1
Public Administration Reform and Roll out of Comprehensive Poverty
Reduction and Growth Stratety in Hau Giang Province
--------------------------
HANDBOOK
ON ECONOMIC-SOCIAL
DEVELOPMENT PLANNING AT
COMMUNE LEVEL
March, 2009
Hậu Giang, tháng 3 - 2009
Handbook on economic-social development planning at commune level
Table of Contents
1
..............................................................................................................................................1
Abbreviations ................................................................................................................................3
Introduction...................................................................................................................................4
1. Contents of Commune-Level Planning. ...............................................................................6
1.3 Composition of a commune-level plan ..........................................................................6
1.3 A system of planned targets at commune level............................................................18
1.3.1 Some general targets .............................................................................................18
1.3.2 Some basic targets relating to construction. .........................................................18
1.3.3 Some economic and public services in support of economic development targets.
19
1.3.4 Some targets for education and public health .......................................................20
1.3.5 Some targets for the environment .........................................................................21
1.3.6 Targets for public administration reform and enhancing capacity of local
government. ........................................................................................................................22
1.3.7 Some targets for national security. .......................................................................23
2 Generalization of planning process at the Commune Level. ..............................................24
3 Appendix.............................................................................................................................30
3.3 Summary of some targets for public services and procedures in making plan ............31
3.3 Forms and report forms ................................................................................................38
3.3 The calculation of indicators. .......................................................................................39
I. General Indicators ...............................................................................................................39
4 SOME APPROACHES PLANNING (Appendix 4.1 and 4.2). .........................................45
Appendix 4.1...........................................................................................................................46
SOME POPULAR APPROACHES IN SOCIO-ECONOMIC DEVELOPMENT PLANNING
....................................................................................................................................................46
4.3 Strategic planning. .......................................................................................................47
Step 2: Strategic orientations .............................................................................................50
Step 3: Programming, policy making and project formulation ..........................................50
Step 4: Budget estimation ...................................................................................................50
Step 5: Implementation, monitoring and evaluation ..........................................................50
4.3 Result-based planning ..................................................................................................51
Step 2: Definition of objectives ..............................................................................................54
4.3 Participatory planning ..................................................................................................57
Appendix 4.2...........................................................................................................................64
SOME POPULAR TOOLS FOR SOCIO-ECONOMIC DEVELOPMENT PLANNING ........64
4.1 Views on use of planning tools. ...................................................................................64
4.2 Tool 1: SWOT Analysis ...............................................................................................66
4.3 Tool 2: The problem tree .............................................................................................69
4.4 Tool 3: The objectives tree .........................................................................................72
4.5 Tool 4: Criteria-based scoring of priority levels ..........................................................76
4.6 Tool 5: Logframe .........................................................................................................79
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Handbook on economic-social development planning at commune level
Abbreviations
MPI:
Ministry of Planning and Investment
CPRGS:
Public Administration Reform and Roll out of Complete Poverty Reduction
and Growth Strategy
CIEM:
Central Institute for Economic Management
PC:
People’s Council
ESDP:
Economic-Social Development Plan.
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Handbook on economic-social development planning at commune level
Introduction
Consultants of Central Institute for Economic Management have drafted
the “Handbook on Economic-Social Development Planning at Commune-Level”
with the support of Project on Public Administration Reform and Roll-out of
Complete Poverty Reduction and Growth Strategy in Hau Giang Province. This
aims at assisting governments at commune level to make good economic-social
development plans. The handbook sets out to become an effective tool to monitor
economic-social oriented activities in communes. The document focuses on
giving guidelines, methodologies and tools in economic-social development
annual planning at commune level. Resources are taken into consideration when
making plans.
The handbook on economic-social development planning at commune
level aims at:
(1.
Giving out frame of planning contents (including structure of content
planning, system of tables, planned targets) which focuses on providing
public services at commune level. Based on this framework, each commune
can add, adjust certain targets to meet its specific characteristics.
(2.
Presenting a complete process on making annual plans at commune level,
implementation methodologies, contents and specific outcomes of each
step, helping commune-level social workers to carry out economic-social
development plan in practice and step by step replacing the old plan that is
no longer suitable with the current situation. Standardizing it into a unified
system which could be applied on all communes across the whole province.
(3.
Enhancing the economic-social management capacity of governments at
commune level, making it suitable with the trend of power division in the
current management context.
(4.
Enhancing capacity in consolidation, information analysis, goal
identification and coming up with solutions as well as the enhancing the
coordination of departments, industries, unions and communities in making
and implementing plans.
To achieve the above goals, ensure the user-friendly characteristic and to meet
the demand for referencing purposes of different subjects at commune level, the
Handbook on Economic-Social Development Planning at Commune Level is
divided into the following parts:
(4.1) Planning contents at commune level: This part will illustrate the
composition of commune level planning with instructions for each part.
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Handbook on economic-social development planning at commune level
Supplementary to this part is the appendix composing of tables and
specific calculation of targets.
(4.2) Part II is the planning process at commune level with specific step and
content. This part clearly shows participants of each step.
Supplementary to this part are necessary report forms for meetings at
certain step.
(4.3) In addition to the two main contents is the Appendix. Besides
supporting the two main contents mentioned above, Appendix provides
some methodologies on planning so that the local governments can use
as references.
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Handbook on economic-social development planning at commune level
1.
Contents of Commune-Level Planning.
1.3 Composition of a commune-level plan
This composition is built on the general regulations of MPI on the one hand.
On the other hand, it demonstrates the spirit of content reform proposed by the
Project and approved by Provincial People’s Committee.
Note: At the time of drafting mid-term plan, communes do not have
adequate information to assess the implementation process of the ESDP for the
whole year. At that time, content of Part I will be changed to Assessment of the
implementation of ESDP at beginning (...) months and estimates of the
implementation of the whole year. However, at the end of the year, when
information is added and updated, this part will be changed into the following
form which will be the form of plan that will be officially presented and
approved by the People’s Committee at the end of the (X) reporting year.
Part I: Assessment of the implementation of ESDP in X1 year
I. Advantages and difficulties faced in implementing ESDP at commune
level in X year:
1. General characteristics of commune...
This part will summarize the most general information regarding commune
such as geographic location, total area, total households, number of
households living in poverty, main jobs and development trends of commune
in the past years. The purpose of this part is to help readers understand the
main traits of commune. This part, for the first year, needs to be written in
detail. In the following years, the numbers shall be adjusted if there are any
changes.
2. Main advantages and difficulties in implementing ESDP at commune level
in X year
2.1. Main advantages.
1
X year is the year of implementation of the plan. In case commune has a medium-term development plan (for
example: 5 years), assessment can be made for the previous 4 years and.....months of the implementing year.
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Handbook on economic-social development planning at commune level
2.2. Main difficulties.
In this part, planning officers summarize the advantages as well as
difficulties in implementing the plan in X year. These are factors that arise from
the outside environment, the objective factors which are beyond control of the
local government at commune level. For example: the weather, Party’s
guidelines, Government policy, people’s psychology... or factors that suddenly
change which the local government can not foresee before implementing the plan
in X year. For example: a company has decided to select one location at the
commune for setting up its factory or as a location for its strategic resources...
In case the commune has a medium term development plan in its mind
(example: 5 years), this part has to assess the whole duration which include
previous years and previous months of the year plan.
II. Outcomes of the implementation of ESDP in each area2.
In this part, planning officers takes into consideration of the plan of the
current year (X year), collect and consolidate information as well as outcomes of
Conference on plan implementation at commune level in order to present in
detail according to each field, each piece of information. Officers need to point
out the initially set-out targets, the outcomes and assess the work done as well as
the advantages and difficulties in that field of the commune in the current year (X
year) for each area, each piece of information.
Supported for this part is the Table Form.
Besides the above table form, the written part only presents the most
important contents in each field (subject to core targets of the commune in the
planning period)
1. Developing the economic-social infrastructure
This part gives out the general information regarding the outcomes achieved
in infrastructure development during the planning period in some areas,
At the mid-year, this part is named Outcomes of the implementation of ESDP
for the first 6 months and estimated one year in each field. At that time,
the planning team takes note that the outcome assessment always have two
assessments: that of the outcome of the first six months and that of the
estimated whole year.
2
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Handbook on economic-social development planning at commune level
specifically:
Total implemented capital which includes capital from budget and
mobilized capital from outside.
Work and projects implemented during planning period.
+ In support of economic development (traffic, transportation, irrigation,
market...)
+ In support of cultural-social development (cultural houses, libraries,
information, schools, medical stations...).
+ In support of environmental protection (waste water treatment, garbage
disposal, water supply...) .
1.3.
Compare the progress of project implementation with expected progress
in the plan  assess on the overall the reasons leading to the success or
failure during the implementation of these projects.
1.4.
Initial assessments on the impacts of these projects (if these projects
have been completed)
Currently there are only some small-sized projects with the local government as
investor. Thus, the contents of this part can be supplemented with other projects
of different levels implemented in the area of the commune.
2. Economy
In this part the planning team needs to consolidate reports from clusters,
hamlets, departments, industries and communities. The content of this part deals
with three issues: economic development (of units or of each production
household, business in the commune), provision of public services supporting
economic development (of local government in various commune levels) and
finances, budgeting.
2.1. Economic development (only need to mention estimated numbers, not
necessary to be exact numbers, prioritize numbers in monetary worth (how many
millions) more than number in items worth (tones, quantity of animals...)
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Handbook on economic-social development planning at commune level
- Agriculture and aquiculture which include:
+ Cultivation
+ Animal husbandry
+ Aquiculture
- Industries and small scale industries which include:
+ Processing, repairing industry
+ Construction and construction materials
+ Handicraft
+ Others
- Services:
+ Trading
+ Tourism
+ Other services
In each area, analyze in order: Goal oriented plan – Implementation result –
Assessment.
- Jobs:
+ Number of new jobs being created in the commune
+ Number of workers being trained or number of workers with enhanced
skills
- General assessments in the economic area
This part will consolidate all detailed assessments in the above mentioned parts
in the following order: Strengths – Weaknesses – Underlying Reasons
2. 2. Providing public services in support of economic development (This is
an important task of government at all levels and therefore this part needs to be
detailed and accurate).
2.3.
Activities that encourage agricultural expansion (technology transfer,
dissemination and sharing of experiences), support new production modes,
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Handbook on economic-social development planning at commune level
consult after the harvest, give support in seed or in stock, protect animals...
2.4.
Veterinary activities (periodical inoculation, keeping epidemics in
quarantine, monitoring slaughtering...).
2.5.
Activities that are related to vocational training, job recommendation
(for example: contact with relevant organizations, act as middle-man helping
people to find jobs, give advices and find vocational training centers as well as
find resources to fund the vocational training...)
2.6.
Activities that are related to providing information to support the
production process, business of people ( technological information,
technology, market information...)
There is a need to clearly mention the implemented activities, number of
participants (or number of beneficiaries), the quality of provided services and
expenses for these activities (if they can be determined).
In each part, analyze in the following order: Directive targets – Implemented
outcome – Assessment.
2.7.
General assessments on providing services in support of economic
development.
This part will consolidate all assessments of the above mentioned parts in the
following sequence: Strengths – Weaknesses – Underlying reasons.
2.3. Finances and budget
In this area, assessments based on directive targets in the plan are done in the
following order:
- Targets of X year
- Outcomes that have been achieved
- Problems that have not been solved.
- Underlying reasons to the not yet successful outcomes in the financingbudgeting area.
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Handbook on economic-social development planning at commune level
3. Social development – Solving social problems
3.1. Education
In the current context, the most bulging problem of education in the Mekong
River Delta provinces in general and in Hau Giang province in particular is the
students’ drop-out and the quality of education.
Based on the division of responsibilities in the education sector, district
level educational department manage from kindergarten level to high school
level. However, educational department at the commune level also needs to be
responsible for some issues with the educational department at district level such
as encouraging students to go to school, contributions to building schools with
the especial attention paid to kindergartens and nursery schools... Other tasks
that are beyond capacity of commune will not be brought into the content of plan
at this level, Thus, content of commune-level plan concerning education
composes of the following:
- Percentage of admission for students of the right age in general education
level
- Total students at the beginning of the school year (nursery school, primary
school, secondary school)
- Percentage of drop-outs at all levels of general education
- Percentage of households living in poverty and beneficiaries of social
welfare who are entitled to free general education.
- Percentage of students making contributions to funds, paying school fees
and school construction.
- Some targets for kindergartens (number of kindergartens, number of
children enrolled kindergartens)
- Some targets for kindergartens and preschools (number of preschools,
number of children going for preschools)
3.2. Health care
Like in the education field, the coordination between district level and
commune level is one of the important criteria in implementing health care
targets, especially in preventive health. However, the capacity to control
resources (finances and human resources) of commune is considerably weak
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Handbook on economic-social development planning at commune level
compared to district. Therefore, the system of targets at commune level has only
the directive element.
This part mentions the following issues ( identifiable based on system of
targets of health care in Fundamental targets of public health which is enforced
by Ministry of Public Health according to Decision no. 40/2006/QĐ-BYT dated
25/12/2006):
- Rate of population growth
- Percentage of women bearing third child (calculated based on the total of
women giving births within the year)
- Percentage of children under the age of one being given the full six types of
vaccine injections.
- Fatality rate of children under the age of five.
- Percentage of underweight infants born (below 2500 gram) (%).
- Percentage of women’s deaths due to tocology accidents (per 100,000 of
surviving infants )
- Percentage of women undergoing tocology annual examination.
- Percentage of pregnant women having at least one tocology examination (%)
- Percentage of clusters, hamlets having medical workers (%)
- Percentage of people having medical insurance.
3.3. Cultural-social and sports activities
This part deals with the following issues:
- Number and percentage of households living in poverty.
- Number of households, villages that are recognized as cultured households,
villages.
- Social activities organized (for example: taking care of families,
beneficiaries of social welfare, building houses of gratitude for war invalids or
martyrs’ families...).
- Activities of social organizations (of women, youths, war veterans...).
