DDPF) Introduction : District Development Analysts (DDA) Participatory Methodology in DDA Identification of Potentials Identification of Issues and Needs... : Prioritization of Issues and Needs Problem Analysis Developing the District Mission Statement Formulation of Development Objectives National Development Objectives District Development Objectives District Immediate Objectives Prioritization Objectives Determining Development Strategies Format of the DDPF Drafting and Approval of he DDPF Preparation of the District Development Plan Introduction Attributes of a Good Plan Objectives of the District Development Plan (DDP) 35 iv

7 Process of DDP Formulation 36 I Project Identification 38 j Project Appraisal J Composition and Role/Responsibilities of the DDP Task Force 39 j Contents of the DDP 39 j Structure of the Plan 40 I ii 3.4 Village Action Plan (VAP) 43 II Introduction VAP integration 43 i; Chapter 4. Budgeting and Resources Mobilization I 4.1 Budgeting Types of Budget Recurrent Budget 45 I Capital Budget 45 f! Development Budget Development Budgeting Process 46 S District Development Fund ; 46! Objectives of the DDF, Management of the DDF Resource Mobilization Types of Resources Human Resources Natural Resources 47 j Financial Resources Mobilizing Resources Human and Institutional Resources Natural Resources Financial Resources Fund Sources and Usage Local/Internal Revenue Sources National/Central Government Transfers Grants Loans Resource Mobilization Strategies Conduct of Conferences Fund Raising Campaigns/Rallies Submission - 52 v

8 Chapter 5 DD Implementation 5.1. Introduction Programme Implementation Project Implementation Pre-lnvestment Phase, Finalization of the Physical and Financial Plan Project Launching Investment Phase Post-Investment Phase Coordination Project Fund Management 57 Chapter 6. Monitoring and Evaluation 6.1 Introduction The Monitoring System, Description and Start of Monitoring Objectives of the Monitoring System i Monitoring Responsibilities and Reporting Flow Community Level District Level National Level 61 * 6.3 The Evaluation System Ongoing Evaluation Objectives of ongoing Evaluation Indicators Tools Outcome Evaluation Objectives of Outcome Evaluation Indicators Outcome Evaluation Process Impact Evaluation Objectives Criteria and Indicators Qualitative Indicators Quantitative Indicators Tools for Impact Evaluation ;67 vi

9 List of Figures Figure 1. District and National Development Planning Linkage 14 Figure 2. VAP Integration 44 Figure 3. Project Implementation Phases 54 Figure 4. Monitoring Responsibilities and Reporting Flow 63 List of Appendices Appendix A Minimum Data Requirement for the production of Socio Economic Profile 77 Appendix B Data Sources 84 Appendix C Planning Definitions 88 Appendix D Project Proposal Format Guidelines 89 Appendix E Listing of Programmes and Projects Matrix 97 Appendix F DEC/ADC Project Selection Criteria Matrix 99 Appendix G DEC Project Appraisal Sheet 103 Appendix H Development Projects/Activities Budget..104 Appendix I Physical and Financial Implementation Plan 107 Appendix J Community Project Monitoring Report Format 11.0 Appendix K Monthly (Quarterly) Physical and Financial Progress Report and Work Plan 113 vii

10 List of acronyms ADC - Area Development Committee ADF - Assembly Development Fund A EC - Area Executive Committee AIR - Annuaf fnvesfment Programme CDA - Community Development Assistant SDR - Crude Death Rate CPMR - Community Project Monitoring Report DA - District Assembly DAT - District Advisory Team DDA - District Development Analysis DDB - District Data Bank DDP - District Development Plan DDPF - District Development Planning Framework DDPS - District Development Planning System DEC - District Executive Committee DPD - Director of Planning and Development EPA - Extension Planning Area FC - Finance Committee GAF - General Allocation Fund GOM - Government of Malawi GVH - Group Village Headman HH - Household HIV/AID - Human Immune Deficiency Virus/Acquired Immune Deficiency Syndrome IMR - Infant Mortality Rate LGA - Local Government Act LGFC - Local Government Finance Committee MK - Malawi Kwacha NGO - Non-Governmental Organization NRM - Natural Resources Management PFP - Physical and Financial Plan PFPRWP - Physical and Financial Progress Report and Work Plan PIC - Project Implementation Committee PIT - Project Implementation Team PRA - Participatory Rural Appraisal PRSP - Poverty Reduction Strategy Paper PSIP - OUBLIC sector Investment Plans SEP - Socio-Economic Profile SIP - Sector investment Plans SMART -. Simple, Measurable, Achievable Realistic, Timely (Timely-bounded) SSI - Semi-Structured Interviews STA - Sub-Traditional Authority viii

11 STF - Sector Transfer Fund SW/CD - Social Welfare/ Community Development TA - Traditional Authority TC - Tender Committee UNDP - United Nations Development Programme VAP - Village Action Plan/Planning VDC - Village Development Committee ZOPP (GOPP)- Zielorientierte Projectplanung (Goal-Oriented Project Planning) ix

12 Int roduct ion 1.1 PURPOSE AND IMPORTANCE OF THE HANDBOOK The purpose of this handbook is to facilitate the preparation of District Deveiopment Plans (DDPs) and the planning and implementation of development programmes and projects. It also provides the mechanism for linking the district and national level planning and budgeting processes. This handbook is the second revision of the Malawi District Development Planning Manual produced and used under the GOM/UNDP 5,h Country Programme. The revision has been necessitated not only to simplify its use but also to make it more consistent and responsive to national policies, such as the Decentralization Policy and the Local Government Act of 1998, and development thrusts and priorities. The handbook is an important tool for establishing an effective and efficient district planning system. Such a system is important for the following reasons: To assist in the identification of development needs and priorities; To assist both skilled and unskilled technicians in the production of DDPs and implementation of development programmes and projects; To ensure that investments at district level reflect District priorities rather than National Government or Donor interests; To clearly define the roles and responsibilities of various stakeholders in district development planning and investment projects preparation; To provide a mechanism for linking the district and national planning, budgeting, and monitoring systems; and Tov ensure that the local communities participate fully in the district planning process. '.. - ' 1.2 USERS OF THE HANDBOOK This Deveiopment Planning Handbook for District Assemblies is useful to planners, academicians, and individuals and organizations wanting to have an appreciation of the planning and investment programming processes at the district level. The expected users of this handbook are the following: District Assembly (DA); District Executive Committee (DEC); Area Development Committee (ADC); Area Executive Committee (AEC); Village Deveiopment Committee (VDC); Central Planning Agencies; Line Ministries; Development Planning System Handbook for District Assemblies 1

13 Parastata! Organizations; Non-Governmental Organizations; Private Sector Organizations; and Donors Development Planning System Handbook for District Assemblies 2

14 The District Development Planning System 2.1 INTRODUCTION Decentralization in Malawi entails the devolution of powers and functions to the district level. This process not only ensures that meaningful participation of people in the development process is attained but is geared towards the goal of empowering the local people in identifying their problems, finding ways and solutions to these problems, implementing the solutions, evaluating its progress and impact, and finally feeding this back to the aspect of problem identification. 2.2 RATIONALE FOR DISTRICT DEVELOPMENT PLANNING The benefits accruing from district development planning in Malawi need not be overemphasized. However, to achieve this demands an effective framework for alleviating poverty by promoting involvement of various stakeholders, including the private sector. The following main areas have been highlighted and are central to sustainable decentralized development planning. Desirability for enhanced coordination. Since development is more encompassing, planning is a means of securing complementarity and coordination among the many policy instruments the government uses at any particular time. The complementarity and coordination of policies ensure that conflicts are avoided during implementation. Time Factor. Development plans introduce the element of time factor in policy formulation. Time factor provides for serious commitment to implementing policies. Serious commitment to development planning is a commitment to lengthen policy maker's time horizons; raising important questions about the internal consistencies of economic, political and social policies and about their impact overtime. In the absence of the time factor such as medium-term planning aspects of monitoring and evaluation are liable to be neglected under the every day pressures of economic management. Sfrucfurcr/ Changes. Structural changes are necessary aspects in the' development process within the context of social development. The changes are necessary, especially in encouraging participation of the populace. Development Planning System Handbook for District Assemblies 3

15 Data Bank. Development Planning is an instrument for providing a better information base upon which to make effective decisions. A good information base reduces uncertainties about the future. 2.3 STAGES OF THE DISTRICT DEVELOPMENT PLANNING SYSTEM The Malawi District Development Planning System (DDPS) is an integral part of the decentralization process and focuses on a systematic bottom-up approach to development planning. Such is seen as a cyclical process, involving a sequence of stages which are designed to link the formulation of basic policy goals with the design of specific programmes and projects, to ensure that lessons learned from the implementation of these projects and programmes are fed back into the subsequent planning cycle. The DDPS presented here as a Cycle shows in a systematic way the stages to be followed in the process of district development planning. The system is based on the principle of bottom-up, grassroots community participation not only in selfhelp as providers of labour and other community based resources like sand, water, stones, bricks etc., but also in the planning and decision-making processes. It encourages community participation from the villages to the District Assembly level. The first stage in the implementation of the system begins with the production of the District Social Economic Profile (SEP}. The SEP provides the information required and necessary for a Situation Analysis and the formulation of the District Development Plan Framework (DDPF). The DDPF provides a comprehensive policy direction and guidance for development in the district. In it are contained the objectives and strategies of the district. It is compiled by the DEC and as a Policy document, it is approved by the District Assembly. Once approved, there should be feedback of the DDPF to the community so that project proposals emanating from the lower levels are relevant to the strategies stipulated in the framework. All project proposals from the VDC to the district level need to be appraised (desk and field appraisals) by the DEC with the help of the AEC. The appraised projects containing budgetary and technical specifications should be consolidated for incorporation into the DDP. The DDP.is a Medium-Term Plan covering a period of three years, given in three annual phases: Financ/a/ Year 1, Financial Year 2, and Financial Year 3. The programmes and projects of Financial Year 1 shall constitute the first Annual Investment Plan. Financial Year 2 Annual Investment Plan shall be for the second financial year, however, it is affected by the level of achievement of the first Annual Investment Plan. Similarly, the third Annual Investment Plan is affected by the previous year's level of achievement. The DDP and the Annual Plan are approved by the DA. Development Planning System Handbook for District Assemblies 4

16 Plan and project implementation commences through the drawing up of an Implementation Plan which should include the project activities, a time frame, cost of each activity and individuals/institutions tasked to undertake each activity. During Plan and Project implementation, the activities being carried out need to be monitored and evaluated according to the implementation Plan. The Cycle ends by reviewing what the DDP set out to do in the specified period. 2.4 BASIC FEATURES OF THE DDPS The DDPS is the most important mechanism for collecting the real issues affecting the lives of people in the communities and as a means of instituting corrective measures to achieve improvement in the quality of life. It recognizes and considers as fundamental, the centrality of local people in the process of planning. The key features of the DDPS are that if is district-focused, peoplecentered, bottom-up, and participatory. District-Focused: It implies that in determining the courses of development, all data is generated from and by district structures, and analyzed to identify gaps in deveiopment within the district. Therefore, the district must be empowered, should have sufficient and well-qualified personnel, and have adequate resources to be able to facilitate implementation of deveiopment activities. For the planning system to be district-focused, instruments for funding and the process of budgeting have to be district-based. The institutionalization of the District Development Fund (DDF) provides the key element of a decentralized district-focused system of planning. People-Centered: The DDPS focuses on factors that increase the capacity of people in promoting their livelihood. The of the planning system is the people in the villages with the improvement in their quality of life as the central tenet. Bottom-up: It is recognized that all planning begin at the community level. Project proposals are first developed by the grassroots level structures, with full evidence that a project proposal has been generated by the beneficiaries within the local government authority. Technical inputs into the proposals emerge during the appraisal phase. Participatory: The DDPS ensures' that planning and decision-making is participatory by providing the opportunity to local people to be involved in all facets of the development process - from needs assessment to project implementation, monitoring and evaluation. Development Planning System Handbook for District Assemblies 5

17 INSTITUTIONAL FRAMEWORK The basic structures for planning in the district utilizes grassroots institutions, such as, the VDC, AEC, and ADC, and district-level institutions like the DA, and the DEC Village Development Committee (VDC) The VDC is a representative body from a village or group of villages charged with the responsibility of facilitating planning and development at the grassroots level. The VDC is the institution that is the focus of the DDPS. Functions The functions of the VDC are as follows: Coordinate community-based issues with the ADC and DEC and communicate messages from the ADC and DEC to the communities; Encourage and mobilize community resources for popular participation in self-help activities; Assist in identifying, prioritizing, and preparing community needs and submit the same to the ADC; Supervise, monitor, and evaluate the implementation of development. activities in the villages; Solicit external funding for prioritized community-based projects; Initiate locally funded self-help activities; and Report to the Group Village Headman (GVH) all activities and discussions of the committee. Membership The VDC composition shall be as follows: Elected member from each village within the VDC Ward Representative (s) as member(s) Four women representatives nominated by people within the VDC Elected extension worker representative Members of the VDC should elect among themselves a Chairperson, Vice-Chairperson, Secretary, and Treasurer. In the case of a male person being elected Chairperson of the committee, the Vice-Chairperson should be elected from among the women members and vice-versa. The Group Village Headman/Headwoman (GVH) cannot chair a VDC but supervises the VDCs and all other committees within his/her jurisdiction. The VDC(s) report to the GVH after every meeting to keep him/her informed of development matters discussed by the committee. The GVH shall continue to perform his primary role as Chief that is settling disputes among his/her constituency. Development Planning System Handbook for District Assemblies 17

18 Extension workers based within the VDC should elect among themselves a representative to sit in the VDC and the AEC. The representative could not vie for an elected position in the VDC. He/She should be elected on his ability to lead others effectively and good public relation with the community among other reasons. Total membership to the VDC should not exceed 16 persons. Where that is not possible or representation from villages is affected, AEC members should go into dialogue with the GVH to have that VDC split into two or more VDCs. The term of office of VDC members shall be three years unless otherwise replaced. This is with the exception of Ward Representatives who are permanent members Area Executive Committee (AEC) The AEC is responsible for advising the ADC on all aspects of needs assessment, project identification, and project proposal preparation. Functions The functions of the AEC are as follows: Assist the ADC in the identification and preparation of project proposals; Carry out field appraisal of projects; Review all project proposals before submission to the DEC for consideration; Act as an advisory body to the ADC; Assist in supervising project implementation at area level; Conduct data collection and analysis at community level; Prepare monthly reports; Take the lead in the organization of VDCs; and Act as trainers of VDCs and assist then in setting guidelines for development in the area. Membership The composition of the AEC is as follows: Extension workers representing all sectors e.g. CD A, health assistant, departmental officers, etc. Elected extension worker representative from each VDC within the Traditional Authority (TA) NGO representatives Co-opted members Development Planning System Handbook for District Assemblies 18

19 Since there are several extension workers from different government sectors and NGOs in a TA,.it is necessary to limit the membership so as not to have a large and unmanageable body. The following are the core sectors and therefore should have one member representation in the AEC: Health sector represented by a Health Assistant; Education sector represented by a Primary Education Advisor (PEA); Community services sector represented by a Community Development Assistant; Agriculture sector represented by the Development Officer; Forestry sector represented by a Forestry Assistant; Wafer development sector represented by a Water Monitoring Assistant; and NGOs represented by Team Leaders in the area. It should be noted that membership to the AEC is not limited to the core sectors. The AEC can co-opt representatives from other sectors it deems necessary. Membership of the AEC depends on the number of VDCs in an area and presence of core line ministries. For example, if there are ten VDCs in an area, membership may come to 17 fa+b = 17, where a - core sectors and b = VDC representatives). Total membership should not go beyond 25 persons. The Chairperson, Vice-Chairperson, and Secretary of the AEC are elected by and among the members. Their term of office and that of the members shall be two years unless otherwise replaced. Quorum shall be 51 percent of the total membership Area Development Committee (ADC) The ADC is a representative body of all VDCs under the jurisdiction of a TA. Functions The ADC has the responsibility of: Organizing monthly general meetings of the ADC in liaison with the relevant VDCs; Assisting in the identification, prioritisation, and preparation of community needs which encompass more than one VDC and submit them to the DEC; Supervising, monitoring, and evaluating the implementation of projects at TA level; Mobilizing community resources and soliciting funds; and Receiving, prioritizing, and preparing project proposals from VDCs for submission to the DEC. Development Planning System Handbook for District Assemblies 8

20 Membership The ADC shall be comprised of the following: VDC Chairpersons and Vice-Chairpersons Ward Representatives Representatives of religious faiths Representatives of youth and women groups in the area Representatives from the business community Chairperson of the AEC Members of the ADC should elect among themselves a Chairperson. The TA/STA should not chair the ADC but supervises it and all other committees within his/her jurisdiction. The ADC report to the TA/STA after every meeting to keep him/her informed of development matters discussed by the committee and seek his support when and where needed. The Chairperson of the AEC shall be the Secretary of the ADC. The term of office of ADC members shall be three years, except for Ward Representatives who are permanent members. Fifty-one percent of members shall constitute a quorum District Executive Committee (DEC) The DEC is a technical and advisory body arm of the DA and the local committees under it. It Is responsible for the implementation of all aspects of the DDPS. Functions The functions of the DEC are as follows: Assist in the identification, prioritization, and preliminary feasibility studies of the community needs project proposals; Undertake technical appraisal of development proposals; Provide technical support to the Development Committee (DC) and the DA in the formulation of a DDP; Provide advice in project implementation; Assist in soliciting funds from local and external sources; Train the VDC, AEC, ADC, DC, and DA in technical, leadership, and management skills; Act as technical advisory body to the DA on local development; As representatives of their parent ministries in the districts, liase and harmonise district level policies and activities with national policies and activities; and Advise the DA on sectoral policies and programmes. Development Planning System Handbook for District Assemblies 9

