urban planning and management project

Urban Planning and Management Project(Decentralisation of Physical and Urban Development Planning)

Strengthening Local Urban

Planning and Management:

Resource Book

Ministry of Interior:

Office of the Permanent Secretary (OPS)

Department of Local Administration (DOLA)

Department of Town and Country Planning (DTCP)

Deutsche Gesellschaft fur

Technische Zusammenarbeit (GTZ)

¨

(ISBN No. 974-90067-4-7)

The handbook was elaborated and compiled by Jan Meyrick and Dr. David Meyrick

in coordination with the GTZ team of the Urban Planning and Management Project:

Dr. Martin Reinecker (GTZ Team Leader)

David P. Villeneuve (Senior Expert)

Hans J. Cassens (Senior Expert)

and the three partner agencies of the project at the Ministry of Interior

together with our academic cooperating partner: King Prajadhipok’s Institute (KPI) 5th floor, Seminar

Center Building, 47/101 Civil Service Training Institute, Tiwanon Road, Nontaburi 11000

Bangkok 2002

Office of the Permanent

Secretary (OPS)

Ministry of Interior

Atsadang Road,

Bangkok 10200

Department of Local

Administration (DOLA), LGDAD


Wang Sunantha, Rajchasima,

Bangkok 10300

Department of Town and

Country Planning (DTCP)


224 Rama 9 Road,

Bangkok 10320

Page

Abbreviations and Thai terms III

Introduction IV

Section 1 A strategic approach to urban management 1

Aims and learning outcomes of Section 1 1

Guidance for Trainers 2

Session 1: Outline session plan 3

1. Introduction 6

2. How to prepare your Tesaban administration for strategic 7

urban management

3. Setting the future direction for your Tesaban area 8

4. How to analyse the situation in your Tesaban area 9

5. Identifying and ranking the key issues 10

6. How to prepare an action plan for key issues 12

7. Implementing an action plan 13

8. Monitoring, evaluation and feedback 14

Section 2 Public participation 17




1. Introduction 22

2. How to prepare for participation 24

3. Task forces for specific issues & how to set them up 26

4. Citizen advisory groups and how to set them up 30

5. A public forum and how to set it up 32

Section 3 Applying spatial planning techniques to local development policies 37




1. Introduction 41

2. Spatial plans 41

3. How to interpret and use maps and plans 42

4. How to use spatial techniques 44

5. Outsourcing and the role of professional planners 48

Table of content

I

Section 4 Urban Development Framework 51




1. Introduction 56

2. What is the process of preparing an UDF 57

3. Who might be involved with you in the UDF process 57

4. Inter-local co-operation and urban management 58

5. Inter-local co-operation for an UDF 59

6. How to identify key strategic issues 61

7. The UDF document and its content 61

Section 5 Monitoring and Evaluation of local based plans 63




1. Introduction 67

2. When you should make preparations for M&E 68

3. How to undertake monitoring 69

4. How to undertake evaluation 70

5. Monitoring and evaluation of an Urban Development Framework 71

6. Publicising the results of monitoring and evaluation 72

II

III

Abbreviations and Thai terms

Abbreviations

CAG Citizen Advisory Group

CBO Community-based Organisation

CLA Committee of Local Authorities

CPT Core Planning Team

GIS Geographical Information System

M&E Monitoring and Evaluation

NGO Non Governmental Organisation

OHP Overhead Projector

OHT Overhead Transparency

PF Public Forum

Q&A Question and Answer

SD Sustainable Development

SWOT Strengths, Weaknesses, Opportunities and Threats

TAO Tambon Administrative Organisation

TF Task Force

TOR Terms of Reference

TST Technical Support Team

UDF Urban Development Framework

Thai terms

TAO Local authority at the sub-district level

Tesaban Municipality

Chumchon Local community within a municipal area.

Introduction

Who should read this Resource Book

This Resource Book has been written specifically for Trainers and must be used in conjunction with

the Handbook for “Strengthening Local Urban Planning and Management”.

What is the purpose of the Resource Book

The Resource Book has been written to serve two specific purposes:

1. To enhance the Handbook by providing supplementary information for each section

2. To give guidance, in the form of Session Plans, which suggest an outline of how to present the

material provided by each section of the Handbook

The focus for the training is to offer some practical, easy to apply methods and tools that harmonise

with current work practices and to guide the Tesaban administration through activities they will

increasingly have to undertake at the local level.

Training material in the Handbook has been designed for Mayors, City Clerks, Directors of Technical

and Planning Services, Policy and Plan Analysts and Division Heads of the Tesaban administration.

What the Resource Book contains

Both the Resource Book and the Handbook address the same five major topics and are set out in

Sections each being complete in itself. Only the Trainers have access to the Resource Book.

The Sections are so designed that they offer a choice of either following a section from start to finish

or selecting only one or more sub-sections (to suit the trainee’s needs).

IV

V

Overview

A brief overview of each Section is provided below:

Section 1: A strategic approach to urban management

This sets out the components of an approach that enables local authorities selectively to address

key issues with a high priority and to respond to fast-moving urban developments. It explains how to

prepare the Tesaban administration, to create a vision, to undertake a situation analysis, to prepare

action plans, and to undertake implementation and monitoring & evaluation.

Section 2: Public participation

This Section is concerned with active co-operation, through partnerships, between and among the

Tesaban administration and the public. It recognises that there are different participatory practices

but concentrates on how to establish task forces, citizen advisory groups and public forums. It also

offers advice on how to organise a workshop.

Section 3: Applying spatial planning techniques to local development policies

This helps the reader to understand how to read maps or plans and how to use spatial techniques in

his/her day-to-day work in the Tesaban administration. It describes spatial plans, the role of a

general and specific plan, and suggests points for inclusion in the Terms of Reference for a

Consultant when outsourcing.

Section 4: Urban Development Framework

This describes a new planning concept designed primarily to meet the needs of multiple local

authorities in a single urban area. It suggests arrangements for voluntary inter-local co-operation,

how to identify key strategic issues affecting the whole urban area, and what should be included in

an UDF planning document.

Section 5: Monitoring & Evaluation of local based plans

This emphasises the crucial role of monitoring & evaluation in any strategic approach to urban

planning and management. It describes how to undertake both monitoring and evaluation of action

plans (including an UDF), and how best to publicise the results.

How the Resource Book should be used

The numbering system, titles of section headings and sub-heading in the Handbook and the

Resource Book correspond. You should consider the following steps as a means of integrating the

use of the Handbook and Resource Book:

1. Familiarise yourself with the content of both books

2. Determine the Trainees’ needs

3. Find the appropriate Section in the Resource Book relating

to the Trainees’ needs. Read the Trainer’s aims and the

learning outcomes to define your focus

4. Take note of the time allocation suggested for each

sub-section

5. Refer to the Session Plan at the point relevant to the Trainees’

needs to form an overview of the topics to include in your

training sessions

6. Read the relevant material in both books and make sure

that you understand the content

7. Prepare your training session plan based on the aims,

learning outcomes and the training methods suggested

in the outline session plan

8. Prepare your teaching aids and consider room arrangements.

Now you are ready for your training session

The content

Trainees’ Needs

Aims and outcomes

Time allocation

Overview of content

Read & understand

Your session plan

Preparation

The trainees must have read the appropriate part of the Handbook in advance and have the document

with them at each training session.

The symbols in the text are an easy means of cross reference to other sections

of the handbook.

VI

VII

What supporting resource material is available

Enquiries about the following documents should be made to MOI:

Urban Environmental Management Project (DOLA/GTZ), The Workshop approach: a guide for

Environmental Action Planning B.E. 2541 (1999)

Urban Planning and Management Project (MOI/GTZ), Public Participation at the local government

level B.E. 2542 (2000)

Urban Planning and Management Project (MOI/GTZ), Monitoring and evaluation in urban planning

and management B.E. 2542 (2000)

Urban Planning and Management Project (MOI/GTZ), Inter-jurisdictional co-operation B.E. 2542 (1999)

Urban Planning and Management Project (MOI/GTZ), Urban Development Framework: a worked

example (draft report), B.E. 2542 (2000)


example (Working Material) B.E. 2542 (2000)

Urban Planning and Management Project (MOI/GTZ), Phase I: Demonstration Capacity Building for

Thai Municipalities and Sanitary Districts B.E. 2541 (1999)

Urban Planning and Management Project (MOI/GTZ), Draft documents and overhead transparencies

relating to Phase I (in Thai with English summaries)

1A strategic approach to urban management Section 1

Aims and learning outcomes of Section 1

Aims for the Trainer:

• To explain why a strategic approach to urban management is necessary

• To describe how the components of a strategic approach are carried out and how each may

be applied to the preparation of local based urban plans

The learning outcomes for the Trainees:

1. To describe how to draft a vision statement that sets the future direction for the Tesaban

area

2. To suggest what should be included in sustainable development goals

3. To explain how a situation analysis should be undertaken

4. To describe the methodology for identifying and ranking key issues with a high priority

5. To carry out a SWOT analysis

6. To list the components of an action plan and state their inter-relationship

7. To suggest tasks that should assist with implementation

8. To explain how to establish a monitoring system

9. To outline how to carry out an evaluation of the outcome of monitoring activities

A strategic approach

to urban management

The focus for Section 1 of the Handbook is to encourage

the trainees to consider how they are responding to the new

challenges arising in their daily work from the ongoing

pressures of urban growth and changes in working practices.

SECTION ONE

2

Sub-section Topic Time tonumber allocate

Section 1 A strategic approach to urban management

Introduction to the training session

1. What is a strategic approach to urban management 1/2 day

1.1

2. How to prepare your Tesaban administration 1/4 day

2.1-2.2

3. Setting the future direction for your Tesaban area 1/4 day

3.1-3.6

4. How to analyse the situation in your Tesaban area 1/2 day

4.1-4.4

5. Identifying and ranking the key issues 1/4 day

5.1-5.3

Tool: SWOT analysis 1/4 day

6. How to prepare an action plan for key issues with a high priority 1/2 day

6.1-6.6

7. Implementing an action plan 1/2 day

7.1-7.4

8. Monitoring, evaluation and feedback 1/2 day

8.1-8.2

RECAP the main points of the entire training session to check the

achievement of the learning outcomes

Evaluation of the training

Guidance for Trainers

It is important you recognise that the time allocation (below) is not prescriptive and is offered only as a

guide. It is provided on the assumption that the trainees will need the full input of the training

material in this Section. Even in that event, the time taken for trainees to assimilate new information

will vary from group to group.

However, it is possible that some trainees will already have experience of a strategic approach to

urban management and only require further clarification of certain aspects or help to move on from

the stage they have already reached in their work situation.

Therefore, you should establish the trainees’ needs in relation to Section 1 in advance to help you to

plan your training session. Consider whether the trainees want:

� to strengthen their understanding of only one or two components of the strategic approach

so that they are better able to address an existing problem? Or

� to focus on the overall strategic approach?

It is estimated that, if possible, four days should be set aside for undertaking the training of this Section.