- Support activities aiming at solving social problems (for example: gambling,
drug addiction, superstition...)
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Handbook on economic-social development planning at commune level
- Sports activities that have been organized.
- Other activities if any (for example: erection of cultural relics)
All the parts in the heading 3 (3.1, 3.2, 3.3) need to be consolidated, assessed in
detailed in the following sequence: Strengths – Weaknesses – Underlying
reasons.
4. Environment protection
Environment is the new area that has been receiving attention in the contents of
ESDP for the past few years. Previously, some issues were considered to belong
to ensuring sanitation or preventive health categories. Currently, responsibilities
of commune regarding environmental matters are not yet clear while suburban
districts face difficulties in implementing or monitoring environmental activities.
The content of this part mentions the following issues:
- Percentage of households using clean water.
- Percentage of households having hygienic toilets.
- Percentage of clusters of households with garbage collection( with regard to
precincts)
- Number of propagandas giving instructions on the correct way of using
pesticides.
This part will summarize the detailed assessments of the above mentioned
parts in the following order: Strengths – Weaknesses – Underlying reasons.
5. Public administration reform and enhancing the capacity of apparatus of
government
This part touches on the following issues:
- Percentage of applications processed within the allowed time frame.
- Percentage of notices (important for people) publicly posted at headquarters
and places for receiving people’s complaints or inquiries.
- Percentage of unprocessed applications not exceeding.....%
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Handbook on economic-social development planning at commune level
- Percentage of letters, complaints of people not yet being answered by written
documents not exceeding....%
- Percentage of children having birth certificates.
- Percentage of successful mediations
- Percentage of money giving to the mediating team after successful
mediations.
Besides these targets, in circumstances whereby the local government is
conditioned for social investigation, they can bring into one additional target of
people’s satisfaction regarding areas such as: unprocessed papers, solving
complaints, taxes and fees collection issues, permission for construction, attitude
of officers, commune-level government officers...
This part will summarize the detailed assessments of the above parts in the
following order: Strengths – Weaknesses – Underlying reasons.
6. National Security Issue
This part could present the following issues:
- Activities in support of security, national defence that have been implemented
in the planning period (for example: training on night-watch, preventing and
fighting fire...).
- Number of cases regarding social evils, social disorder, lack of security.
This part will summarize the detailed assessments of the above mentioned parts
in the following sequence: Strengths – Weaknesses – Underlying reasons.
III. General Assessment on the economic-social development at commune
scale:
Main strengths and weaknesses in the implementation of ESDP
This part gives the general assessments on the outstanding achievements, the
existing problems in the implementation of ESDP, the work done successfully
as well as those work that have not been achieved... It also presents the work
that the commune and its local government have been able to carry out in the
current year such as: the close monitoring of the local government, the
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Handbook on economic-social development planning at commune level
initiatives of the commune officers , the enthusiastic support of the people...
This part is the summary of the detailed contents assessed at part II.
Part II: The oriented economic-social development in X + 13 year.
I. The advantages and difficulties in economic-social development of the
commune in X + 1 year:
Advantages (opportunities)
Difficulties (challenges)
These two parts touch on the similar content as stated in I.1. However, they
are the forecasts of the X+1 Plan Year.
General assessments of the implementation progress of social-economic
development of the commune in X+1 year.
Based on the opportunities and challenges, the Commune gives out assessment
on its capacity of economic-social development in the X+1 year as high, low or
average.
II. Forecast of the financial resource at commune area in the X+1 year:
Financial resources compose of: finances from the commune budget; finances
from programs and projects at central, provincial and sub-urban districts;
investments from credit, insurance agencies, domestic and international
investors; aids from domestic and international individuals and organizations...A
plan should be carefully drafted to make the best use of these financial resources.
III. Targets and economic-social development solutions of the commune in
X+1 year:
The content of ESDP at each level must reflect fully and in detail the tasks of the
local government at that level. With each stage, government at each level must
3
X+1 là is the planning year
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Handbook on economic-social development planning at commune level
set up a specific objective and each specific target needs to be quantified in detail
through one or some targets. This is to assist the local government in their
monitoring and assessing the implementation process of that task. With this
approach, the system of planned targets has been identified by the following
sequence:
Identify the
tasks of the
local
government.
Identify the
targets(general
and specific)
Identify the
system of
planned targets
1. General targets:
Spoken targets
Main targets
2. Objectives, targets and development solutions of each industry, each field:
2.1. Economic-social infrastructure development
2.2. Economy
2.2.1. Economic development
2.2.2. Provision of public services in support of economic development
2.2.3. Finances and budgets
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Handbook on economic-social development planning at commune level
2.3. Cultural development and solving social problems
2.3.1. Education
2.3.2. Public health
2.3.3. Culture, society and sports
2.4. Environment protection
2.5. Public administration reform and enhancement of capacity of
government
2.6. Security and national defence
The content composition of item 2, II, part 2 is similar to item 2, part I.
In each area, the analyses are done in the following sequence:
- General targets and main compulsory targets
- Specific target of each component in each area and planned targets.
-
Implemented solutions (including demand for resources and
individuals/organizations that have been given the task of implementation).
IV. Balancing resources in implementing ESDP at the commune-level
Commune accountants will point out basis and present the calculation for
demand, capacity to meet the demand for financial resources as well as
shortage of financial resources to meet the demand of commune. They also
make proposals to deal with these issues. It is not necessary for commune
accountants to detail all numbers (this will be presented in Table 4a and
Table 4b in part III of the plan). They only need to mention the most
prominent points.
V. Organizing and assigning work
1. Assigning work for the plan implementation
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Handbook on economic-social development planning at commune level
2. Assessing the plan :
3. Conditions required in implementing the plan:
3.1. Assumed conditions in planning
3.2. Proposals to the suburban district and province.
1.3 A system of planned targets at commune level
This system of planned target is expected to be supported by a professional
software. However, in the period where this software has not been used,
references can be found from tables in the Appendix.
1.3.1 Some general targets
It is necessary that this part gives out general targets for economic-social
development. The following are some of the most important and meaningful
targets taken from tables of targets:
- General economic targets (including public services in support of
economic development)
- General social targets
- General environmental targets
- General public administration reform targets.
- General national security and defence targets.
1.3.2 Some basic targets relating to construction.
1. Transportation target
Mainly for rural roads ( Road level 5 and 6 as standardized) in which:
Construction of new roads (aggregate roads)
Unit: km
Improvement of existing roads (aggregate roads)
Unit: km
Construction of new roads( bituminous roads)
Unit: km
Improvement of existing roads (bituminous roads)
Unit: km
Construction of new bridges
Unit: number
Improvement of existing bridges
Unit: number
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Handbook on economic-social development planning at commune level
2. Irrigation targets
The irrigation system in Hau Giang is comparatively adequate in general.
Thus, there is little demand for building new irrigation canals but more on
dredging the canals. While most of the canals in Haul Giang are freely
flowing, Vine Vien Commune still needs to build a water-bumping station.
Thus, the target for building of water bumping station needs to be kept in the
planning content.
Dredging the irrigation canal
Unit: km
Construction of water-bumping station
Unit: station, capacity
1.3.3 Some economic and public services in support of economic
development targets.
1. Economic targets
- Value of agricultural production
- Value of industrial production
- Value of trade services
- GDP per capita
2. Targets for Public services in support of development
a.
Supporting agricultural development
The targets for encouraging agricultural activities are usually provided by the
suburban districts. Thus, these targets only are the forecasts about the demand
that can be met of the commune and it is not compulsory for the commune to
achieve these targets.
Targets for activities that encourage agricultural expansion
(1.1.1)
Target for technology transfer activities (breed, seed...)
(1.1.2)
Target for propagation and sharing experiences.
(1.1.3)
Target for new model (cultivation, breeding, aquiculture...)
(1.1.4)
…….
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Handbook on economic-social development planning at commune level
a. Veterinary activities
(1.2.1.)Target for periodical inoculation against epidemics
(1.2.2.)Target for quarantine activities
(1.2.3.)Target for monitoring slaughtering activities
……………
b. Other activities
(1.3.1.)Target for consulting activities after the harvesting season
(1.3.2.)Target for information support activities
………
b.
Information
Targets for information are demonstrated as follows:
- Investment for radio broadcasting system of the commune
- Organize sessions to provide information in villages, clusters, hamlets.
- Print and distribute flyers with information loaded to people (or clusters,
hamlets).
1.3.4 Some targets for education and public health
(1) Education
+ “Compulsory” targets
1- Percentage of students enrolling at the right age in general education.
+ Directive targets (for use of references and local governments self-decide)
1. Total students at general education at the beginning of the school year (
preschool, primary school, secondary school)
2. Percentage of drop-outs at general education
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Handbook on economic-social development planning at commune level
3. Percentage of households living in poverty and beneficiaries of social
welfare receiving free general education
4. Percentage of fund, fees and construction contributions.
5. Some targets for kindergarten (number of kindergartens, number of
children enrolling in kindergartens)
6. Some targets for preschool and kindergartens (number of preschools,
number of children enrolling in preschools)
2. Public health
+ Compulsory targets:
3. Population growth rate
4. Percentage of women giving birth to their third child (over the total
number of women giving birth within the year).
+ Directive targets (for referencing purposes, communes decide it themselves)
2. Percentage of children below the age of 1 having the complete 6
vaccine injections.
3. Fatality rate of children under the age of 5.
4. Percentage of underweight infants ( 2500 gram) (%).
5. Percentage of women dying due to tocology accidents (over 100,000
alive infants)
6. Percentage of women having gynaecology examination in the year.
7. Percentage of pregnant women having been examined at least one time
(%)
8. Percentage of clusters, hamlets having medical workers (%)
9. Percentage of people having medical insurance.
1.3.5 Some targets for the environment
The planned targets for the environment consist of:
1. Percentage of households using clean water.
2. Percentage of households having hygienic toilets.
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Handbook on economic-social development planning at commune level
3. Percentage of clusters of households with garbage collection ( with
regard to precincts)
4. Number of propagandas giving instructions on the correct way of using
pesticides.
The definitions of clean water and hygienic toilets need to be consistently
understood as follows:
- Clean water
Clean water must be guarantied to follow the standard requirements of Ministry
of Public Health. It is the water that is clear, colourless and odourless. It does not
have strange tastes, is not polluted and does not transfer diseases to people and
weakens their health. It is not polluted on the surface or underground water. The
source of water (except for tap-water) must be very far from polluted areas
(pigpens, toilets, cemeteries...) at least 7 meters.
In reality it is difficult to identify sources of water based on the above
requirements. Thus, it can be understood that clean water consists of : tap water
(from public or private pipe), rain water, water from drilled well, water from
deep well, purified spring water...
- Hygienic toilets
Hygienic toilets are those that satisfy the requirements of Ministry of Public
Health (with the reduction on some requirements). According to Ministry of
Public Health, hygienic toilets are those that do not pollute the land surface,
water and underground water. Toilets are not smelly, do not destroy the
landscape or expose animals to their disposals.
1.3.6 Targets for public administration reform and enhancing capacity of
local government.
- Percentage of applications processed within the allowed time frame.
- Percentage of notices (important for people) publicly posted at headquarters
and places for receiving people’s complaints or inquiries.
- Percentage of unprocessed applications not exceeding.....%
- Percentage of letters, complaints of people not yet being answered by written
documents not exceeding....%
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Handbook on economic-social development planning at commune level
- Percentage of children having birth certificates.
- Percentage of successful mediations
- Percentage of money giving to the mediating team after successful
mediations.
1.3.7 Some targets for national security.
- Number of training sessions given to militia.
- Number of fire drills given
- Rate of decrease in theft
- Rate of reduction in traffic accidents in the area.
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Handbook on economic-social development planning at commune level
2 Generalization of planning process at the Commune Level.
The process of making annual socioeconomic development plan at the
commune level includes two rounds: Round I (from Step 1 to Step 7, consisting
of setting, primary consultation and defending the draft of commune socioeconomic development plan) and Round II (from Step 8 to Step 10, consisting of
updating, completing, approving and implementing the official commune
socioeconomic development plan). Each round includes steps of planning under
the following process:
Round I: Setting, primary consultation and defending the draft of commune
socio-economic development plan (consisting of seven steps: from step 1 to
step 7)
 Purpose: Collect information from district, departments, agencies,
commune unions and hamlets to draft the socio-economic development
plan so as to submit to district government on time and to put it into
provincial, district socio-economic development plans.
 Time: From late April to middle of May
 Content: Prepare the draft of the plan, organize the primary consultation
and defend the draft of commune socio-economic development plan to
district government.
1. Step 1: Collect information for drafting the plan
To have a high quality plan, commune needs enough information on master
plan, guidelines, policies and financial resource provided by district Planning and
Finance Division, as well as information of local socio-economic reality and
financial resources available in commune (collected by commune).
- With information from district, district Planning and Finance Division is the
only source to provide enough necessary information drawn from the 5 year
SEDP and other sources.
- Information on socio-economic situation, financial demand as well as human
resources is collected from two major sources: commune agencies and
organizations, and hamlets.
 Commune agencies and organizations provide the commune People’s
Committee on: (1) achievements, limitations and reasons for the
24
Handbook on economic-social development planning at commune level
limitations in … months early in the year and estimations for … year-end
months; (2) advantages and difficulties that might affect its activities in the
planned year; and (3) objectives, development orientations of the planned
year, and its specific solutions in the planned year.
 Head of hamlet will provide commune People’s Committee basic
information on socio-economic situation of his hamlet and demand of
villagers in the planned year. To do this, heads of hamlets need to organize
meetings for villagers as to collect their opinions, record in writing, fill in a
form and send to commune government.
Commune could actively collect information of commune’s situation before
receiving information from district, around mid May. Commune People’s
Council could summon leaders of agencies, unions, hamlets/small villages to
popularize assignment of making plan, assign tasks to parties and staffs. Plan
making group will guide parties to fill information forms and to organize villager
meetings.