21 Membership The following are the recommended members of the DEC: Chairperson: District Commissioner; Secretary: Director for Planning and Development (DPDJ; Representatives of line ministries or departments at district level; Heads of Assembly Departments; Representatives of NGOs in the area; and Co-opted members. Except for the Chairperson, Secretary, and Heads of Assembly Departments who are permanent members, the term of office of DEC members shall be five years unless otherwise replaced. Quorum shall constitute fifty-one percent of the total membership. Sub-Committees The DEC is empowered to create sub-committees and Task Forces under it to facilitate the performance of its tasks. Among the sub-committees created are the Development Advisory Team (DAT), District Training Team (DTT), and District Environment Sub-Committee (DESC) Development Committee This is a service committee of the DA tasked with coordinating development initiatives and efforts at the district level. Functions The functions of the Development Committee are the following: Ensure the formulation of a medium-term DDP; Review and submit the DDP and annual plans and budget to the DA for approval; and Coordinate, supervise, monitor, and evaluate the implementation of the DDP District Assembly (DA) The DA is the highest policy-making body at the district level responsible for promoting infrastructural and economic development in the local government area through the approval and execution of the DDPF and the DDP. Development Planning System Handbook for District Assemblies 10

22 Functions I The functions of the DA in relation to district deveiopment planning are: Ij Fostering dialogue between government and ordinary people in the I villages, through the representatives, during the identification, planning, and implementation of district and area-based micro-projects; 1 Promoting government policies among the rural population of any district j or area concerned; Coordinating the identification, planning, and implementation of any I micro-projects in the district. Membership The composition of the DA as provided for in the LGA of 1998 shall be as follows: Ward Representatives Traditional Authorities and Sub-Traditional Authorities Members of Parliament Five Representatives of special interest groups One-third of the elected members of the DA present shall constitute a quorum. Service Committees The LGA provides for the creation of service committees under the DA. This prescribed in the Act include the Finance Committee, Development Committee, Education Committee, Works Committee, Health and Environment Committee, and Appointments and Disciplinary Committee. 2.5 DEVELOPMENT PLANNING SYSTEM LINKAGES National Planning Tools At the National level, the Malawi Government uses the following planning tools: Malawi Vision 2020, Poverty Reduction Strategy Paper (PRSP), and the Sector Investment Programmes (SIP) Malawi Vision 2020 The Vision 2020 reflects the long-term aspirations of Maiawians and form the basis for short and medium-term policies and strategies. It defines national goals, policies, and strategies that will help government, the private sector, and society in general to improve development management. Vision 2020 states that: Development Planning System Handbook for District Assemblies 11

23 "By the year 2020, Malawi as a God-fearing nation will be secure, democratically mature, environmentally sustainable, self-reliant with equal opportunities and active participation by all, having social services, vibrant cultural and religious values and being a technologically driven middle income country." Poverty Reduction Strategy Paper (PRSP1 The PRSP is an integrated approach for articulating policies, programmes, and projects in' a participatory manner and reorient the strategies for poverty focus, it is a well-focused policy document which promote rapid economic growth and ensure that the benefits of growth is equitably distributed. It also acts as a starting point for all government policy and planning activities and provides a focal point for ail donor assistance to Malawi. The strategy utilizes and integrates the Poverty Alleviation Programme (PAP) and other development initiatives being carried out in the country by government and the civil society into the planning process, Sector Investment Programmes (SIPs) Sector investment Programmes set out clearly the development policies, strategies, and priority activities pertaining to a specific sector. It is used as a coordination tool to reduce the administrative burden of the individual approach to funding and ensure that there is a unified strategy for the sector with no overlapping of contradictory activities by the different actors District and National Development Planning Linkage The Local Government Act (LGA) of 1998 has made the district the operational unit for preparing local plans and implementing those plans. The national planning framework needs to be reviewed inorder for district plans to contribute to the determination of the profile of national activities. The process should be seen as an iterative-process, where the DDPS feeds into national and sectoral programmes, and the DDPs are harmonized with national policies and programs. The linkage is as described below and shown in Figure I: 1 st Stage: Review of Government policies as outlined in the various national planning instruments: Vision 2020, MTEF, SIPs, PRSP, etc. These policies should be clearly spelt out at district levei presented for each sector and overall policy statements. Development Planning System Handbook for District Assemblies 12

24 2 nd Stage: Government issues guidelines and announces budget ceilings. The ceilings are passed on for Districts Assemblies to come-up with realistic plans. 3 rd Stage: Development of district plans based on community needs, but considering the budget proposals from sectoral ministries, 4 m Stage: Sectoral ministries to provide disaggregated budget proposals and work p'rogrammes to establish an iterative process in which districts can suggest revisions (based on local needs assessment) to ministerial programmes and for said programmes to be refined by the ministry concerned. The aim is to ensure that sectoral ministries incorporate district priorities in their plans and budgets so that DDPs contribute to the determination of the profile of national activities. 5 th Stage: District Development Plans submitted to the Department of Local Government (DLG) for harmonization with national policies and programmes. 6 th Stage: The interaction at implementation stage between the national and district planning officials will be through the monitoring system of the projects. Reports will be prepared by the lower level (district) and submitted to the DLG, Ministry of Finance, and concerned line ministries. On-going and outcome evaluations will also have joint activities between national and district level staff. Under the framework shown in Figure 1, the PRSP is derived from the Government's overall vision as defined in Vision in effect, the PRSP translates the aspirations captured in Vision 2020 info objectives and strategies that can practically be implemented. Sector Investment Programmes (SIPs) which set the development policies, strategies, and priority activities pertaining to a specific sector are geared towards the achievement of objectives and operationalization of strategies in the PRSP. It integrates community needs reflected in District Development Plans (DDPs). The DDP feeds from the PRSP and the SIPs in terms of policy and strategic direction in the same manner that it influences the policies, strategies, and priority activities of the latter. The DDP also inputs to the annual District Medium- Term Expenditure Framework (MTEF) which together with other annual Sectoral MTEFs derived from SIPs combine for the Annual MTEF. The Annual MTEF becomes the basis for the Annual Budget. Development Planning System Handbook for District Assemblies 13 \

25 Figure 1: District and National Deveiopment Planning Linkage Development Planning System Handbook for District Assemblies 14

26 District Development Planning Process 3.1 PRODUCTION OF SOCIO-ECONOMIC PROFILES introduction The production of the Socio-Economic Profile (SEP) is the initial stage in the development planning process. It gives a snapshot of the overall physical, social and economic situation in the district paving the way for a better appreciation of the area or locality. The SEP also provides the necessary information for the conduct of the situational analysis which serves as the foundation for the formulation of the District Development Planning Framework (DDPF) and the DDP Contents of the SEP The SEP must contain write-ups, table, graphs, and maps. Wrife-i/ps are narrative descriptions of the situation in the district using data that are either quantitative (involving numbers or statistics} or qualitative (descriptive information like values, attitudes, etc.) Tables and figures, on the other hand, complement and enhance understanding of the narrative descriptions by providing detailed information presented in tabular or graphical form. Maps facilitate appreciation of the situation by showing the exact location where the said situation exists within the area. In describing the district situation, the following may be utilized: General Trend. Describes the trend of a particular indicator for a span of several years (ideally at least 5 years) (for example, the population of District X continue to decline for the past 5 years...). Growth Rates. Highlights the rate of increase or decrease whether annually or a span of several years. It is normally expressed in percentile or per thousand population (for example, the production of maize grew at an annual rate of 5 percent...). Highest or Lowest levels. Points to the highest (or lowest) rate, percent, incidence, etc. achieved/reached during the specified period (for example, the highest maize production for the past 10 years was achieved in 1997 where approximately 100,p00 tonnes was produced while the least was in 1994 where production reached only 3,000 tonnes..). Comparison with Standards. Comparison of data with standards which may be the ideal condition or what is the general average situation in the area or that of other localities (for example, the doctor-population ratio of 1:10,000 is way beyond the standard ratio of 1:5,000 and the district average of 1:7,500...). Development Planning System Handbook for District Assemblies 15

27 Geographic Distribution. Describes data disaggregated by sub-area or locality (TA, RDP, villages, etc.) (for example. District X has the most number of TAs with 10, followed by District Y with 8, District Z with 5...). Ratio and Proportion. Presents the relation between 2 measures, how many times one contains the other (ratio) and share of a measure in relation to the whole (proportion) (for example, the sex ratio is I male for every 2 females... or the male to female sex ratio is 1:2; the population of District X comprises 10 percent of the total population of Malawi...). Possible Causes and Effects. Gives the causes of a particular condition and how policies affect certain sectors (for example, the rise in the Crude Birth Rate is due to the sudden increase in population resulting from the policy of government not to support the family planning program...). Qualitative Description. Provides a narrative description of the situation in an area or locality with regards to a particular situation or condition (for example, District X is bordered in the North by District Y, in the East by District Z or the District Assembly has the following functions )! Outline/Format of the SEP The SEP is divided info 2 parts comprising 12 chapters. Part I, which is made up of 8 chapters, gives the profile of the district, specifically the general features, demographic and settlement patterns, and the social, economic, administrative, institutional, infrastructure, security, and environmental condition. Part 11 deals with the DDPF and comprised of 4 chapters focusing on the presentation of National Development Objectives and prioritized,development issues, objectives, and strategies at the district level. The generic format and corresponding sub-chapters are presented below: i. Table of Contents ii. Preface/Foreword: This should be written and signed by the Chairperson of the District Assembly. Presented under this section is the purpose and uses of the document indicating in broad strokes the methods of data collection and layout of the document. Hi. Acknowledgements: This should be written by the DPD giving credit to persons and entities instrumental in the production of the document, iv. Executive Summary: This is a 2 or 3 page summary of the highlights of the document. Development Planning System Handbook for District Assemblies 16

28 ( 1 PARTI Chapter I. General Features A. Physical Description 1.. Location and Size 2. Topography Geology and Hydrology 3. Soil 4. Climate Administrative Structures and Local Politics 1. Formal Administrative Structures 2. Informal Administrative Structures 3. Local Politics The People 1. Tribes 2. Language 3. Religion 4. Culture/Beliefs 5. Income/Poverty Incidence Chapter II. Demography and Settlement A. Population Size and Characteristics B. Birth and Death Rates C. Fertility Rate D. Migratory Patterns Chapter ill. Land Use A. Land Tenure System 1. Customary Land 2. Public Land 3. Private leasehold B. Land Use System Chapter IV. Environment A. Forest Reserves and Wildlife B. Aquatic and Marine Resources C. Environmentally-Critical Areas Chapter V. Economy A. Agriculture 1. Crops a. Agricultural Production b. Agricultural Markets Development Planning System Handbook for District Assemblies -j y

29 c. Agricultural Practices d. Agricultural Services e. Farm Holding f. Irrigation 2. Livestock a. Livestock Production b. Livestock Uses c. Livestock Services B. Fishery 1. Fishing Grounds 2.. Fish Production 3. Fishery Services 4. Fishery Activities C. Forestry 1. Production Forests/Tree Plantation 2. Forestry Services D. Mining 1. Mineral Deposits 2. Mining Activity and Production E. Commerce and Industry 1. Types and Size of Business Establishments 2. Banking and Credit Facilities 3. Extension Services F. Labour and Employment 1. Labour Force 2. Conditions of Employment G. Tourism 1. Tourism Potential 2. Tourism Facilities Chapter VI. Social Services A. Health 1. Life Expectancy 2. Morbidity 3. Mortality 4. Health Services 5. Health Facilities a. Clinics b. Dispensaries c. Health s d. Hospitals 6. Health Personnel 7. Family Planning Development Planning System Handbook for District Assemblies 18

30 B. Water and Sanitation 1. Safe Water Access 2. Main Sources and Condition of Water Facilities 3. Access to Sanitary Latrines 4. Methods of Waste Disposal C. Education 1. Education Indicators 2. Education Services (by level) a. Pre-school b. Primary c. Secondary d. Technical/Vocational 3. Educational Facilities a. Schools (by level) b. Classrooms (by level) c. Other Facilities (by level) 4. Education Manpower (by level) D. Social Welfare and Community Development 1. Social Welfare and Community Development Services 2. Development of Women Chapter VII. Infrastructure and Utilities A. Road 1. Main Roads 2. Secondary Roads 3. District Roads 4. Feeder Roads B. Bridges C. Transport D. Transport Terminals E. Communication 1. Postal Services 2. Telephone Network 3. Cellular Network 4. Radio and Telephone Network 5. National Publications 6. Internet Services 7. Other Services F. Power/Energy 1. Power Generating Plants and Sub-Stations 2. Supply and Demand of Electrical Power 3. Other Sources of Energy Development Planning System Handbook for District Assemblies 19

31 Chapter Viii. Security Services A. Crime B. Security Services Available C. Security Services Facilities 1. Police 2. Fire D. Security Services Personnel 1. Policemen 2. Firemen Data Requirements The minimum data requirements or set of indicators to be utilized in the analysis and writing of the different chapters and sub-chapters of the SEP is presented in Annex A. What is presented in the annex is the minimum set. Sectoral write-up authors and the SEP Task Force could always, and are encouraged, to enhance the content of the SEP by infusing more information Sources of Data The District Data Bank {DDBJ is the major source of data for the SEP (see DDB manual). It uses district and village level questionnaires. The district level questionnaire collects secondary data from government departments and organizations at the district. On the other hand the village level questionnaire collects primary data from the village. The village level questionnaire is administered during the VAP process. After an assessment of the data in the DDB, gaps might be observed. This necessitates the generation of data from other sources. Appendix B presents the title/name of report or document, information content of said report or document, and where it can be sourced Process of SEP Production The process of SEP production involves the following steps: Conduct of DEC Meeting. This is the primary step in the production of the SEP. A DEC meeting should be convened to discuss the process of producing the SEP. The DEC members should select members to comprise the Task Force, and deliberate and make revisions, if necessary, on the recommended tasks and responsibilities of the Task Force (see Section 3.1.7). It should be made clear that the production of the SEP is the responsibility of the DEC. As such, it is important that the exercise of writing a SEP be fully discussed by the DEC. Development Planning System Handbook for District Assemblies 20

32 During the meeting, the DEC should also agree on the workpian of the Task Force faking note not to exceed the required duration for the production of the SEP. (Member/s of the Department of Local Government may be requested to be present during the meefjng). Organisation of SEP Task Force. A group composed of the Director for Planning and Development (DPD) as Chairperson and 5 members chosen by the DEC from among its members shall take the lead in the production of the SEP. The main task of the group, which is to be called the SEP Task Force, is to coordinate and ensure that the different sectors produce their respective sectoral SEP writeups and to consolidate and package the said write-ups into a district SEP. it is imperative that the Task Force be well represented by having each major sector (environment, economic, social, infrastructure and utilities, and protective services) represented in the said group. Development of a Workpian. Once the SEP Task Force has been organized, a workpian for the production of the SEP should be drafted, discussed, and approved by the DEC to guide it and the Task Force in coming-up with the required document. The said workpian must specify the main outputs, as well as, the activities to be undertaken, timetable, responsible or lead person, resource requirements, and budget cost. It should be presented in matrix form to facilitate ease of understanding and appreciation. Below is the recommended format of the workpian: Output Activity Schedule of Implementation (weeks) S n 12 Responsible /Lead Person Resource Requirement Budget/ Cost ; J Assessment of the Availability of Existing Data/information. The District Data Bank (DDB) is an ideal source of data in districts where a functional DDB has been installed. Otherwise, there should be an assessment of available data and the determination of information gaps based on the data requirements for the production of the SEP. Data sources where said information gaps can be generated must be identified. Dafa Coilection and Analysis. With the necessary information requirements already identified, together with the corresponding sources, data collection should immediately progress. Data to be used can be culled from primary (village level questionnaires, Village Action Plans, etc.) and secondary sources (information regularly gathered by line agencies). This would be followed by the analysis of the data collected looking at trends, growth rates, highest/lowest levels, comparison with standards, geographic distribution, ratio and proportion, and possible causes and effects of such conditions or behaviors. It is also at this Development Planning System Handbook for District Assemblies i

33 stage that information to be presented in tables, graphs and maps is to be decided. Identification of Environmental 'Hot Spots', Careful consideration should be given to the identification of areas affected by major environmental issues/problems in the district (hot spots), identified hot spots should be mapped out and prioritized. As the hot spots are mapped, the affected TAs and villages are identified. Prioritization of the hot spots will take into consideration the interaction of environmental factors and the inter-linkage of the Natural Resources Management (hlrm) sectors. The ranking of the hot spots will lead to the selection of areas, which require immediate attention for the development of environmental micro-projects. Writing of the Document. Based on the result of the data analysis, sectoral SEPs should be written. The members of the DEC are responsible for writing the SEP of the sectors they are representing in the committee. Task Force members are expected to make the necessary follow-up and provide assistance to sector writers in the development of the sectoral SEPs. Consolidation of Sectoral SEP Write-ups. As the different sectors are able to produce their respective sectoral write-ups, a workshop should be conducted for the consolidation and packaging of said write-ups into a district SEP. This could be undertaken by a smaller group chosen from among the Task Force members, however, it is imperative that members doing the consolidation possess the necessary technical skills on writing and analysis. Responsibility for coming-up with a first draft of the district SEP remains with the Task Force. Review and Editing of the Document. The (first) draft district SEP should be forwarded to the Department of Local Government (DLG) for review and editing. The edited copy would then be returned to the district to allow the Task Force to incorporate the comments of the secretariat staff. The enhanced (second) draft of the SEP should be presented to and reviewed by the DEC to ensure that the document is reflective of the situation in the district. Adoption and Printing. The (third) final draft integrating the comments of the DEC shall be presented to the Development Committee and the DA for adoption. Prior to the adoption of said document, copies should be circulated to assembly members for additional comments and suggestions. to be incorporated in the SEP. Once the document has been adopted by the DA, the final draft shall be sent for printing. Development Planning System Handbook for District Assemblies 22