3 A strategic approach to urban management Section 1

Section 1: Outline session planTopic Teaching method Teaching aid

1. Introduction

1.1 What is a strategic Explanation and discussion of why a Overhead projector

approach to urban strategic approach is necessary. (OHP) and (OHT)

management RECAP sub-section 1 transparency defining

a strategic approach

2. How to prepare your Tesaban administration for strategic urban management

2.1 Administrative Question and Answer (Q&A) on existing Whiteboard, + pens to

arrangements arrangements in the Tesaban record responses

administration. Note the responses

Explain why you should build on existing

structures

2.2 Technical arrangements Q&A on technical arrangements in the Prepared OHT of

Tesaban administration technical

RECAP sub-section 2 arrangements

3. Setting the future direction for your Tesaban area

3.1 What is a vision Trainees to define Whiteboard or OHT

3.2 What purpose does a Trainees to define, and then explain why Whiteboard + pens to

vision serve a vision should be prepared record responses

3.3 How is a vision created Trainers: draft a mini scenario Mini scenario

Trainees: in small groups prepare a

vision statement based on the mini- OHP + blank OHTs +

scenario and report back to plenary pens for feedback in

plenary

3.4 What is sustainable Q&A and discussion

development Explain why sustainable development

(SD) should be pursued

3.5 What are Tesaban Ask trainees to name the 4 aspects of Whiteboard + pens to

sustainable development SD and how these link to the vision record responses

goals

3.6 How to draft Tesaban Form a group for each aspect and ask OHP+ blank OHTs

sustainable development each to write 3 SD goals and report +pens for feedback

goals back

RECAP sub-section 3

4. How to analyse the situation in your Tesaban area

4.1 What are the stages Q&A to recap

of analysis Explain why the situation should be Whiteboard + pens to

analysed record responses

4.2 What are the key Explain why the CPT and others should Whiteboard + to record

questions address the important questions responses

4 Section 1 A strategic approach to urban management

4.3 How to address the key Refer trainees to the Handbook Handbook

questions (sub-section 4.3)

4.4 How to prepare a Explain why a Municipal Profile should Use prepared OHT

Municipal Profile be prepared. Ask trainees in 3 small showing the example

groups to write a Municipal Profile for of a Summary (from

environmental, social and organisational Handbook sub-section

aspects 4.3)

RECAP on sub-section 4 OHP + blank OHTs

5. Identifying and ranking the key issues

5.1 How to identify key Explain why key issues should be

issues identified and ranked

5.2 How to rank key issues Explain use of key issues graph OHP + OHTs

Trainer: Provide co-ordinates 1. key issues graph

Trainees: Plot on graph paper 2. the co-ordinates

Graph paper

5.3 Is there a spatial pattern Talk through.

to key issues RECAP sub-section 5

Tool box: SWOT analysis

OHP

What is a SWOT analysis Explain what useful purpose SWOT OHT SWOT

analysis serves and where in the

strategic approach it can be applied Trainees should use

Explain why SWOT should be Tool Box SWOT

determined analysis from the

How to undertake a SWOT Each trainee should undertake a limited Handbook to guide

analysis SWOT analysis for their Tesaban area them

and report back in plenary

6. How to prepare an action plan for key issues with a high priority

6.1 What does an action plan Outline the components of an action OHP + prepared

comprise plan for key issues with a high priority OHT showing format

of an action plan

6.2 How to set specific Trainers: provide some hypothetical key Cards to show key

development objectives issues with a high priority issues with a high

Trainees: draft development objectives priority

for issues and report back using OHTs OHP + blank OHTs +

pens

6.3 How to draft development Explain why targets are important.

policies and targets Trainees draft targets for objectives OHP + OHTs from 6.2

drafted in 6.2 above

6.4 How to draft an action Q&A: Who should draft action plans and Whiteboard + pens to

plan why others than just the Core Planning record responses

Team should be involved?

RECAP sub-section 6


7. Implementing an action plan

7.1 What tasks can assist Explain why implementation should be

implementation highlighted

7.2 What implementation Q&A Whiteboard + pens to

tools are available to a List responses record responses

Tesaban administration

7.3 What if you encounter Small groups to discuss: Whiteboard + pens to

opposition to an action 1. Why respond to opposition record responses

plan 2. How to respond to opposition

Trainees feedback orally

7.4 What should be Draw out from trainees. RECAP Whiteboard + pens to

documented sub-section 7 record responses

8. Monitoring, evaluation and feedback

8.1 How to establish a Draw out from trainees why M&E are Whiteboard + pens to

monitoring system crucial record responses

8.2 How to evaluate & review RECAP sub-section 8 Whiteboard + pens to

an action plan record responses

RECAP the main points of the entire training session to check the achievement of the learning outcomes.


➡ Trainer: remember that the Handbook and the Resource Book should be used in conjunction with

each other and, to facilitate this, the numbering system is identical in each document.


1. Introduction

1.1 What is a strategic approach to urban management

➡ Trainer: it would be helpful to start by giving a short explanation of the terms “urban planning” and

“urban management”.

Urban planning is a tool to help the Tesaban administration to manage the urban area. An urban

plan contains statements of policy intentions to guide the Tesaban administration and the public to

work towards the achievement of the plan’s stated objectives for the future. Thus, it provides a basis for

day-to-day decisions and actions.

Urban management targets the sustainable use of resources (social, economic, environmental and

organisational) and the provision of services to achieve and maintain an acceptable quality of life for

the residents of an area.

? Why is a strategic approach necessary?

Today, urban areas are changing so quickly that there is an urgent need for a rapid response to key

issues as they arise. The comprehensive approach to analysis and policy-making contained in

Master Plans takes such a long time to undertake that the final product is often irrelevant to the

changed situation in the urban area.

Master Plans have been the traditional response to urban management. The mindset that underlies

the preparation of Master Plans conditions conventional thinking by placing emphasis on the

preparation of long-term, comprehensive plans rather than on the implementation of policy.

Urban plans should no longer be regarded as the product of a technical exercise. Plans need to

reflect the goals and priorities of both the Tesaban administration and the public (who now have a

legal right to participate in local decision-making).

A new approach and a new mindset (i.e. way of thinking) are needed. A strategic approach that

emphasises the implementation of policies, and that is capable of providing a selective response to

a rapidly changing urban situation, provides an answer.

An action plan is not an end in itself; it is only a means to an end. Increasingly, attention is shifting to

making things happen on the ground.


2. How to prepare your Tesaban

administration for strategic urban

management

2.1 Administrative arrangements

While a strategic approach is a relatively new concept, it eases the administrative process if you build on

committee structures already in existence.

? Why should you build on committee structures already in existence?

The Tesaban administration needs to be organised so that continuity of effort is ensured. If this does not

happen the objectives of an action plan will never be realised and conditions in the locality will deteriorate

further.

The Tesaban Development Committee could manage the strategic approach but it might need to be

supplemented by the inclusion of additional resource persons, e.g. representatives from a citizen advisory

group.

This Committee, supported by an ad hoc core planning team of officers, would:

• manage the strategic approach

• help to bring about improved co-operation among Divisions of the Tesaban administration

and with agencies at the provincial and national level and

• extend ownership of an action plan and a commitment to its implementation at the local,

provincial and national level

2.2 Technical arrangements

A Core Planning Team provides technical support on a cross-sectoral basis.

? Why should you make technical arrangements?

The Core Planning Team carries out the planning-related activities as directed by the Tesaban

Development Committee and reports key outputs from their activities.

The Tesaban Development Committee would provide general policy guidance and direction for the Core

Planning Team, approve key outputs from its strategic approach and play an advocacy role during the

adoption and implementation stages of action plans.

A Core Planning Team undertakes tasks assigned by the Tesaban Development Committee and also

helps to bring about improved co-operation among Divisions of the Tesaban administration.


3. Setting the future direction for your

Tesaban area

A vision describes the kind of living environment the Tesaban administration and the public would like to

work towards in the longer term.

3.1 What is a vision

See explanation in the Handbook.

3.2 What purpose does a vision serve

A vision sets the long-term goals that the Tesaban administration and the public wish to achieve.

? Why create a vision?

It is important for the Tesaban administration to prepare a vision for the future of their locality in co-

operation with the public to arouse the latter’s interest and to encourage a partnership approach to

goals, policies and implementation.

The vision forms the basis of future stages in the strategic approach.

➡ Trainer: encourage the trainees to extend their thinking beyond existing problems. Urge them to

look ahead and to develop sustainable policies to overcome the challenges likely to confront the Tesaban

administration in future years.

3.3 How is a vision created

A vision is usually created in a participatory way.

? Why should a vision be prepared in partnership?

Whilst the Handbook suggests that the vision statement will be drafted by the Core Planning Team

(within the Tesaban administration), remember that public participation is a principle of a strategic approach.

The Core Planning Team might invite representatives from a citizen advisory group, CBOs/NGOs, an

academic institute, and the business sector to participate.

3.4 What is sustainable development

To work in a sustainable way means that the needs of the present generation are met satisfactorily but

not in a way that is going to harm the development prospects of future generations.

3.5 What are Tesaban sustainable development goals



3.6 How to draft Tesaban sustainable development goals


? Why should sustainable development be pursued by the Tesaban administration?

To work in a sustainable way it is important for the Tesaban administration:

• To be able to identify and react rapidly to existing problems in a way that does not create

problems for future generations

• To ensure that the Tesaban area develops in a way that respects the collective view of the

public

4. How to analyse the situation in your

Tesaban area

The Tesaban administration can only consider the key issues that will prevent them from achieving their

vision when they have a good knowledge of the present situation and an understanding of recent trends

in their locality.

? Why should the situation be analysed?

The current situation in the Tesaban area has to be analysed to establish a starting point.

The starting point sometimes provides the base-line measurement that is subsequently used during the

monitoring stage (see Section 5).

4.1 What are the stages of analysis


4.2 What are the key questions


➡ Trainer: it is important to emphasise to the trainees that the new thinking underlying a strategic

approach only requires the collection of information that is directly relevant to the key questions. They

must resist the urge to spend time collecting a vast amount of data that just “might be useful”. In other

words, think and act strategically.

4.3 How to address the key questions

The key questions determine what basic information is sought. Therefore, these should be determined

in a participatory manner to gain an all-round perspective of what is important.

? Why should more than the Core Planning Team address the key questions?

As with the creation of the vision, it is suggested that the Core Planning Team take the lead.


An opportunity, as a result of recent legislation, (Section 2) must be provided for wider public

involvement in the selection of the important questions.

It would clearly be embarrassing having drafted an action plan to be told that you did not ask the

most important questions perceived by the public in the first place.

The trainees might consider inviting representatives from a citizen advisory group, CBOs/ NGOs, an

academic institute, and the business sector to participate in a workshop (Section 2) to determine

the most important questions.

4.4 How to prepare a Municipal Profile

A municipal profile sets out the situation analysis.

? Why prepare a Municipal Profile?

There are a number of reasons:

1. It collates all the information from the situation analysis

2. It is a source document for future reference

3. It can be used for publicity purposes

5. Identifying and ranking the key issues

This stage selectively highlights the key issues to be addressed.

5.1 How to identify key issues

➡ Trainer: ensure the trainees recognise that this provides an opportunity for creativity between

the Tesaban administration and the public. There is no prescriptive method for undertaking this process.

? Why should the key issues that affect the Tesaban area be identified and ranked?

Remember that a strategic approach does not attempt to be comprehensive but it does enable the

Tesaban administration selectively and quickly to respond to a rapidly changing or urgent situation.

Ranking is needed in order to identify the key issues with a high priority.

5.2 How to rank key issues

The Handbook offers two of several possible approaches to ranking key issues.

? What other approach to ranking issues might be used?

➡ Trainer: as you will have noticed, a key issues graph does not appear in the Handbook. It is

included here (see Tool Box below) to enable you to extend the trainees’ range of tools if in your

judgement you think that they are ready for this approach.