Regarding financial resources: commune accountant plays an special
important role in providing information on annual state budget available for the
commune, according to State Budget Law 2002 and guiding documents from
province, district governments in period of stabilizing budget so as the People’s
Council make decisions on receipts and expenses, which serves for making
commune socio-economic development plan.
To support this process, commune government must have regulations on
information provision from commune agencies, unions and hamlets. The
regulations must include types of information and time for information provision.
Commune need to supervise and speed up the information provision as to ensure
that provided information is correct, clear and accordant with the guidelines.
2. Step 2: Synthesize and analyze information
In early week of June, information from districts, communes and hamlets is
sent to commune People’s Council. Commune will assign a staff of Planning
Group to collect information from the forms submitted by departments, agencies,
unions and hamlet. This staff will be responsible for verifying the quality of
information on site, if it does not meet requirements, he/she will guide and
suggest redoing the form then sending back to commune People’s Council after 3
days at the latest.
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Handbook on economic-social development planning at commune level
After collecting enough information, commune Planning Group will assign
staff to synthesize single information into general information tables which are
documents for a Conference on making commune plan.
3. Step 3: Conference on making commune socio-economic development
plan
After commune Planning Group prepare enough information and documents,
commune People’s Council will organize a conference on making commune plan
so as all concerned parties participate in assessment of socio-economic
development situation in commune area in current year, find out existing
problems and analyze their reasons. Accordingly, representatives will discuss
directions, objectives and solutions for commune socio-economic development in
the planned year. Discussions in-group and overall in the meeting-hall will be
recorded in detail in writing and read at the end of the conference to be passed.
4. Step 4: Draft of commune socio-economic development plan
Basing on the report of the Conference on making the commune plan and the
guidance of commune People’s Council, commune-Planning Group will draft
contents of the commune SEDP according to the approved form. This is
complicated job, requiring the participation of all members in the commune
Planning Group. Therefore, tasks need assigned to each member in details,
especially the person who will finalize the contents of the commune SEDP.
5. Step 5: Consult with community on the draft of commune SEDP
To ensure the commune SEDP being discussed publicly to every commune
citizens and to verify the comprehensiveness and accuracy of judgments and
analyses in the draft of SEDP in comparison with viewpoints from people, the
draft of SEDP will be given to consult with people in hamlets. The more
meetings with hamlets are organized, the better representative opinion meetings
have.
Results of the consultations with hamlets will be reported in writing and sent
to commune People’s Council to analyze and consider. Finishing this step,
commune-Planning Group will write a report for submitting to commune
People’s Council on the differences between the draft of SEDP and suggestions
from citizens, and adds recommendations of community into the draft of SEDP.
6. Step 6: Amend the planning draft after the consultation and feedback
from community
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Handbook on economic-social development planning at commune level
After considering suggestions from community, commune People’s Council
will decide amendment of the contents of the SEDP draft.
Results of acquiring suggestions from community are filled in writing under
an existing form, indicating points that commune People’s Council has
supplemented or amended in the SEDP draft, points that are not put in and
reasons. This document will sent to hamlets where consultation meetings were
organized and head of hamlets are responsible to inform their citizens in the next
meeting of hamlets. This is very meaningful because it ensures that citizens are
not just asked for suggestions but it is the two-way exchange between
government and citizens. The feedbacks also show the respect of commune
government to people’s suggestions and maintain the participation of community
in the planning period for the next years.
7. Step 7: Defend the socio-economic development plan to the district
government
The commune SEDP after being amended (as mentioned in Step 6) will be
reported to Standing Committee of commune People’s Council to get suggestions
before submitting and defending to district People’s Council (through district
Finance and Planning Division). This step should be seen as an initial discussing
process between commune and district. Over this process, commune could
preliminarily find the planning orientations of district, and on the contrary,
district knows more about demands and reality of commune development as to
adjust timely the official planning assignments. Similar to Step 6, activities in
Step 7 could help to create two-way frequent and effective information exchange
channel between district policies and commune policies.
Round II: Update, complete, approve and implement commune SEDP
(consisting of 3 steps, from step 8 to step 10)
 Purpose: This round aims at continuously amending the contents of the
SEDP draft, basing on updated information, until commune receives the
Resolution of district People’s Council and official planning indicators
assigned by district People’s Council. The Planning Group will complete
the SEDP draft before submitting to commune People’s Council for getting
their viewpoints of SEDP contents, especially implementation of commune
27
Handbook on economic-social development planning at commune level
investment projects. After that, commune People’s Council will decide and
implement the plan.
 Time: From August to December.
 Content: Update information to the plan, adjust the plan after having
official indicators assigned by district and implement the plan.
8. Step 8: Update and complete commune SEDP to get approval from
commune People’s Council.
From August to early December, commune continues to amend the SEDP
draft, using updated information. This period is very important because the SEDP
draft was done in June, information was based on estimations, and commune
agencies, unions and socioeconomic organizations do not have clear planning
orientations. Therefore, during management process, commune People’s Council
must guide the commune Planning Group to continuously update information
into the SEDP draft. Until mid November, commune People’s Council will send
official document of requesting agencies, unions, socio-economic organization
and hamlets/small villages (participants from step I) to supplement, update
information to the form submitted to commune People’s Council in June and then
send to commune People’s Council as to update information for the contents of
SEDP. Until late November, commune will have relatively accurate figures on
ability to implement the updated plan. Together with updating the plan
implementation situation, staffs in the Planning Group could adjust some
objectives and indicators of the next year plan, if necessary.
9. Step 9: Submit, ratify and approve the official commune socio-economic
development plan
After update on planning information as well as adjustment of the plan
according to indicators assigned by the district, commune People’s Council will
approve the official plan on commune socio-economic development. Because the
final SEDP and the SEDP draft in June might have some differences, People’s
Council should carefully discuss the allocation and chose investment projects in
the commune area. To do that, periodic meeting of commune People’s Council at
the end of the year should spend more time for discussion on the SEDP in details
as to decide the investment priorities before approved.
10.Step 10: Implementing the commune socio-economic development plan
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Handbook on economic-social development planning at commune level
This plan will be announced publicly and extensively to all citizens in the
commune to implement. After commune People’s Council decides, the plan will
be publicized and one copy of the plan will sent to district People’s Council.
Commune agencies and unions base on the commune SEDP to make plan and
working schedule for their own units, organizations. Results from implementing
tasks as assigned in the commune SEDP plan and their own plans and working
schedules are used to assessing levels of completing tasks of parties at the mid
and end planning year.
29
Handbook on economic-social development planning at commune level
3 Appendix
30
Handbook on economic-social development planning at commune level
3.3 Summary of some targets for public services and procedures in making plan
1b. SUMMARY OF RELEVANT PLANNED TARGETS OF COMMUNE AND PRECINCT LEVEL
Area
Commune Level
Suburban District Level
1.
Basic Targets for ease of traffic
infrastructure
1. Construction of new roads (aggregate roads)
Targets for ease of traffic
Unit: km
1. Construction of new bridges
Unit: number
2. Improvement of existing roads (aggregate roads)
Unit: km
2. Improvement of existing bridges
Unit: number
3. Construction of new roads (bituminous roads)
Unit: km
3. Construction of new roads connecting communes
4. Improvement of existing roads (bituminous roads) Unit: km
5. Construction of new bridges
Unit: number
6. Improvement of existing bridges
Unit: number
4. Improvement of existing roads connecting communes
Targets for irrigation
Targets for irrigation
1. Canal dredging
2. Building water pumping station
Unit: km
1. Canal dredging
Unit: station, capacity
2. Supporting Targets for supporting agricultural activities
agriculture
1. Target for technology transfer activities (breed, seed...)
development
2. Building water pumping station
Unit: km
Unit: station, capacity
Targets for supporting agricultural activities
1. Target for technology transfer activities (breed, seed...)
2. Target for propagation and sharing experiences.
2. Target for propagation and sharing experiences.
3. Target for new model (cultivation, breeding, aquiculture...)
3. Target for new model (cultivation, breeding, aquiculture...)
Veterinary activities
Veterinary activities
1.Target for periodical inoculation against epidemics
1.Target for periodical inoculation against epidemics
2. Target for quarantine activities
2. Target for quarantine activities
3. Target for monitoring slaughtering activities
3. Target for monitoring slaughtering activities
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Handbook on economic-social development planning at commune level
Other activities
Other activities
1. Targets for consulting activities after harvesting season
1. Targets for consulting activities after harvesting season
2. Targets for information support activities
2. Targets for information support activities
1. Number of new jobs created during the year.
3. Jobs and
supporting
job-search
development
2. Number of short-term training programs being implemented in the
year.
3. Number of people sent for medium and long-term vocational classes. S
4. Number of meetings arranged between companies and employees.
4. Supporting 1. Investment for radio broadcasting system of commune
information
2. Organizing sessions and providing information to villages, clusters,
hamlets.
3. Print, publish and distribute flyers to people (or clusters and hamlets)
1. Number of newsletters sent to commune (news are separated based on
market information, price information, technology, law...)
2. Number of cassettes, CDs that contain instructions on the use of
technology for people (which can be bought from radio-broadcasting and
broadcasting stations or other sources)
3. Number of training courses on making use of information found in the
internet
4. Number of participants for the above mentioned training courses.
5. Number of sessions providing information to broadcasters of the
commune.
5. Education
“Compulsory targets”
Compulsory targets
1- Percentage of students enrolling to school at the right age in general
education.
1. Percentage of students enrolling at the right age in general education
2. Percentage of teachers reaching national teaching standard as
regulated by the government for each educational level.
3. Number of new and improved classrooms (stabilizing schools)
Directive targets:
Directive targets
1. Total number of general education students at the beginning of the
school year (classified according to preschool, primary school and
secondary school)
32
I. Total number of general education students (classified according to
preschool, primary school and secondary school)
II. Average of maximum number of students in one classroom (for each
level)
Handbook on economic-social development planning at commune level
2. Percentage of drop-outs at general education
III.Percentage of students over teachers for each level
3. Percentage of households living in poverty and beneficiaries of social
welfare receiving free general education
IV.
Number of schools meeting the national standard at primary
and secondary schools.
4. Percentage of fund, fees and construction contributions.
V. Number of drop-outs in general education level.
5.Some targets for kindergarten (number of kindergartens, number of
children enrolling in kindergartens)
VI.
Number of households living in poverty and beneficiaries
of social welfare receiving free general education.
6.Some targets for preschool and kindergartens (number of preschools,
number of children enrolling in preschools)
VII.
Number of school management staff having met the
professional and political standard.
VIII.
Percentage of staff having sent for further training on their
skill/knowledge each year
IX.
Percentage of fund, fees and construction contribution
X. Percentage of public training centers with effective and quality
operation.
6.
health
Public Compulsory targets
XI.
Some targets for kindergartens
XII.
Some targets for preschool
Directive targets:
1. Population growth rate
1. Population growth rate
2. Percentage of women bearing their third child ( over the total number
of women giving birth in a year)
2. Percentage of women bearing their third child ( over the total number
of women giving birth in a year)
3. Percentage of people infected with dangerous and contagious
diseases.
4. Investment for preventive health
Directive targets
Directive targets
1. Percentage of children below the age of 1 having the complete 6
vaccine injections.
 Number of hospital beds (per 10000 people).
 Percentage of doctors (per 10000 people ).
2.Fatility rate of children under the age of 5
 Percentage of pharmacist having university degrees (per 10000
people).
3. Percentage of underweight infants ( 2500 gram) (%).
 Percentage of nurses (per 10000 people).
4.Percentage of women dying due to tocology accidents (over 100,000
alive infants)
 Percentage of communes having medical stations (%).
5.Percentage of women having gynaecology examination in the year.
 Percentage of medical stations of communes/precincts having midwives (%).
6.Percentage of pregnant women having been examined at least one time
33
 Percentage of communes/precincts having doctors (%)
Handbook on economic-social development planning at commune level
(%)
 Percentage of medical stations having basic necessary medicines (%).
7.Percentage of clusters, hamlets having medical workers (%)
 Percentage of clusters, hamlets having medical workers (%).
8.Percentage of people having medical insurance.
10. Percentage of children below the age of 1 having the complete 6
vaccine injections.
11. .Percentage of deaths for children under the age of 3. Percentage of
underweight infants ( 2500 gram) (%).
12. Percentage of women dying due to tocology accidents (over 100,000
alive infants)
13. Percentage of women having gynaecology examination in the year.
14. .Percentage of pregnant women having been examined at least one
time (%)
15. Percentage of clusters, hamlets having medical workers (%)
16. .Percentage of people having medical insurance.
7.
Environment
1. Percentage of households using clean water.
 Percentage of households using clean water.
2. Percentage of households having hygienic toilets.
or percentage of communes over...over % of households using clean
water.
3. Percentage of clusters of households collecting garbage ( with regard
to precincts)
 Percentage of households having hygienic toilets
or percentage of communes..over % of households using hygienic toilets.
4. Number of propagandas giving instructions on the correct way of
using pesticides.
 Percentage of communes/precincts collecting garbage.
 Percentage of business organizations making commitments in
following regulations on protecting the environment
 Percentage of production units meeting environmental standards.
 Percentage of companies having
system.
8.
Public 1. Percentage of applications processed within the allowed time frame.
administration 2. Percentage of notices (important for people) publicly posted at
proper waste (water) treatment
1. Percentage of applications processed within the allowed time frame.
headquarters and places for receiving people’s complaints or inquiries.
2. Percentage of notices (important for people) publicly posted at
headquarters and places for receiving people’s complaints or inquiries.
3.Percentage of unprocessed applications not exceeding.....%
3.Percentage of unprocessed applications not exceeding.....%
34
Handbook on economic-social development planning at commune level
4. Percentage of letters, complaints of people not yet being answered by
written documents not exceeding....%
4. Percentage of letters, complaints of people not yet being answered by
written documents not exceeding....%
5. Percentage of children having birth certificates.
5. Number of certifications for land use rights granted within a year.
6. Percentage of successful mediations
1. Number of construction registration in a year (compared to the
number of requests for construction)
7. Percentage of money giving to the mediating team after successful
mediations.