34 3.1.7 Recommended Tasks and Responsibilities of the SEP Task Force The main responsibility of the SEP Task Force is to coordinate and take the lead in the production of the SEP. The recommended tasks involved related to the exercise of this responsibility are as follows: Ensure sectoral write-ups are produced within schedule as indicated in,the workpian; Follow-up on data gaps; Consolidation and packaging of sectoral SEP write-ups into a district SEP; Editing of sectoral write-ups and draft district SEP; Ensure adequacy of information and write-ups in the district SEP; and Ensure SEP is produced within the required time frame. As earlier indicated, the above list of tasks and responsibilities are recommended and the DEC is encouraged to make the necessary modifications Time Frame The maximum period required for the production of a district SEP (from the conduct of a DEC meeting to a district SEP approved by the District Assembly) is 12 weeks. 3.2 FORMULATION OF THE DISTRICT DEVELOPMENT PLAN FRAMEWORK Introduction The DDPS starts with the production of the SEP or the District Profile. Once the SEP is completed, a District Development Analysis (DDA) is carried out to synthesize all data from the document to make it useful in formulating the District Development Plan Framework (DDPF). Since the DDPS is participatory, the formulation of the DDPF should likewise utilize participatory approaches. The DDPF will provide a comprehensive direction and guidance for all development planning decisions in a district. When completed and approved by the DA, it becomes the road map for all development-related decision making in the district. Programmes and projects are selected on the basis of the analysis developed within the DDPF District Development Analysis (DDA) The DDA takes all data and information from the SEP and synthesizes it into material useful for broad-based, comprehensive, district planning. It identifies development potentials, summarizes development objectives, identifies and Development Planning System Handbook for District Assemblies 23 3 L

35 prioritizes district deveiopment objectives, and develops strategies for solutions. The DDA when completed should include the following: A summary of District Development Potentials as derived from SEP information and data, including human, institutional, natural, material, and financial resources; and A summary of District Issues/Concerns as determined through discussions with community members and through the analysis of data collected from communities and ministry representatives in the districts Participatory Methodology in PDA The formulation of the DDPF requires participatory approaches, in particular, the Zielorientierte Projecktplanung's (ZOPP) 1 Card and Chart Technique will be utilized for this purpose. To appreciate this technique, one must appreciate two concepts. The first is that every idea, no matter who presents it, must be considered on the basis of its merit. The second is the concept of group "ownership" of ideas arising during the planning process. If a plan is to be developed which incorporates all of the ideas of the group of planners, regardless of their individual status within the group, a way must be found for ideas to be shared. These ideas must be judged and discussed on their own merit. The ZOPP visualization technique is a very effective way to facilitate this process as it is easier for people to discuss ideas they can see. At the beginning of the planning workshop, the moderator (in this case, the Director for Planning and Development) explains to the group that all ideas, issues, needs, and problems are written with marking pens on cards of different colors measuring approximately 3" x 8". A few simple rules are introduced for the use of the cards. These are: Write only one idea on each card. One idea per card allows cards to be moved and adjusted to demonstrate possible relationships with other ideas. Write in large block letters. Large block letters ensure that everyone in the group can read what is written on the card. Summarize the idea In a brief statement Since each idea will be discussed by the group, a brief statement that captures the main idea to be expressed is most appropriate. Write only three lines on a card. No more than three lines, with words written in block letters, make it possible for all planners to see the ideas on the cards. 1 This is a participatory planning method based on the 'logical framework* and introduced in technical cooperation projects supported by the Deutsche Gesellschaft fur Technische Zusammenarbett (GTZ). Development Planning System Handbook for District Assemblies 24

36 Be consistent with the co/or scheme. The moderator will ask planners to write on cards of a particular color for the identification of issues, potentials, objectives, and strategies. To achieve good visualization, idea should be written on cards of the appropriate color. The most important thing is to communicate the idea. The use of cards allows the group the flexibility to move ideas around as they are discussed into different categories or positions on a chart. This flexibility enhances the group's ability to understand relationships between ideas because everyone can see - not just imagine - the relationships. Permanent documentation. Chart refers to large pieces of inexpensive brown paper fastened to the board. Cards are pinned on the chart and can be easily moved to different positions. Once agreement of the group has been reached about the positioning of the cards, they can be glued to the chart paper. The charts then become a permanent record of the planning session output and can be documented by having the ideas on the charts entered into a computer identification of Potentials Review the SEP /Village Action Plans (VAPs). To identify the'potentials of the district, the DEC should review the entire SEP and, if available, Village Action Plans, identifying the economic, materials, and human resource potentials brought out by the document. Prioritize Potentials. Identified potentials should be prioritized in terms of the most likely to provide support to district development initiatives. The DEC should determine the extent for exploration, usage, and development of the prioritized potentials identification of issues and Needs Review the SEP/VAP. The issues and needs of the District are determined through a review of the SEP and the VAPs (if available). List Issues and Needs. List all of the perceived district issues and needs. Such should not be identified only along sectoral lines but the interrelationship of sectoral issues must always be considered. For example, when discussing issues of health or environment, reference should be made to the impact of poor health on economic production or environmental degradation on food security. Always state the identified issues in the negative context. A very good source of developmental issues and concerns are VAPs. Development Planning System Handbook for District Assemblies 25

37 Quantify Issues and Needs. If possible, issues should be quantified and specified as much as possible as this is critical later on in the development of objectives. For example, rather than saying the issues is the high rate of illiteracy, state the exact high rate. Is it 43%? is it higher amongst women? What is the issue? Work to identify exactly what the issue is with quantifiable elements. The list can be very long, possibly even issues so it is best to number the cards were issues are written.. Review the List and Eliminate Duplications. Go through the list of issues and needs and identify the core problems. Eliminate any duplication by combining and rewording some issues and needs. Recreate and renumber the cards after eliminating duplications. For example, the following is a list of issues identified both through the SEP and community visits: High rate of illiteracy (60%) Poor water infrastructure (80% of taps are non-functional) Lack of access to water supply (50% of HHs have access) Lack of markets (3 markets in the district) Shortage of land for small farmers (landholding size is 0.5 hectare/family) High rate of environmental degradation Poor health (1MR at 134/1000 livebirths and CDR at 41/1,000 population) Food insecurity (3 months food gap) If duplications were eliminated in the example, we could combine 2 and 3 and have a list of seven issues: 1. High rate of illiteracy 2. Lack of access to safe water supply 3. Lack of markets 4. Shortage of land for small farmers 5. High rate of environmental degradation 6. Poor health 7. Food insecurity Prioritization of issues and Needs Establish the Causa/ Relationship. Working with the list, look at the causal relationship between issues by looking at each issues and then looking at the rest of the list to determine which of the other issues that particular issue might cause. For example, if the issue is High Rate of Illiteracy, which of the seven other issues does High Rate of Illiteracy cause or impact on? Development Planning System Handbook for District Assemblies 26

38 Since the idea is to get at the root causes of the identified issues, remember at this point to work only with the list of issues you have, developing a causal relationship between these issues. Remember to seek only primary causes, of these issues, not weak or secondary relationships. Write in the card the number(s) of cards/issues that a particular issue impact on. There are many causes of these issues as indicated in the table below. Issue CAUSAL RELATIONSHIP This issue causes or has ah impact on: 1. High rate of illiteracy 4,5,6,7 2. Lack of access to safe water supply 6 3. Lack of markets 4. Shortage of land forjmall farmers 7 5,7 5. High rate of environmental Poor health 7. Food insecurity 1,7 ' * 1,5,6" Determine and Prioritize Primary Issues. Count the number of times each issue is listed as a cause and write {and encircle) if on the card. This list should give you a short list of the primary issues for the district. If the number is over issues/problems, discuss the relationships between issues and develop a summary list. It Is expected that after the group has developed a list of primary causes they will be able to further summarize based upon their discussion. DETERMINING THE ROOT CAUSES: TIMES EACH ISSUE IS A CAUSE Issue No. of times mentioned as a cause of another issue: 1. High rate of illiteracy ]4) 2. Lack of access to safe water supply (i) 3. Lack of markets (i) 4. Shortage of land for small farmers " (2) 5. High rate of environmental (2) degradation 6. Poor health (2) 7. Food insecurity (3) Based on the number of times an issue was listed as a cause (see table above), a new list of key issues, prioritized issues - based on the fact that it causes more issues than other-would look like this: Development Planning System Handbook for District Assemblies 27

39 1. High rate of illiteracy 2. Food insecurity 3. High rate of environmental degradation 4. Poor health 5. Shortage of land for small farmers Look out for duplications. In this list, there are no duplications. Remember that in actual practice, the list could be quite long covering many issues. The final list should contain no more than about 12 issues. These become the priority issues for the district Problem Analysis: Determining the Supporting issues Listing of Causes. Once the key priority issues have been established and summarized and the relationship of causes, identified, the causes of each issue should be listed in detail. These causes will help to develop the immediate objectives. Duplicates of. causes between issues can be included. These duplicates will help to determine some of the over-riding or contributory causes to the overall problems in the district. Taking each issue from the list, carry out a Problem Analysis. List the causes for each issue as in the examples given below. ISSUE: HIGH RATE OF ILLITERACY Causes of this issue Lack of funds for literacy education Low importance or value attributed to education Inadequate number of literacy classes Non-availability due to high workload and long hours for farming ISSUE: SHORTAGE OF LAND FOR SMALL FARMERS Cause of this issue Large estates purchase most of the District land High population growth rate Lack of credit Traditional authorities control the land Lack of alternative income-producing activities These prioritized issues and analysis of the causes provide the basis for the formulation of Development Objectives, Immediate Objectives, and Strategies. Development Planning System Handbook for District Assemblies 28

40 3.2.3 Developing the District Mission Statement The Mission Statement is a broad statement of the ultimate direction and focus for development on the district. It is developed through a review of the District Issues and Potentials and consistency to National Development Policies. The statement should be cross-sectoral and all encompassing. Given the gravity of the poverty situation in all districts of Malawi, the urgency to respond to this problem, and National Government thrusts and priorities, poverty alleviation is the central theme for the District's Mission Statement. Prior to the formulation of the District Mission Statement, mention should be made of the national development policies. The statement on the national development policies will provide the link between the DDPF and national policies and strategies Formulation of Development Objectives District Development Objectives are developmental goals that the district has set out to achieve within a well-defined time frame. Objectives must be formulated in a systematic manner. For an objective to be systematic, it should be SMART. Simple Measurable Achievable Realistic Timely (time-bounded) National Development Objectives Prior to the formulation of District Development Objectives, mention should be made of National Development Policies. The statement on the national development policies will provide a link between the DDPF and the, national policies and strategies District Development Objectives The Development Objectives are based entirely on the primary causes and are easy to produce. Transform the negative statement (issues and problems) into a positive statement using the SMART technique as illustrated below: Development Planning System Handbook for District Assemblies 29

41 Primary Issue FORMULATION OF THE DEVELOPMENT OBJECTIVES Development Objective 1. High rate of illiteracy 2. Food insecurity 3. High rate of environmental degradation 4. Poor health 5. Shortage of land for small farmers To increase the literacy level to 60% by To eliminate the food gap of 3 months by To reduce the rate of environmental degradation by 50% by To reduce the IMR to 120/1000 livebirths and CDR to 30/1000 population by To increase the average size of small holdings to 1 hectare per family in District Immediate Objectives Once the Development Objectives have been established, the next step is to break these statements into more practical and immediate objectives. Using the causes of the main issues as described earlier on, the group translates these into Immediate Objectives which need to be achieved in order to lead to the attainment of the District Development Objectives. The process of translating the causes info Immediate Objectives is the same - causes are reversed from a negative into a positive condition. Some examples of formulating immediate objectives are as follows: Supporting Causes FORMULATION OF IMMEDIATE OBJECTIVES Immediate Objectives Lack of land for small holder farmers: Large estates own 43% of the District land Lack of training programmes in community skills Lack of credit facilities to 50% of the farmers. Poor health among farmers: Inadequate health facilities for 60% of the rural population Decrease the amount of estate land in the district by 10% by year Initiate appropriate training for rural people in 3 pilot TAs in areas appropriate technology for farmers by the end of Increase farmer's access to credit facilities to 75% in Ensure that adequately supplied health service facilities are accessible to 80% of the rural population of the district by the end of Prioritizing Objectives The process of prioritising the objectives follows logically from the process of identifying and prioritising issues through causal analysis. Once the issues have been prioritized, the objectives developed from the issues - the prioritized objectives - should follow. Development Planning System Handbook for District Assemblies 30

42 It is essential to go beyond sector objectives at this point in time and to look at cross-sectoral issues which affect the entire district. For example, are there issues of land use, population, environment or economic development that encompass a number of sector issues? The formulation of priority development objectives should extend beyond a strictly sector focus Determining Development Strategies Identifying Strategies. The strategies answer the question HOW. How will the immediate objectives be achieved to further lead to the achievement of the District Development Objective? What action and activities are necessary to achieved the objectives? Strategies should be realistic, practical, achievable, and respond directly to the objectives. They should provide the district with a clear and definite guidance for the selection of projects and the development of a comprehensive practical DDP. The table below shows the matrix to be used in summarizing the District Issues, Causes, Objectives, and Strategies. DISTRICT ISSUES, CAUSES, OBJECTIVES, AND STRATEGIES Issues/ Causes Deveiopment Immediate Strategies Objectives Objectives Problems High rate of - high workload Increase the - decrease work- - introduce new illiteracy: for farming literacy level load on the literacy classes 60% in the - lackoffunds to 60% by land of x at a time when district for literacy 2004 number of farmers are not education farmers working on the - low awareness - increase funds land for importance to support - Initiate a of literacy literacy literacy - inadequate education by awareness number of x% campaign literacy classes - increase - Increase aware-ness on support for the importance literacy classes of literacy in the district education budget by the - Increase amount number of required. literacy classes available by x% or by x number of classes Development Planning System Handbook for District Assemblies 31

43 DISTRICT ISSUES, CAUSES, OBJECTIVES, AND STRATEGIES Issues/ Causes Development Immediate Strategies Objectives Objectives Problems Shortage - large number of Increase small - reduce - initiate review of land: estates which holding to 1 available and revision of less than 1 take up all of hectare per estate land by the estate hectare the available family by 2004 x% for farmers holding for the land - Sensitize x% of policies with average - large families: population on reference to farmer no population population the landless control control - undertake an - land seen as - Increse number aggressive 1EC the only form of of alternative campaign on income or income population means to genera-ting education obtain food activities programmes - little recognition - initiate for alternative relevant small income- enterprise producing training prog. activities for farrriers Prioritizing Strategies. Identified strategies are to be listed down. Those strategies which appear to respond to a number of immediate objectives should be prioritized as adopting it would indicate better utilization of resources. In the table above, the conduct of lec/awareness campaign responds to both objectives and therefore should be prioritized. The DEC could also utilize other factors necessary in the establishment of a set of criteria for prioritizing strategies Format of the DDPF The processes explained above when put together comprise the DDPF. it should constitute Part II of the SEP. The actual format for the DDPF is given below: PART II Chapter IX. National Development Policies Vision 2020 Poverty Reduction Strategy (PRS) Chapter X. Prioritized District Issues and Constraints List of prioritized major issues and constraint in the district Development Planning System Handbook for District Assemblies 32

44 Chapter XI. Development Issues, Objectives, and Strategies DDPF Matrix showing the Issues, Causes, Development Objectives, Immediate Objectives, and Strategies Chapter XII. Prioritized Development Strategies List of prioritized development strategies Drafting and Approval of the DDPF Drafting of the DDPF. The drafting of the DDPF is the responsibility of the DEC. As such, it has the option of either developing the DDPF on its own or creating a Task Force under it to undertake the task. Should the DEC opt for the latter, the draft framework should be presented to and concurred with by the DEC before it is presented to the Development Committee. Presentation to the Development Committee. Upon completion of the DDPF, it has to be submitted and presented to the Development Committee for review. The DPD should prepare an executive summary containing the highlights of the SEP and the DDPF and present the same to the Development Committee. The Development Committee is expected to discuss each item in the DDPF exhaustively to ensure that it is reflective of district conditions and priorities. Approval of the DDPF. Once the DDPF has passed the scrutiny of the Development Committee, it is endorsed to the DA for approval. The DPD once again makes the presentation incorporating the points that surfaced during the Development Committee's review of the DDPF. After the DDPF is approved by the DA, information should be made available to the communities as a feedback in the planning system and for project identification to commence. In case the DDPF is rejected by the DA, it must be sent back to the DEC for further analysis and re-submission. 3.3 PREPARATION OF THE DISTRICT DEVELOPMENT PLAN Introduction The process of preparing a DDP succeeds the production of the SEP and the DDPF. The inputs into the DDP are the envisaged programmes and projects developed from the people's needs through the District Development Planning System. The DDPS is characterized by its four principles: bottom-up, participatory, district-focused, and people-centered. It is within the same framework of the DDPS and its basic principles that the DDP will be developed. Development Planning System Handbook for District Assemblies 33

45 3.3.2 Attributes of a Good Plan A good plan is one that is simple, realistic, comprehensive, consistent, precise, and facilitative in terms of policy and resource outlay for project implementation. In this context, the preparation of the DDP needs to ensure that the following are taken into account: Comprehensiveness. Being comprehensive means inclusive in addressing issues that affect the livelihoods of people. To that end, a plan has to cover the extent the private sector, the community {VDCs), as well as, the central government will interact in promoting development in a particular assembly. The policies that are formulated are ones that will determine the degree of interaction of various stakeholders in addressing mitigating factors towards development. Like other stakeholders the private sector plays a vital role in the deveiopment process. Therefore, direction has to be provided without necessarily over regulating their operations towards achievement of the defined objectives in the DDPF. It is impossible to. take a sensible view of District Assemblies' own revenue base and investment in the absence of expectations about the contributions the private sector will make through taxes and job opportunities. Therefore, provision of an environment for investment through Business Plans is essential. Performance Analysis. A good plan has to include a review of the past performance of all sectors of the district. A situation analysis of the district has to be done as a basis for identifying the most current problems and potentials so that appropriate strategies can be defined. Such analysis provides an understanding of the causes of the problems as well. An in-depth understanding of the things that held the DA back from performing or developing provide a basis from which to solicit means to improving the social, political and economic performance. As such, an annua! review of DDPs is not only important but essential. Development Vision and Mission. Although a plan is likely to be a medium-term development instrument, it may incorporate a perspective plan that places the term's intentions in the context of the desired pattern of economic development over a number of years - a vision. A good plan thus has to have a vision and a mission for an Assembly as this has a bearing on the National Vision, in this context, Central Government's development objectives for the plan period should be included. Defining the objectives helps choose the policy tools with which to achieve the set Assembly objectives. The District Assembly's objectives have to be precise and priorities established between them. Clarity of objectives and priorities is one of the benchmarks with which to judge a good plan. A good plan should clearly provide linkages to the national development plans. Strategy Presentation. A good plan has to present strategies through which the objectives have to translate info specific targets. Strategies here refer to a package of specific policies directed at large issues and at major socioeconomic policy variables and intended to operate over a long time span. It is Development Planning System Handbook for District Assemblies 34