Tool Box: Steps in using a key issues graph

Use the Checklist for the steps in using a key issues graph:

Checklist: Steps when using a key issues graph

1. Ask the Core Planning Team (as a whole) to consider each key issue in turn

2. Consider to what extent each key issue contributes to the Tesaban vision (vertical axis)

and the Tesaban administration’s ability to influence events (horizontal axis)

3. Plot a dot on the graph at the intersection of the value given to the horizontal and vertical

factors and attach the issue’s unique reference number

4. When all the dots (representing key issues) are plotted, determine “key issues with a high

priority” (contribute greatly to the vision and easy to influence) and “key issues with a low

priority” (converse)

Example of a key issues graph

ContributesContributesContributesContributesContributesgreatlygreatlygreatlygreatlygreatly

Level ofLevel ofLevel ofLevel ofLevel ofcontributioncontributioncontributioncontributioncontributionto Tesabanto Tesabanto Tesabanto Tesabanto Tesabanvisionvisionvisionvisionvision

ContributesContributesContributesContributesContributeslittlelittlelittlelittlelittle

Difficult toDifficult toDifficult toDifficult toDifficult toinfluenceinfluenceinfluenceinfluenceinfluence

Tesaban©s abilityTesaban©s abilityTesaban©s abilityTesaban©s abilityTesaban©s abilityto influenceto influenceto influenceto influenceto influence

Easy toEasy toEasy toEasy toEasy toinfluenceinfluenceinfluenceinfluenceinfluence

HighHighHighHighHigh

O 1010101010

1010101010

MediumMediumMediumMediumMedium

LowLowLowLowLow


5.3 Is there a spatial pattern to key issues

By plotting the location of key issues on a base map (Section 3), it is possible to see whether there

is a concentration of key issues in any one part of the Tesaban area. If you find such a concentration,

it might suggest the need for a spatial plan.

Tool Box: Determining strengths, weaknesses,

opportunities and threats (SWOT)

A SWOT analysis is a basic tool which, whilst highly subjective, helps to sharpen the focus of the

situation analysis.

➡ Trainer: this is an opportunity to interact with the trainees. Use a Question and Answer

technique to discover how much the trainees can recall about SWOT analysis from their reading of

the Handbook. Use this as your introduction to this sub-section.

? Why does a SWOT analysis serve a useful purpose?

1. It look at internal and external factors

2. It considers the very latest situation but it does not need to be based on data

3. For this reason, it fits comfortably in a situation where data availability is often an issue and

consensus building is an important consideration

? Why should strengths, weaknesses, opportunities and threats be determined?

A SWOT analysis complements the situation analysis and provides a current picture of the community

and Tesaban administration’s ability (or inability) to tackle the key issues identified earlier. It also

indicates the risks associated with alternative courses of action and leads to a more focused plan.

➡ Trainer: emphasise to the trainees that the use of a SWOT analysis is not confined to the

strategic approach. It is applicable when considering alternative courses of action, can be used in

formulating sectoral policies, and is potentially a powerful tool.

6. How to prepare an action plan for key

issues with a high priority

Action plans are statements about how the Tesaban administration and the public intend to address key

issues with a high priority.

? Why prepare action plans?

The purpose of a strategic approach is to bring about changes on the ground. The action plan is a

means of setting out what actions are intended.


6.1 What does an action plan comprise


6.2 How to set specific development objectives

Objectives are the motivating factor of an action plan.

? Why set specific development objectives?

➡ Trainer: It is important for the trainees to recognise that a strategic approach to urban planning and

management is an objectives-led process. Objectives provide a sense of purpose and direction in

addressing key issues with a high priority.

6.3 How to draft development policies and set targets

Skill is needed in drafting development policies and targets but, as with most things in life, it comes with

practice.

? Why are targets important?

1. They give the implementers something specific to aim for

2. They are fundamental to monitoring and evaluation

3. They force the Tesaban administration and the public to be realistic about what can be

achieved within a given timeframe

6.4 How to draft an action plan


7. Implementing an action plan

Implementation simply means taking action in accordance with an action plan.

7.1 What tasks can assist implementation


7.2 What implementation tools are available to a Tesaban

administration

Implementation can be challenging but there are ways and means of assisting the process.

? Why highlight implementation?

Insufficient attention was paid to implementation in the past under a Master Plan approach when it was

simply assumed that the provisions of a plan would somehow be carried out.


Experience has shown that careful attention needs to be given to an implementation strategy to help “to

make things happen”. This applies equally to development proposals by the Tesaban administration and

the private sector.

Implementation needs to be managed to ensure that tasks are assigned to and undertaken by the most

appropriate unit or person, lines of accountability are established, funding sources alerted, and the

public is informed about what is happening.

7.3 What if you encounter opposition to an action plan

➡ Trainer: you must emphasise that implementation will not simply “happen”. However thorough your

attempts at consensus building, you can expect some opposition. People react adversely to change.

? Why should you respond to opposition?

1. Unless you make some response to opposition, you will not make progress. You need co-

operation among the Tesaban administration and the public to achieve an action plan’s

objectives

2. Exercising some flexibility in the above situation will not lessen your credibility but enhance it

7.4 What should be documented

The documentation should indicate:

• What will be done

• Where it will take place

• Which resources will be used

• When it will be undertaken

• Who will be doing it

? Why should actions for implementation be documented?

1. For future reference

2. To raise awareness for what is happening to achieve the objectives of an action plan

8. Monitoring, evaluation and feedback

These activities are really central to a strategic approach to urban management. They have the potential

to indicate what is going right and what is going wrong.

8.1 How to establish a monitoring system


8.2 How to evaluate and review an action plan

➡ Trainer: the trainees must recognise that monitoring and evaluation are not matters to be left until

after an action plan has been prepared.


? Why should monitoring, evaluation and feedback be carried out?

These are highly important components of a strategic approach to urban management. They are linked

and each provides information about whether the actions that have been undertaken are achieving the

anticipated results.

During the monitoring stage, information is gathered at regular intervals. The Core Planning Team

measures the indicators to see what changes have occurred as a result of the actions undertaken.

If problems become apparent as a result of monitoring activities, an opportunity is provided for the Core

Planning Team to recommend mid-course adjustments to an action plan.

The Core Planning Team analyses the information and evaluates whether the changes that have been

recorded meet with the objectives and targets of an action plan. The Core Planning Team prepares a

report for the Tesaban Development Committee’s consideration.

If the actions taken have been successful, the Tesaban Development Committee subsequently approves

a report to feedback this information to the Tesaban Council. If the actions have been partly or wholly

unsuccessful the Tesaban Development Committee will need to recommend that adjustments should be

made.

➡ Trainer: now is the time to recap on the main points from Section 1 to pull the threads together.

17Public participation Section 2



• To provide an overview of the reasons for public participation in local decision-making

processes

• To describe the method for preparing, undertaking, recording and publicising three different

participatory practices for use at the local level


1. To explain what is meant by public participation

2. To identify the occasion when a task force, a citizen advisory group, or a public forum would

be most appropriate for public participation at the local level

3. To outline the procedures for undertaking a task force, a citizen advisory group, and a public

forum

4. To describe the various methods of public awareness raising and suggest how each might

be most suited to a task force, a citizen advisory group and a public forum

5. To list different ways for recording and publicising the work of the various participatory

practices

6. To identify the resources needed for the different participatory practices

Public participation

The focus for Section 2 of the Handbook is to urge the

trainees to consider how they might manage public

participation in policy making, decision making and project

implementation for the development of their Tesaban area.

SECTION TWO

18



guide. It is provided on the assumption that the trainees will need the full input of the training material in

this Section. Even in that event, the time taken for trainees to assimilate new information will vary from

group to group.

However, it is possible that some trainees will already have experience of participatory practices and

only require further clarification of certain aspects of it or wish to broaden their existing experience.

Therefore, you should establish the trainees’ needs in relation to Section 2 in advance to help you to plan

your training session. Consider whether the trainees want:

� to strengthen their understanding of only one or two components of the participatory

approaches in order to extend their existing participatory practices Or

� to focus on the overall approach to public participation?

It is estimated that, if possible, two and a half days should be set aside for undertaking the training of this

Section.

Section 2 Public participation



1. What does public participation mean 1/2 day

1.2-1.5

2. How to prepare for participation

2.1-2.2

3. Task forces for specific issues & how to set them up 1/2 day

3.1-3.8

4. Citizen advisory groups and how to set them up 1/2 day

4.1-4.8

Tool: Workshop

5. A public forum and how to set it up 1/2 day

5.1-5.7

RECAP the main points of the entire training session to 1/2 day

check the achievement of the learning outcomes


19

Section 2: Outline session plan

Public participation Section 2

Topic Teaching method Teaching aid

1. Introduction

1.1 Who should make use of Introduce topic

this section

1.2 What does public Brainstorm and discuss what is Flipchart + pens and

participation mean meant by public participation pin up outcome

1.3 When should the public Draw out ideas from the trainees Overhead projector

become involved about the timing of public participation (OHP) + 3 overhead

transparencies

(OHT): to show

where task force,

citizen advisory group

and public forum

apply to a strategic

approach

1.4 Why the wider public Explain the nature of partnerships, OHP + OHT

needs to be involved and equal partners but differing roles. showing new

Introduce new legislation legislation

1.5 How the work of the Small group work to develop ideas Flipchart + pens to

Tesaban administration about the benefits and report back record responses.

benefits from public Pin up outcome

participation

1.6 The focus of this section Draw out ideas for different methods Whiteboard + pens to

then focus on the three. record responses

RECAP sub-section 1


2.1 Preparing the Tesaban Question & answer (Q&A) reasons Whiteboard + pens to

administration why the Tesaban administration record responses

needs to prepare itself, followed by

elaboration

2.2 Who should lead the Discussion to draw out ideas from

participatory practice and the trainees

how it should be

undertaken

RECAP sub-section 2

3. Task forces for specific issues & how to set them up

3.1 Seek potential partners Introduce the task force (TF) and its role. Prepared OHT with

Explain why the public should participate definition from the

in setting up a TF Handbook

(sub-section 3)

20 Section 2 Public participation

3.2 Approach potential Trainer: prepare mini scenario where OHT of mini scenario

members a TF might be used. Flipchart + pens for

Trainees (1 group) to discuss & recording responses

suggest the composition of TF Pin up outcome

3.3 Form the task force Explain responsibilities of TF Prepared OHT to

reinforce

3.4 Publicise the existence Q&A why the work of the TF should Whiteboard + pens to

and work of the task force be publicised record responses

Emphasise the need for

transparency

3.5 Ensure useful outputs Reinforce trainees’ learning of

from the task force sub-section 3.5 by Q&A

3.6 Facilitate the work of Distinguish between the role of OHT or cards with

the task force chairperson/TF leader, then break assignment.

Into 2 groups to discuss: Blank OHT+ pens

(1) how a chairperson may facilitate for feedback.

the work of TF; and

(2) how a TF leader may facilitate

the work of the TF

3.7 Resource the task force Initiate a brief discussion

3.8 Record the work of Explain why the work of the TF

the task force should be recorded

RECAP sub-section 3

4. Citizen advisory groups & how to set them up

4.1 Seek potential partners Introduce the citizen advisory group Prepared OHT with

(CAG) and its role definition from

Explain why representatives from Handbook

different social groups should be (sub-section 4)

urged to participate in a CAG

4.2 Approach potential Initiate a brief discussion

members

4.3 Form the citizen advisory Draw out what the trainees think the Record on flipchart,

group difference is between a TF and a CAG pin up & leave

4.4 Publicise the existence Q&A why & how to publicise the work of Whiteboard + pens to

and work of the citizen the CAG record responses

advisory group Emphasise need for transparency of

action

4.5 Ensure useful outputs Brainstorm: how are you going to Flipchart + pens for

from the citizen advisory manage a CAG to ensure useful responses

group outputs Pin up outcome


4.6 Facilitate the work of the Reinforce learning from the

citizen advisory group Handbook by Q & A

Tool box: Workshop Emphasis this as a tool in this case

rather than a participatory practice

Initiate a discussion Flipchart + pens for

4.7 Resource the CAG responses

Pin up outcome

4.8 Record the work of the RECAP sub-section 4

citizen advisory group

5. A public forum & how to set it up

5.1 The pre-preparation stage Introduce public forum (PF) and Use a prepared OHT

draw out the difference between a that states the difference

Public Hearing and a PF to reinforce their

Explain the need for a pre-preparation responses

stage

5.2 Raise public awareness Q&A different methods Flipchart +pens to

Small group work to devise a poster record responses

to raise public awareness about a PF Pin up outcomes

that also highlights the difference

between PF and a Public Hearing

5.3 Meet community leaders Explain why community leaders are

targeted

5.4 Prepare for the public Form 2 groups and ask each to draft Blank OHTs & pens

forum a work plan for the preparation of a

public forum

Trainees to explain their approach

when they feedback

5.5 Facilitate the public forum Discuss effective management Prepare and use an

methods OHT on seating

arrangements

5.6 Resource the public forum Initiate a brief discussion

5.7 Record the public forum Q & A on different methods of recording. Flipchart + pens to

RECAP sub-section 5 record responses

Pin up outcomes

RECAP the main points of the entire training session to check the achievement of the learning

outcomes





1. Introduction

➡ Trainer: you should note that, for some, public participation is a new and challenging undertaking.