35
2. Percentage of business operation registrations granted (compared to
the requests for operating businesses)
Handbook on economic-social development planning at commune level
Appendix 2: Summary of steps in ESDP at commune-level
Estimated progress
Apr
il
May
June
J
ul
y
Content of each step
T4
T1
T2
T3
T4
T1
Step 1: Collecting information
- Set up a commune-level planning team
- Enforce regulations on providing information
- Disseminate commune-level planning work
- Communes collect information
- Suburban districts provide information to
communes
Step 2: Consolidate information
- Receive and assess forms
- Consolidate information in the form
- Prepare documents
Planning Meeting.
for
Commune-level
Step 3: Commune-level Planning Meeting
- Prepare for commune-level planning meeting
- Organize commune-level planning meeting
Step 4: Drafting commune-level plan
Step 5: First time consultation with people
on commune-level plan
- Select and prepare location for consultation.
- Prepare contents, logistics for consultation
- Organize consultation session
Step 6: Plan correction and feedback
- Correct and add contents to the plan
36
T2
T3
T4
A
u
g
u
st
S
e
p
t
e
m
b
e
r
December
Oct
obe
r
No
ve
mb
er
T1
T2
T3
T4
Handbook on economic-social development planning at commune level
- Feedback on the level of idea acceptance
from communes.
Step 7: Defend commune-level plan before
suburban district
- Members of standing People’s Council gave
approval to the plan.
- Send the plan to suburban district and discuss
with suburban district.
Step 8: Update and perfect the plan
- Request all parties in the commune to update
the information.
- Update targets required by suburban district.
- The commune-level planning team update the
plan.
Step 9: Present and approve the communelevel ESDP
- Second consultation with representatives of
People’s Council
- People’s Council of the commune officially
approves the plan.
Step 10: Implement the plan
- Disseminate the commune level ESDP
- All parties concerned
implementing the ESDP
make
plans
in
37
3.3 Forms and report forms
Handbook on economic-social development planning at commune level
3.3 The calculation of indicators.
Notes should be taken into consideration in designing the database
for planning activities at district and commune levels
(Refer to the Attached Excel Table when needed)
I. General Indicators
Indicator 1: Area of natural land
At the commune level, natural land is classified by hamlet, village (called hamlet
afterwards). Unless the hamlets are separated or merged, the area of natural land
of each hamlet is fixed (constant). It means that the indicator (1) is equal to
constant. The indicators (1.1)-(1.5) may be varied, depending on the use
purposes. These indicators are collected from the planning report by communes.
However, in general it should follow that:
CT(1) = CT(1.1) + CT(1.2) + CT(1.3) + CT(1.4) + CT(1.5)
Because CT(1) = constant, the indicator CT(5) may be treated as a remainder
(residual), that is:
CT(1.5) = CT(1) – [CT(1.1) + CT(1.2) + CT(1.3) + CT(1.4)]
In addition:
CT(1.1) = CT(1.1.1) + CT(1.1.2) + CT(1.1.3), of which:
CT(1.1.1) = CT(1.1.1.1) + CT(1.1.1.2)
CT(1.2) = CT(1.2.1) + CT(1.2.2) + CT(1.2.3), of which:
CT(1.2.1) = CT(1.2.1.1) + CT(1.2.1.2) + CT(1.2.1.3)
CT(1.2.2) = CT(1.2.2.1) + CT(1.2.2.2) + CT(1.2.2.3)
CT(1.3) = CT(1.3.1) + CT(1.3.2) + CT(1.3.3) + CT(1.3.4) + CT(1.3.5) +
CT(1.3.6) + CT(1.3.7)
At the district level, each indicator can be calculated as a sum of the
corresponding indicators collected from all its communes.
Indicator 2: The total resident population at the end of the period. This is a
statistical indicator.
39
Handbook on economic-social development planning at commune level
At the commune level, this indicator is classified by hamlet and collected from the
reports of hamlets, and then respored in the report of the commune. For each
commune:
CT(2) = CT(2.1) + CT(2.2) + ...+ CT(2.n)
of which: n is the number of hamlets;
In addition, for each hamlet, for example, hamlet 1:
CT(2.1) = CT(2.1.1) + CT(2.1.2)
CT(2.1) = CT(2.1.3) + CT(2.1.4)
Similarly, for hamlet i:
CT(2.i) = CT(2.i.1) + CT(2.i.2)
CT(2.i) = CT(2.i.3) + CT(2.i.4)
At the district level, the indicator CT(2) can be calculated as a sum of the
corresponding indicators collected from all its communes.
Indicator 3: The total number of households
At the commune level, this indicator is classified by hamlet and collected from the
reports of hamlets, and then respored in the report of the commune. For each
commune:
CT(3) = CT(3.1) + CT(3.2) + ...+ CT(3.n)
In addition, for each hamlet, for example, hamlet i:
CT(3.i) = CT(3.i.1) + CT(3.i.2) + CT(3.i.3)
At the district level, the indicator CT(2) can be calculated as a sum of the
corresponding indicators collected from all its communes.
Indicator 4: The population density
At the commune level, this indicator is classified by hamlet and collected from the
reports of hamlets, and then respored in the report of the commune. For each
commune:
The population density of hamlet i = Total population of hamlet i divided
by the total area of natural land of hamlet i
n
The population density of the commune =
 DS
i 1
n
i
 DT
i 1
i
of which:
n = The number of hamlets in the specific commune
DSi: The total population of the hamlet i;
DTi: The total area of natural land of the hamlet i.
At the district level, the population density is calculated similarly, for exceptions:
n = The number of communes in the district,
40
Handbook on economic-social development planning at commune level
DSi: The total population of the commune i,
DTi: The total area of natural land of the i,
Indicator 5: The annual average population rate
In order to calculate the annual average population rate, it firstly needs to have
the data on average population. The average population of a certain territorial
unit is calculated as the average number of its population in a research period,
usually in a year. For the district and commune levels, the average population can
be calculated from 2 formulas:
- If the data on popupation are available at the 2 points of the same period, the the
average population of this period may be calculated from the following formula:
St 
S1  S 2
2
of which:
St : The average population in the period t;
S1: The population at the beginning period;
S2: The population at the ending period;
- If data on population are collected at the several even times of the same period,
the everage population of this period may be calculated from the following
formula:
St 
S1 / 2  S2  S3  ...  S n 1  S n / 2
n 1
of which:
n: The number of times;
S1, S2, ..., Sn: The population at eaach time in the period;
If the data on the average population at time t ( St ) and the average population at
the previous time t-1 ( St 1 ) are given, the annual average population rate may be
calculated from the following formula:
gt 
St  St 1
100
St 1
For the commune level, this formula uses the average population of the specific
commune. For the district level, this formula uses the average population of the
specific district.
Indicator 6: The value of production output
CT(6) = CT(6.1) + CT(6.2) + CT(6.3)
The value of agricultural production output – CT(6.1) – includes the value of
products (also unfinished products) from the cultivation, animal husbandry
41
Handbook on economic-social development planning at commune level
activities, as well as the value of services from these activities. The calculation of
this indicator is guided by the district statistical office.
The value of industrial production output – CT(6.2) – consists of the value of
products produced in mining, procesing, in production and distribution of
electricity, gas, and clean water, which is calculated by the manufactured method.
The value of these products includes: 1) Industrial revenue (revenue from the
product sale and from industrial services, the sale of scraps, flaws, the lease of
machines and equipment accompnied with operators; 2) The residuals at the
ending and beginning periods, inventory, products sent for sale and unfinished
products. The calculation of this indicator is guided by the district statistical
office.
The value of services - CT(6.3) – consists of the revenue from the trade, tourist,
transportation, post office and telecommunication,...
The value of production output is an aggregate indicator. Its calculation at the
commune level may be used forreference only. The results of this calulation may
not be reliable, because the capacity is still lack or weak.
Indicator 7: Total budget revenue
The indicators from CT(7.1) to CT(7.16) of both levels (district and commune),
that are listed in the attached table, are based on the planning reports of these
levels and from the disccussion of the research team with the pilot communes and
districts. In addition, the regulations given in the Budget Law is alse refered to.
The list of revenue items may vary according to the socio-economic development
conditions of these communes and districts. However, it is necessary to note that:
16
1. At eacl level, CT (7)   CT (7.i)
i 1
2. Due to the budget decentralisation, it is not possible to sum the revenue
items of all communes to obtain the corresponding revenue items of the
given district.
Indicator 8: Total budget expenditure
The indicators from CT(8.1) to CT(8.9) of both levels (district and commune),
that are listed in the attached table, are based on the planning reports of these
levels and from the disccussion of the research team with the pilot communes and
districts. In addition, the regulations given in the Budget Law is alse refered to.
The list of revenue items may vary according to the socio-economic development
conditions of these communes and districts. However, it is necessary to note that:
9
1. At each level, CT (8)   CT (8.i)
i 1
42
Handbook on economic-social development planning at commune level
2. Due to the budget decentralisation, it is not possible to sum the
expenditure items of all communes to obtain the corresponding
expenditure items of the given district.
II. The indicators for infrastructure
Indicators 1 and thứ 2: These indicators are the primary inputs that may change
substantially from year to year. Refer to the definition/Calculation given in the
the attached Excel Table.
Indicators 3-9:
Assume i as the name of a specific infrastructure (i = 3: Thansportation; i = 4:
Irrigation; ... ; i = 9: Other projects). Thus, i.1, i.2, ... is the construction (projects)
of the same type of infrastructure. For example, for transportation, the 3.1; 3.2; ...
are used to indicate construction (projects) that belong to the transoprtation. The
indicators i.1.3; i.1.4; i.1.5 are the primary inputs that are used as descriptions for
the monitoring and supervision purposes.
The indicators i.1.1 và i.1.2 (and similarly, i..2.1; i.2.2; ...) can be considered as
the planning indicators on the sources and allocation of capital.
Due to the budget decentralisation, it is not possible to sum items related to the
capital souces and expenditures to obtain the cooresponding items of the given
district.
However, for each level it is necessary to note that:
CT(i.1.1) = CT(i.1.1.1) + CT(i.1.1.2) + CT(i.1.1.3), that is:
Total caiptal source = Central Budget + Local Budget + Other
souces;
In addition:
CT(i.1.2) = CT(i.1.2.1) + CT(i.1.2.2) + CT(i.1.2.3), tức là:
Total capital source for each type of construction (project) = Capital
for new construction + Capital for maintainance + Capital for purchase
In principle CT(i.1.1) = CT(i.1.2). However, due to the lags or the differance in
the bugget estimate time and the construction time, these 2 indicators may be
different from each other at a specicific moment. When there is a large
difference, the accountabilityis needed.
III. Agriculture and Service for agricultural development
Indicators 1 and thứ 2: These indicators are the primary inputs that may change
substantially from year to year.
Indicators 3-6: For the statistical and planning agencies, the collection of data
and the report preparation regarding the before and after agricultural promotion
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Handbook on economic-social development planning at commune level
are not necessary. However, for the agricultural agencies at the district and
commune levels these indicators may help to monitor the efficiency of the
agricultural promotion in general.
For each type of plant, and for each season:
Output = Area  Productivity
It is not possible to sum the cultivated areas before and after the agricultural
promotion to obtain the total cultivated area.
Average income = Revenue – Expenditure
Indicators 7-8: are primary inputs. Output can be estimated as:
Output = Quantity  Average weight
Indicators 9-16: are primary inputs.
IV. Employment and job creation in rural development
Indicators 1-4: are primary inputs, of which:
CT(1) = CT(1.1) + CT(1.2)
CT(2) = CT(2.1) + CT(2.2)
CT(3) = CT(3.1) + CT(3.2)
CT(4) = CT(4.1) + CT(4.2)
Indicators 5-10: are primary inputs. No calculations are needed.
V.Othergroups of indicators (from V to X): are primary inputs. No
calculations are needed.
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Handbook on economic-social development planning at commune level
4 SOME APPROACHES PLANNING (Appendix 4.1 and 4.2).
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Handbook on economic-social development planning at commune level
Appendix 4.1.
SOME POPULAR APPROACHES IN SOCIO-ECONOMIC DEVELOPMENT
PLANNING
______________________________________________________________
Reforms of planning activities closely link with application of new methods in
planning. In line with the Resolution of the 8th Communist Party Congress (1996),
Directive No. 33/2004/CT-TTg by the Prime Minister dated 23 September 2004, and
the official letter No. 2215/BKH-TH by the Ministry of Planning and Investment dated
14 April 2004, the need of improving planning methodologies has been highlighted,
with an emphasis on the need of using different tools for analysis, strategic orientation
and setting up feasible outputs and appropriate policy measures.
This part will introduce 3 popular approaches, including (i) strategic planning,
(ii) result-based planning, and (iii) participatory planning.
-
Strategic planning helps the planner to set up a logical
relationship from the furthest objectives (which are often called
vision or perspective) to long-term tasks (which are often called
the mission) of the plan for each certain period of time. These
will be long-term orientations, serving as a foundation for
defining objectives of medium-term plans.
The strategic
planning and resultbased planning
methods
complement to each
other.
These two methods
can be used at the
central, sectoral, and
local
(provinces/cities)
levels.
quận/huyện)
-
However, a plan will not be able to come into effect if it just
stops at the ”objective” level. Therefore, tools are necessary to
concretize these objectives into specific outcomes or outputs
that should be achieved for each period of time. These outputs
are also the basis to evaluate if the plan goes to the right
direction in achieving the objectives set up under the strategic
planning. This is the task of result-based planning.
-
Finally, either at the macro or grassroot level, a plan should always reflect the
”market’s” needs and wants (the market here should be understood as grassroot
level, including local governmental agencies, enterprises, mass organizations, and
the community, etc.) To achieve this, planning efforts should involve participation
of stakeholders. Participatory planning therefore is a method which can be used at
the same time with the above methods to ensure a high level concensus in the
society on making and implementing plans.