46 when strategies are well defined that selection interventions in form of projects can be facilitated easily Strategy Translation. The plan should be able to translate the strategies into policy outputs (specifics). That is to say developing a set of coordinated activities for purposes of improving the well-being of people. The policy outputs are specific projects or programmes. Resource Mobilization and Expenditure Definition. A well-prepared plan should spell clearly the revenue base and sources and the expenditure intentions. A good plan therefore will set out programs of capital spending for the plan period that should be broken into specific projects and specific activities. Monitoring Tool. A good plan should be able to fulfill its function as a superior information base for decisions about the future. In simple terms, a good plan is an instrument for monitoring the development process. The plan should supplement its specific policy targets with a fuller range of projections or forecasts about the living status of people in a particular DA. To that end, a good plan becomes a tool for assisting forecasting the behavior of the national economy over the plan period. One has to ensure that the plan being prepared is a rolling instrument for development. It is important, therefore, to have an annual plan within the medium term perspective. The qualifications 2 of a good plan described above are general but important for determining how your DDP will come out. Therefore, paying attention to these attributes will be. very useful in directing the preparation of the DDP Objectives of the District Development Plan The DDP is primarily a guide in directing resources in areas that beneficiaries deemed necessary in the upliftment of living standards. Apart from that, the DDP is a tool that can be used to project investment packages for accelerated poverty reduction in an Assembly. It provides a development road map to increase consistence and coordination in promoting socio-economic and political development in a district. Some definitions are presented in Appendix C. The definitions are provided to enhance understanding of the planning process. Development Planning System Handbook for District Assemblies

47 3.3.4 Process of DDP Formulation Working on the Gains of the SEP and DDPF. The process of coming-up with a DDP begin? with the situation analysis of the district that leads to the development of the SEP. Such a process is participatory and involves various players both at the district and the grassroots: level. The production of the SEP paves the way to the development of the DDPF. Therefore, the data collection and analysis processes involving various institutions as provided for in the DDPS is vital in the process of formulating the DDP. Feedback and Project identification. It is an important step that the DDPF approved by the District. Assembly is disseminated to the communities. Communities through grassroots institutions then start to identify projects (including environmental micro-projects) that can be funded by the DA either through internal or external fund sources. Project identification is discussed in detail in Section in the case of VAPs being available, identification of projects should come from the said comm unify plans. Project Preparation. Once the prioritization of project ideas has been completed, the VDC should prepare project proposals for submission to the ADC and the DEC. A Project Proposal Format should be completed for each individual project being proposed and identified through the feed-backing of the DDPF (See Annex D for the project proposal format). The AEC should assist the community in completing the Project Proposal Format. A project.proposal forms the basis for approval and funding of any project. The objective of a proposal should therefore be to communicate with funding organizations on expected outputs, accountability, and community involvement issues. It is also expected to be a guide for project implementation, management, and evaluation. Identified project or projects taken from the VAPs do not require the preparation of a project proposal. Submission of Project Proposals. The VDC will forward selected project proposals to the ADC with a copy furnished to the DEC through the office of the DPD. The ADC should forward the project list attaching the minutes of the meeting at which the project proposals were discussed and endorsed. District-based projects should be prepared by the DEC. Project Appraisal. Projects that are identified have to be appraised. The appraisal process begins after a number of project proposals coming from VDCs and ADCs have been submitted. Refer to Section for details on project appraisal. Development Planning System Handbook for District Assemblies 36

48 Formation of DDP Task Force. The DEC needs to set a Task Force that will be responsible for consolidating inputs into the DDP from both the lower structures and the sectors. Setting-up of a Task Force should be done in a DEC meeting with the objectives of the DDP clearly defined to enable the DEC members to identify members with skills to effectively produce the DDP. The DPD shall act as Chairperson of the Task Force. Project Listing and Prioritization. The final list of appraised projects using the matrix in Appendix E is compiled by the DDP Task Force. Specific programmes and projects that comprise the list or Chapter111 (Programmes and Projects) of the DDP should be linked to the strategies outlined in the DDPF. Once the final list is ready, ADC and District programmes and projects are prioritized using the Programme/Project Selection Criteria Matrix in Appendix F. Prioritization is required because: * All the needs may not be equally important. Therefore, the needs of the majority of the people or members must be prioritized in order (e.g. 1 st, 2 nd, 3 rd and so on); * All identified project needs cannot be implemented at once. Therefore, it must be determined which should be carried out first; and * Project needs may be far too many, while time, financial, and natural resources are insufficient. The main output of the project prioritization exercise is the Annual Investment Programme or Chapter V (Investment Programme) of the DDP. Completing the DDP. This involves the consolidation of various parts of the DDP, such as the DDPF (Chapter II), listing of programmes and projects (Chapter 111), and AIP (Chapter V) into one document. Chapter IV (Resources for District Development) of the DDP is prepared with information coming from the Director of Finance. Refer to Sections and for the content and structure.of the DDP. Presentation of DDP. With the draft DDP completed, it should be presented by the' Task Force to the DEC for the latter to present to the Development. Committee for refinement. Comments should be gathered during the presentation for incorporation into the Plan. Plan Approval. After passing the scrutiny of the Development Committee, the refined DDP would have to be endorsed to the DA. It is the responsibility of the lead in the DDP formulation (in this case, the DPD) to make the necessary presentation to the DA. The DA has to approve the Plan either through a Resolution or as reflected in the minutes of its meeting for it to be officially adopted, A copy of the approved DDP shall be sent to.the DLG. Development Plummy Swreni'Handbook for District Assemblies 37

49 Should the DDP not get the approval of the DA, it must be sent back to the DDP Task Force for refinement and re-submission Project Identification Generation of Project Ideas. Project identification commences after the DDPF has been developed, approved, and communicated to the communities. During this stage, potential projects are identified and the required internal and external resources estimated. It should be noted that ADG and district-level projects can evolve either from the community-based needs assessment or can be identified separately by ADC/DEC/DDC members in the context of their work with the communities. -The projects can also evolve during the preparation of the DDPF or in the course of conducting the VAP. Extension workers, community members, NGOs, and all grassroot level institutions and organizations can propose projects to the VDC based upon the identified needs in the community.. Prioritization of Project Ideas. The VDC will compile a list of all proposed projects. After getting the necessary clarifications from the proponents through group discussion, the VDC will assess the relevance and importance of all project ideas. It will then discuss, screen, and prioritize project ideas based on the concensus of the community and compile a final list of proposed projects Project Appraisal The appraisal of a project involves examining and evaluating the feasibility of submitted project proposal based on technical, institutional, financial/economic, social, and environmental perspectives, it assesses whether a project is worthwhile, by comparing the goals and objectives of the project to national and sectoral objectives, considering whether the design of the project makes it likely that the goals and objectives will be achieved, and whether the project represents the efficient use of resources. Appraisal of a project is not just about determining whether or not a project should be implemented. It aims at finding the best approach to realizing the desired objectives and outputs. It can improve a project or suggest ways of redesigning a project that was initially unacceptable because of design faults. Consolidation and Classification. The DEC should compile a list of proposed projects from ADCs or the VAPs that is consistent to the DDPF. These projects are then categorized by sectors and subjected to detailed screening through desk and field appraisals. Development Planning System Handbook for District Assemblies 38

50 >p Desk Appraisals. The DEC does the desk appraisal by undertaking the following: Review the project proposal forms for completeness and compliance with the Project Proposal Format-Guidelines; and Develop sectoral lists of projects for field appraisal. Field Appraisals. After the desk appraisal, the DEC will organize field trips to verify the information contained in the- project proposal format or the detailed activities and commitment indicated in the VAPs. During the field level appraisal, the DEC will utilize the Appraisal Form in Appendix G. if the project does not satisfy the Appraisal Criteria during field validation, VDCs/ADCs will be informed on the spot so they can made the necessary modifications and resubmit their proposals or go through the process of fulfilling their commitments as reflected in the VAP. The Development Advisory Team (DAT) shall refine the project proposals and revise the cost estimates for submission together with the appraisal report to the DEC Chairperson Composition and Roles/Responsibilities of \he DDP Task Force A Task Force of up to six members is deemed adequate. It shall be led by the DPD and work under the guidance of the Development Committee of the DA. The Terms of Reference for the Task Force, however, should be developed by the DEC. Some of the tasks that may considered are: Ensure that sectoral investment plans are developed within the agreed time frame and adequately and appropriately linked to overall development issues and objectives; Ensure that VAPs, where done, are incorporated; Consolidate all inputs as required in the DDP outline; Present draft DDP to DEC; Ensure that DATs have appraised and consolidated project proposals from their area of jurisdiction (that all project proposals from communities are appraised and appropriately linked up); Liaise with the Development Committee on policy direction and vision of the Assembly; and Ensure that the plan is linked to national policies Content of the District Development Plan The content of the DDP is bound to vary from one district to another due to differences in needs and potentials. The DDPF that is developed from the situation analysis and subsequent projects inputting from development institutions in that district will largely determine the contents of the DDP. Reference should be made to Sector Investment Plans and Programs in the identification of projects to be incorporated in the DDP. The National Vision remains constant as are the main issues from the Poverty Reduction Strategy and the Decentralization Policy. Development Planning System Handbook for District Assemblies 39

51 Each plan must be comprehensible enough to cover all development objectives as they appear In the DDFF. The basic inputs, which are projects and programs, have to be specifically defined by covering activities and budgets as tools for facilitating the achievement of objectives. It is imperative that sources of finances for funding the plan are clearly explained. Village, area, district and inter-district projects have to be clearly defined indicating levels of community participation where applicable. For inter-district projects 3, levels of cooperation and funding in the projects have to be spelled out as well. A monitoring and evaluation package based on the DDPF has to be built in the plan Structure of the Plan The preparation of the DDP should be based on an issue /objective approach as reflected in the DDPF. A structure based on priority objectives as reflected in the DDPF is more desirable in that it compels all sectors related to an issue/objective to work more closely in developing programs and strategies and indicators for monitoring and evaluation that are consistent and multi-sectoral in character. In arriving at the objectives in the DDPF, a causal relationship analysis of each of the problems identified is undertaken. Most of the development problems that are identified in communities are multi-faceted in that they are related to many sectors. Therefore, participation and understanding of the causal relationship during the preparation of the DDPF and subsequent interaction by affected sectors in addressing the problems is deemed appropriate. By using an objective/issue approach, complementarity between and among various development stakeholders in addressing problems multi-sectorally is increased. The danger with this approach, nonetheless, is the complexity that unfolds especially if the levels of understanding by sector representatives is poor. In view of the above explanation, below is an outline that District Assemblies should be using in developing DDPs. i. Foreword/Message: The Mayor/Chairperson of the District Assembly should write this. ii. Introduction: This should be written by the District Commissioner. Presented under this section is the purpose and uses of the document indicating in broad strokes the process of coming-up with the document. iii. Acknowledgements: This should be written by the DPD giving credit to persons and entities instrumental in the production of the document. huer-district projects are projects that can be jointly implemented by two District Assemblies as provided for in (lie Local Government Act Development Planning System Handbook for District Assemblies 40

52 iv. Table of Content: This shows the content of the document and its respective page/s. v. Acronyms: This is the iist of acronym used in the document, vi. Executive Summary: This is a I or 2 page summary of the highlights of the document. Chapter T: Nation at Development Frameworks A. Vision 2020: Summary of the provisions of Vision B. Poverty Reduction Strategy: Relates the Poverty Reduction Strategy to the Planning and Development Framework C. Decentralization and Governance (Decentralization Policy): Indicates the current Decentralization Policy in Malawi as far as institutional. framework relates to poverty reduction Chapter II: District Development Framework A. Development Mission B. Issues and Causes C. Potentiais D. Medium-Term Development Objectives E. Immediate Objectives/Targets F. Strategies This is presented in matrix form (DDPF matrix) Chapter III: Programs and Projects This is the translation of strategies into specific courses of action which cumulatively leads to an improvement in the living standards of communities It is advisable to present the programs and projects in matrix form (refer to Appendix E) Chapter IV: Resources for District Development A. Analysis of Assembiy investments: This section is meant to provide levels of public investment for the plan period. The sources of public investment are the communities themselves, the district level officials, and national programmes, indicate by percentage the focus of resource utilization for the defined issues. B. Private investment Analysis: This outline the level of private sector investment and identification of areas where the same needs to invest and how much. The areas are derived from the potentials that are in turn defined from the SEP. C. Future Financial Projections: This focuses on the expected revenue collections from within the DA, projected donations from nongovernment organizations and donors, and government contributions over a period of 3 years. These are presented as summaries and provide the link to the programs and projects, to be implemented in a particular budget year. - < Development Planning System Handbook for District Assemblies 41

53 Chapter V. Investment Programme Programs and projects to be funded annually for the duration of the plan period through internal and external resources (refer to format below) District Investment Programme (ex. Year ) For Year 1 (ex. 2002) Programme/Project Title Programme/Project Cost Source of Fund Programme/Project Title - taken from the listing of proposed programmes and projects Programme/Project Cost taken from the listing of proposed programmes and projects How/where will funds necessary for the implementation of the programme/ project be taken? For Year 2 (ex. 2003) Programme/Project Title Programme/Project Title - taken from the listing of proposed programmes and projects Programme/Project Cost Programme/Project Cost taken from the listing of proposed programmes and projects Source of Fund How/where will funds necessary for the implementation of the programme/ project be taken? For Year 3 (ex. 2004) Programme/Project Title Programme/Project Cost Source of Fund Programme/Project Title - taken from the listing of proposed programmes and projects Programme/Project Cost Taken from the listing of proposed programmes and projects How/where will funds necessary for the implementation of the programme/ project be taken? Development Planning System Handbook for District Assemblies 42

54 3.4 Village Action Planning {VAP) Introduction Village Action Planning is an integral part of the DDPS and involves the process of facilitating development at the grassroots level by allowing the members of the community to participate in the analysis of the local situation and develop action plans that serves as a basis for the DDP. The VAP process employs participatory planning approaches in enabling the communities to plan and decide for themselves the manner of which they intend to develop their area. The specific output of the VAP is a community situational analysis and action plan (please refer to the VAP Manual) VAP Integration The conduct of the VAP process can run parallel to the district-level production of the SEP and the DDP. Outputs from the VAP actually feeds into the SEP and the DDP enhancing the content and value of said documents by making it reflective of community priorities and needs (see Figure 2). 1 5t Stage: Once a Village Action Plan is completed, it is forwarded by the VDC to the ADC and the DA, Information generated and used in the conduct of the situational analysis at the village level is consolidated at the TA level to serve as Area SEPs. It is also used to enhance the information contained in the DDB, 2 nd Stage: Information in the DDB (sourced from both the questionnaire and VAPs) is used as a basis for the production of the District SEP or updating if one is already existing. It is important to note that once all Action Plans are in, the DA should immediately commence the process of either producing or updating the District SEP'and the DDPF (please refer to sections 3.1 and 3.2 for the development of the SEP and the DDPF). 3 rd Stage: Development projects contained in the Action Plans are integrated in the DDP. Integration of projects identified through the VAP is done annually during the annual plan review and will comprise part of the district's investment programme for the succeeding year. Development Planning System Handbook for District Assemblies 43

55 Figure 2. VAP integration District i i Area Level Village Level Development Planning System Handbook for District Assemblies 44

56 H. Budgeting and Resource Mobilization 4.1 BUDGETING Budgeting is a financial planning process to achieve planned recurrent and development objectives. It is an important tool in the proper allocation of scarce resources necessary in the implementation of prioritized development projects and activities. Budgeting is also an important instrument in controlling.the implementation process and in evaluation exercises where budgets are utilized in comparing the actual and estimated cost of development activities and projects. Budgets are estimates of the inflow and application/outflow of resources. It is prepared to cover the DA's intended expenditure for a period of one year. ( It is the intent of this chapter to focus on the preparation of the Development Budget. Information on the Recurrent Budget is tackled in detail in the Financial Management System and Accounting Procedures Manual of the Assemblies Types of Budgets There are three major types of budgets the Assemblies must prepare on an annual basis. These are as follows: Recurrent Budget which comprises of Revenue Budget that estimates the type and amount of revenues the Assembly will generate from its local sources of revenue and to collect from the Central Government and donors by way of grants/donations in the budget period. Expenditure Budget that estimates the type and amount of administrative and operational expenses required in administering the DA Capital For motion/fixed Assets Budget that estimates the type and cost of fixed assets required to facilitate the administration and operation of the DA Development Budget that estimates the type and cost of development projects/activities to be implemented within the district and necessary in attaining the targeted level of economic and social development during the budget period. j i I ;! Development Planning System Handbook for District Assemblies