Section 2 provides a practical guide for these persons to help them to integrate public participation

practices into the policies of their Tesaban administration. At the same time, Section 2 can extend the

existing practices of those people who already undertake public participation.

1.1 Who should make use of this Section

This Section was prepared with decision makers, staff from the Tesaban administration and trainers

specifically in mind, but any person who wishes to utilise participatory practices in their day-to-day work

will find the Section useful.

? Why specifically should decision-makers, staff from the Tesaban administration and

trainers use Section 2?

➡ Trainer: point out to the trainees that public participation is now a fundamental principle of the

state. They are obliged by legislation to involve the public in their decision-making processes and actions.

1.2 What does public participation mean

Participation means partnerships.

? Why is participation so important?

1. It meets a statutory obligation

2. It helps to build a local consensus leading to a broad acceptance and sense of ownership

(of a plan or course of action)

3. It strengthens implementation, i.e. action

1.3 When should the public become involved

It is never too soon to involve the public.

? Why should the public be involved at the outset of an activity?

1. Involvement leads to commitment

2. It helps to build positive relationships

3. It demonstrates transparency

1.4 Why the wider public needs to be involved

All sectors of the public have an interest in their community and have a right to know about matters that

affect their area.

? Why should the Tesaban administration develop partnerships with the public?


There are several reasons why the trainees should involve the public at the local level in their urban

planning and management processes:

• It facilitates good governance

• It makes decisions more responsive to local needs

• It strengthens the transparency and integrity of actions

• It strengthens the actions of the Tesaban administration

• It stimulates the use of local resources and provides practical solutions to local problems

• It supports sustainable development

• Recent legislation and policy statements have made public participation a principle of the

state and it is now a focus for action at the local level

The new Constitution B.E. 2540 (1997) states:

“The State shall promote and encourage public participation in laying down policies, making decision on

political issues, preparing economic, social and political development plans, and inspecting the exercise

of State power at all levels.”

“The State shall decentralise powers to localities for the purpose of independence and self-determination

of local affairs, develop local economics, public utilities and facilities systems, and information infrastructure

in the locality thoroughly and equally throughout the country as well as develop into a large-sized local

government organisation a province ready for such purpose, having regard to the will of the people in

that province.”

(Section 76 and 79 Chapter V: Directive Principles of Fundamental State Policies,

Constitution of the Kingdom of Thailand)

The Government’s Eighth National Economic and Social Development Plan B.E. 2540-2544

(1997-2001) strongly emphasised decentralisation and the strengthening of the local level administration

and community-based development.

The policy framework for Sustainable City Development (sometimes referred to as Healthy City or Liveable

City) also identifies ‘the strengthening of society’ and ‘building partnerships to reach a consensus on

development’ as strategies to be followed at the local level.

1.5 How the work of the Tesaban administration benefits

from public participation

It helps to bring together the decision-makers and the public and it enables the Tesaban administration

to provide what their customers need.

? Why does public participation benefit the work of the Tesaban administration?

1. It helps to avoid opposition to the Tesaban administration’s policies and plans

2. It makes decisions more relevant and acceptable to the public

3. It increases the job satisfaction of staff in the Tesaban administration


1.6 The focus of this section

The focus is on three specific participatory practices, a task force, a citizen advisory group and a public

forum. The Section also provides a valuable tool box on workshops.

The three given examples, and the methods for establishing them, are described in detail and should be

regarded as an illustration of what is possible.

? Why have these three methods been selected?

These methods were selected to provide a spectrum of ways that the public could be involved in local

based planning and management on either a temporary or permanent basis, in small, medium or large

sized groups.

? Why has a range of methods been selected?

Each person wishing to work with the public in a participatory way needs to be creative in developing

their approach and have the courage to try different methods.

The information provided can be used flexibly and may be applied to other ways of involving the public

in local planning and decision making. It may be helpful to think of Section 2 as a “tool-kit” from which is

taken whatever tool is needed to meet the requirements of the participatory practice being contemplated.


The Tesaban administration should examine its current working practices to discover whether or not

public participation is taken into consideration.

2.1 Preparing the Tesaban administration

The foundations for public participation need to be laid within the administration.

? Why does the Tesaban administration need to prepare itself for public participation?

To determine to what extent participatory practices are already being undertaken and to identify how

they might extend their approach.

If public participation is new to the Tesaban administration, they need to formulate a policy for the way

they will integrate public participation into their working practices and widespread this information to all

Divisions.

➡ Trainer: the trainees need to be aware that colleagues may react negatively if they are asked to

change their work habits. It is necessary to seek the reasons for this response and to find ways to

overcome their negativity. Explore anxieties and try to allay fears.


? Why does a Tesaban administration need to prepare its staff for public participation?

Public participation may be a new experience for some Tesaban administrations and it may mean a

change in working practices.

Change can be perceived as a threat to an individual’s competence and a challenge to his/her status

with the result that resistance to new practices builds up. This negative response is a way of concealing

underlying fears; it will be necessary to reassure the staff and to explain the benefits that participation

brings about.

Reassurance can be provided by:

• In-house training to highlight the benefits of and to explain the methods for involving the

public

• Inviting staff from other Tesaban administrations who have already successfully practised

public participation to explain how they approached the task

• A Division of the Tesaban administration undertaking a small public participation pilot activity

(that can virtually be guaranteed a success) and using the experience as a demonstration of

what can be achieved

• Providing supportive courses on such topics as conflict management, presentation and

communication techniques to increase staff confidence

Public participation may also be a new experience for the public. They will need to be told about the role

that they can play, what they can contribute, and how they will benefit.

Local people benefit:

• By being better informed about their locality and the issues, constraints and consequences

they and the Tesaban administration are facing

• By being able to contribute local knowledge and wisdom

• By being involved in the Tesaban administration’s decision-making

• By helping to identify their own needs

• By developing a sense of belonging to their community

• From an improved quality of life in their neighbourhood

2.2 Who should lead the participatory practice and how

should it be undertaken

While the leader might come from the public or the private sector, the Mayor or the City Clerk will

normally lead the participatory practice. For specific issues, the Chumchon Chairman or President of the

local Chamber of Commerce might initiate the practice.

? Why should there be a leader?

1. Actions will not be taken without somebody taking the lead

2. A leader provides a sense of direction


3. Task forces for specific issues & how to set

them up

➡ Trainer: you should emphasise to the trainees that the role of a task force is to undertake the activities

that the task force and the Tesaban administration have jointly agreed.

Public participation is central to the strategic approach (and to an Urban Development Framework).

Thus, there are linkages between this section and Sections 1 and 4.

The following diagram illustrates those components of the strategic approach where task forces may

make a major input.

Main input by the task force to the strategic approach

Establish the visionEstablish the visionEstablish the visionEstablish the visionEstablish the vision

Monitor and evaluateMonitor and evaluateMonitor and evaluateMonitor and evaluateMonitor and evaluate

Implement action plansImplement action plansImplement action plansImplement action plansImplement action plans

Analyse the situationAnalyse the situationAnalyse the situationAnalyse the situationAnalyse the situation

Identify + rank issuesIdentify + rank issuesIdentify + rank issuesIdentify + rank issuesIdentify + rank issues

Formulate action plansFormulate action plansFormulate action plansFormulate action plansFormulate action plans

Task ForceTask ForceTask ForceTask ForceTask Force




3.1 Seek potential partners

Partners are equal but have different roles.

? Why should the public participate in setting up the task force?

1. To demonstrate transparency of actions of the Tesaban administration

2. To build trust and to foster a spirit of co-operation from the outset

3. To ensure that the most suitable people have the opportunity to be selected

3.2 Approach potential members

The selection of members for a task force is not to be undertaken lightly.

? Why does the composition of the task force need careful consideration?

• To make certain that its members have the skills, knowledge and experience required

• To ensure that the different sectors of the public, plus those who will be affected by the

issue, are truly represented

• To determine how many people will be required to complete the task within the allotted

time

• To predetermine whether the potential members have the time to undertake the task and

whether they will be able to work together constructively

? What are the factors that influence the member’s selection?

1. The purpose of the task force

2. The number of members of the task force

3. The form it will take and how it will function

4. The type of contribution that is needed

5. How the plan, programme or project is designed

6. The ability of the members to communicate

7. The credibility of the potential members within their sector

3.3 Form the task force

The task force needs a structure to fulfil its remit.

? What is the structure of the task force and what are the roles of the members?


Chairperson/Task force • To ensure the task force keeps to the intended focus and achieves

leader relevant and satisfactory outcomes

• To oversee operations if the aim of the task force is action on the

ground

Vice chairperson/deputy • To be able to work closely with the chairperson/leader

task force leader • To deputise when the chairperson/leader is absent

Secretary • To keep accurate records of meetings

• To prepare, with the chairperson/leader, the minutes of meetings

and to distribute them

• Draft the agenda for the chairperson/leader

• Type and send any correspondence

Members • To contribute knowledge, ideas, work, time, energy and skills

• To support decisions made collectively

• To take responsibility for special assignments

Role Responsibilities

? Who forms the task force and allocates the roles?

• The Tesaban administration forms the task force in partnership with the public bearing in

mind that the decisions for the allocation of roles should be made in a transparent and

democratic way

• However the decision is reached, the persons deemed most suited for a task by both the

Tesaban administration and the members (in partnership) should fill particular roles

3.4 Publicise the existence and work of the task force

Publicity raises awareness and increases motivation.

? Why should the work of the task force be publicised?

• To demonstrate transparency

• To inform the public and to satisfy their right to know

• It brings recognition for the voluntary contribution made by members of the task force


3.5 Ensure useful outputs from the task force

➡ Trainer: while the main focus for this aspect is in the Handbook, it is important to emphasise to the

trainees that a task force cannot be set up and then be left to its own devices.

The task force needs to be managed and the Tesaban administration needs to be informed about the

progress of its activities.

Hints box

The Tesaban administration should select the most appropriate people for the task force and spend

time ensuring that they understand what is expected of them. The chairperson/leader and the Tesaban

administration should maintain regular contact so that each knows what is happening.

The Mayor’s Order (TOR) that clearly specifies what is expected of the task force will help to ensure

that the required outcomes are achieved. The actions to be taken, the roles of the different mem-

bers, the standards for sharing information, methods for decision making and conflict resolution, the

resources to be provided by each partner and the way the work will be reported should be included.

Relevant documentation should be made available to the task force if required.

3.6 Facilitate the work of the task force

These points are self-explanatory in the Handbook.

3.7 Resource the task force

These points are self-explanatory in the Handbook.

3.8 Record the work of the task force

Record keeping is normal practice in public administration.

? Why should the work of the task force be recorded?

1. Records are essential for future reference

2. Information from a record of a meeting can be used selectively to prepare publicity material


4.1 Seek potential partners

➡ Trainer: The trainees need to understand that the citizen advisory group represents many different

social groups and sectors of the public.

? Why is representation from many different social groups and sectors of society of value?

• To develop trust, demonstrate transparency and ensure that local people who have the

confidence of the public are selected

• To ensure that issues are considered from all perspectives

• To make sure that there is representation for issues specific to minority groups of people

(e.g. the disabled or low-income groups)

• To have the benefit of as broad a range of knowledge, skills and experience as possible

The citizen advisory group can apply its broad range of expertise and knowledge to the various issues

that the Tesaban administration puts forward. This is beneficial to local based planning because the

advice will be founded on the group’s knowledge of the locality, the needs of the people, and their likely

response to a proposed policy, project or programme.