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Handbook on economic-social development planning at commune level
4.3 Strategic planning.
4.3.1 Concept and principles.
Strategic planning is a participatory process, under which
the participation starts from identifying the current status and
Optimal solutions
position (where are we now?) to selecting the objectives that we
and measures can
want to achieve in the future. Strategic planning includes
be identified with
decision making efforts based on the best selection of measures
a strategic vision
and actions to achieve the objectives.
and the application
For a strategic planning process, the following 4 questions
of strategic
should be answered:
planning.
a) Where are we now?
b) Where do we want to go to?
c) How can we get there in the most effective and sustainable manner?
d) How can we know that we are keeping the right direction?
So in fact, strategic planning is strategic and logical thinking through the whole
process from defining the current status and position (where are we now?) to
identifying the objectives that we want to achieve in the future.
Strategic thinking is needed in order to develop a strategic plan. Strategic
thinking should be characterized with comprehensiveness, creativeness, selectivity
and sustainability.
Figure 4.1: Requirements for strategic thinking
Comprehensiven
ess
Selectivity
STRATEGIC
PLANNING
Creativeness
Sustainabilit
y
Main principles for strategic planning
a) Taking into considerations the economic, political and social contexts as well as
internal factors which are easily affected by the external factors, strategic
planning therefore should be flexible.
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Handbook on economic-social development planning at commune level
b) Strategic plans should be optimal, i.e. ensuring benefits to the stakeholders, or
resolving outstanding issues or conflicts (if any) among the stakeholders.
Therefore broad-based consultation is needed, first, to ensure the “ownership” of
the stakeholders, and second, to improve the ability of self-adjustment, the sense
of responsibility and sustainability.
c) Strategic plans should be highly selective and prioritize the objectives, policies,
key or through-breaking measures, especially in the context when resources are
limited and cannot be widely allocated or cannot take into account factors of
economic and social efficiency.
d) There should be a flexible coordination of policies, especially when the factors
are interrelated with multidirectional impacts and therefore need to be adjusted
to fit the predetermined objectives. The objectives should be expressed in a
clear, specific and relevant manner.
e) There should be an appropriate information system and a monitoring and
evaluation system based on the indicators agreed upon in the plan.
Use of the strategic planning method will bring about major impacts as follows:
- It allows to take into full consideration all the internal factors (strengths,
weaknesses) as well as contexts influencing the future implementation of the plan;
and from this, it creates an unbroken relationship between the starting point of the
planning process and the point when the future objectives are set out.
- A strategic plan is characterized with a very high level of prioritization, therefore it
can mobilize resources to thoroughly resolve some outstanding issues which are the
most urgent in the plan.
- It can also point out the long-term and medium-term strategic orientations of the
plan, therefore the implementation process will not be led to a wrong direction.
4.2.1. Steps of strategic planning process
Major steps of a strategic planning process have been described in Chapter 3 of
this Manual. The discussion below will cover more specific details of these steps.
Corresponding to these steps in the new planning process will be modern but simple
methodologies and tools which are now being widely used for planning efforts in many
places in the world.
Step 1: Assessment of current status
Under this step, the most important point is to analyze the current socioeconomic development status at the local level in order to find out major strengths and
weaknesses at within the local environment, as well as opportunities and challenges
from the external environment. Issues to be analyzed can include demographic studies,
phytography, pedology, soil conditions, economic activities, health care, education,
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Handbook on economic-social development planning at commune level
gender inequality, protection of children’s rights, legal framework, administration
capacity, socio-economic factors, spatial economic factors, transport networks,
marketing, infrastructure, spatial development, combination of functions with space,
development-related outstanding issues, development pressure, combination of
outcomes from local level planning, finance, income, etc.
One tool widely used for such analysis is the SWOT matrix (please refer to
Chapter 5, SWOT analysis). After all the local strengths, weaknesses, opportunities and
challenges are analysed, the position of the locality should be determined, and based on
this, strategic orientations for each planning period is identified.
More specifically, under the first step, the following actions should be taken:
Identification and analysis of stakeholders4
Analysis on stakeholders helps to better understand benefits or losses that the
stakeholders may have due to decisions and measures. This analysis also helps to know
who the plan will have impacts on, whether these impacts are positive or negative, and
the relative important role of the stakeholders to the plan. It helps to find out optimal
measures, bring about the optimal bemefit to the stakeholders, set out the priority level
of various objectives, make the full use of the beneficiary support, and find solutions to
reduce or minimize losses of negatively affected groups. A very important point under
this step is that all the stakeholders should be given the opportunity to voice out their
opinions and views on the plan (the project) being formulated. To achieve this, all the
stakeholders (e.g. local people, organizations, enterprises, local authorities, etc.) should
participate in the planning process to help the planner find out what are the targets for
intervention measures and how to resolve the concerned issues.
The stakeholders may be:
(1) The local community
(2) Organizations (donors, enterprises, others, etc)
(3) Mass organizations
(4) Local authorities (concerned departments, sectors and agencies)
Analysis of current status and situation, and identification of issues
The main objective of this sub-step is to precisely define the current socioeconomic status, in order to know exactly what should be the starting point for the plan,
so as to have different forms and measures of intervention during the process of plan
making and implementing, and more specifically, to precisely evaluate strengths,
weaknesses, opportunities and challenges. Note that strengths and weaknesses are the
internal and subjective factors, while opportunities and challenges are external and
objective factors.
4
Stakeholders are defined to be: groups of people or organizations, benefits of
which relate to a specific activitiy; decision makers as well as those affected by
these decisions; and from governmental officials to ordinary citizens.
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Handbook on economic-social development planning at commune level
Step 2: Strategic orientations
The outcome of this step includes strategic orientations for the planning term,
e.g. basic needs-oriented strategies, production-oriented strategies, strategy to make use
of the local comparative advantages, etc.
This step should work out specific development objectives based on analyses of
the current status, forecast of resources availability and development potentials. In
addition to definition of priority objectives for the planning term, there should be also
forecasts on possible changes of different economic sectors, and an analysis of the
macro economic frame to ensure that the determined objectives are highly feasible.
Step 3: Programming, policy making and project formulation
Based on the development strategy, define tasks and actions that the local
authorities need to conduct for creating an environment or catalyst to encourage other
economic sectors and the community to participate in the predetermined development
activities. Then, transform them into development projects and programs, based on the
results of analyses and planning efforts at the local level.
Under this step, the 3 following questions will help to follow a good direction:
a) Which activities are the most feasible?
b) Which activities are the most sustainable?
c) Which activities have the strongest development impact?
Step 4: Budget estimation
Based on the determined projects and programs, budget estimation should be
done as a basis to define the total demand of resources. Make this total demand of
resources balanced with the potential budget revenues and the possibility of mobilizing
other resources outside the budget. If the available resources are not sufficient, some
projects or programs of lower priority should be cancelled, or some of them should be
diminished in terms of the scope, as long as the strategic objectives are not misdirected.
Step 5: Implementation, monitoring and evaluation
During the planning process, a monitoring and evaluation (M&E) plan should be
worked out to:
-
Detect any discrepancies in the implementation process, compared with the
predetermined objectives (e.g. discrepancies in terms of progress, quality, quantity
of outputs, impacts on stakeholders, etc.) and identify reasons for timely solutions.
-
Detect unexpected changes in the external environment, especially unfavourable and
negative changes, and try to find out solutions to cope with, or make adjustments to
the plan.
-
Evaluate the implementation to draw lessons for the next planning term.
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Handbook on economic-social development planning at commune level
At present, this step is still a weak point in the traditional planning process.
Requirements as ewll as specific actions to establish an effective M&E system are
described in Chapter 8.
4.3 Result-based planning
4.3.1 Concept and advantages
Result-based planning is the planning approach that relies on expected impacts
and outcome to set out objectives and action alternatives to achieve these objectives in
the future.
The result-based planning approach is advanced and modern with the following
major advantages:
(i) When the result-based planning method is used, the planners have to think of
measures to achieve predetermined impacrs, and by this way, the plan will
actually call for actions, rather than narrowly defines only a program of
actions or a plan of works.
(ii) This method can increase the responsibility of the participating stakeholders in
arranging activities by comparing the achieved outputs with the expected ones
through monitoring, evaluation, reporting and regular adjustments of the
activities so as to achieve the objectives and targets of the plan.
(iii) It can create consistency within the planning system through fulfilment of the
planned objectives and targets, and at the same time, it also orients activities
from the planning stage to the implementation and M&E stage.
(iv) It ensures the effectiveness of the plan through reviewing, monitoring and
evaluation of the achieved outputs in comparison wiht expected outputs.
(v) It ensures accuracy, consistency and coherence between the planning and
implementation stages through the outputs with sound verification indicators
and evidence. The result-based planning method also create favourable
conditions for reviewing, monitoring and evaluation of the implementation of
the plan.
(vi) It links the plan with the budget. The plan then becomes the frame to allocate
the budget according to the selected objectives, which can help to avoid losses
and wastes.
4.3.2 Differences between the traditional planning method and the result-based
planning method
The traditional planning method basically relies on inputs and outputs, not yet
taking into account the outputs and their impacts, while on the other hand, the
result-based planning method focuses on the final outputs of project and policy
programs, i.e. it is based on the objectives, outputs and indicators to develop
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Handbook on economic-social development planning at commune level
alternatives, solutions and actions to achieve the predetermined targets (see Figure
4.2).
One of the important tools supporting the result-based planning efforts is the
frame of policy solutions. This in fact is a concise summary of the plan, highlighting
overall objectives and specific objectives under each overall objective, as well as
proposing policy solutions to achieve these objectives and goals.
Table 4.1: Result-based planning framework
Constraints –
Problems
Final impacts
Overall
objective
Output
Specific
objective
Measures,
programs
Risk
assumptions
The framework shown in Table 4.1 indicates the coherence between different
steps of planning. The outcome of the step ”Assessment of current status” is shown in
the colum ”Constraints – Problems”, while the column ”Final impacts – Objective”
shows objectives, and the column ”Measures – Programs” is the outcome of the step
”Definition of policy measures”. With this presentation, we can see clearly which are
the measures and programs, which problems they can resolve and which objective they
are aimed to.
Table 4.1 also indicates a major difference between the traditional planning
method and the result-based planning method. We can see that there are 2 groups of
major impacts of the policy actions, which are in particular the group of ”outputs of
implementation” shown in the column ”Outputs” and the group of ”Final impacts”
including both ”overall” and ”specific objectives”. The traditional planning method
cannot express the coherence from the policy actions to the objectives, but only from
the policy actions to the outputs; while the result-based planning method can express
the ”organic” coherence between actions and objectives.
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Handbook on economic-social development planning at commune level
Figure 4.2: Comparison of 2 planning methods
Traditional method

IMPACT

The plan does not cover
impacts (e.g. livelihood,
quality of life of people)
Result-based method

Measuring the impact of increased
overall social welfare owing to many
long-term and wide-scale influencing
factors.
Example: The rural living standards
increased by %; the rural poverty rate
reduced by %; the rate of child
malnutrition reduced by %

Directly expressing effectiveness, current
status, and the process to achieve
predetermined objectives/ targets, as the
direct outcome of using output goods and
services. Example: the farmer’s income
increased by %, income from ethnic
minority farms increased by %

Products (goods or services) created from
inputs. Example: the number of rural
small and medium enterprises increased by
%; the proportion of forest land allocated
to local households; the number of farmers
(both men and women) trained on
agricultural skills

Activities to be done to achieve the
expected outputs. Example: granting
license to small and medium enterprises.
Allocate forest land to households.
Conduct training courses.
IMPACT
Outcome (medium term):
information is usually
unavailable)
OUTCOME
OUTCOME




GDP in agriculture increased
by 4%
Produced xxx tons of rice
Yield of rice: 6 tons/ha
Caught xxx tons of fish
OUTPUT
OUTPUT

ACTIV
ITIES
ACTIV
ITIES

INPUTS


Supply of high quality seeds,
pesticide, improve
irrigation/drainage canals
Organize training for farmers
Provide xxx VND of credit
for farmers
INPUTS
53
Reflecting resources of investment;
Example: clearness of regulations, policies
and mechanisms for small and medium
enterprises. Decisions made on allocation
of forest land. Public targets on
agricultural extension research and
services. Sources of investment fund for
various sectors and fields of activities.
Handbook on economic-social development planning at commune level
4.3.3 Steps for an result-based planning process
The steps to conduct result-based planning are similar to those of the the
strategic planning process. This session will describes in details the content of these
steps.
Step 1: Assessment of current status
One important area of Assessment of current status is to assess the
implementation of expected outcomes, rather than stops at the outputs. These outcomes
should be comprehensive, including economic, environmental and social objectives, as
well as assessment on the institutional aspect and effectiveness of the administrative
apparatus.
Major notes are :
- Compare the achieved outcomes with their movements
Tool: Analysis of SWOT
during the process of formulation and development, and at
matrix (see Chapter 5).
the same time, compare the achieved outcomes with those
in other localities, other sectors and other countries,
espcially in relation with the predetermined objectives.
- Evaluate outcomes i.e. the results of fulfilling objectives, missions, planned
targets, solutions and actions to achieve objectives. Evaluation of outcomes allows
to define actual and current gaps compared wiht the expected outcomes.
- Identify urgent issues that need to be resolved, difficulties, outstanding issues ; as
well as continue to study causes of each issue (direct and indirect, intrinsic cause
of the issue, subjective and objective causes).
To support the above evaluation, the participatory rapid assessment toolkit may be
useful (see details in Chapter 5 and Appendix 1).
Step 2: Definition of objectives
The aim of these steps is to imagine the future, i.e. answer the question “Where
do we want to go to?” after the current status, difficulties and outstanding issues have
been defined.
The content of these steps includes:
- Analysis of problems: the aim of this step is to study the key Tools:
reasons causing the problems and consequences of these - Problem tree
problems. When finishing this step, the planner can imagine -Objectives tree
the «cause and effect » relationship between the problem and
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Handbook on economic-social development planning at commune level
its key reasons as well as its consequences to the development
process in the locality/sector.