57 4.1.2 Development Budgeting Process Preparatory Activities. To assemble/prepare a Development Budget, the Development Committee must revisit the DDPF and look at the objectives and targets of the district. It must also refer to the Annual Investment Programme (AIP) of the DDP for the listing of planned projects that could be incorporated in the Development Budget. If is also at this stage that indicative budget ceilings are provided by the Director of Finance to the Development Committee and all departments for purposes of project prioritization. Project Prioritization. Guided by indicative budget ceiling, the Development Committee shall prioritize the development projects/activities to be funded using os a basis the list of priority projects/activities reflected in the AIP of the DDP. In the course of project/activity prioritization, high priority projects/activities should be allocated/budgeted with adequate resources while low priority projects/activities are either scaled down or deferred. The Development Committee should not aim to do everything in one specific time period in view of limited resources and capacities. Preparing the Budget. Once projects/activities have been prioritized, the office of the DPD shall commence preparation of the Development Budget by filling-up the required form (see Appendix H}. Pledges from expected development partners may not be available at the time the budget is prepared. In such cases, the Development Committee must proceed budgeting estimated resources from pledges. Budget Consolidation. Once completed, the Development Committee should review and endorse the Development Budget. It is then passed over to the Director of Finance for consolidation with the Recurrent Budget. Budget Review and Approval. The consolidated budget shall be reviewed by the Finance Committee and recommended for approval by the DA. This consolidated Annual District Budget is reviewed by the DA before it is approved and submitted to the Local Government Finance Committee (LGFC) for final approval. Once approved by the LGFC, the DA starts implementing the approved budget District Development Fund (DDF) The DDF is a facility for the devolution of financial allocation responsibilities and disbursement to District Assemblies, and over time, as capacities are developed, to lower levels of local authorities and communities. Development Planning System Handbook for District Assemblies 46

58 Objectives of the DDF the 3nd MP) the ;tor s of enf ;ing. In uld >rity ent v of 5 of -up The DDF is intended to finance development projects and activities reflected in the DDP and, for the year in reference, those incorporated in the Development Budget. It aims to foster the following: A transparent system of allocation; Predictability of amount available in order to encourage local planning capacities, an appreciation of the necessary finks between capital and recurrent allocations; and Greater accountability of local authorities {officials and politicians) to their constituencies Management of the DDF The DDF is controlled and managed at the district level. Allocation decisions are undertaken by the DA based on the Development Budget and recommendations from the Development Committee and the Finance Committee. Once the allocation is approved, the DPD, in collaboration with the Director of Finance, is responsible for the management and operation of the DDF. The specific details in the operation and management of the DDF are discussed in the Financial Management System and Accounting Procedures for District Assemblies Manual. me lust 4.2 RESOURCE MOBILIZATION uld the the This 'ed nal the The process of mobilizing resources starts with the DDP. If is therefore necessary that the conduct of district development planning fake due recognition of the resource potentials of the district. It is also in this respect that it becomes imperative to identify resources for the district that can be sourced either within and/or outside the district Types of Resources Assemblies require resources for local governance and their economic and social development endeavours. In general, the resources are classified under four major categories. These are: human resources, natural resources, and financial resources Human Resources Human resources are essential for the proper planning, implementation and monitoring of economic development endeavours and the management of the Assemblies. The resource may be tapped from local labour markets which have the potential of supporting district development or in the case of highly specialized skills, in the form of Technical Assistance from abroad. Development Planning System Handbook for District Assemblies 47

59 Natural Resources Natural resources are the natural endowments or gifts of nature that exist in the district, i.e. materials or conditions occurring in nature and capable of economic exploitation. It include land, rainfall, weather, lake/wafer, forests, animal, fish, minerals, sand, stones, etc. These can be utilized to the satisfaction of the people either directly in its natural form or after change. Each Assembly is endowed with natural resources and these must be included in the process of district development planning Financial Resources Financial resources in a district include all forms of funds that may be raised locally in the - district or obtained from external sources. Local financial resources may originate from taxes, fees, fines, rates, interests on money banked, donations, transfers, investments, loans, etc. External sources financial resources could come from central government subventions, investments by NGOs, donors, bilateral agreements, loans, etc. The actual amount will depend on the Assemblies' ability to obtain funds locally and externally. There are three kinds of financial resources available to the Assemblies: capital formation (fixed assets purchases), operational funds (recurrent expenditures); and capital development funds (for infrastructure and social development). Capital Formation Capital formation is vital to facilitate the management and economic development endeavour of the Assemblies. In order for the human resources to perform their duties and responsibilities smoothly, efficiently, and effectively, basic equipment and implements like vehicles, motorcycles, etc. are necessary and provided for under capital formation. Operational Funds Operational funds are essential to meet recurrent expenditures for local governance and development management activities. Monies coming into the fund are mobilized from local and external sources. Development Funds Development funds are received in the form of cash from various sources. The said fund is critical for the Assemblies to implement development projects/activities, such as, building of schoolblocks, establishment of boreholes, etc. that leads to the overall improvement on the quality of life of people in the district. Development Planning System Handbook for District Assemblies 48

60 4.2.2 Mobilizing Resources Mobilization of resources involves the process of acquiring and converting said resources into usable form that supports the priorities and developmental activities of the district. It entails the identification of the type of resources that can be tapped, soliciting funds through various means, and the establishment of the required funding arrangements Human and Institutional Resources The capacity and skill level of human resources in the district have to be. identified and classified into different disciplines. Once identified and classified, the district should be able to discover gaps that exist among the productive population and mobilize the available people for development activities. People at the local level, especially those not gainfully employed should be targeted for self-help activities. They should be mobilized to contribute their labour for development activities, such as, moulding of bricks, collecting sand and stones, transporting equipment and materials to the project site, etc. The institutional structures that exist in the districts should be empowered to manage development programmes and projects adequately. Members of the said structures should be trained and sensitized on the areas of leadership, project management, local planning, and PRA as part of human resource mobilization Natural Resources The mobilization of natural resources involves the acquisition and, if necessary, the conversion into useable forms of the resource identified existing in the district. Such resources may be sand, stones, woodlogs, gravels, water, etc. that can be collected directly for use in development activities. Other natural resources, like forest woods, minerals, soil, and others can be converted into furniture, bricks, or energy Financial Resources Mobilization of financial resources will involve setting out ways and means of collecting finances mainly through taxes, fines, fees, investments, requests, appeals, training, preparation of budgets for marketing, loans, transfers from the Central Government, donor community, etc. It is the total effort geared towards the raising of funds to finance the development activities of the district. Development Planning System Handbook for District Assemblies 49

61 4.2.3 Fund Sources and Usage There are different fund sources that DAs have access to, the major ones being Local/Internal Revenue Sources, National Government Transfers, Grants, and Loans. Accessing funds for project financing is not confined to a particular type of fund source but may require a combination of different fund sources Local/internal Revenue Sources Local revenues are generated from rates, taxes, licenses of various types, user charges, fees, commercial undertakings, etc. provided for in the LGA. Revenues generated and collected from such sources are accounted in the books of account of the Assemblies and used for operational activities, capital formation, and capital development projects/activities. The bulk of local revenues are used for operational activities with a portion allocated for capital formation and capital development projects/activities. Funds allocated for capital development. projects/activities are transferred from the recurrent bank account to the development bank account forming part of the budget for the latter. Such will be identified in the development account as "Donations from Local Sources" National/Centra! Government Transfers National/Central Government allocates and transfers funds to District Assemblies to assist the latter in financing critical development activities implemented at the local level. The said transfers which are in the form of grants contains among others, the General Allocation Fund (GAF) and Sector Transfer Fund (STF). The GAF is an unconditional block grant from the National Government to be used for recurrent, capital formation, and capital development projects/activities. This grant is utilized at the discretion of the District Assembly. On the other hand, the STF is also a grant but with conditionalities involved. National Government fund transfers under the STF could only be used by District Assemblies to finance specific activities or activities under a particular sector. In addition to the above types of National Government fund transfers, line ministries of the National Government may assign District Assemblies to implement projects/activities on their behalf. The fund for such project/activity will be shown under the respective line ministry budget for disbursement to the District Assemblies by the concerned line ministry. The transfer of these funds is arranged and agreed upon by the District Assembly and the Line Ministry concerned. Development Planning System Handbook for District Assemblies 50

62 Grants A grant is a sum of money or materia! given to districts or given by District Assemblies to the community for the funding and implementation of development and service activities. Recipients of grants are not required to repay the money or materials provided. Aside from the National Government, Donor Agencies are the largest provider of grants in the country. These donors can be grouped into two, namely, local donors and foreign donors. Local donors are comprised of private companies, individuals, and national NGOs from within Malawi. Foreign donors, on the other hand, are multi-lateral organizations like the United Nations (UN) systems, World Bank (WB), African Development Bank (AfDB), European Union (EU), Organization of African Unity (OAU), foreign NGOs, etc. and bilateral donors like foreign governments. By-and-large, the greater portion of the capital development funding for DAs is mobilized from foreign donors through the National Government. The distribution of donor funds among the DAs depend on the agreement entered into between the National Government/Assembly and the donor. Fund distribution may be based on a formula and on a specific Assembly basis. Donors and the National Government may donate vehicles, motorcycles, equipment of various types, etc. to the Assembly. Such donations/grants shall form part of the Capital Formation Budget/Grant in the books of the Assembly loans For some commercial undertakings (capital development), DAs may have to borrow money from financial institutions on the approval of the Local Government Finance Committee. Borrowed money can only be utilized for a viable investment activity. The loan forms part of the capital development project budget for the financial year applicable Resource Mobilization Strategies Once the investment required is determined and the District has its Budget for the DDP, the District is ready to begin sourcing funds to support the projects it intends to implement. When mobilizing resources, the DAs must be fully prepared to outline exactly why, when, and how the funds will be utilized and in the case of loans how funds will be repaid. Below are some strategies for the mobilization of resources. Development Planning System Handbook for District Assemblies 51

63 Conduct of Conferences The. DA can arrange for the conduct of a conference on the DDP inviting NGOs, International Organizations operating in the country, the business community, relevant government offices, etc. During such a conference, names of possible financiers may be suggested or some of the invited organizations may be taken up on cost-sharing basis. This is an excellent means of drawing donors to the District to support the implementation of the DDP, but conducting such a conference will require an investment on the part of the host Fund Raising Campaigns/RgHies Conducting fund raising activities is a good way of generating the necessary resources and at the same time getting the people.(and beneficiaries) involved. Activities under this strategy are numerous, ranging from the holding of raffles and charity games to asking communities for contributions Submissions of Project Proposals In any planning exercise, requirements will most likely exceed available resources. Projects that could not be funded out of the DDF may be submitted to potential donors for consideration in the form of project proposals. This may be done on behalf of the communities by the DA but under no circumstances would the former be prevented from directly submitting their proposals to potential donors. Development Planning System Handbook for District Assemblies 52 V

64 ing ess ze, ed snt of on he nd >us, ing 5.1 INTRODUCTION DDP Imp 1 ement at ion The DDPs ore implemented through the execution of its programmes and projects approved by the DA. Program and project implementation is guided by the annual work plan, which contains the schedule and budget of programs broken down into projects targeted for implementation within a period of one year. Implementation of the work plan commences with the approval by the DA and ends with plan evaluation at the end of the planning period. The DEC facilitates the implementation of the Plan with the DPD coordinating the actual implementation with the DEC, DC, DAT, ADC/VDC, and the beneficiaries. 5.2 PROGRAMME IMPLEMENTATION ole be 3Ct DUt :tly A programme is comprised of several projects or components geared towards the achievement of a common objective. The implementation of a programme is similar to that of a project except that the former normally has a built-in management mechanism for the proper coordination of the various projects or components under it. 5.3 PROJECT IMPLEMENTATION Project implementation is the process where resources i.e. human, financial, technical, and natural are converted into usable goods and services adaptable and acceptable to the target users or beneficiaries. It commences immediately after approval of the DDP and the annual work plan by the DA. Project implementation ends with the final project evaluation. Project implementation is divided into three phases, namely, pre-investment, investment or implementation, and post-investment or operational. Specific activities comprising each phase are interlinked with each other (see Figure 3). 53 Development Planning System Handbook for District Assemblies

65 Figure 3. Project Implementation Phases Pre-lnvestment Phase This phase involves the finalisation of the Physical and Financial Plan (PFP) and the launching of the project at the community level Finalization of the Physical and Financial Plan The PFP is a planning and management tool which paves the way for management to fully monitor ongoing project activities over its lifetime. If also enables both the implementor and management to follow-through the progress of work vis-a-vis its expenditures. The PFP could be best depicted through a Ghantt Chart/Project Implementation Plan (see format in Appendix I) where project activities are indicated in detail and chronological order; inputs for each activity are defined; outputs are defined; a breakdown of costs and time per 54 Development Planning System Handbook for District Assemblies

66 quarter is outlined, responsibility for each action is noted; and finally any important remarks are provided. The main points to remember in preparing the PFP are that: Activities must be categorized chronologically into pre-investment phase, investment phase, and post-investment phase. Construction projects must be divided into detailed physical operational time phases; i.e. brick laying, window fixing, roofing, flooring, painting, etc. A program of utilization of physical resources indicating the type and quantities in terms of number of person days, quantity of supplies, materials, and equipment needed for each activity must be outlined under the input and output columns. This facilitates accurate planning and cost/item checking and balancing during progress monitoring The responsibility center which is either an individual or agency involved in implementation must be specified in the PFP to enable the monitor to know whom he/she could coordinate with regarding project implementation Project Launching In the launching of the project, it is imperative that the said activity be conducted at the community level. A community meeting should be organized for this purpose so people could be informed of the project to be implemented, its details (purpose, cost implementation schedule and procedures, etc.), roles and responsibilities of the community and other parties involved, and other matters necessary to ensure its smooth and efficient implementation. The project launching should be done by the TA with the GVH, VHs, Ward Representative and Chairperson of the VDC in attendance, in case of the TA being unavailable, the Ward Representative should undertake the launching. Development Planning System Handbook for District Assemblies 55

67 5.3.2 Investment Phase Tendering and Procurement of Services and Materials. With the PFP finalized and - the necessary organizational structures and systems and procedures established, labour and materials could now be procured. The tendering and procurement procedures are discussed more in detail in the Financial Management and Accounting Procedures for District Assemblies of Malawi. Delivery of Materials. The delivery of project materials to the site is the responsibility of the DAT in conjunction with the PIC. it is imperative that a member of the PIC tasked to maintain the stock books and forms be available to receive the stocks. Control of Project Resources. For the security of project resources, the project committees and the community leaders should ensure that all resources coming to the community for project implementation are recorded in appropriate register/books and should be used only for the intended purpose. Under no circumstances should project materials be released without consent of the project committee and signature of the peron collecting the materials. Procedures on this are discussed more in detail n the Financial Management and Accounting Procedures for District Assemblies of Malawi, Implementation. This involves the actual construction, installation of physical facilities, and provision of development services based on the PFP. Phasing-out of Assistance. During programme/project funding, consideration should be given to ways of sustaining activities under the programme/project. Capacity should be built during project implementation. Training is an important aspect of capacity-building. Activities to be undertaken in preparation to phasing-out include: Certifying the completion of assistance by the implementing agency as concurred by the recipient community; Closing and final audit of accounts; Debriefing of the project; and Handover of the project to the community (where applicable) Post-Investment Phase This is the stage where project implementation is completed and beneficiaries assume overall management of the project. Major activities involved are: Maintenance of facilities (i.e. roads, schools, boreholes, etc.) Expansion, replication, and sustenance of the project 56 Development Planning System Handbook for District Assemblies

68 5.4 COORDINATION I ihe ppd shol! be the overall coordinator of development projects implemented I in the district. To achieve proper project implementation, a quarterly work 1 program for project coordination should be prepared. The formulation of the i workpian should not only take into consideration problems encountered in the I course of project implementation in the preceding quarter but also emphasize I on the linkages with appropriate bodies at the district (DEC and DAT) and subj district (PIC) levels in addressing project implementation problems.» PROJECT FUND MANAGEMENT «The overall responsibility for the management and accounting of project funds j lies with the. Director of Finance, However, disbursement authorization for DDF I projects must come from the DPD. Any payment authorization from the DDF over 1 MK80,000 must be countersigned by the District Commissioner. K I The PICs are likewise involved in project fund management in order to develop capacity in managing the entire project fund in the long run. The sharing of j responsibilities between district and community-level structures in project fund j management is as follows: jl Procurement of Materials and Services. Materials will be procured by the Tender jl Committee of the DA and delivered to the PIC. ik 1 1 On the aspect of labour/services, the Labour Contractor could be selected by the VDC or PIC provided the expertise is available at project site/vdc level. If 1 such requirement is not satisfied, the Tender Committee of the DA shall advertise, ji select, and award the labour contract. I I Fund Management. The management of the project budget for labour, fuel, jl allowances, transport hiring, tender advertisement, etc., shall be left to the PICs and operated in the following manner: ] * A Savings Bank Account shall be opened by the PIC in its name, jl Signatories to the account must be the Chairman, the Secretary, and the j Treasurer of the PIC; I * The DA shall deposit in tranches into the bank account opened in the j name of the PIC; jl * Release of the next tranch shall be effected only after the PIC has jl accounted for 80 percent of the previous tranch deposited; ]l * The equivalent of the amount accounted shall be replenished into the PIC j bank account. 57 Development Planning System Handbook for District Assemblies

69 Financial Accounting. The PIC shall prepare and submit to the Director of Finance the Financial Statements of PICs (please refer to Appendix FS of the DDF Manual) whereby page 1 summarizes the transactions in the savings pass book and page 2 summarizes the payments made from the withdrawals. The DA Finance Directorate shall check the accuracy of the Financial Statement submitted and the adequacy/completeness of the supporting documents before it releases the next tranch. 58 Development Planning System Handbook for District Assemblies

70 Monitoring and Evaluation 6.1 INTRODUCTION The Monitoring and Evaluation System comprise processes, tools, and indicators which enable the communities and district to assess the progress of their planned work. Its ultimate objective is to satisfy the requirements of decision-making, learning of lessons, and ensuring accountability. The DDPS depends upon an effective monitoring and evaluation system to conclude its cycle. 6.2 THE MONITORING SYSTEM Description and Start of Monitoring Monitoring is a process that takes place during the course of programme/project implementation. This process involves the continuous collection and analysis of information or day-to-day project activities so as to take check on the progress of ongoing activities as laid down on the project implementation schedule and in order to allow the taking of corrective measures when problems occur.. Monitoring commences once the annual Assembly Budget is approved by the DA and the LGFC. All activities will be monitored against set targets in terms of cost, time, and level of achievement Objectives of the Monitoring System The objectives of the monitoring system are as follows: To assess the DDP programmes, projects, and activities in order to improve ongoing effectiveness; To introduce a participatory monitoring system which includes all stakeholders; To track the progress of project activities during implementation and alert decision makers in case of shortfalls or deviations for early corrective action; To provide the right people with the right information at the right time; and To accumulate information/data that may be used during an outcome or impact evaluation. 59 Development Planning System Handbook for District Assemblies