4. Citizen advisory groups and how to set

them up

The role of the CAG is to debate or discuss issues, reach decisions by consensus and advise the

Tesaban administration of the outcome of their deliberations.

Main input by the citizen advisory group (CAG) to the strategic approach

CAGCAGCAGCAGCAG

CAGCAGCAGCAGCAG

CAGCAGCAGCAGCAG

CAGCAGCAGCAGCAG







31

4.2 Approach potential members

This is self-explanatory in the Handbook.

4.3 Form the citizen advisory group


4.4 Publicise the existence and work of the citizen

advisory group

See sub-section 3.4 above.

4.5 Ensure useful outputs from the citizen advisory group


4.6 Facilitate the work of the citizen advisory group

The effectiveness of the citizen advisory group is highly dependent on the skills of the chairperson and

the liaison person.

Hints Box

The selection of members for the citizen advisory group and who becomes the chairperson will be

critical to its success or failure.

All members need to be individuals who have the trust and respect of the organisation they repre-

sent, and who have the time, energy and commitment for voluntary work.

The chairperson needs sound leadership and management skills.

The liaison person should:

• Help the Tesaban administration to develop lines of communication between themselves

and the citizen advisory group to check that the work is being undertaken as set out in the

Mayor’s Order (TOR)

• Ensure that the advice the citizen advisory group offers is consistent with the policies of

the Tesaban administration

• The Tesaban administration should provide the group with all the relevant documentation/

information about the issue on which they are focusing

• Make certain that the work of the Tesaban administration and the group is transparent in

order to gain credibility, to build trust, and develop the relationship between the group, the

Tesaban administration and the public

➡ Trainer: the trainees should recognise the key role of the liaison person.

Public participation Section 2


4.7 Resource the citizen advisory group

This is self-explanatory within the Handbook.

4.8 Record the work of the citizen advisory group


5. A public forum and how to set it up

➡ Trainer: the trainees need to understand that this participatory practice is similar to but totally separate

from Thailand’s formal Public Hearing. A Public Hearing forms part of a statutory process, (e.g. under the

Town and Country Planning Act, B.E. 2518 (1975)). A public forum is a mechanism that the Tesaban

administration can use to enable the local authority to meet with a large group of the public to exchange

views on, or give information about, development issues.

Main input of a Public Forum to the strategic approach

PublicPublicPublicPublicPublicforumforumforumforumforum










5.1 The pre-preparation stage

Pre-preparation lays the foundations for the forum.

? Why is a pre-preparation stage necessary?

The pre-preparation stage is necessary to prepare the public for a public forum and to identify personnel

from the Tesaban administration who will carry out the preparations for and conduct of such an event.

It will be necessary for the Tesaban administration to form two small teams of people.

1. Team one will be responsible for all the preparations

2. Team two will constitute the panel of people who appear at the top table and contribute to

conducting and recording the proceedings at the public forum

Team one will need a leader who relates well to the citizens, understands the subject that is the focus for

the forum, and can direct the other team members who will be making all the necessary arrangements.

Team two, the panel, will also need a leader who will chair the forum. He/she should be knowledgeable

about the subject and be able to manage a large group discussion.

The other panel members support the chairperson and should be prepared to answer questions on the

subject or to facilitate small breakout groups. One person should be responsible for recording the

proceedings.

5.2 Raise public awareness

This means informing the public about the forthcoming public forum and how they will have the opportunity

to participate in the debate on, for example, a project proposal.

? Why does the Tesaban administration need to develop a dialogue with the public?

The Tesaban administration needs to develop a dialogue with the public in order to conform to recent

legislation on public participation and to lay the foundations for a spirit of co-operation and openness

between themselves and local people.

On occasions where the public has been confronted with a proposal for a project without prior consultation

they react negatively. The outcome of such an event can be panic (due to the spread of rumours about

what they mistakenly believe is going to happen), confrontation, or apathy. None of these outcomes

benefit local based planning, the public, or the Tesaban administration.

A well publicised and carefully prepared public forum, however, where the Tesaban administration can

explain their intentions, listen to and seek the views of the public, might well resolve the anxieties and

issues raised by the proposal and gain the public’s willing co-operation.

It is a recognised fact that when the public have been given the opportunity for some involvement in a

project they develop a sense of ownership and are motivated to help it to be successful.


5.3 Meet community leaders

Community leaders are trusted and respected members of local society.

? Why are meetings with community leaders needed?

1. To take informal soundings in advance of the public forum

2. To identify a potential panel member

3. To help with the awareness raising process

5.4 Prepare for the public forum


5.5 Facilitate the public forum

➡ Trainer: the trainees must recognise that careful planning of the room arrangement, level of language

used and the presentation of material is essential. The reason being that the purpose of the forum is to

enable the public and the Tesaban administration to have a constructive discussion where both parties

have equal opportunity to contribute.

➡ Trainer: the trainees will be accustomed to the formal process of a public hearing and they therefore

have preconceptions about a public forum. Your task is to steer them away from this mindset in favour a

more flexible approach to public meetings.


Hints Box

To encourage a constructive and free-flowing dialogue between all actors, the following points should

be considered:

• Avoid formal theatre or classroom style placing of chairs if possible to avoid creating

barriers and inhibiting discussion. These styles cannot be avoided if there are more than

30 participants. In this case, it is better to break into smaller groups once the main points

for discussion have been put forward and to return to the formal arrangement for the

feedback plenary

• For groups no larger than 20-25 people, U or O shape is recommended that allow everyone

to see each other and feel secure (See Tool Box on room arrangements)

• Think about the style of language that will be used. Everyday language will enable the

public to understand the points being made. Technical terms should be avoided or

explained

• Use simple methods for presenting material

• Establish “ground rules” for behaviour. For example, ask people to be quiet when others

are speaking and not to speak at the same time as somebody else, indicate by show of

hands when they wish to make a contribution

• Be aware of body language, a restless and yawning audience often means that they do

not understand the point being made, so think of a different way to put it. Frowns and

head shaking could mean “we do not understand or do not agree”. Smiles and nods

usually mean we agree

• Recommend short breaks if the forum is lengthy. Breaks allow people to organise their

thoughts, calm down if tempers have been raised and provide time to reflect on what has

taken place

5.6 Resource the public forum

This is self explanatory in the Handbook.

5.7 Record the public forum



36

Room arrangements

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Facilitates debateFacilitates debateFacilitates debateFacilitates debateFacilitates debate

Creates a secureCreates a secureCreates a secureCreates a secureCreates a secureenvironmentenvironmentenvironmentenvironmentenvironment

Everyone can see eachEveryone can see eachEveryone can see eachEveryone can see eachEveryone can see eachother and the facilitatorother and the facilitatorother and the facilitatorother and the facilitatorother and the facilitator

Allows concentration forAllows concentration forAllows concentration forAllows concentration forAllows concentration forcomplex issuescomplex issuescomplex issuescomplex issuescomplex issues

Allows information to beAllows information to beAllows information to beAllows information to beAllows information to begiven to a large audiencegiven to a large audiencegiven to a large audiencegiven to a large audiencegiven to a large audience

Allows discussions ofAllows discussions ofAllows discussions ofAllows discussions ofAllows discussions ofdiverse issuesdiverse issuesdiverse issuesdiverse issuesdiverse issues

Creates a secureCreates a secureCreates a secureCreates a secureCreates a secureatmosphere for debateatmosphere for debateatmosphere for debateatmosphere for debateatmosphere for debate

Can be used with or withoutCan be used with or withoutCan be used with or withoutCan be used with or withoutCan be used with or withouta formal leadera formal leadera formal leadera formal leadera formal leader

Helps interactionHelps interactionHelps interactionHelps interactionHelps interaction

Does not allow discussionDoes not allow discussionDoes not allow discussionDoes not allow discussionDoes not allow discussion

Not suited to generatingNot suited to generatingNot suited to generatingNot suited to generatingNot suited to generatingideas or group cohesionideas or group cohesionideas or group cohesionideas or group cohesionideas or group cohesion

No interaction betweenNo interaction betweenNo interaction betweenNo interaction betweenNo interaction betweenparticipantsparticipantsparticipantsparticipantsparticipants

Not suited to more than 20Not suited to more than 20Not suited to more than 20Not suited to more than 20Not suited to more than 20peoplepeoplepeoplepeoplepeople

Situations where strongSituations where strongSituations where strongSituations where strongSituations where strongleadership is neededleadership is neededleadership is neededleadership is neededleadership is needed

Needs spaceNeeds spaceNeeds spaceNeeds spaceNeeds space

Not suited to more than 25Not suited to more than 25Not suited to more than 25Not suited to more than 25Not suited to more than 25peoplepeoplepeoplepeoplepeople

Needs spaceNeeds spaceNeeds spaceNeeds spaceNeeds space

Does not allow discussionDoes not allow discussionDoes not allow discussionDoes not allow discussionDoes not allow discussion

Not suited to generationNot suited to generationNot suited to generationNot suited to generationNot suited to generationideas or group cohesionideas or group cohesionideas or group cohesionideas or group cohesionideas or group cohesion

No interaction betweenNo interaction betweenNo interaction betweenNo interaction betweenNo interaction betweenparticipantsparticipantsparticipantsparticipantsparticipants

Ideally needs more than oneIdeally needs more than oneIdeally needs more than oneIdeally needs more than oneIdeally needs more than oneroomroomroomroomroom

Can be noisyCan be noisyCan be noisyCan be noisyCan be noisy

Harder to manageHarder to manageHarder to manageHarder to manageHarder to manage

TF:TF:TF:TF:TF: Task ForceTask ForceTask ForceTask ForceTask Force

WS:WS:WS:WS:WS: WorkshopWorkshopWorkshopWorkshopWorkshop

CAG:CAG:CAG:CAG:CAG: Citizen Advisory GroupCitizen Advisory GroupCitizen Advisory GroupCitizen Advisory GroupCitizen Advisory Group

PF:PF:PF:PF:PF: Public ForumPublic ForumPublic ForumPublic ForumPublic Forum

37



• To explain how to read base maps and spatial plans

• To show how to use spatial techniques in the preparation of local policies and plans

• To introduce outsourcing as a management tool and explain the implications for the Tesaban

administration of appointing consultants


1. To describe a spatial plan and the role of a general or specific plan

2. To describe how to read a scale, symbols, and the local topography from a map or plan

3. To explain how to use spatial planning techniques in a situation analysis and in formulating

development policies

4. To explain the merits of outsourcing and matters to be included in a consultant’s Terms of

Reference

Applying spatial

planning techniques to

local development

policies

The focus for Section 3 of the Handbook is to raise awareness

of maps and spatial techniques and how they can help the

Tesaban administration with the preparation and presentation

of local development policies.

Applying spatial planning techniques to local development policies Section 3

SECTION THREE

38





group to group.

However, it is possible that some trainees will already have experience of using maps and applying

spatial techniques and only require further clarification of certain matters or help to move on from the

stage they have already reached in their work situation.


your training session.

It is estimated that three days should be set aside for undertaking the training of this section.