- Analysis of objectives and establishment of an objectives tree: from the problem
tree, transform the defined problems into objectives by moving from the negative
to the positive state, e.g. the problem of food shortage => objective: ensure
sufficient supply of food (see details in Chapter 5 – Some major tools used for
socio-economic development planning).
Under this step, participation of the stakeholders is also needed to collect their
views on the coherence and linkage between different objectives. If any objective is not
yet linked to another, it may be necessary to look back at and adjust the problem tree.
When finishing this step, the « cause and effect » relationship in the problem tree has
become the relationship between means and objectives in the objectives tree, where the
objective at the lower level will be the means to achieve an objective at the higher level.
Prioritization of the objectives is an important action in the step «Definition of
objectives ». Prioritization should be based on clear and transparent criteria originating
from the actual possibility of mobilizing resources from the entire society. Prioritization
should link with clear definition of beneficiary targets. In this action, there should be
the stakeholders’ participation so that they understand and share the same view on
prioritized objectives, and on this basis, they are willing to make commitment on
coordination for implementing the plan.
Example on prioritization of objectives
Objective
Importance/with Relevance
Feasibility
Total
Ranking
impacts on
(target)
(implementation
score
poverty
capacity,
reduction ...
resources)

Objective
A

Objective
B

Objective
C

Objective
D
Step 3: Identification of implementation measures
Implementation measures can be formed after developing the objectives tree. To
do this, it is necessary to classify the above objectives into different groups, according
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Handbook on economic-social development planning at commune level
to some certain criteria, e.g. accordin to the sector where interventions will take place
(as the basis to allocate the plan to various sectors later on), or according to locations
(as the basis to allocate the plan to the local levels, for example), or according to
thematic topics such as economic, social or environmental. Then, the scope of
intervention measures should be defined.
Another work under this step is to define the intervention logframe,
or the hierarchical relationship between different levels of objectives in the
objectives tree. It can be said that the intervention logframe of the plan is
Useful tool:
Logical
frame
(logframe)
exactly the part of the objectives tree after classification of groups of
objectives and selection of the intervention measures and their scope.
Normally, this logframe includes 4 levels: final objective – intermediary
objective – output (outcome) – activities. However, some plans can even
have the intermediary objective divided into 2 smaller parts (including short
term objective). Then the logframe is said to be extended to 5 levels of
objectives.
Due to limited resources, measures also need to be prioritized so as to find out
the key and through-breaking ones. Along with definition of alternatives for actions, the
plan also needs to identify clearly the resources: financial, human, physical (which are
often called inputs), and the means to verify these resources.
Step 4: Establisment of monitoring and evaluation (M&E) mechanism
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A system of monitoring indicators will be needed to measure the completion
level of the planned objectives. Development of these indicators is also a precondition
to work out a M&E plan. Planned objectives/targets should be distinguished from
measuring indicators (see Part III: M&E). These indicators must be measurable by
using objective and flexible methods that can take the advantage of available data and
information.
Step 5: Definition of assumptions and preconditions for implementation of the plan
The plan is developed to look to the future. Therefore there are many factors that are
beyond the planner’s control. They should be indicated as preconditions or
assumptions which have significant impacts on successful implementation of the
objectives. These preconditions may be advantageous changes of the weather or the
world’s economic situation, commitment of support and approval of the plan by the
responsible authorities, or the community participation in implementing or making
budgetary balance for the plan, etc.
4.3 Participatory planning
Concept
Participatory planning is the planning approach that involves stakeholders to
participate in one or many stages of the process of plan formulating, implementing and
monitoring.
Here, participation is understood as the involvement of stakeholders in a
development plan. It is a process through which the stakeholders contribute, during the
planning process, by expressing their opinions, views and concerns about some
development plan. This is also an opportunity for the stakeholders to show their views
and by this way, influence on the decision-making process.
The participatory method is applicable for planning efforts at the central,
sectoral, local or project level. Specifically, the community-based planning method is
applicable the lower level – village level, and depends on the project scope.
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In fact, participation is a compulsory requirement where all stages of the
planning process, not only the stage of plan making itself. This point is clearly
illustrated in Figure 4.3.
Figure 4.3. Participation playing the central role in planning process
Analysis
of
current
status
Assessment
Participa
-tion
Monitoring
Plan
making
Impleme
ntation
4.3.1 Objective and meaning of participation in plan making
Plan making needs the stakeholders’ participation to ensure harmonization of
interests and obligations of all the parties, and ensure that the plan is suitable and
effectively implemented, and that resources can be mobilized for the plan at the
maximum level.
Authorities of different levels play the guiding role and create conditions for the
stakeholders to participate in selecting decisions of investment that directly relate to
their benefits. If a plan is developed based on the wide participation of the community:
(1) Investment will be more effective as the object of investment is precisely chosen
and appropriate to the stakeholder’s or the public desires and needs. Policies of
the Party and the Government will easily come into effect and be in line with the
public desire.
(2) With participation, benefits of the stakeholders will be taken into account in a
fair and just manner. Policies, programs and public services directly provided to
beneficiaries, especially the poor, will create a motivation for development of
production and increase of income.
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Handbook on economic-social development planning at commune level
(3) The public participation will help to mobilize, at the maximum level, resources
and local labor forces in order to create jobs, increase the income level and raise
the level of knowledge for the peope.
(4) With participation, information is publicized, monitoring of the plan is easier
and democracy and transparency are improved.
(5) The sense of responsibility and obligations of the stakeholders are raised up
when they participate in the planning process.
To ensure the participation, strong foundation and strategic feature of the
planning process, many tools and methods can be used, such as:
+ Socio-economic development planning from the village/hamlet level according
to the Village Development Plan (VDP) and using PRA tools
+ Organizing workshop on multidisciplinary strategic planning at the local level to
define objectives, harmonize priorities and resources
+ Organizing small and large workshops and consultative meetings at different
levels and in different sectors to get comments on the draft plan
+ Calling for public consultations through mass media
Stakeholders/participating entities in the planning process
Each stage of the planning process may involve different stakeholders. The
planning agency plays the role of the subject thorughout the process and coordinates
and summarizes inputs of different parties on the plan. According to the international
and Vietnam’s experience, the following stakeholders can involve at different levels
and according to the progress:
(a) Planning at the central level:
Party, National Assembly and Government: give orientations and approve the
plan
Ministry of Planning and Investment: takes the leading role in socio-economic
development planning
Central Ministries and sectors: comment and request for adjustments of the
socio-economic development plan, often play leading roles in formulating the
sector development plans at the central level
Research institutes: participate in drafting the plan and assessing the current
status
Social, political and professional organizations: participate by commenting on
the plan
International organizations, donors, NGOs: participate by commenting on the
plan
(b) Planning at the local level:
Party Committees, People’s Councils, People’s Committees of different levels
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Handbook on economic-social development planning at commune level
Department of Planning and Investment: takes the leading role in the planning
process
Other Departments and sectors: comment and request adjustments of the
provincial/municipal plan, and play leading roles in formulating the sector
development plan at the local level
Local research institutes: participate in drafting the plan and assessing the local
current status
Social, political and professional organizations: participate by commenting on
the plan
Community: participate in evaluating, commenting (through consultations),
programming
The following groups are the important targets for consultations:
- Women
- Children
- Elderly people
- Disabled and disadvantaged people
- Ethnic minorities
4.3.2 Forms and contents of participation
Selection of forms of participation may be different between sectors and
localities depending on features of different types of plans. By this way, the most
effective form of participation can be chosen. Participation can be expressed through
many forms as shown in the table below:
Form of participation
Participation in the Organize exhibitions and displays as public opinion polls,
form of information provide information to the community through masss
media such as newspapers, radios, surveys
dissemination
Participation in the This is also an essential form of participation, when there
form
of are not conditions to consult with everybody. Then at least
we need to consult with some major target groups in the
consultation
community to ensure that later decisions are endorsed by
the community.
Some types of this form of participation include: thematic
group discussions, village meetings, community
consultative groups, workshops, interviews
Participation as a Encourage this form of participation as it will increase the
poor’s, the community’s and the local authorities’ capacity,
mission
so that they can resolve their own affairs. This form of
participation can be conducted through consultative
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Handbook on economic-social development planning at commune level
meetings, dialogues, workshops …
Active participation Expresses the voluntariness of the stakeholders with their
responsibility and honesty. Recognizing benefits from
participation, they will voluntarily involve themselves in
the planning process.
Participation of the stakeholders in the planning process has the following major
contents:
Issues that must be informed to the stakeholders and the public
1. 5-year
and
annual
socio-economic
development plans of the locality,
including information on timing frame and
planning schedule
2. Resolutions and directives relating to
planning efforts
3. Annual cost estimates and final budgetary
balance, requirements of contributions for
infrastructure development adn welfare
faciltiies, and results of implementation;
4. Programs and projects financed by the
Government, organizations and individuals
5. Governmental and local policies and
borrowing programs for development of
production and for poverty reduction
- Through official documents.
- Publicized at the offices of
agencies
(e.g.
People’s
Committees,
People’s
Councils) and residential and
cultural centres
- Through the broadcasting
system
and
cultural,
information and grassroot
propaganda organizations
- Through contacts between the
public and candidates for the
membership in the People’s
Councils
- Through meetings of People’s
Councils,
the
Fatherland
Front, social and mass
organizations,
associations,
and residential communities.
In semi-annual and annual
review meetings.
Issues that the stakeholders should discuss and comment on
1. Draft
planning,
socio-economic
development plans, alternatives for shifting
the economic structure, productive
structure, and alternatives for sidejob
development and employment creation
2. Draft plans to implement national programs
such as those on health care, clean water
supply, environment and hygiene
61
- Organize
meetings
for
discussion
and
voting
(publicly or secretly); record
results of voting and report to
the relevant authorities
- Organize workshops to discuss
and agree on the issues (by
voting or scoring). Results of
Handbook on economic-social development planning at commune level
3. Policies and alternatives of land acquisition
and compensation
4. Cost estimates and budgetary balances
5. Measurements and final acceptance and
payments for construction structures that
are
financed
from
the
people’s
contribution, and results of projects and
programs directly financed by the
Government, organizations and individuals.
6. Revenues and expenditures of and from
funds, payment of fees according to the
Government’s regulations; contributions by
the people
the workshops and comments
by the people should be fully
and impartially recorded and
reported.
- Use questionnaires to ask for
comments from concerned
individuals
4.3.3 Requirements on participation in and consultation on planning
According to the requirement of reforming the planning process in terms of
methodology and process5, the stakeholders can actively participate in the consultative
process in order to improve the quality of the plan. The stakeholders may be in
particular governmental agencies, socio-economic and political organizations,
scientists, celebrities, ethnic groups. During the local level planning process, they
should be informed of the planning efforts and then can participate in discussions, give
comments, monitor and review many issues to help the responsible authorities make
right and precise decisions in the plan. Consultative activities should ensure the
following basic principles:
The stakeholders are informed early of the issues and
Note: Before organizing
consultative meetings, it is
contents relating to themselves
necessary to establish the
consultative
framework
The stakeholders can participate right from the beginning of
including relevant issues
the planning process. The earlier their participation is, the
and questions appropriate
higher level the support given to the plan is.
to
the
content
of
consultation (example: the
The leading agency should create every conditions and
plan) and appropriate to
the targeted consulted
opportunities for the stakeholders to comment on the plan.
people.
The issues that the community is asked to comment on
should be the ones that the community is interested in,
concerned about and close to them.
The participatory/consultative process should be clear, open and transparent. Timing
arrangements should be adequate for consultative requirements.
Directive 33/2004/CT-TTg dated 24 September 2004 and Circular letter No.
2215/BKT-TH
5
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Handbook on economic-social development planning at commune level
Participation/consultation should be done on the basis of confidence, and
constructive and contributive spirit.
Comments from the stakeholders, especially the community, should be considered
by the planners to revise/adjust the plan, or reasons should be given if these
comments are not incorporated in the plan.
Budget and financial resources should be prepared to be available for the consultation
process.
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Handbook on economic-social development planning at commune level
Appendix 4.2.
SOME POPULAR TOOLS FOR SOCIO-ECONOMIC DEVELOPMENT
PLANNING
In Chapter 4, we have mentioned a number of popular approaches in planning in
line with the planning reform in Vietnam. To successfully apply these methods, we can
use many different tools. This Chapter will introduce some typical tools that can be
used in a flexible way at different stages of the planning process of each planning
approach.
4.1
Views on use of planning tools.
When using these tools, it is necessary to understand well the following views:
-
Each method can use several different tools, and each stage of the planning
process will use some certain typical tools.
-
A tool can be used for different methods.
-
The use of these tools is very flexible. Depending on the targets, conditions and
objectives of implementation, we can use different tools or can even adjust the
tools according to the specific needs of the planners.
Table 4.1 below lists some popular tools that are used in the planning process in
the world. The table also indicates for which steps of the planning process these tools
can be used.
Table 4.1: List of some tools used for planning
Tool
Analysis Planning Imple- Monitoring Evaluation
of
menting
current
the plan
status
Synthetizing tools for planning
Analysis of secondary
information
Ranking by matrix
Venn chart
Analysis of problems by
√
√
√
√
√
√
√
√
√
√
√
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Handbook on economic-social development planning at commune level
the problem tree
Selection of objectives by
the objectives tree
Analysis of measures by
matrix
SWOT analysis
Tools for sectoral/project
planning
Sectoral/project planning
by logframe
Making
the
project
implementation plan by
using Gantt chart
Primary tools for planning
PPA/ PRA/PLA tools
Village/social maps
Policy
and
gender
analysis by Venn chart
Production graph
Historical graph
Gender
analysis
by
working schedule
Ranking the poor – rich
levels
Ranking needs
Commonly
applied
methods
Semi-structured
interviews
Group discussions
Workshops
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
√
Note:
1. For planning at the local level: level  is the communal level; level  is the
district level; level  is the provincial level; level  is the national level (according to
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Handbook on economic-social development planning at commune level
the new budget law and decentralization principle in planning, commune is the lowest
level)
2. Participation can be applied at both macro and micro levels. The link
between the macro and micro levels is realized though: (i) collection of views, opinions
and positions from the micro level, (ii) comparison of opinions and needs from the
micro level with the macro level views and orientations to make integration and
mainstreaming.