71 6.2.3 Monitoring Responsibilities and Reporting Flow Monitoring is undertaken at the district and community level. The specific monitoring tasks and responsibilities of the different structure at both levels and steps in the reporting flow are as follows: Community Levei Step 1. Step 2. The PIC will follow-up on daily basis the implementation of project activities based on the already formulated Implementation Schedule or Physical and Financial Implementation Plan; Based on the workplan, the PIC should prepare and submit on a monthly basis to their respective VDCs the Community Project Monitoring Report which shows the progress, problems/issues, action taken/recommendations, and workplans of the programmes and/or projects implemented under their responsibility (see Appendix J). Where funds for project implementation is transferred to the P/C, attached to the CPMR is the breakdown of funds re/eased and disbursed (or expendedj per activity instead of the breakdown of materials used. Step 3. The VDC should compile all PIC Community Project Monitoring Reports info one Community Project Monitoring Report. Once consolidated, the VDC submits these reports to the ADC on a monthly and quarterly basis, copy furnished the office of the DPD. Step 4: The ADC, with the assistance of the AEC, should compile all VDC Community Project Monitoring Reports and feeds the information into the Monthly (Quarterly) Physical and Financial Progress Report and Work Plans (see Appendix K) for the information and appropriate action of its members. Information on the financial accomplishments, including the itemised cost of materials delivered and received by the PICs, is provided by the Office of the Director of Finance to the ADC. In the case of funds being transferred to the P/C, financial accomplishment is culled from the CPMR. Reflecting the financial accomplishment allows the ADC to make comparisons on the level of resource utilization. The completed Physical and Financial Progress Report and Work Plan is forwarded to the DPD on a monthly basis. 60 Development Planning System Handbook for District Assemblies

72 District Level Step 5. Step 6. The DPD, with the assistance of the DAT, consolidate and analyzes the Physical and Financial Progress Reports and Work Plan coming from ADCs. The consolidated Physical and Financial Progress Reports and Work Plan is then submitted to the DEC on a monthly and quarterly basis. It is critical that the DPD provide guidance to the DAT in the consolidation and analysis of said reports. The Accounts Office of the DA shall prepare Monthly (Quarterly) Project Financial Reports on the projects implemented under the DDP. This report shall be forwarded to the DPD, DAT, and ADCs for integration into the Monthly (Quarterly) Physical and Financial Progress Report and Work Plan. Step 7. The DEC shall discuss the completed Monthly (Quarterly) Physical and Financial Progress Report and Work Plan in its monthly meetings and provide recommendations to identified implementation problems and issues. Step 8. Reports are submitted to the DA which acts on the recommendations of the DEC. Finally, the Monthly (Quarterly) Physical and Financial Progress Reports and Work Plans are forwarded to the DS and the DLG. Step 9. The DA informs the DEC of feedback from the national level on the reports submitted. Step 10. The DAT and the office of the DPD should conduct regular field visits at least once monthly. It shall also hold regular community' meetings to disseminate information on the Monthly (Quarterly) Physical and Financial Progress Report and Work Plan to ADCs and VDCs and to provide feedback on project issues and decisions intended to solve implementation problems National Level Step 11. Representatives from the DLG and relevant planning bodies should make regular visits to the districts to assess progress of planned activities. Consistent guidelines for field visits should be used. Copies of field visit reports should be sent to respective interested parties. 61 Development Planning System Handbook for District Assemblies

73 Step 12. The DLG and other concerned national bodies provide feedback to the DA, through the DLG, on the monitoring reports received. Step 13. At the central level, the DLG in conjunction with the National Economic Council (NEC) and other government ministries and offices should convene quarterly and annual review meetings to consider progress and provide continual feedback. A diagram of the Monitoring Responsibilities and Reporting Flow is provided in Figure THE EVALUATION SYSTEM Based on the monitoring information, the objective of the evaluation varies according to the type of evaluation: on-going, outcome or impact. The ultimate objective of an evaluation is to assess achievement of objectives and to determine the impact of project outputs on target beneficiaries On-going Evaluation Objectives of Ongoing Evaluation The main objective of an on-going evaluation is to take corrective measures on future activities in order to achieve the designated objectives in a satisfactory manner. This evaluation takes place during the project or programme lifetime (in this case, on a quarterly basts) and constitutes the bridge between monitoring and other types of evaluation Indicators The indicators for this type of evaluation focus on time and cost effectiveness of the planned activities for the projects compared to their actual achievement, e.g. actual cost of projects inputs when materials are delivered to the site, time and cost for doing the foundation of a construction work, time and cost of achievement for reorganizing VDCs/ADCs, and time and cost of training in writing the project proposal Tools Using information from the Monthly and Quarterly Physical and Financial Progress Reports and Work Plan, on-going evaluation can be carried out using the following tools: 62 Development Planning System Handbook for District Assemblies

74 vide :>orts Figure 4. Monitoring Responsibilities and Reporting Flow onal and 3S to vv IS dries nate 1 to the on. cost their trials of a izing ;ai. 63 Development Planning System Handbook for District Assemblies

75 Financial and Physical Accomplishment Comparison This tool compares what is actually achieved in terms of financial expenditure and the matching physical performance in relation to what has been planned. For instance, a school block is planned to be completed after a six month period at an estimated cost of say MK60,Q00 and the allocation for the first quarter is estimated as MK30,000 against which the project will reach the window level and fixing doors and windows. The following project result options could have happened at the end of the quarter: Option a: The project has reached the window level and the doors and windows were fixed at the estimated cost in this case this project activity is properly done with a zero slippage. Option b: The project has reached the window level and the doors and windows were fixed before the period and at the same estimated cost or less. In this case, the activity is done with time saving in the first probability and with time and cost saving in the latter. Option c: The project has reached the window level; the doors and windows were not fixed but the budgeted allocation was used; in this case, the activity is not done and there will be an overexpenditure. Lessons Learned and Best Practices Lessons learned and best practices are derived from successes and problems encountered during project or programme implementation. The objective of using this tool is to encourage repetition and replication of the successes and avoidance of the mistakes in future project activities Outcome Evaluation Objectives of Outcome Evaluation The objective of outcome evaluation is to provide an annual or biannual critical assessment of the Development Plan/projects implementation versus the already set objectives and output targets Indicators The indicators for the Outcome Evaluation includes among others the following in relation to the District Development Plan: 64 Development Planning System Handbook for District Assemblies

76 OUTCOME EVALUATION INDICATORS Project Annual Objective Indicator/Outcome PRA Training Train all VDCs in PRA * 11 VDCs out of Hare know-iedgeable in PRA approaches. Primary School Blocks Family Planning Small holders Credit Project Construct 100 School.Blocks in 20 VDCs Hold Family Planning Sessions in 20 VDCs Finance agricultural activities of 200 small holders * 50 School Blocks constructed in 10 VDCs. * Families in 15 VDCs sensitized on Family Planning practices. * 100 small holders have funds for financing of agricultural activities. When doing the outcome evaluation the following questions may be asked: How many projects were completed in relation to how many were planned? How many planned training events took place? How many workshops, on population issues? How many school blocks have been constructed during the planned period? How many VDCs/ADCs or their members got training in PRA? Amount of credit distributed and the number of beneficiaries? How many anti-hiv/alds Campaign were held during the planning period? The number of projects submitted and approved and implemented within the District Planning System, etc. The same tools used for on-going evaluation may be used in the outcome evaluation. Likewise, an outcome evaluation depends on existing work plans, project monitoring reports, project achievement reports, accounts records, etc. 6,3.2.3 Outcome Evaluation Process The Office of the DPD is responsible for coordinating the conduct of an outcome evaluation. The said exercise is usually considered an internal evaluation, but the use of an external evaluator as a resource person is recommended for increased objectivity. Timing of the evaluation is biannual but practically, it is done on an annual or less frequent basis.

77 As the DDPS is based on a people d, bottom-up planning approach, the outcome evaluation can be carried out in a participatory manner. The evaluation team may include the following: Project Implementation Committees (PICsj at VDC levels DEC Task Forces/DATs District Training Team (DTT) Area Executive Committee {AEC) Implementing Agencies ADC/DA members DLG, NEC Impact Evaluation Objectives The objective of the impact evaluation is to assess both the positive, and negative impact of programme activities on the target beneficiaries and to develop lessons learned for future planning, Criteria and Indicators Indicators for the Impact Evaluation can be quantitative (measurable) or qualitative (observable). The latter refers to the attitudinal and behavioural changes which are either positive or negative. The DDPF provides the baseline surveys and is the basis against which quantitative change can be measured and qualitative change can be described. Impact evaluation usually will be conducted at a later stage, after the programme activities have been in place for some time, in this case, at the end of the Medium-Term District Development Plan Qualitative Indicators The qualitative indicators refer to attitudinal and behavioural changes which are either positive or negative in the target group. Qualitative indicators are usually observed. There are several ways of assessment which are usually combined for cross checking purposes: A sample check list of the community characteristics before and after the development programme Existence or absence of a democratic spirit. Degree of social cohesion. Existence or absence of the sense of solidarity. Existence or absence of critical conscious. Degree of participation (active or passive). 66 Development Planning System Handbook for District Assemblies

78 Degree of dependency and self-reliance. Degree of self-management and group autonomy. Project management capacity Quantitative Indicators The. Needs/Gaps Analysis or usage/facilities ratios developed in the District Development Planning Framework are some of the indicators against which the programme impact can be assessed. For example: Education indicators: classroom/pupil ratio, teacher/pupil ratio, teacher/teacher house ratio. Desk/pupil ratio, book/ pupil ratio, pass, rate, repetition rate, enrolment rate (gender differentiated). Health indicators: 1MR, MMR, U5MR, morbidity rates, health personnel/population ratios, Health facilitators/population ratios, population growth rates, contraceptive prevalence rate. Agricultural indicators: extension workers/farmers ratio, average credit, repayment rates, crop productivity, arable land utilization, crop diversification, adoption of appropriate farm practices, etc. Livestock indicators:, animal population, veterinary extension workers/farmers ratios, dip tanks/ animal population ratios, etc. Informal sector indicators: number of small enterprises that received training and credit, number of profitable enterprises, number of women assisted by training and credit. Participatory indicators: number of beneficiaries to PRD trainings, number of organized VDCs, ADCs; how frequently VDCs, ADCs, DA and DEC meet. Econom/c indicators: per capita income/household income and rate of employment Tools for Impact Evaluation There are several approaches for carrying out impact evaluation, both quantitative and qualitative. The most commonly used methods are: 2 Statistical Surveys (Quantitative) Statistical surveys are conventional research approaches using statistical analysis for quantitative impact evaluation. A sample survey is a data collection method whereby only a small proportion of the population units is studied to make inferences about the total population. It is imperative that all units with different characteristics in the population be included in the sample to make the sample estimates more representative. Deve.lopme.nt Planning System Handbook for District Assemblies 67

79 Statistically sound methodologies at the design stage should be used in order to achieve optimal sample sizes and reliable sample estimates. The main issue is the balance between sample size and their corresponding variances. Thus, increasing the sample size {i.e. increasing the cost) reduces the variance of the derived estimates (increases the reliability of the sample estimates). 3 Participatory Rural Appraisal (Qualitative) Participatory Rural Appraisal (PRA) is a process of rapid, systematic and progressive learning about people condition for both data collection and. project identification. Its administration relies on small multi-disciplinary teams and employs a range of methods, fools and techniques specifically selected to enhance understanding of the people's conditions and facilitate local participation in planning and feedback. The following tools and techniques of PRA are important for impact evaluation: Secondary Data Review. Secondary data obtained and compiled by other people at an earlier time relevant to the area or subject of study and are available in published or unpublished documents. Information from secondary sources form the background information of the PRA. Focus Group Discussions. These are intensive semi-structured sessions in which the information gathered in the field is analysed and the main findings of the PRA are discussed to reach an agenda for future action plan. Direct Observation. This refers to any technique that relies directly on objects, events, processes, relationships or people, and recording of observation. Semi-Structured Interviews (SSI). Semi-Structured Interviews fake the form of interviewing where only some of the questions are pre-determined. New questions or line of questioning arise during the course of the interview depending on the responses obtained. There are three types of SSI: individual Interviews; to get representative information. Key-Informants interviews (with chiefs, GVH, VH, teachers, TBAs, Field extension worker, FHA, etc...) to get special knowledge about the operation of the socio- economic system. Group interviews. These are organized community meetings and are used to obtain knowledge of community interactions. Deve.lopme.nt Planning System Handbook for District Assemblies 68

80 In analysing the information derived from PRA approaches, the following methods are widely used: Preference Ranking which determine the main problems or preference for individuals and groups; Pairwise Ranking which allows the determination of the main problems or preferences for individuals or groups, as well as, the identification of their ranking criteria. Wealth Ranking where the key informants help to stratify the villagers according to the local wealth criteria Diagrams to present information in a condensed and readily understandable visual form: Maps, Transects, Seasonal Calendars, Historical profiles, Bar Diagrams, Decision Trees, etc. s in tain tion on of Drm ied. the Deve.lopme.nt Planning System Handbook for District Assemblies 69

81 Minimum Data Requirements for the Production of the Socio- Economic Profile Chapter I, GENERAL FEATURES A. Physical Description 1. Location and Size Distance from the Capital City (Lilongwe) and/or Nearest Major City/Regional Center Total land area of the district Proportion to land area of Malawi Rank in terms of size when compared to other districts in the region and/or in the country 2. Topography, Geology, and Hydrology Description of physical features/agro-ecological zones Highest, lowest, arid mean district elevation Soil types Soil characteristics Types of mineral present and number of deposits. 3. Soil Type/s of soil Soil fertility Degree of soil erosion 4. Climate Types of climatic zones Temperature range and mean Months of and temperature during cold and warm seasons Months of and temperature during dry and wet seasons Amount of and average rainfall B. Administrative Structure and Local Politics 1. Formal Administrative Structures a) Local Government System, Functions, and Structures Composition of the District Assembly (by sex) Composition of the DEC (by sex) Number of ADCs Functions of ADCs Status/Functionality of ADCs Number of VDCs (byta) b) National Government Sectors List of Ministries and Departments with offices in the district Deve.lopme.nt Planning System Handbook for District Assemblies 70

82 List of Statutory Co-operations with offices in the district c) Non-Governmental Organizations Sectors where NGOs are operating List of NGOs operating in the district 2. informal Administrative Structures Number of women groups, youth groups, civic groups, jtc. in the district 3. Local Politics Political parties operating in the district Distribution of political party(ies) with parliamentary representation Distribution of Ward Councilors, by political party C. The People 1. Tribes Type of ethnic groups or tribes Proportion of ethnic group population to total district population (by ethnic group/tribe) Areas in the district where each tribe Is situated/based 2. Languages Kinds of languages spoken in the district Percent of people speaking each language 3. Religion Types of religion Percent of people members of each religious organization 4. Culture/Beliefs Type of marital system dominant in the district {patrilineal or matrilineal) State cultural beliefs 5. Income Average family income Components of income (share of agriculture, for employment, etc.} 6. Poverty Incidence Poverty incidence in the district Magnitude of poor people and families Proportion of poor people in the district to total number of poor people in Malawi Deve.lopme.nt Planning System Handbook for District Assemblies 71

83 Chapter II. DEMOGRAPHY AND SETTLEMENT A. Population Size and Characteristics Population, by age group, sex and TA/STA Population growth rate, by TA/STA Population density, by TA/STA B. Birth and Death Rates Crude Birth Rate Crude Death Rate C. Fertility Rate Total Fertility Rate Average Family Size D. Migratory Patterns Patterns of people movement to and from the district Chapter III. LAND USE A. Land Tenure System 1. Customary Land Size of customary land and proportion to total land of the district Primary and secondary uses of customary land 2. Public Land Size of public land and proportion to total land of the district Primary and secondary uses of public land 3. Private Leasehold Size of private leasehold land and proportion to total land of the district Primary and secondary uses of private leasehold land B. Land Use System Size of land utilized for certain economic activity or purpose (commercial, industrial, residential/settlement, etc.) Chapter IV. ENVIRONMENT Forest Reserves and Wildlife Size (area) and location of forest and game reserves Type of woodland (and tree species) in protected forest and game reserves Deve.lopme.nt Planning System Handbook for District Assemblies 72

84 State/condition of forest and game reserves Afforestaion/conservation practices Variety of wildlife in the district Aquatic and Marine Resources Number of large water bodies Size (area) and location of large water bodies (lakes, rivers, lagoons, etc 1 Characteristics of water bodies (lakes, rivers, lagoons, etc.) State/condition of water bodies Conservation practices Environmentally-Critical Areas Indicate and map out environmentally-critical areas or 'hot spots' State/condition of environmentally-critical areas or 'hot spots' Chapter V. ECONOMY A. Agriculture 1. Crops a) Agricultural Production Major and minor crops grown Production (tonnage), yield (tonne/ha.), and area (ha.) planted per major and minor crop Percent of land planted with certain type of crop to the total area cultivated area Number of farm families, by EPA or TA/STA b) Agricultural Markets Number and grade of agricultural markets Location (TA) and ownership of agricultural markets c) Agricultural Practices Type of cropping season Number of farm families applying fertilizer, pesticides, etc. d) Agricultural Services Source of farm inputs, by EPA or TA/STA Number of agricultural extension workers, by EPA or TA/STA Agricultural extension worker to farmer ratio, by EPA or TA/STA Types of extension services, by EPA or TA/STA Number and name of EPAs Institutional set-up (administrative structure, no. of sections, blocks, farming families, etc.}.agricultural credit providers, interest rates, types of loans Deve.lopme.nt Planning System Handbook for District Assemblies 73