Section 3 Applying spatial planning techniques to local development policies



1

1.2-1.2 Base maps and spatial plans 1/2 day

2. Spatial plans

2.1-2.2

3. How to interpret and use maps and plans 1 day

3.1-3.5

4. How to use spatial planning techniques 1 day

4.1-4.3

5. Outsourcing and the role of professional planners 1/4 day

5.1-5.4




39 Applying spatial planning techniques to local development policies Section 3

Section 3: Outline session planTopic Teaching method Teaching aid

1. Introduction

1.1 Base maps & spatial plans Introduce topic, remainder is Overhead projector

self-explanatory (OHP) + transparency

(OHT) that has

definition of base

maps & spatial plans

1.2 How spatial techniques Trainer to reinforce this point

relate to other aspects of

this Handbook RECAP sub-section 1

2. Spatial plans

2.1 What is a spatial plan and Discuss why spatial plans are Whiteboard and pens

what is its purpose helpful to the Tesaban to record responses

administration

Example Box: Statutory Question & Answer (Q&A). Why A general plan for

spatial plans and their local authorities need to be display on the wall

purpose concerned with a general and a

specific plan

Individual questions to trainees

about interpretation of the legend

Examine the link between spatial

plans & Regulations Copy of the Regulations

2.2 Other possible Initiate a small discussion on this

applications of a spatial

plan RECAP sub-section 2

3. How to interpret and use maps & plans

3.1 How to read a scale Small group activity covering 3.1-3.4 Prepare an activity

using an activity sheet & a base map sheet based on

activities 1-4

3.2 How to understand the Activity 1. Measure a distance & Coloured map

symbols on a base map calculate an area

Scales/rulers

3.3 How to identify a location Activity 2. Explain meaning of 3

& get a sense of direction symbols on map

3.4 How to gain an Activity 3. Identify a location from

impression of the given grid reference

topography

Activity 4. Describe the altitude at 3

locations

3.5 How to obtain base maps Brief discussion

RECAP sub-section 3

40 Section 3 Applying spatial planning techniques to local development policies

4. How to use spatial planning techniques

4.1 Assessing the Pin up resource maps and ask the An existing land use

characteristics of the trainees individually to describe the map, a physical map,

Tesaban area characteristics of an area of the and a map of

trainer’s choice environmentally

sensitive areas

4.2 Simplified overlay Trainer: use the first criterion (only) Trainer for each pair

techniques from the scenario in 4.2 of this provide: The scenario,

Resource Book an existing base map,

Trainees to work in pairs to do a information on the first

simple overlay criterion, some tracing

paper, scotch tape &

coloured pencils

4.3 Using maps to analyse Explain how maps contribute to Coloured OHTs to

opportunities, problems situation analysis and policy show maps

& constraints formulation

RECAP sub-section 4

5. Outsourcing & the role of professional planners

5.1 Responsibility for Draw out ideas from the trainees Whiteboard + pens.

preparing a general or and reasons why the preparation of Completed OHT to

specific plan a general or specific plan should be reinforce showing

outsource. the reasons

5.2 Preparing a statutory Trainer: prepare mini scenario in Cards with mini

spatial plan in-house which the Mayor is considering the scenario

in-house preparation of a spatial plan. Flipchart + pens

Trainees: In small groups to devise

a checklist of factors to be

considered (with Handbooks

closed). Feedback

5.3 Outsourcing Trainer to go through all items in Prepared OHT of

Checklist 2 of Handbook. Then discuss checklist & reveal each

and consider the implications of each item as it is discussed

5.4 Consequences of Trainer to stress the role of the

outsourcing Tesaban administration in

managing consultants

RECAP sub-section 5


outcomes



each other. To facilitate this, the numbering system is identical in each document. This section does not

attempt to be comprehensive. Rather, it encourages a basic understanding of maps and of spatial

techniques that can be applied in-house.

41

1. Introduction

This Section has three foci. The first is to examine different types of statutory and non-statutory spatial

plans associated with municipal urban development. The second is to explain how to use base maps

and spatial techniques to help in the process of managing growth and change in the urban area. The

third addresses outsourcing.

➡ Trainer: emphasise to the trainees that the Tesaban administration does not need to have all spatial

skills in-house, e.g. to prepare a general or a specific plan. Outsourcing is an option and this Section will

help the trainees to understand how to manage external consultants.

1.1 Base maps and spatial plans

➡ Trainer: the trainees must appreciate the distinction between a base map and a spatial plan.

1.2 How spatial techniques relate to other aspects of this

Handbook

➡ Trainer: note that this Section has a strong cross-relationship with Sections 1, 2, 4 and 5 and reference

to these other Sections will help your understanding of the topic.

2. Spatial plans

A spatial plan is an all-embracing term. A spatial plan is drawn-up in order to show the location of policy

proposals, e.g. for the use of the land and how those policies apply to the urban area.

2.1 What is a spatial plan and what is its purpose?

Spatial plans have flexibility and may be either statutory or non-statutory.

? Why are spatial plans helpful?

They are helpful because they may be prepared:

• To show land use proposals in a statutory general or specific plan

• To show the location of projects contained in a statutory development plan

• As a component of a voluntary Urban Development Framework to guide the Tesaban

administration and TAOs in the development of an urban area

? Why should the local authorities be concerned with a general or specific plan?

Local authorities need to be concerned with a general or specific plan because:

• In the course of the next ten years, the statutory responsibility for preparing a general and a

specific plan will be devolved from central to local government

• Urban development is taking place rapidly and needs to be managed effectively

• Spatial plans provide local authorities with a tool to respond to urban challenges presented

in the locality with the participation of the public


42

2.2 Other possible applications of a spatial plan

From time to time, preparing an internal, non-statutory spatial plan can be beneficial to the Tesaban

administration to outline policies for urban development.

? Why extend the use of spatial plans?

Remember that until responsibility for preparing a general or specific plan is devolved in the next ten

years, there is no obligation on local authorities to use spatial plans.

However, staff in the Tesaban administration may well find it useful to plot the location of project proposals

set out in development plans. A spatial concentration of proposals to deal with a specific problem (e.g.

health) may indicate a wider problem, e.g. a lack of sewerage and a need for infrastructure.

3. How to interpret and use maps and plans

Maps and plans are a visual means of providing information. Maps indicate the existing natural and

man-made physical features of a specific area. Spatial plans are drawings that provide information

about the Tesaban administration’s policy proposals for the area.

➡ Trainer: the trainees must understand that a map shows recent or existing features whereas a plan

shows proposals for the future.

3.1 How to read a scale.


3.2 How to understand the symbols on a base map.


3.3 How to identify a location and get a sense of direction.


3.4 How to gain an impression of the topography.

The sub-sections 3.1-3.4 can be addressed together.

? Why is it important to be able to interpret maps and plans?

It is important to be able to interpret the different symbols, lines, colours, and shadings as they represent

different features of the terrain. They provide a visual means for assessing the suitability of an area for

the location of conservation or development proposals.


43

? Why does the information shown on a map help with the development of policies and

projects?

➡ Trainer: the trainees should realise that the maps they will be working from must be the most recent

edition. The base map is the starting point because it shows the physical and man-made features of the

area.

Maps present information about the physical and man-made features of an area in a graphical way. In

other words they paint a picture of what the physical environment is like and the structures that have

been imposed upon it.

The Tesaban administration needs to have this information to identify potential development sites and

evaluate their suitability for specific policies and projects.

Spatial plans do not simply focus on development proposals. They also, for example, contain policies for

the conservation of heritage sites, high quality agricultural land, natural features that provide a valuable

habitat and facilitate bio-diversity, and they protect rights of way.

3.5 How to obtain base maps



Maps and spatial planning techniques:

inputs and outputs at various stages of the strategic approach

spatialspatialspatialspatialspatialpattern ofpattern ofpattern ofpattern ofpattern of

datadatadatadatadata

OverlayOverlayOverlayOverlayOverlaytechniquestechniquestechniquestechniquestechniques

spatialspatialspatialspatialspatialdevelopmentdevelopmentdevelopmentdevelopmentdevelopment

PlanPlanPlanPlanPlan

Base mapBase mapBase mapBase mapBase map

spatialspatialspatialspatialspatialdevelopmentdevelopmentdevelopmentdevelopmentdevelopment

IssuesIssuesIssuesIssuesIssues

OverlayOverlayOverlayOverlayOverlaytechniquestechniquestechniquestechniquestechniques

SWOTSWOTSWOTSWOTSWOT





Identify +Identify +Identify +Identify +Identify +rank issuesrank issuesrank issuesrank issuesrank issues


44

4. How to use spatial planning techniques

Base maps and spatial plans are spatial mechanisms that facilitate urban planning and management.

4.1 Assessing the characteristics of the Tesaban area

Assessing the characteristics of the Tesaban area means identifying the natural and human features of

the urban area and its immediate rural hinterland.

? Why should the Tesaban administration use maps to assess the characteristics of their

locality?

➡ Trainer: the trainees must be aware that having the skills to interpret the information provided by

maps is fundamental to undertaking or managing local based planning.

The Tesaban administration needs to have a thorough knowledge of the natural and man-made physical

features of their locality in order to analyse land use, opportunities for, and problems and constraints to,

development. With this knowledge, the Tesaban administration is able to plan for the development of the

locality in a more sustainable way.

A strategic approach to urban planning uses a situation analysis to identify key issues with a high priority.

Up-to-date base maps, showing the natural and man-made physical features of an area at a recent point

in time, can assist a situation analysis.

A situation analysis is a process that allows the Tesaban administration to find out exactly what the

current economic, social, environmental and organisational situation is in the locality. It is important to

have this knowledge because:

• It forms the basis for the Municipal Profile

• It indicates trends and, if these are extended, it helps to anticipate how conditions might

become in the future

• It provides the base-line data against which future measurements can be made

• It allows the Tesaban administration to judge their area against others

• It indicates the location of the issues

This Section considers the application of spatial techniques in terms of existing land use, terrain and

environmentally sensitive land.

An existing land use map is important because it shows the pattern of urban development and indicates

incompatible land uses. The pattern and distribution of land uses indicate that problems may exist, e.g.

traffic congestion, noise, and poor air quality in the commercial centre close to the bus terminal and the

daytime market.

A physical map shows existing physical features, e.g. forests, rivers, hills. Future development must

take account of terrain, i.e. avoid hazards (land liable to flooding) and conserve environmentally sensitive

land (valuable habitat).


45

It is essential to identify environmentally sensitive land to conserve natural resources and bio-diversity.

Remember that the overarching objective of local based plans is to work towards sustainability.

4.2 Simplified overlay techniques

This is a simple, cheap, and effective tool for situation analyses. All that is required is a sheet of tracing

paper, scotch tape, a base map, coloured pens or pencils and some information.

? Why are simplified overlay techniques useful to the administration?

A tracing paper overlay can help to identify the location of a problem and to measure the area of land

involved.

Increasingly, as computer hardware and software become more widely available the trainees can

undertake simplified overlay techniques by using a GIS.

Additional information: a sieve map overlay technique

➡ Trainer: the following information is not necessarily for general use. Trainees who already have

experience of simplified overlay techniques may wish to extend their skills by learning about a sieve map

technique.

A sieve map technique is the application of overlays to a base map to identify land suitable for a

particular purpose by a process of elimination.

The use of a sieve map technique is probably best explained by considering a hypothetical example.

Funding is available for the creation of a 20-hectare sanitary landfill and suitable locations in a

defined area of search are being sought. A small working group within the Tesaban administration

has been set up to investigate and it has been decided that a suitable site for a sanitary landfill must

satisfy four criteria, i.e. it must exclude:

• Land within 700 metres of an existing potable water well or community water treatment

plant

• Land in an area subject to frequent and periodic flooding unless flood protection measures

are in place

• Land within 5 km from the property boundary of any licensed and operating airport runway

• Land within 1 km from the property boundary of any ancient monument defined under the

Ancient Monuments, Relics, Antiques and National Museum Act B.E. 2540 (1961)

In this situation, the working group could adopt a sieve map approach as set out in the Checklist below.