The above tools are different in terms of the level of details and synthesis. The
following parts of this Chapter will mainly refer to the synthetizing tools which are
widely used in planning. Other specific tools (primary tools), understood as different
ways of working to quickly collect and summarize information, will be described in the
Appendix to the Chapter.
4.2
Tool 1: SWOT Analysis
Concept and uses of SWOT analysis
This tool helps to analyze Strengths, Weaknesses, Opportunities and Threats
(abbreviated as SWOT) that relate to a specific subject.
SWOT analysis will provide the planner with a full and comprehensive view on
the current status of the subject in question. On this basis, the planner can know about
strengths and weaknesses in the subject that he/she is studying, as well as opportunities
and challengs that the external environment and context bring about. From that, the
planner can define the planning orientations on his/her own initiative:
-
Exploit in the best way the internal strengths to take the advantage of the
opportunities that the external environment brings about (in this case, the planner
has a basis to select an optimistic planning alternative); or
-
Exploit, in the best way, strengths to minimize risks and negative impacts that
the external environment induces; or
-
Thoroughly resolve the weaknesses to seize and make the full use of the
opportunities brough by the external environment; or
-
Thoroughly resolve the weaknesses to minimize risks and negative impacts that
the external environment induces (in this case, the planner has a basis to select a
prudent planning alternative);
Using SWOT analysis can also attract the stakeholder’s participation in defining
problems and ranking priority levels of the issues that need to be resolved.
Method to establish SWOT matrix
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Handbook on economic-social development planning at commune level
The output of SWOT analysis is a SWOT matrix. That is a table summarizing
strengths, weaknesses, opportunities and threats to the issue that the plan is dealing
with. Table 4.2 provides a typical example of SWOT matrix.
Table 5.2. Example of SWOT matrix
SWOT matrix
Opportunities
Threats
- Economic
- Admission to WTO
- Political, social
- External resources, etc.
Competition
from
neighbouring countries
Take the major points
Take the major points
Give specific evidence Give specific evidence
shown in figures
shown in figures
Strengths
- Institutional
- Capacity
- Resources
- Socio-economic situation
Alternative
optimistic
1:
Most Alternative 2:
Exploit, in the best way,
the strengths to take the
advantage
of
the
opportunities brought by
the external environment
Exploit, in the best way,
the strengths to minimize
risks and negative impacts
induced by the external
environment.
Specific strategies to
Specific strategies to implement
this
Give specific evidence
implement
this alternative
shown in figures
alternative
Take the major points
Weaknesses
-
-
Alternative 3:
Alternative
prudent
Thoroughly resolve the
weaknesses to seize and
- Capacity
make the full use of the
- Resources
- Socio-economic situation, opportunities brough by
the external environment
poverty, etc.
4:
Most
- Institutional
67
Thoroughly resolve the
weaknesses to minimize
risks and negative impacts
induced by the external
environment
Handbook on economic-social development planning at commune level
Take the major points
Specific strategies to Specific strategies to
this implement
this
Give specific evidence implement
alternative
alternative
shown in figures
-
-
When establishing the SWOT matrix, it is required to clearly distinguish
strengths, weaknesses, opportunities and challenges. Strengths and weaknesses refer to
the subjective advantages and difficulties of the internal environment. Therefore
solutions recommended in the plan can make a direct impact to improve these factors.
On the other hand, opportunities and threats refer to objective advantages and
difficulties from the external environment. Solutions in the plan usually cannot have a
direct impact to change these factors but can only help to make use, as much as
possible, the opportunities, or reduce the threats.
Necessary questions on strengths and weaknesses:
-
Which are the strengths in the internal environment of the locality/sector that
have helped to achieve growth and poverty reduction targets over the recent
years? Which are the most important strengths? (in terms of institution, capacity,
resources, etc. of the locality?) Have these strengths been made of the full use
yet? If not, which strength and why?
-
Which are the weaknesses in the internal environment of the locality/sector that
have caused obstacles to realization of the growth and poverty reduction targets
over the recent years, and that, if are not resolved, then it will be difficult for the
locality to reach to sustainable development? Which are the most important
weaknesses? (in terms of institution, capacity, resources, etc. of the locality?)
Which weaknesses have not yet been resolved, and why?
-
What are dominant, strengths or weaknesses, according to general assessment?
Necessary questions on opportunities and threats of the locality:
-
What are the opportunities that the external environment (international, national,
regional contexts, etc.) is bringing to the future development of the locality?
What are the most important opportunities? Which opportunities have been
used? To what extent can these opportunities be used? Which opportunities have
not yet been used? Why?
-
What are the threats to the future development of the locality that are induced by
the external environment (international, national, regional contexts, etc.)? What
are the most important threats? Which threats have been being dealt with by the
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Handbook on economic-social development planning at commune level
locality to reduce and mitigate? What is the possible level of reducing/mitigating
these threats? What are the threats that mitigation solutions are not yet found
out? Why?
-
Who will get the most benefits when the opportunities are implemented and the
threats are overcome? And vice versa, who will suffer from losses? The choice is
sound only when it ensures benefits for the poor and disadvantaged people.
-
What are dominant, opportunities or threats, according to general assessment?
Finally, define the position of the locality/sector in the matrix in Table 5.2 and
see which alternative the position of the locality correspond to.
Using SWOT for planning
-
The SWOT analysis tool is mainly used in analysis of the current status in order to
identify the most critical issues. Results of SWOT analysis can also be used to select
objectives and optimal strategies.
Principles for selection of alternatives
Alternative 1: most optimistic (using strengths to maximize the exploitation of the
opportunities)
Alternative 2: using the strengths to overcome the threats
Alternative 3: using the opportunities to improve the weaknesses
Alternative 4: should overcome both weaknesses and threats
4.3
Tool 2: The problem tree
Concept and uses of the problem tree
The problem tree is a tool used to analyze the “cause and effect” relationship in a
process or a phenomenon. This tool is often used in the first stage of the planning
process, based on the identification of the most important weaknesses that need to be
resolved, as shown in the SWOT matrix.
Using the problem tree helps to analyze the underlying reasons for the local
problems, and establish a “cause and effect” relationship between different levels of the
defined problems. This is an essential step to select objectives and indicators under the
following steps and ensure that the selected objectives and indicators are right and
comprehensive and that the local priorities are correctly chosen. Coming to the planmaking stage, these identified problems will be used to transform into the objectives
tree.
Method to establish the problem tree
To establish the problem tree, the following steps should be taken:
a) Detect the most critical issues that needs to be resolved (the core problems)
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Handbook on economic-social development planning at commune level
To do this, we need to put the following questions and answer them:
-
Raise the issues that the community is clearly and understandably interested in.
Any clearly described issue should satisfy the following requirements:
o What is that problem ?
o Whom the problem has impacts on?
o What is the level and scope of impacts?
o Is it feasible and reasonable to resolve this problem at present time?
-
Define the priority problems by answering the following questions :
o What is the problem that most people are interested in ? Why ?
o Which problem can be resolved with the participation of the most
stakeholders? Why?
o Which problem needs to be resolved first? Why?
o Which problem when resolved will lead to solutions to many other
problems? Why?
The scoring method can be used to define the level of priority (Tool 4).
b) Definition of subsidiary problems of various levels
-
Put the following question after defining the core problem: which reasons
directly cause the core problem? Studying the direct reasons should be based on
the local actual situation, as raised up by the concerned parties and summarized
according to each subsidiary problem (primary problem).
-
From primary problems, put the similar question: which reasons directly cause
these primary problems? The answer to this question will help to know about the
secondary problems.
-
Continuation of discussions following this process will help the planner to
identify in details the subsidiary problems (even up to level n). Which level of
problems to stop at will be decided by the planner. As usual, the planner would
stop at the level where the locality have resources, conditions and capacity to
resolve the problem within the planning term, or where rather detailed
information is already available to be transformed into specific investment
projects or programs.
c) Definition of consequences of the core problem
From the core problem, the planner can look back to the steps of the procedures
mentioned above to answer the question: what will be consequences if the core problem
is not resolved.
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Handbook on economic-social development planning at commune level
c) Summarization of all problems to make up the problem tree
The last step is to systematize the core and subsidiary problems and their
consequences to make up a tree-figured chart, or a problem tree as it is often called (see
Figure 5.1). According to the upward direction, the problem tree shows the “cause and
effect” relationship between different levels: the lower level is the direct reason causing
the consequence which is the next level. By graphing the problems in this way, the
planner can have full view on the problems that he/she needs to deal with as well as
short term and long term impacts when the problems are resolved.
Using the problem tree in planning
-
Starting from the problems defined in SWOT analysis, give scores to define the
priority level of the problems that need to be resolved.
Figure 5.1: The problem tree
…
… Secondary
Secondary consequence
Secondary consequence
consequence
Primary consequence
Secondary
Secondary
consequence
consequence
Primary consequence
Primary consequence
Core problem
Subsidiary (primary)
problem
Subsidiary (secondary)
problem
Ter
tiary
prob
lem
Ter
tiary
prob
lem
Subsidiary (primary)
problem
Subsidiary (secondary)
problem
Ter
tiary
prob
lem
Ter
tiary
prob
lem
Subsidiary (secondary)
problem
Ter
tiary
prob
lem
Ter
tiary
prob
lem
Subsidiary (primary)
problem
Subsidiary (secondary)
problem
Ter
tiary
prob
lem
Ter
tiary
prob
lem
Subsidiary (secondary)
problem
Ter
tiary
prob
lem
Ter
tiary
prob
lem
…
-
The participating groups will discuss and select the problem of the highest
priority level, carefully looking into the reasons of placing the problem at such a
high priority level, then clearly write down the title of the problem in the middle
of an A0 papersheet.
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Handbook on economic-social development planning at commune level
-
Then define the reasons causing the problem: to do this, several questions are
often raised up, such as “Why there is such a situation?” or “Why these
difficulties are not yet resolved?”.
Note: Start with the core problems, then continue with the subsidiary problems
that contribute to the emergency of the core problems. After defining the
problems, discuss with the whole group to find out the reasons for the problems.
This can be done by giving each participating member a number of coloured
cards to write down the reasons they consider important causes to the defined
problem, each reason should be written in one card. Then, collect all the cards
and classify them into major subsidiary problems. Do similarly for subsidiary
problems of the lower levels.
-
Consider problems that possibly happen if the core problem is not resolved. This
can be done similarly to the discussion on reasons to the problems. Another way
to discuss the “cause and effect” relationship in the problem tree is to draw a
table expressing the logical relations between causes – problems – effects
(consequences) as below:
Cause
Problem
Effect
(consequence)
1
2
3
4
-
Last, arrange the coloured cards to make up the problem tree as shown in Figure
5.1 During the process of arrangements, continue to discuss or add any missing
problems, or throw out any unnecessary problems, so as to form a complete
problem tree on which the level of concensus is adequately high.
Note: It is not the case that the established problem tree is rigid or cannot be
changed. Under the following steps, if any irrelevance is detected, we can come
back to adjust the problem tree.
4.4
Tool 3: The objectives tree
Concept and uses of the objectives tree
The objectives tree is a definition of a set of objectives that need to reach to,
and arrangement of these objectives in an order, starting from the level where the most
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Handbook on economic-social development planning at commune level
specific results are defined and are the essential conditions to achieve higher objectives.
Classification of the objectives is done bottom-up, with the first level being the outputs
(or direct outcomes) and also being the lowest level in the objectives tree. The second
lowest level includes intermediary objectivesm and the highest level includes final
objectives.
Establishment of the objectives tree has the following uses:
-
Help the planner to clearly see the relationship between different levels of
objectives, each of them will become the objectives of 5-year or annual plans.
On this basis, establish a close link between the local 5-year and annual plans.
-
It is possible to see the linkage between the local (sectoral) plan with the plans of
other localities or sectors on the way approaching to the same final objective,
which is the basis to coordinate actions between different localities (sectors).
-
This is the direct input to form different levels of objectives in the logframe of
the plan.
Requirements on the objectives tree
-
The objectives must be logical: the objective at the lower level can be used to
achieve the objective at the higher level.
-
The objectives should be concretized after each level: the objective at the lower
level must be more specific than the objective at the higher level.
-
The objectives must be relatively independent: the objectives of the same level must
be dependent to each other in order to avoid overlaps of resources.
Method to develop the objectives tree
The simplest way to develp the objectives tree is to base on the available
problem tree, but all the negative statements (to raise up the problems) must be changed
to positive statements (to indicate the objectives).
For example:
Statement in the problem tree
Statement in the objectives tree
Poverty is still common.
Reduce the poverty rate
The illiteracy rate is high among the adult Reduce the illiteracy rate among the
groups
adults
The rate of child malnutrition is still high
Improve the malnutrition situation in
children
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Handbook on economic-social development planning at commune level
After doing so, the objectives tree will have the identical structure as that of the
problem tree (Figure 5.2), but it will not reflect the “cause and effect” relationship any
more; instead it will reflect the relationship “means – objectives”: i.e. successful
realization of the lower level objectives is a means to achieve the higher level
objectives. After transforming negative statements in the problem tree into positive
statements in the objectives tree, check if:
-
Statements on the objectives are clear or not?
-
The relationship between different levels of objectives is logical and rational
or not? (whether the realization of a lower level objective will contribute to
achieving a higher level objective or not?)
-
There is any objective that needs to be added or concretized?
-
The structure of the objectives tree is simple or not? Is there any way to
further simplify the structure of the objectives tree but still ensure the
existence of the most important objectives?