85 e) Farm Holding Smallholder Farming Total area covered by smallholder farming, by EPA or TA/STA Proportion of smallholder farming area to total cultivated area, by EPA or TA/STA Number of male and female-headed households, by EPA or TA/STA Average family landholding, by EPA or TA/STA Estates Total area covered by estates, by EPA or TA/STA Proportion of estate area to total cultivated area, by EPA or TA/STA Name of estate, owner, and area f) Irrigation Total area served by irrigation facilities (treadle pump, drip, etc.), by EPA or TA/STA Proportion to total irrigable land Area served by treadle pump, drip, etc. Number of sites developed for treadle pump irrigation, drip irrigation, etc. Number of treadle pumps, drip irrigation, etc. 2. Livestock a) Livestock Production Livestock Population Parasites/Diseases affecting livestock and livestock production Proportion of livestock affected each parasite/disease, by livestock type b) Livestock Uses Percent used for dairy, meat, and traction/transport purposes Usage of animal by-products c) Livestock Services Number of cattle dips, veterinary s, crushes, artificial insemination, etc., by TA B. Fishery Number and type of other livestock services 1. Fishing Grounds Types of fishing grounds (river, lake, inland fishing) Number of fish ponds, by size and TA/STA Number of fishermen and assistants, by TA/STA 2. Fish Production Main fish species caught Fish catch (in tonnes), by specie and TA/STA Deve.lopme.nt Planning System Handbook for District Assemblies 74

86 Number and type of fishing crafts, by TA/STA Number and type of fishing gears used, by TA/STA 3. Fishery Services Extension/institutional services 4. Fishery Activities C. Forestry Types of fish processing activities 1. Production Forests/Tree Plantation Type, size (area), and location of tree plantations State/condition of tree plantations Ownership and management of tree plantations Tree species in tree plantations 2. Forestry Services Forestry extension services Number of Forestry Extension Workers (FEW) and FEW to population ratio Agro-forestry Breakdown of FEWs, by TA/STA D. Mining 1. Mineral Deposits Types of minerals available in the district Estimated size and location of mineral deposits 2. Mining Activity and Production Mineral produced (tonnes), by type Area (ha.) mined or concession area for mining Commerce and Industry 1. Type and Size of Business Establishment Types/scale of businesses (small, medium, large-scale), by TA/STA Number of business establishments under each scale, by TA/STA Business sub-sectors/classification (manufacturing, trading, etc.) Number of business establishment under each subsector/classification Names of large-scale companies operating in the district 2. Banking and Credit Facilities Type of credit/loan facilities available Names of lending organizations operating in the district Banking facilities in the district Names of banking institutions in the district Deve.lopme.nt Planning System Handbook for District Assemblies 75

87 Interest rates for loans provided by banks and other lending institutions Primary clients of lending organizations and banks (women, farmers, entrepreneurs, etc.) 3. Extension Services Types of trainings provided 1 Training facilities available Business support activities extended Other extension services provided F. Labour and Employment 1. Labour Force Size of the labour force Types of labour available (skilled, unskilled, etc.) Sectoral distribution of labour (industries, estates, commerce, selfemployment, civil sen/ices, etc.) Employment rate Underemployment rate 2. Conditions of Emplbyment Wage/wage range for each sector Minimum wage Average wage for each sector Working hours Number of organized labour unions Other conditions of employment G. Tourism 1. Tourism Potential Description of areas with high tourism potential State/condition of areas with high tourism potential 2. Tourism Facilities Description of tourism facilities available Chapter VI. SOCIAL SERVICES A. Health 1. Life Expectancy Male life expectancy Female life expectancy Deve.lopme.nt Planning System Handbook for District Assemblies 76

88 2. Morbidity Under-Five Morbidity Rate Maternal Morbidity Rate Leading causes of morbidity Number of cases for leading causes of morbidity' 3. Mortality Infant Mortality Rate Under-Five Mortality Rate Maternal Mortality Rate Leading causes of mortality Number of cases for leading causes of mortality 4. Health Services Type of health services available in the district, by TA/STA Number of people benefiting from each service, by TA/STA Areas where each service is available 5. Health Facilities a) Clinics Number of clinics, by TA/STA Population served by each clinic Facilities available (beds, etc.), by TA/STA. Average distance of facility from communities Type (qualification) and number of staff manning the clinics, by clinic Average number of clients served per day, by clinic Ownership of clinics, by clinic b) Dispensaries Number of dispensaries, by TA/STA Population served by each dispensary Facilities available (beds, etc.), by TA/STA Average distance of facility from communities Type (qualification) and number of staff manning the dispensaries, by dispensary Average number of clients served per day, by dispensary Ownership of dispensaries, by dispensary c) Health Centres Number of health Centres, by TA/STA. Population served by each health Facilities available (beds, etc.), by TA/STA Average distance of facility from communities Type (qualification) and number of staff manning the health centres, by health Average number of clients served per day, by health Ownership of Health Centres, by TA/STA Deve.lopme.nt Planning System Handbook for District Assemblies 77

89 d) Hospitals Number of hospitals, by TA/STA Population served by each hospital Facilities available (beds, etc.), by hospital Average distance'of facility from communities Type (qualification) and number of staff manning the hospitals, by hospital Average number of clients served per day, by hospital Ownership of hospitals, by hospital 6. Health Personnel Type (qualification) and number of health personnel in the district, by TA/STA Health personnel to population ratios 7. Family Planning Contraceptive Prevalence Rate (CPR) Degree of awareness on Family Planning B. Water and Sanitation 1. Safe Water Access Percent of people with access to safe drinking water, by TA/STA Average distance of safe water facilities from households, by TA/STA 2. Main Sources and Condition of Water Facilities Main sources of water (type and number) Number and percent of water facilities in working condition, by TA/STA Number and percent of water facilities rehabilitated, by TA/STA Number of water associations organized and trained, by TA/STA 3. Access to Sanitary Latrines Population/Househoids/Dwelling Units, by type of toilet facility used 4. Methods of Waste Disposal Types of waste disposal method Percent of people using a specific waste disposal method C. Education 1. Education Indicators Literacy Rate, by sex and TA/STA Total number of schools, by level Deve.lopme.nt Planning System Handbook for District Assemblies 78

90 2. Education Services (by level - Preschool, Primary, Secondary, and Technical/Vocational) a) Preschool Enrolment (by sex and TA) Net Enrolment Rate b) Primary Enrolment, by sex and TA/STA Net Enrolment Rate Pass Rate, by sex Dropout Rate, by sex c) Secondary Enrolment, by sex and TA/STA Net Enrolment Rate d) Technical/Vocational Enrolment, by sex and TA/STA Kinds of technical/vocational courses offered 3. Education Facilities (by level - Preschool, Primary, Secondary) a) Schools Type and number of primary and secondary schools, by TA/STA and level Condition of primary and secondary schools, by level and school Ownership of primary and secondary schools, by level and school b) Classrooms Number of classrooms, by type (i.e. temporary or permanent), level and TA/STA Classroom to pupil ratio,-by level c) Other Facilities Number of school desks in primary and secondary schools, by level and TA/STA School desk to pupil ratio, by level and TA/STA Number of teachers' houses, by level and TA/STA Teachers' houses to teacher ratio, by level and TA/STA Textbook to pupil ratio, by level and TA/STA Number of science laboratories, libraries, etc. Student population served by science laboratories, libraries, etc. 4. Education Manpower Number and distribution of teachers, by TA, sex, level, and whether qualified or not Number and proportion of, trained and untrained teachers Teacher to pupil ratio Deve.lopme.nt Planning System Handbook for District Assemblies 79

91 D. Social Welfare and Community Development 1. Social Welfare and Community Development Services Type and number of clientele per service 2. Development of Women Number of female-headed households Proportion of female-headed HHs to total number of HHs Summary of areas where women are at a disadvantage in comparison to men Efforts undertaken to uplift the status of women Chapter VII.INFRASTRUCTURE AND UTILITIES Road 1. Main Roads Type of road (bitumenized or earth) Length (in kms.) of each road Accessibility of each road during wet season 2. Secondary Roads Same as information requirement in main roads 3. District Roads Same as information requirement in main roads 4. Feeder Roads Same as information requirement in main roads Bridges List and location of bridges in roads Length of each bridge Condition of each bridge Transport Types of-transport {land, sea, and air) Number of registered vehicles and boats Routes and frequency of trips Transport Terminals Type and number of bus terminals, docks, and airport/airstrips Capacity and condition of each transport terminal Deve.lopme.nt Planning System Handbook for District Assemblies 80

92 E. Communication 1. Postal Services Number and location of postal offices and agencies, by TA/STA Services offered in postal offices and agencies Volume of transaction (per service) Number of people served by each postal office and agency 2. Telephone Network Types of telephone systems installed Number of telephone lines in service Number and type of subscriber Telephone density Number of public calling booths/telephone booths 3. Cellular Network Name/s of cellular network provider operating in the area 4. Radio and Television Network Number and type (FM, AM, MW, SW) of radio stations with reception in the area Estimated proportion of the population listening to the radio Name and type of television station(s) with signal in the area Estimated proportion of viewers 5. National Publications Name and type of newspapers; magazines, newsletters, and other national publication reaching the district Estimated number of readers 6. Internet Services Number of establishments with internet service facilities in the area Names of Internet Service Providers (ISPs) operating in the area 7. Other Services Availability of facsimile services Availability of telex services Availability of telegraph services Power/Energy 1. Power Generating Plants and Sub-Stations Number of power plants/sub-stations/mini-hydro power plants (if none, indicate source of electrical power or power grid) Generating capacity (in Megawatts) of power plants/substafions/mini-hydro power plants Deve.lopme.nt Planning System Handbook for District Assemblies 81

93 2. Supply and Demand of Electrical Power Total electrical power (in megawatts) available in the district (breakdown by power plant, sub-station, mini-hyaro power plants, and power grid) Current consumer consumption (in megawatts), by type 3. Other Sources of Energy Proportion of the population/hhs using wood, paraffin, etc. for lighting and energy purposes Chapter VIII. SECURITY A. Crime Type and number of crimes committed/reported Type and number of committed/reported crimes solved (solution rate) Type of crime offenders (first-time offenders, second-time offenders, multiple offenders) Number of crime offenders (by type and sex) 8. Security Services Available Type of security services available (police and fire services) Number and name of private security company/ies operating in the area C. Security Services Facilities 1. Police Number and location of police stations and units, by TA/STA Type and number of police transport (vehicles, water crafts, and bicycles) Type and number of police communication facilities Number and capacity of jail/s 2. Fire Number and location of fire stations and units, by TA/STA Type and number of fire trucks Type and number of fire protection communication facilities D. Security Services Personnel 1. Policemen Number of police personnel Police to population ratio 2. Firemen Number of firemen Fireman to population ratio Deve.lopme.nt Planning System Handbook for District Assemblies 82

94 Data Sources Name of Report/Office Department of Physical Planning Department of Surveys Rural Development Programme (RDP) Department of Geological Survey Department of Meteorology District Assembly Office of the DPD District Assembly Population and Housing Census District Assembly Population and Housing Census District Assembly Integrated Household Survey Integrated Household Survey Content/Information Provided Size of District - Total land area of district - Proportion of district to land area of Malawi - Rank in terms of size to other districts Topography, Geology & Hydrology - Highest lowest and mean district elevation Soil types and characteristics, Fertility, soil erosion Types of minerals and level of deposits Climate - Types of climatic zones - Temperature range and mean - Amount of average rainfall Administrative Structures & local politics - National Government sectors - Non-Governmental organisations - Informal administrative structure - Local politics People - Tribes'/ethnic groups - Tribes by location - Languages spoken Percentage of people speaking each language Types of religion - Percentage of people for each religion Cultural Income beliefs - Average family income - Components of income Poverty - Poverty incidence - Magnitude of poor people and families - Proportion of poor people in district to total poor in Malawi Source Department of Physical Planning (Lilongwe) Department of Surveys (Biantyre) RDP Department of Geological Survey (Zomba) Department of Meteorology (Lilongwe International Airport) District Assembly Office of the DPD District Assembly National Statistical Office (NSO - Zomba) District Assembly National Statistical Office (Zomba) District Assembly National Statistical Office National Economic Council National Statistical Office National Economic Council Deve.lopme.nt Planning System Handbook for District Assemblies 83

95 Name of Report/Office Content/Information Provided Source Latest population and Housing Census Report Department of Lands District State of Environment Report Rural Development Programme District Fisheries Office District Forestry Office Geological Survey Department Department of Mines District Assembly IHS/Business and Employment Survey Latest Population and Housing Census Reports Demographic data - Population - Birth and Death rates - Fertility rate - Migration Land Tenure - Size and use of customary, public and private leasehold land Environment - Forest reserves and wildlife - Aquatic and marine resources - Environmentally critical areas Agriculture - Agricultural products - Agricultural practices - Agricultural services - Farm holding (both smallholder and Estate) - Irrigation Livestock - Livestock production - Livestock uses - Livestock services Fisheries - Fishing grounds - Fishing production - Fishery services - Fishery activities Forestry - Production forests/tree plantation - Forestry services Mining - Mineral deposits Mining - Mineral produced by type - Area mined or mining concession area Commerce and Industry - Type and size of business establishment - Banking and credit facilities - Extension services Labour force - Size of labour force - Sectoral distribution of labour - Employment rate National Statistical Office Department of Lands [Lilongwe) Environmental District Officer (EDO) RDP District Fisheries Officer District Forestry Officer Geological Survey Department (Zomba} Department of Mines (Lilongwe) District Assembly National Statistical Office (Zomba) National Statistical Officer (Zomba) Deve.lopme.nt Planning System Handbook for District Assemblies 84

96 Name of Report/Office Content/Information Provided Source District Labour Office (DLO) District Assembly Latest population and Housing Census Reports District Health Office (DHO) MDHS (2000) Population and Housing Census Report Conditions of Employment - Wages for each sector - Minimum wage - Average wage for each sector - Working hours - Number of organised labour unions Tourism Potential - Areas with high tourism potential - Condition of areas with high tourism potential - Tourism facilities Health - Life expectancy - Morbidity - Mortality - Health services - Health facilities i.e. clinics, HC, dispensaries, hospitals, beds, health staff, etc. Family Planning - CPR - Degree of awareness Water and sanitation - Safe water access District Labour Office District Assembly NSO.(Zomba) DHO NSO (Zomba) DHO DHO NSO (Zomba) NSO (Zomba) District Water Office Main sources and conditions of water facilities District Water Office Census Report (1998) District Labour Office District Social Welfare and Community Development Office Education - Literacy rate - Total number of schools - Primary enrolment, net enrolment, pass rate and drop-out rate. - Secondary school enrolment and net enrolment rate - Ownership of school, classrooms, desks, teachers Technical/Vocational - Enrolment and kinds of technical courses Social Welfare and Community Development Services - Types and number of clientele NSO (Zomba) District Education Office (DEO) DLO District Social Welfare & Commty. Dev't Office (DSWCDO) Census Report Development of Women DSWCDO Number of female-headed households NSO (Zomba) Deve.lopme.nt Planning System Handbook for District Assemblies 85

97 Name Report/Office of Content/information Provided Source District Roads Office District Post Office District Malawi Telecommunications Limited Office Roads - Main, secondary, district and feeder roads, length and accessibility Bridges - List and location - Length and condition of each bridge Telecommunications - Postal services - Telephone network - Cellular network - Radio network, District Roads Foreman District Roads Foreman District Postmaster District Telecommunications Engineer ISP Companies Internet services Regionai/head Office of ISPs District Malawi Telecommunications Limited Office District Engineer - Electricity Supply Commission of Malawi (ESCOM) Census Report District Police Office District/Town/City Assembly Other telecommunication services Energy/Power - Power generating plants - Supply and demand of electrical power Proportion of population/hhs using other forms of energy Security - Crime - Security services available and personnel Data on fire services and personnel - District Telecommunications Engineer District Engineer (ESCOM) NSO (Zomba) Officer-in-charge Police Station District Assembly Police Data on crime and security Police Deve.lopme.nt Planning System Handbook for District Assemblies 86

98 Planning Definitions 1. Planning: can be described as the exercise of forethought in an attempt to select the best means of securing specified ends. Planning therefore raises the rationality of decision making; carefully specifying objectives and systematically sifting alternative policy instruments so as to find the optimal means of achieving objectives. 2. Development Planning: In the above perspective therefore Development Planning is oriented to the general objective of igniting a sustainable district development process that forms part of the overall national development process. Development Planning thus is the exercise of forethought in attempt to select the best policies to be implemented over a medium term period for sustained development of the national economy. In view of assemblies the sustained development of the particular geographical areas.. A Development Plan is the instrument used to achieve that. Production of a development plan involves looking at the development policy as a totality by focusing on the interconnectedness of various policy instruments and the web of reactions that they set. Thus a development plan is policy as a whole. In that vein a plan can be viewed, as a way of arriving at a set of decisions that is internally consistent and reinforcing. 3. Development Plan: it is a comprehensive document comprising projects/programs to be implemented over a defined period. In case of a District Development Plan therefore it is a medium term plan comprising projects and programs to be implemented over a period of three years. The basis of District Development Plan is the District Development Planning Framework. The process to that end involves reviewing the district issues, potentials, objectives and strategies. Deve.lopme.nt Planning System Handbook for District Assemblies 87

99 Project Proposal Format Guidelines 1. DATE OF SUBMISSION: 2. DISTRICT: 3. TA/VDC: 4. TITLE OF THE PROJECT This gives the name of the project that is being proposed. For example: Kamwendo Bridge Project, Mangochi HIV/AIDS Awareness Project. 5. PROJECT PROPONENTS/INITIATORS Name of the Village Development Committee, Area Development Committee or interest group {e.g. women's group) which is proposing the project. Describe any cooperating Agency/NGO with whom the community will be working 6. PROJECT AREA PROFILE a. LOCATION Exact location of the project, Village, Traditional Authority, in the case of an ADC project, specify ail villages which will be covered by the project. In case of roads, specify villages where road{s) will pass. If a village map is available, locate the project on the village map. b. PROFILE This section will briefly describe the physical, social and economic features of the project site. It should contain a description of the problems, opportunities, constraints and potentials of the areas e.g. land use, climate, population, resources). Description should be concise and comprehensive including any and all data which the proponents think are important to the proposed project. For example, if a participatory Rural Appraisal were conducted, the results would be included here 7. DURATION This describes how long it will take to complete the project from beginning to end. This is the time during which the project will be under the-assistance of the District Development Committee and District Executive Committee. This does not mean the entire lifespan of the project. Deve.lopme.nt Planning System Handbook for District Assemblies gg