Example : Scenario for training exercise to accompany 4.2

46

Checklist: Steps in a sieve map approach

1. Gather a base map and the source maps (i.e. an existing land use map, a physical plan, and an

environment map)

2. Ensure the base map and source maps all have the same scale

3. Obtain tracing paper, felt pens, coloured pencils and scotch tape

4. Prepare a separate tracing paper overlay for each of the four criteria listed in the scenario

above

5. Follow steps 6-8 (below) for each of the four criteria

6. Secure a piece of tracing paper over the appropriate source map using scotch tape

7. Mark the same identification points with a cross on the base map, each source map and tracing

paper overlay so that you can line them up when superimposing one on the other

8. Identify the area affected (by the criterion in question) on the tracing paper overlay and colour it

distinctively

9. Secure the four tracing paper overlays onto the base map one on top of the other (using scotch

tape) by lining up the identification marks

10. Prepare a composite tracing paper overlay that shows land affected by one or more of the four

criteria and, by a process of elimination, land unaffected and potentially suitable for a sanitary

landfill site

In this case, tracing paper overlays have been used but, if the trainees have access to a Geographical

Information System (GIS) within the Tesaban administration, the sieve map technique can be speedily

and accurately undertaken on the computer.

It is perfectly possible that the outcome of applying the sieve map technique is that there is no site of 20

hectares within the area of search that is free from all four criteria. In that event, the working group would

have to seek agreement to seek agreement to extend the area of search.

If sites are found that are unaffected by the four criteria, it would still be necessary for the working group

to evaluate options taking other local factors into account. For example:

• Land within (say) 800 metres of an existing residential area

• High quality agricultural land

• Areas of forest, agricultural land, and wetlands that should be protected because they provide

natural habitats important to bio-diversity

• Local environmental impact including the prevailing direction of the wind

• Land ownership

• Cost of acquisition and development

• Transport implications


47

Sieve map technique, example: identification of suitable sites for a sanitary landfill

1.1.1.1.1. Base mapBase mapBase mapBase mapBase map

2.2.2.2.2. Location of ancient monumentsLocation of ancient monumentsLocation of ancient monumentsLocation of ancient monumentsLocation of ancient monuments

3.3.3.3.3. Area containing existing potable water wellsArea containing existing potable water wellsArea containing existing potable water wellsArea containing existing potable water wellsArea containing existing potable water wells

4.4.4.4.4. Land subject to frequent and periodic floodingLand subject to frequent and periodic floodingLand subject to frequent and periodic floodingLand subject to frequent and periodic floodingLand subject to frequent and periodic flooding

5.5.5.5.5. Composite overlayComposite overlayComposite overlayComposite overlayComposite overlay

Search area for a sanitary Landfill siteSearch area for a sanitary Landfill siteSearch area for a sanitary Landfill siteSearch area for a sanitary Landfill siteSearch area for a sanitary Landfill site


48

4.3 Using maps to analyse opportunities, problems &

constraints

➡ Trainer: emphasise that maps can be considered as an addition to the trainees’ tool kit.

? Why use maps to analyse opportunities, problems & constraints?

A map showing social, economic or environmental opportunities provides guidance about the future

direction of the town’s development.

Maps showing existing land use, terrain and environmentally sensitive areas highlight obstacles that

might limit or restrict urban development. For example, contaminated land can be used for urban

development but at a financial cost.

In preparing a general or specific plan, the Tesaban administration needs to devise policies that make

the best use of the opportunities and overcome problems and constraints in the area.

5. Outsourcing and the role of professional

planners

Outsourcing provides a way by which the Tesaban administration is able to prescribe the content of a

general or specific plan but utilise the expertise of consultants to prepare and subsequently to monitor

and evaluate it.

5.1 Responsibility for preparing a general or specific plan

Whoever prepares the general or specific plan, the local authority (once the service has been devolved)

will retain the statutory responsibility for delivering the service.

? Why might responsibility for preparing a spatial plan (general or specific plan) be

outsourced?

As mentioned previously, the preparation of a spatial plan (general or specific plan) requires a degree of

skill and it is unlikely that there will currently be suitably qualified members of staff within the Tesaban

administration who can undertake this task.

To resolve this problem, the Tesaban administration may consider employing external consultants to

prepare a plan.

➡ Trainer: the trainees should be aware that, by outsourcing the preparation of a plan, the Consultant

prepares a product but the Tesaban administration maintains control over the work and the process.


49

If there are members of staff who could draw-up the spatial plan (general or specific plan), the

Tesaban administration should carry out a cost comparison, i.e. between the cost of establishing

and equipping a new unit and of employing an external consultant.

5.2 Preparing a statutory spatial plan in-house

There will be factors in favour and against the in-house preparation of a spatial plan (general or

specific plan).

If it is solely a question of weighing up the financial cost, that is relatively straightforward. However,

there may be intangible reasons to which a cost or benefit cannot easily be attached (e.g. the

Council’s wish to entrust the preparation of the general plan to their own staff).

? Why might importance be attached to preparing a spatial plan (general or specific plan) in-house?

1. The belief that in-house staff of the Tesaban administration will be more sensitive to the

“local environment” and public input

2. The view that elected representatives (in committee) will be able to exercise better control

over the proceedings

3. The belief that staff of the Tesaban administration need to gain experience by doing the job

5.3 Outsourcing

The term outsourcing means hiring expertise from a source outside the Tesaban administration.

? Why outsource?

1. A lack of skilled staff

2. Financially it makes sense to do so and there are no wider considerations

3. External staff might be hired to work with and to train staff from the Tesaban administration

If the work is outsourced, the role of the Tesaban administration is to manage the consultants in such a

way that the content of the spatial plan (general or specific plan) meets the development needs of local

people and satisfies statutory requirements.

5.4 Consequences of outsourcing




50 Section 3 Applying spatial planning techniques to local development policies

51



• To demonstrate how an Urban Development Framework can be used primarily in an urban

area with multiple local authorities to provide a context for the preparation of local plans and

policies

• To explain how to apply a strategic approach to the preparation of an Urban Development

Framework


1. To describe an Urban Development Framework (UDF) and how it relates to statutory plans

2. To list the steps in the preparation of an UDF and who might be involved

3. To define inter-local co-operation and how it can help urban service delivery

4. To describe how inter-local co-operation can facilitate the preparation of an UDF

5. To identify key strategic issues affecting the whole urban area

6. To outline the content of an UDF document and the integrated framework for development

Urban DevelopmentFramework

The focus for Section 4 of the Handbook is to consider how

neighbouring local authorities might co-operate to provide a

flexible response to development issues so as to ensure an

efficient use of resources and an acceptable quality of life

for all residents of the town.

Urban Development Framework Section 4

SECTION FOUR

52


It is important to recognise that the time allocation (below) is not prescriptive and is offered only as a



group to group.

This is a new concept and the trainees will need sufficient time at the beginning of the training session to

become familiar with the principles of inter-local co-operation and the preparation and implementation of

an Urban Development Framework.

It is estimated that three days should be set aside for undertaking the training of this Section.

Section 4 Urban Development Framework


1. Introduction to the training session

1/2 day

1.2-1.2 What is an Urban Development framework

2. What is the process of preparing an UDF 1/2 day

3. Who might be involved with you in the UDF process 1/2 day

4. Inter-local co-operation and urban management 1/2 day

4.1-4.2

5. Inter-local co-operation for an UDF 1/4 day

5.1-5.4

6. How to identify key strategic issues 1/2 day

6.1

7. The UDF document and its content 1/4 day

7.1-7.3




53 Urban Development Framework Section 4



1. Introduction

1.1 What is an Urban Introduce concept of an UDF The Handbook

Development Framework Trainer: ask trainees to read Overhead projector

(UDF) sub-sections 1.1 and 1.2 of (OHP)

the Handbook to focus their attention Prepared overhead

on this new concept transparency (OHT)

with a definition of an

Trainer: ask questions to check UDF (at top) and

understanding of the concept characteristics of an

UDF (below)

Trainer: ask trainees to identify the Whiteboard + pens to

benefits of an UDF record responses

1.2 How does an UDF relate Draw out of Trainees by Question & Whiteboard + pens to

to statutory plans Answer (Q&A) 2 types of local record responses

statutory plan

Explain that an UDF is a non-statutory

plan

Discuss the relationship between an

UDF & the 2 types of local statutory

plans

RECAP sub-section 1

2. What is the process of preparing an UDF

Trainees, in pairs, to identify the OHP + prepared OHT

actions to take for each step in the with the steps from

preparation of an UDF. Feedback to Checklist 1

Trainer 1 step for each pair (see Handbook

sub-section 2)

3. Who might be involved with you in the UDF process

Q&A: What are the 3 categories of OHP + blank OHTs +

actors in the UDF process? pens

(Handbooks closed)

Activity: establish 3 groups each OHP and re-use the

taking 1 of the above categories & OHT from

ask them to list the persons who sub-section 2 (above)

might be involved (Handbooks

closed). Feedback in plenary

Q&A: Which category of actors might

be principally involved at each step of

the UDF process?

54 Section 4 Urban Development Framework

4. Inter-local co-operation and urban management

4.1 What is inter-local Explain underbounding using an OHT OHP + OHT showing a

co-operation to illustrate single urban area with

Draw out from trainees/ note on multiple jurisdictions

whiteboard why adjoining local Whiteboard + pens +

authorities in an urban area should OHT with the reasons

co-operate for co-operation

4.2 How can inter-local Draw out from the trainees why Whiteboard + pens to

co-operation help urban there should be co-operation on record responses

service delivery particular services

RECAP sub-section 4

5. Inter-local co-operation for an UDF

5.1 How to initiate a dialogue In pairs draw up a strategy for Flipchart + pens to

initiating a dialogue among principal record response

actors likely to be involved in Pin up outcomes

preparing an UDF

5.2 What area should be Q &A on why this issue is important Whiteboard + pens to

selected for the UDF record responses

5.3 What local arrangements 4 groups (G). G1 Considers

should be made composition of CLA. G2 considers

role of CLA. After limited time bring

G1& G2 together to exchange ideas

G3 & G4 to adopt same system for

Technical Support Team

One person from each G to feedback.

OHP + blank OHTs for feedback

5.4 Setting an agenda Q&A on who sets agenda & why it is

important

RECAP sub-section 5

6. How to identify key strategic issues

6.1 What are the steps Explain why identifying key strategic Prepared OHT with

issues for an UDF needs special answer & reveal as

consideration you proceed

4 small groups (social, economic,

environmental and organisational) Flipchart + pens to use

Break out to discuss and identify key for feedback, pin up

strategic issues and leave

RECAP sub-section 6

55 Urban Development Framework Section 4

7. The UDF document & its content

7.1 What is an UDF 9 individuals (according to chapters 9 cards each with a

document of the UDF), pairs or small groups chapter heading from

according to numbers checklist 7

Give each 1 card with a chapter

heading taken from checklist 7

Ask trainees to fill in possible content

of UDF document, (Handbooks

closed) on OHT Blank OHTs + pens

7.2 How the UDF sets the Explanation why an UDF helps with

direction for development. other planning activities

7.3 How the UDF provides Q&A on why small area plans need to Prepared OHT with the

the context for small be prepared answers

area plans. RECAP sub-section 7

RECAP the main points of the entire training session to check the achievement of the learning outcomes.




56

1. Introduction

➡ Trainer: the trainees should be made aware that, because an UDF is based on a strategic approach,

Section 4 should be used in conjunction with Section 1.

1.1 What is an Urban Development Framework

➡ Trainer: there are three main points to emphasise to the trainees at the outset:

1. An UDF is a new non-statutory planning concept

2. It is intended that an UDF should provide the context for the preparation of statutory plans,

i.e. development plans and (in due course) a general and a specific plan. An UDF does not

negate a local authority’s responsibility for preparing statutory plans

3. Theoretically, an UDF can be prepared for either a single Tesaban area or a single urban

area comprising multiple local authorities. The focus in this Section of the Handbook is on

the preparation of an UDF for a single urban area by inter-local co-operation among multiple

local authorities

Inter-local co-operation enables neighbouring urban authorities voluntarily to work in partnership.

Agreement on an UDF provides an overarching plan to help adjoining local authorities to manage urban

change better, to improve service provision, and to promote the sustainable development of their town.