Figure 5.2: Model of the objectives tree
…
…
Secondary Expected
Secondary Expected
Secondary Expected
Secondary Expected
Secondary Expected
output
output
output
output
output
Primary Expected output
Primary Expected output
Primary Expected output
Core
objective
Subsidiary (primary)
objective
Subsidiary (secondary)
objective
Subsid
iary
(tertia
ry)
objec
tive
…
Subsid
iary
(tertia
ry)
objec
tive
Subsidiary (primary)
objective
Subsidiary (secondary)
objective
Subsid
iary
(tertia
ry)
objec
tive
Subsid
iary
(tertia
ry)
objec
tive
Subsidiary (secondary)
objective
Subsid
iary
(tertia
ry)
objec
tive
74
Subsid
iary
(tertia
ry)
objec
tive
Subsidiary (primary)
objective
Subsidiary (secondary)
objective
Subsid
iary
(tertia
ry)
objec
tive
Subsid
iary
(tertia
ry)
objec
tive
Subsidiary (secondary)
objective
Subsid
iary
(tertia
ry)
objec
tive
Subsid
iary
(tertia
ry)
objec
tive
Handbook on economic-social development planning at commune level
Note: It is not always necessary to transform the whole problem tree into the
objectives tree, but through discussions with the concerned parties, focus can be placed
in the most prioritized parts of the problem tree which are then transformed into the
objectives tree. And, when selecting objectives, the following factors must be
considered:
-
Forecasting trends of change of the objectives and influencing factors in the
future.
-
Comparing the predetermined objectives with the achieved ones to establish
corresponding outputs, and at the same time, comparing the corresponding
outputs with the current outputs to define activities for the future.
-
Defining major tasks to realize the objectives.
Using the objectives tree in planning
-
Check the established problem tree, especially in terms of the logical
relationship and the relative importance of the problems (levels of problems).
-
Transform each statement written in the coloured cards for the problem tree
into statements on objectives, and write them down on the new coloured cards.
-
Arrange the new colored cards according to the same structure as the problem
tree, and check again the logical relationship between the levels of the
objectives.
Figure 5.3: Comparison between problem analysis and objectives analysis
Problem analysis
CON
SE
QUEN
CE
Core problem
CAUSES
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Handbook on economic-social development planning at commune level
Objectives analysis
EXPEC TED
OUT PUTS
Core objective
MEANS
4.5
Tool 4: Criteria-based scoring of priority levels
Concept and uses
Criteria-based scoring of priority levels is a tool allowing the community to
work together to arrange and select priority issues according to a certain system of
criteria which is agreed earlier within the community. This method helps to implement
the community decision making in an objective manner, which can express the will and
desires of most members in the community.
To ensure that the scoring can express views and opinions of many different
groups of the population, the following points should be considered before giving
scores:
-
Participants in the discussion for scoring should include both men and women
representing the most typical groups of the local population. Discussion groups
should have from 8 to 10 people each.
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Handbook on economic-social development planning at commune level
-
Papers and pens or writing boards and pieces of chalk should be prepared in
advance.
Implementation steps. Criteria-based scoring of priority levels should consists of the
following major steps:
o Define the subjects (problems) that need to be discussed and given scores, and
criteria to evaluate these problems (e.g. criteria of time, human resources, financial
resources, etc.).
o Establish a matrix to give scores, on which the problems/issues are horizontally
written on the first line of the matrix, while criteria for scoring are written vertically
in the outermost column on the left of the matrix. So the scoring matrix will be
presented as in Table 5.3 below.
Table 5.3: Example of a synthetic matrix for criteria-based scoring
Problems/Solutions A
B
C
Criteria
Sustainability
Environmental impacts
Income generation
Use of local resources
Public participation
Number of beneficiary people
Investment capital
Ability of response
Costs
Job creation
Total score
Ranking
Score: 3= high/positive; 2=average; 1 = low/ not positive
o Agree on the scoring scale for each criterion. The simplest way is to determine that
the maximum possible score for a criterion is 3: mark 3 for the most positive case, 2
for an average case, and 1 for the worst case. However, if the planner thinks that
score 3 is not adequate to reflect all levels of assessment by the public, then score 5,
10 or even 20 can be used, as long as people agree from the beginning that the more
highly the criterion is evaluated, the more highly it should be scored. In some cases,
if the importance of the criteria is not the same, then each crterion can be given a
different scoring scale. For example, if the planner thinks that job creation is
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Handbook on economic-social development planning at commune level
important twice more than use of local resources, then the former criterion can be
given the 10 scoring scale, while the latter is given the 5 scoring scale. Then, the
total score will still reflect the relative importance of the criteria.
Note: Giving each criterion a different scoring scale however will make the work
more complicated. Therefore, it should only be done where the community’s level
of knowledge is high and the community is familiar to scoring skills, or where there
are not many criteria to evaluate. Moreover, application of the scoring scales must
be agreed by the community to avoid any “imposition” from the planner.
o Each individual will give scores to the problems according to each criterion and
based on his/her subjective evaluation of the good/bad level of the problem in
question.
o Make the total sum of scores given to each problem according to the predetermined
criteria. The problem or solution with the highest total score will be selected the
priority problem/solution.
o Last, summarize the result of evaluation and give scores to problems/solutions
according to each criterion as shown in the chart below.
Figure 5.3: Summarization of solutions selected according to each criterion
Long-term result
Expected longterm result 1
Solutions
Solution 1.1
Solution 1.2
Output
Output
Output
Expected longterm result 2
Solution 2.1
Expected longterm result 3
Solution 3.1
Output
Solution 3.2
Output
Expected longterm result 4
Expected longterm result 5
Solution 4.1
Solution 4.2
Solution 5.1
Timing
2006?
2007?
2010?
Coordination
responsibility
Sector ???
Output
Output
Output
Output
Note: this is the basis for developing the logframe for each sector or project, etc.
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Using the criteria-based scoring of priority level in planning
-
Participants are asked to sit down and form a circle or semi-circle.
-
They are then introduced of the purpose of making a table scoring priority levels
according to predetermined criteria.
-
Define the major subject and problems/issues that need to be given score.
-
Define criteria for these problems: criteria of time, human resources, financial
resources, etc., and form a matrix for scoring (see Table 5.3)
-
Put questions to define the score for each problem according to each criterion. The
score may range from 1 (the worst case) to 10 (the best case). E.g.: if many citizens
in the city/village/hamlet have very bad access to the educational system, you can
give score 2 or 3. If the access is quite good, you can give score 7 or 8.
-
Do the same for all the problems.
-
Then add up all the scores on the horizontal lines for each problem, then mark off
the problems/solutions with the highest score.
-
Summarize the solutions selected according to each criterion (Figure 5.4)
4.6
Tool 5: Logframe
Concept and uses
This is a group of interrelated concepts which should be used at the same time in
a flexible manner to allow concretization of the content of a program or project, and
which are presented in an objective manner, based on that the achieved results can be
analyzed.
Using logframe brings a lot of benefits. This is the core and the major spirit of
the plan, looking at which the planner can keep track of the logical relationship between
the works that need to be done and the objectives that need to be achieved, as well as
the measurements for monitoring and evaluation of the plan implementing process.
However, it is not a perfect tool, but also has some certain disadvantages. Table 5.4
below summarizes the advantages and disadvantages of this tool.
Table 5.4: Advantages and disadvantages of logframe
Advantages
Disadvantages
A logframe …….
 Allows to
project/plan
check feasibility of a  Too tight adhesion to a logframe
through clarifying the brings a risk that the logframe can
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Handbook on economic-social development planning at commune level
internal links of that plan and the ability
of implementing the plan
become less flexible
 Describes the plan in a short and concise  The
logframe
follows
the
manner, therefore there is no choice but to assumption of “cause and effect
use words and expressions in a logical relationship”, therefore it cannot
manner
deal with correlative relations.
 Creates favorable conditions for the  The logframe does not mention
concerned
parties
to
exchange gender and environmental issues.
information on the plan
Therefore the planner may miss
them.
 Promote the planning efforts to focus on  The logframe emphasizes the
objectives and outcomes, rather than only assessment of impacts, rather than
activities
studying the process of changes.
 It tightens the link between macro-level  With the approach to expand the
planning and micro-level planning
stakeholder’s participation, the use
of the logframe can lead to very high
(ambitious) objectives or omissions
of valuable activities, due to the very
big number of participants or their
lack of experience.
 Clearly indicates limits of the works that  The logframe only seeks for
can be controlled and the things that can indicators for the expected impacts,
be predicted, thanks to introduction of the and
misses
out
unexpected
key assumptions
impacts/events/ processes that can
endanger the success of the
plan/project.
 It forces the planners to negotiate to come
to agreement through seeking for simple
statements on a limited number of
activities
 Creates
conditions
for
consistent
management of different activities
through common objectives
 Forces the participating entities to clearly
indicate
impacts
on
resources,
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Handbook on economic-social development planning at commune level
assumptions and risks when implementing
the activities in the plan
 Forces the planners to think of monitoring
and evaluation right from the beginning
step of the planning process
The logframe must be applied in a flexible way. We should note that conditions
for implementing the plan can change, and there is nothing you can be always sure of.
Therefore, if we want to make a long term impact, we need to learn lessons and do
reforms all the time. The traditional point of view on planning should be changed, a
more flexible process-oriented approach is needed, and perception should be developed
to understand that the plan can be changed from time to time based on the feedback
information in order to fit itself better to the real situation. It means that we need to
consider the plan as a mechanism allowing learning lessons of experience. When we get
feedback information on successes – failures – relevance – irrelevance, we need to
make adjustments to the logframe.
The logframe method (LFM)
LFM is a method that develops a logframe for management, which corresponds
to each step throughout the project programming process.
It is a combination of interrelated contents to describe the most important aspects
of the intervention plan at a certain point of time, and is presented in the form of a
matrix. The logframe is very important in helping the planners to understand well the
objectives of intervention as well as measurements of success (indicators for the plan).
At the same time, it creates favourable conditions for later monitoring and evaluation of
the plan implementation.
Logical frame/matrix is used a lot for program or project planning
A detailed logframe of a program or project requires concretization and
arrangement of the contents according to 2 criteria: vertical logic (or logic for
intervention) and horizontal logic (or logic for evaluation).
“Vertical” and “horizontal” terms describe the form of presenting information
when a logframe is developed. It means that the logframe will be developed into a 2direction table
called the logframe matrix. This matrix includes 4 lines and 4
columns:
-
The 4 lines, from top down, correspond to 4 levels of vertical logic: (1) overall (or
final) objective, (2) specific (or intermediary) objective, (3) outputs, and (4) actions.
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These four levels of objectives correspond to a part of the objectives tree that has
been selected as the frame for the plan.
-
The 4 columns, from the left to the right, include (1) contents of the objectives, (2)
evaluation indicators, and (3) method of definition/evaluation, and (4) assumptions.
These 4 colums provide basic information for monitoring and evaluation of the plan
implementation.
5.2.3. Structure of logframe
Table 5.5: Form of presenting the logframe
Indicators of
objectives outcome
Method of
defining/
evaluating
indicators
Assumptions/external
factors
Final
objective
Impact indicators
How?where to get Assumptions
information?
achieve the
objective
to
final
Intermediary
objective
Effectiveness
indicators/
qualitative
Assumptions
achieve
intermediary
objective
Output
Outcome indicators/
quantitative
Assumptions
to
achieve
expected
outputs
Actions
inputs
1.
 Financial expenditures
Preconditions
to
implement actions
2.
 Human resources
3.
 Equipment
to
the
Where:
The final objective (impact) is the highest level objective of the sector, locality or the
country that the plan being made will contribute to realize. This objective lets us know
the macro level context of the plan being made, as long as long term impacts that
successful implementation of the plan will contribute to realize. However, successful
implementation of this objective does not only depend on the plan being made and is
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not what this plan can do itself; instead such a success will need coordination with
many other plans.
Intermediary objectives (outcome) are direct impacts
that the outputs (outcomes) of the plan will contribute to
realize. This is what the plan directly aims to, and
whether intermediary objectives are realized will decide
the level of success of the plan. Intermediary objectives
are also called the major subject of the plan. It answers
the question “Why this plan needs to be formulated?”.
Intermediary objectives may not appear as soon as the
planning term is finished, sometimes it requires a certain
period of time to make the expected impacts visibly
realized.
Intermediary objectives
answer the question
WHY? Why do we need
to formulate the plan?
Outputs answer the
question WHAT?
Which products does the
plan create?
Outputs or direct outcomes of the plan are visible and
specific products that the plan creates (such as goods,
services, investment items,...), in order to directly
contribute to realize intermediary objectives. Outputs
answer the question “what the plan produces?”. These
visible products must fully appear at the completion of
the planning term.
Actions are specific works that the plan has to
implement to achieve expected outputs. They answer the
question ”How to achieve the expected outputs?”.
Actions are only done during the planning term. When
the planning term comes to the end, actions for that term
are also finished.
Actions answer the
question HOW? How the
plan should be
implemented?
Inputs are the resources needed to implement actions and create desired outputs.
Inputs include requirements on human resources, financial resources and physical
resources, and are the basis for making the resources projections of the plan.
Indicators are the information needed to monitor the implementation of the levels of
objectives of the plan. Indicators must indicate clearly the measurement units and must
be easy for verification. Indicators are the basis to develop the M&E plan.
The method to define evaluation indicators should clearly indicate: from which
sources information can be collected to measure indicators, what is the method for
information collection, who are the people in charge of providing, collecting and
processing information,and what is the frequency of information collection.
Assumptions are external and objective conditions that have siginificant impacts on the
success or failure of the plan, but exist out of reach of the planner’s control, e.g.
weather, climate, topography, ... Assumptions are often mentioned in the expression “if
..... then ...” as external advantageous conditions needed to implement the objectives of
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the plan. Indication of assumptions is very important, as it helps the planner to foresee
external factors that have big impacts on the plan.
The logical relationship between assumptions and the objectives of the plan can be
expressed by the following formula:
Objective of level (i) is
realized
+
Assumption of level (i + = Objective of level (i +
1) is satisfied
1) is realized
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