100 8. PROBLEM DESCRIPTION What is the community issue or problem that this project will address? What are the causes of the problem and how will the problem be eliminated through the implementation of this project? 9. OBJECTIVES OF THE PROJECT What are the broad objectives to be addressed by this project in terms of the community? If possible the objective should be Specific, Measurable, Achievable, Realistic and Time Bound (SMART). For example, the construction of the health Centre will lead to decrease in the number of illnesses in the community over the year after the health is operating; or, increased number of students attending school after more teachers are adequately housed in the village; or decreased illiteracy rate after more schools are constructed. 10. OUTPUTS OR RESULTS What is the final result of the project? What will the project look like when it is completed? Clear project indicators should be provided which will be used for monitoring and evaluation. For example; A clinic will be constructed and 10 women a week will be trained in maternal and child health; a teacher's house will be built; school constructed and weekly literacy classes established; 10 AIDS Awareness meetings held. 11. BENEFICIARIES What is the number of people who will directly benefit from the project? What is the number of indirect beneficiaries? How are these numbers broken down by gender: how many women, men, children, disabled, disadvantaged? 12. PROJECT DESCRIPTION a. Sector: Which sector will the project be in b. Type: Is the project infrastructure, social service, training, etc.? c. Status: Is the project a new one or a continuation of one that was incomplete? d. Components: This section should describe the major components of the project: (e.g., a dairy project would have the components of: building construction, stock purchasing, marketing development and training; and irrigation project could have components of road construction, marketing and crop development). e. Technical Requirements: What type of externa! technical assistance will be required to implement the project? What local resources will be used to support the project (human and material)? f. Pre-Feasibility Studies: Describe the feasibility of the project. Has a feasibility study been conducted jointly by the project committee, extension workers and/or district technical staff? Deve.lopme.nt Planning System Handbook for District Assemblies 89

101 g. Management Organisation Structure: What is the structure of the project committee that wili manage the project? Do members of the committee have any previous experience with management of projects? h. For Income Generating Activities: * How much income wiil be provided and to whom? * How will the product be marketed? What is the market potential? * A profit and loss statement should be attached i. Implementation Strategies: Will the project work through a self-help effort? Wili people be hired? How will the community participate? How will the ADC and VDC participate in or provide support to the project? How wiil selfreliance be encouraged through the implementation of the project? j. Project Sustainability and Maintenance Arrangements: How will the project be maintained once it is completed? For example, who will maintain a water pump? Where will the spare parts be obtained? If it is a clinic, has agreement been reached with the Ministry of Health to ensure that the clinic will be staffed? 13. PROJECT INPUTS/COSTS/BUDGET This section should provide a list of all inputs required for the project, the cost of. each input and a description and cost of the inputs the community provides. The project costs should include cost elements for operations of the project committees. The community inputs should include all in-kind contributions (see attached cost estimate form or appendix 3.1, 3.2, and 3.3 of the DDF Manual). 14. PLAN OF WORK This section should include an implementation schedule of ail major project activities in logical order or chronological sequencing. Next to each activity listed should be the name of the person responsible and exactly when the activity is schedule to be completed. 15. MONITORING AND EVALUATION PLAN This could be done through the implementation plan. Be sure to list who will be responsible for monitoring and evaluation of the progress of the project and how will the monitoring be conducted? What procedures will be followed? 16. SIGNATORIES The Project Proposal should be signed by the VDC Chairperson and all members of the project committee, stating the title of each committee member in relation to the project. Further, a signature page for the ADC should also be completed. The DEC will attach a Project Appraisal Form to the proposal after the appraisal is completed. Deve.lopme.nt Planning System Handbook for District Assemblies 90

102 COMMUNITY CONTRIBUTION A. Materials Cost Estimate No. Description Unit of Measure 1 (Dambo Sand) (Mt. Tn.) Quantity Unit Price Amount 2 (Quarry Stones) (Pes.) 3 (Stones) (Pes.) 4 (Bricks) (Pes.) 5 (Etc.) Sub-Total Materials Cost B. Labour Cost Estimate No. Description Unit of Measure 1 (Labour for roofing) Quantity Unit Cost Amount J. Sub-Total Labour Costs Deve.lopme.nt Planning System Handbook for District Assemblies 91

103 C. Other Cost Estimates No. Description Unit of Measure 1 Quantity /Number Unit Cost Amount K. Sub-Total Other Costs TOTAL ESTIMATED COMMUNITY CONTRIBUTION (A+B+C) Prepared By: Signature: Name: Title: Date: Development Planning System Handbook for District Assemblies 92

104 DDP CONTRIBUTION A. Materials Cost Estimate No. Description Unit of Measure 1 (Cement of 50 kg.) (Bags) Quantity Unit Price Amount 2 (Iron Sheets of different (Sheets) sizes) 3 (Timber of different (Pes.) lengths/thickness) 4 (Wire Nails of different sizes) {Kgs.) 5 (Roofing Nails) (Kgs.) 6 (Paints of 5 Lts. and different colours) 7 (Etc.) (Tins) L. Sub-Total Materials Cost B. Labour Cost Estimate No. Description Unit of Measure 1 (Labour Contractor for Project) 2 Quantity Unit Cost Amount M. Sub-Total Labour Costs Deve.lopme.nt Planning System Handbook for District Assemblies 93

105 C. Other Cost Estimates No. Description Unit of Measure 1 (Fuel) Quantity /Number Unit Cost Amount 2 (Allowances) 3 (Transport Hiring) 4 (Tender Advertisement) 5 (Etc.) 6 N. Sub-Total Other Costs TOTAL ESTIMATED DDF CONTRIBUTION (A+B+C) Certified By: Signature: Name: Title: _ Date:.. Development Planning System Handbook for District Assemblies 94

106 TOTAL PROJECT COST ESTIMATE SUMMARY 0. P. Description Community Contribution DDF Contribution Materials Cost Labour Cost Other costs Sub-Total TOTAL PROJECT COST ESTIMATE PROJECT RESERVE 10% TOTAL PROJECT COST ESTIMATE (including Reserve) The community contribution is equivalent to material cost estimate. % of DDF funded PREPARED BY: DAT RECOMMENDATION DEVELOPMENT COMMITTEE Name: DPD: Minute Ref: ^ (On behalf of DAT) Title: Per Minute No: Signature: At Meeting Dated: Deve.lopme.nt Planning System Handbook for District Assemblies 95

107 Deve.lopme.nt Planning System Handbook for District Assemblies 107

108 LISTING OF PROGRAMMES AND PROJECTS ( ) Development Issue No. 1 Program/Project Title/Name Brief Profile/Description Primary Stakeholders/ Beneficiaries Location Implementation Period Funding Requirement Lead Agency/ Organization How is the project called? Briefly describe the nature, purpose, and components of the project. Who are involved? Where is the project to be implemented? When will the project be implemented and what is the duration of its implementation? How much would the implementatio n of the project cost? Who takes the lead or is on fop of project implementation? Development Issue No. 2 Program/Project Title/Name Brief Profile/Description Primary Stakeholders/ Beneficiaries Location Implementation Period Funding Requirement Lead Agency/ Organization How is the project called? Briefly describe the nature, purpose, and components of the project. Who are involved? Where is the project to be implemented? When will the project be implemented and what is the duration of its implementation? How much would the implementatio n of the project cost? Who takes the lead or is on top of project implementation? Development Planning System Handbook for District Assemblies 97 Appendix E

109 Sample LISTING OF PROGRAMMES AND PROJECTS ( ) Development Issue No. 1: Food insecurity during the months of January-March. Programrnme/Proje ct Title/Name Brief Profile/Description Primary Stakeholders/ Beneficiaries Location tmplementati on Period Funding Requirement Lead Agency/ Organization Food Diversification Project The project aims at...household diversity gap... from maize to cassava. The project therefore provides for cassava cuttings and processing procedures. Most vulnerable households with a land holding size of less than 1 hectare. 24 VDCs in TAs Mwabulamby a Kameme, Nthalire... On the onset of rains - Nov. to Jan. MK60,000 Min. of Agr. WVI VDC Development Issue No. 2: High rate of illiteracy. Programmme/Proje ' ct Title/Name Brief Profile/Description Primary Stakeholders/ Beneficiaries Location Implementati on Period Funding Requirement Lead Agency/ Organization School Block Rehabilitation and Construction of New Blocks and Teachers Houses The project involves the rehabilitation of 10 school blocks; construction of 20 new classrooms; supply of desks and textbooks; and construction of 10 teachers houses. Communities and VDCs TAs Ngokwe, MIomba, Mposa, Nyambi. and Liwonde July to March MK30,000 DPD Development Planning System Handbook for District Assemblies AppendixE 98

110 The DEC/ADC Project Selection Criteria Matrix introduction The Project Selection Criteria Matrix is a tool to assist in the selection of projects for funding by the District Development Fund. The matrix was designed to provide a set of objective criteria in the project decision-making process. The projects from one ADC should be accumulated for review on one matrix. Each project from the ADC should be considered in the context of other projects in the pipeline or those proposed at the same time. A ranking is done for all of the projects from the ADC. The priority projects from each ADC would then be presented to the DEC for further consideration. This process ensures equitable distribution of projects in the district. The categories from the matrix are also used to assist in field appraisal of each project (see Project Proposal Format). The ADC should fill in one matrix during its project selection process. The DEC wili fill in another matrix for the projects that are proposed from the ADCs. The matrix is attached. Project Selection Criteria The first three criteria are the key criteria. If the project does not fully meet these criteria, if there is no evident degree of community participation of consistency with national or district objectives, the project should be sent back to the ADC/VDC for review and reconsideration 1. Degree of Community Participation: Was the community involved in the selection of the project? Was the community involved in its design? Will the community be involved in the implementation, monitoring and evaluation of the project? Does the community contribute at least 25% of the project costs in cash or in kind? 2. Consistency of the Project Objective in Relation to National Objectives: Does the project fit into the established national objectives? Is the project related to any important national programme, e.g. Poverty Alleviation. 3. Consistency of Project Objectives in Relation to District Objectives: Is the project related to established district objectives? Deve.lopme.nt Planning System Handbook for District Assemblies 99

111 The foilowing criteria are not weighed but provide general criteria in support of rural development towards poverty alleviation in the districts. 4. Equity/Fairness and Justice: How many community members will the project benefit? Is the number enough to support the majority of the community? Who in the community will primarily benefit from the project, certain individuals or the majority? Will maximum benefit go to the poor? Are there any inter-vdc benefits that will come from the project? (e.g. could a clinic serve more than one village?) 5. Project Cost: Is the project cost within the given district budget? Is the cost reasonable in relation to the benefits? Are the costs realistic and practical? 6. Resource Utilization: Will local resources (human and material) be utilized to maximum benefit? Are appropriate technologies being considered in the project development and implementation plan? 7. Project Benefit Time: Will the benefits of the project have a long-term benefit? If the benefit is short term, will there be long term implications? 8.. Technical Feasibility: Is the project technically feasible? What are the constraints to implementation? What information is there in the proposal about the practicality of the implementation? Has a technical field appraisal been conducted? 9. Management and Implementation Control: Who has control of the project management and implementation? Is the community in control of resources and implementation schedules? 10. Gender Impact: What impact will the project have on men and women? Have women been considered in the development of project results? 11. Self-Reliance: Will the project promote greater self-reliance amongst the community members? Will the project encourage the development of selfreliant skills? 1Sustainabiiity: What is the potential of the project to be sustainable? Have all elements of sustainabiiity been considered in the project design, including maintenance costs and responsibilities? 13. income and Employment Generation: Will the project encourage the generation of employment and income in the community? Has an effective market study been conducted to confirm a market and verify the demand for the product? Will the proposers be able to adequately supply the product? 100 Development Planning System Handbook for District Assemblies

112 Wil! employment opportunities in the community increase because of the project? Who will be employed? How many people will be employed? 14. Population Impact: Will the project have an impact on the population growth rate in the community? Are there any elements of the project which are related to child-spacing or family planning activities? Has the impact of population growth been considered in the design of the project? 15. Environmental Issues: What impact will the project have on the environment both positive and negative. Have environmental consideration been included in the proposal? Are there any environmental considerations been included in the proposal? Are there any environmental education or synthesisation activities in the context of the project? 16. AIDS Prevention Impact: Are there any elements of the project which are related to AIDS prevention? Is AIDS awareness or AIDS prevention relevant to the project? Have AIDS awareness activities been incorporated into the project? When the project totals have been reached, look at the matrix horizontally. Answer the question: Is the distribution of prioritised projects fair? Does the distribution encourage equitable development in the district? Deve.lopme.nt Planning System Handbook for District Assemblies 101

113 4 DEC/ADC PROJECT SELECTION CRITERIA MATRIX Rank each project separately, vertically, giving a ranking of 4=excelient, 3=good, 2=fair, 1 =poor Total each project's ranking score; Compare the project totals horizontally; Projects with the highest ranking totals are the priorities. CRITERIA A B C D E F G H I J 1. Degree of Community Participation 2. Consistency with National Objectives 3. Consistency with District Objectives 4. Equity/fairness and Justice 5. Project Cost 6. Resource Utilisation - 7. Project Benefit Time 8. Technical Feasibility 9. Management and Implementation Control 10. Gender Impact 11. Self-Reliance 12. Sustainability 13. Income and Employment Generation 14. Population Issues 15. Environmental Issues 16. AIDS Prevention Issues 102 Development Planning System Handbook for District AssembliesAppendixE102

114 o CO

115 Q. DEC Project Appraisal Sheet Project Name:. Project Location: Rank each category: 4=Excellent, 3=Good, 2=Fair, l=poor CATEGORY RANKING REMARKS ]. Degree of Community Participation: 2. Consistency with National Objectives 3. Consistency with District Objectives 4. Equity/Fairness and Justice 5. Project Cost 6. Resource Utilization 7. Project Benefit Time 8. Technical Feasibility 9. Management and Implementation Control 10. Gender Impact 11. Self-Reliance 12. Sustain ability 13. Income and Employment Generation 14. Population Issues 15. Environmental Issues 16. AIDS Prevention issues 1 TOTAL Recommendation/s: Returned to the Proponents Passed: Ready for Field Validation Comments: (use other side of the paper) Note: If the total is less than 32, the project should be returned to the community for review and revision. Deve.lopme.nt Planning System Handbook for District Assemblies 115

116 Development Projects/Activities Budgeting (Name of Assembly) Write the name of the Assembly of which the budget is prepared. Column (a) Column (b) Column (c) & (d) Write the serial number for the sectors. Write the Project Name/Htle by Sector. The Sub-Totals by sector under Columns (g), (h) & fi) should be transferred to the Development Budget Section of the Annual Estimate/Budget of the Assembly and consolidated. Write the Total Estimated Project Cost to be contributed by the Community and DDF/Donor respectively. These figures are obtained from Appendix 3.3 of the DDF Manual. Column (e) Record the revised DDF/Donor budget/estimate of the project, if revised. If there is no revision, extend the same figure in Column (dj to this column. Column (f) The micro/small projects of the Assemblies ought to be completed within one financial year depending on when it started. However, the implementation of some projects/ activities may go beyond one financial year. Record under this column the amount budgeted and approved and for which funds are already earmarked for the current year irrespective of its status. Column (g) Record the additional budget required in the ensuing year for those projects already approved for current year and ensuing year implementation. For those projects to start ensuing year, record in this column the same figure as that of Column (e) and leave Column (f) blank. If the project is to be implemented in more than one financial year, then record the expected budget in Columns (h) & (i). Column (h) & (i) Record in these columns the budget required in the subsequent year(s). Column (j) & (k) The column titles are self-explanatory. Development Planning System Handbook for District Assemblies 105 /

117 (Name of Assembly) DEVELOPMENT PROJECTS/ACTIVITIES BUDGET {Amts Mk'000) No Community and Assembly Level Projects Estimated Project Cost Comm. Contrb. DDF/Donor Contrb. Revised DDF/Donor Contribution Amount Budgeted Current Year Budget Required Ensuing Yr. Budget Required After Ensuing Year Source of Remarks Yr. Yr. Funding (a) ^v.-.^ (b) fc) Id) fe) - if) (Pi- (h) (i) m fk] 1 Education Sector Proj. A Proj. B Proi. C Etc Sub-Total 2 Health Sector Proi. A Proi. B Proi. C Etc Sub-Total 3 Agriculture Sector Proj. A Proi. B Proj. C Etc Sub-Total Development Planning System Handbook for District Assemblies 106

118 No Community and Assembly Level Projects Estimated Project Cost Comm. Contrb. DDF/Donor Contrb. Revised DDF/Donor Contribution Amount Budgeted Current Year Budget Required Ensuing Yr. Budget Required After Ensuing Year Yr. Yr. Source of Funding Remarks -m... ^smmmm ^ IP)' : (h).. (i) (i) (ki.. 4 Forestry Sector Proi. A Proi. B Proi, C Etc ' '. '<:. '.' ' '.. '. ' 5 Trade & Commerce Sector Proi. A Proi. B Proj. C Etc 6 Public Works Sector Proj. A Proi. B Etc, " ' IMSiMi { v.-) \ O'.-..; " V. Vi'l^.^ss^--,".t.-5Vi; Si-j* i w ; te^jsr ; : \v ;.Sufo-Tptpl^ S l l S i f i 7 Finance Sector Proj. A Proj. B Etc GRAND TOTAL :.. : ' mtfiw-b- ivsiisfe WSSm mi:- -f : : - ' * ; '. 'v. >v.,. /Wdiv BttlfpB Note: 1. Detailed Project Cost Estimate must show the material, labor, other costs for DDF & Community Contributions separately using Appendix 3.1,3.2 & 3.3 of DDF manual. However, the Total of the DDF Contribution ONLY (Appendix 3.3) is recorded in Col. C. V Development Planning System Handbook for District Assemblies 107