? Why is an UDF beneficial for local based plans?

An UDF is potentially beneficial in a number of ways:

• It would enable local authorities to make a quick, flexible response to rapidly changing

urban situations

• It would provide a context for a more consistent approach for overcoming problems, prevent

duplication of policies and programmes, and ensure consistency in policy formulation and

service delivery

• It provides a tool to encourage improved co-operation among Divisions of the Tesaban

administration

• It contributes towards a better and more sustainable use of local resources

1.2 How does an UDF relate to statutory plans

➡ Trainer: it is important for the trainees to appreciate that an UDF is a non-statutory plan that, potentially,

should have a profound influence on statutory plans prepared by the Tesaban administration and the

TAOs.

? Why should a voluntary UDF relate to statutory plans?

Development plans are already the statutory responsibilities of individual local authorities and general

and specific plans will be devolved from central to local government over the course of the next ten

years.

An UDF, as a voluntary plan, provides the overarching framework within which the strategic policies are

set out for the whole urban area. As with all voluntary plans however, an UDF will only be effective if the

participating local authorities honour any undertakings that they have freely given.


57

2. What is the process of preparing an UDF

The process of preparing an UDF is very similar to the strategic approach explained in Section 1 to

which the trainees should frequently refer.

3. Who might be involved with you in the UDF

process

The three key partners are the decision-makers, representatives of interest groups and the public, and

staff from the local administrations.

Representatives from the Tesaban administration, TAOs and perhaps the Provincial Governor’s office

ought to be involved in the preparation of the UDF to ensure a broad acceptance and commitment to the

plan.

➡ Trainer: a warning should be given. In order to nurture co-operation at this early stage it is easy to

fall into the trap of accepting too many individuals into a group. A large group may find it is unable to

progress because it is extremely difficult, if not impossible, to reach a consensus amongst too many

actors. You should also emphasise that there has to be a balance between a group that is manageable

and truly representative and a group that can get the job done.

? Why should certain groups of actors be involved?

Decision makers • Decision-makers are democratically elected, have the

mandate, and consequently the power, to make things

happen

Representatives of interest • To ensure that the varied interests of the public are

group and the public represented

Staff • Staff have the technical knowledge


Possible actors Reasons for their inclusion

58

4. Inter-local co-operation and urban

management

An UDF can only be undertaken and achieved if all authorities willingly enter into the process in a spirit

of co-operation.

4.1 What is inter-local co-operation

➡ Trainer: it is important for the trainees to realise that inter-local co-operation is a means of overcoming

issues arising from underbounding in the urban area.

? Why should neighbouring authorities in an urban area co-operate?

To react positively to the increasing responsibilities devolved to local authorities from National Government

To be able to address issues arising from rapid urban growth in a town with multiple local authorities and

to do so in a constructive and sustainable way


Three partners in the UDF process

Representatives ofRepresentatives ofRepresentatives ofRepresentatives ofRepresentatives ofinterest groups andinterest groups andinterest groups andinterest groups andinterest groups andthe publicthe publicthe publicthe publicthe public

Decision makersDecision makersDecision makersDecision makersDecision makersSupport staffSupport staffSupport staffSupport staffSupport staff

59

To resolve problems collectively and to create social harmony

To share expertise and use resources more effectively in the provision of local services throughout

the town

To share experience of, and methods for, solving problems

4.2 How can inter-local co-operation help urban service

delivery

In most cases, service delivery is not uniform throughout the whole of an urban area with multiple local

authorities.

? Why does inter-local co-operation help urban service delivery?

Inter-local co-operation helps service delivery because services that transcend boundaries can be

co-ordinated and the duplication of services between one authority and another can be avoided.

In this way:

• service provision becomes consistent and cost effective throughout the urban area

• financial and human resources are released for other purposes and

• service delivery is seen to have parity and be better managed

5. Inter-local co-operation for an UDF

➡ Trainer: the suggestion for inter-local co-operation may come from a senior member of staff, or

an elected representative or the Mayor. If not, the trainees must understand that the first step in

preparing an UDF is to convince others of its value to the urban area and to the public.

5.1 How to initiate a dialogue

➡ Trainer: it is important that the trainees realise that, at this stage, the dialogue is chiefly amongst

the decision-makers.

? Why should a dialogue be initiated?

To raise awareness and to seek commitment for the initiative by explaining the purpose of and need

for an UDF

To identify actors who would support working more closely with neighbouring local authorities

To answer questions and to allay anxieties

To motivate individuals to take action


60

5.2 What area should be selected for the UDF

The target area in question is the focus of the UDF and may comprise all or part of several adjoining

local authorities.

? Why is the selection of the area important?

It is important because:

1. The situation analysis relies on data being available

2. The likelihood that some of the participating TAOs may cover an extensive area which

may be outside of the general plan

Bearing the two above points in mind, there seems to be good grounds for adopting the prescribed area

of the general plan.

5.3 What local arrangements should be made

Local arrangements mean what structures will be required in order to undertake the UDF process.

? Why should a voluntary Committee of Local Authorities and a technical support team

be established?

An ad hoc Committee of Local Authorities (CLA) is necessary because you need a representative from

the decision-making body of each of the participating local authorities in the urban area.

The CLA is established jointly to prepare the UDF, to co-ordinate policies and actions, and to take the

lead in maintaining the inter-local co-operation.

A technical support team (TST) is necessary to undertake the day-to-day work and to provide advice to

the CLA. In other words, the TST is established to achieve the objectives of the CLA’s work plan.

5.4 Setting an agenda

An agenda for the first meeting will probably have to be drawn up by staff in the Tesaban administration.

? Why is the agenda for the first meeting of the CLA important?

The agenda sets the format and tone for the first (and subsequent) meetings at a time when a chairperson

has yet to be elected.

This is where the skill of the City Clerk is important in taking political soundings and drafting the agenda.


61

6. How to identify key strategic issues

An UDF focuses on key strategic issues affecting two or more local authorities in an urban area. It is not

intended that the UDF should be comprehensive.

6.1 What are the steps

➡ Trainer: you should emphasise the importance of devising a suitable method for identifying the

key strategic issues affecting the urban area.

? Why does the methodology for identifying the issues for an UDF differ from that used for

the strategic approach?

The way that key strategic issues are identified in the UDF process differs from that suggested in

Section 1. This is because the context is different; i.e. a strategic issue in an UDF is one that affects

the area of two or more local authorities.

➡ Trainer: point out to the trainees that the CLA are concerned only with issues that transcend the

boundaries between neighbouring local authorities. The trainees should be aware that achieving a

consensus between a number of different actors is always challenging.

7. The UDF document and its content

The UDF document, jointly agreed between all members of the CLA specifies the way that the key

strategic issues with a high priority will be addressed.

7.1 What is an UDF document

➡ Trainer: you should emphasise that the UDF document comprises two parts:

1. A spatial development framework setting the direction for development and the location of

projects

2. A non-spatial written component to guide urban development

The Tesaban administration and TAOs must read both parts of the UDF document.

? What are the steps in drafting and approving the UDF?

The steps in the process are:

1. The Technical Support Team (TST) prepares the draft document based on their work and

submits it to the Committee of Local Authorities

2. The Committee of Local Authorities discusses the content of the draft UDF and agrees

either:

• to accept the draft document in which case the objectives of the UDF are pursued

(primarily through individual, participating local authorities) or

• to reject the document and to direct the TST to make amendments and to re-submit it to

the Committee of Local Authorities


62

3. Once the draft UDF is approved by the Committee of Local Authorities, the Policy and Plan

Analyst should co-ordinate actions to ensure that the policies of the UDF are accurately

reflected in development plans and the spatial component of the UDF is included in a general

or a specific plan

7.2 How the UDF sets the direction for development

The UDF identifies land for future urban development, enhances service delivery and helps to

indicate how to promote and make the best use of the economic potential of the urban area.

? Why does an UDF help with other planning activities?

It can be seen, from what has already been described in this Section, that the UDF sets overarching

strategic policies for the entire urban area and offers the potential for the urban area to develop in a

cohesive, cost effective and sustainable way.

➡ Trainer: point out to the trainees that the UDF addresses key strategic issues by the four

aspects of the strategic approach (social, economic, environmental and organisational). Thus, the UDF

policies provide the context for each authority’s local development plans and (eventually) for general

and specific plans.

The majority of the policies should influence investment plans of local authorities; line agencies and

the private sector will be included in the development plans. An opportunity is then provided for any

problems that may arise to be resolved speedily by the CLA.

7.3 How the UDF provides the context for small area plans

A small area plan is a non-statutory plan.

? Why do small area plans need to be prepared?

➡ Trainer: the trainees must appreciate that the CLA only becomes involved in a small area plan

if the area in question transcends the boundary between two or more local authorities.

Local authorities only need to prepare small area plans for those parts of the urban area thought to

be liable to change or where a particular problem needs to be addressed, e.g. squatter settlements.

➡ Trainer: now is the time to recap on the main points from Section 4 to pull the threads together

Section 4 Monitoring & evaluation of local based plans

63

Monitoring &

evaluation of local

based plans

The focus for Section 5 of the Handbook is the positive role

of monitoring and evaluation as a tool for managing urban

change. It suggests how the trainees might keep track of the

actions to implement policies of the plan and establish

whether the desired outcome has or is likely to be achieved.



• To highlight the crucial role of monitoring and evaluation to the on-going strategic approach

• To explain how monitoring is undertaken and how the resulting data, plus implementation

activities, are evaluated and fed back into other components of the strategic approach

• To describe how to approach monitoring and evaluation of an Urban Development Framework


1. To recommend when to begin the process of monitoring and evaluation

2. To explain the importance of monitoring and evaluation to the strategic approach

3. To describe what is involved in the monitoring and evaluation of an Urban Development

Framework

4. To suggest ways to publicise the results of monitoring and evaluation in the most

advantageous way

Monitoring & evaluation of local based plans Section 5

SECTION FIVE

64


It is important to recognise that the time allocation (below) is not prescriptive and is offered only as a



group to group.

However, it is possible that some trainees will already have experience of monitoring activities and only

require further clarification of certain aspects of monitoring or help to move on to evaluation and feedback

to assist them in their work situation.


your training session. Consider whether the trainees want:

� to strengthen their understanding of one or two aspects of monitoring in addition to evaluation

and feedback Or

� to focus on the overall approach to monitoring, evaluation and feedback

It is estimated that, if possible, three days should be set aside for undertaking the training of this Section.




1. What is monitoring and evaluation (M&E) 1/2 day

1.2-1.2

2. When you should make preparations for (M&E)

3. How to undertake monitoring 1 day

3.1-3.3

4. How to undertake evaluation 1/2 day

4.1-4.3

5. Monitoring and evaluation of an Urban Development Framework 1/2 day

5.1-5.4

6. Publicising the results of monitoring and evaluation 1/2 day

6.1-6.3




65 Monitoring & evaluation of local based plans Section 5



1. Introduction

1.1 What are monitoring and Introduce the topic and discuss the Flipchart prepared with

evaluation (M&E) question why M&E are so vital to a the question + pens

strategic approach Record responses on

flipchart and pin up

1.2 What purpose do M&E

serve RECAP sub-section 1

2. When you should make preparations for M&E

Brainstorm & discuss outcomes Whiteboard + pens to

record responses

RECAP sub-section 2 See Tool Box

(Brainstorming)

Section 2, Handbook

3. How to undertake monitoring

3.1 What does Discussion on the meaning of the Whiteboard + pens to

monitoring involve terminology record responses

3.2 Gathering and Question & Answer (Q&A) why gathering Whiteboard + pens to

storing data & storing data are fundamental to the record responses

process

Q&A. What can trainees suggest about

sources of secondary data?

3.3 How to keep track of Draw out from trainees why it is Trainer: Prepare a

events necessary to keep track of events hypothetical data set

as a mini case study

In pairs, an activity based on Graph paper,

hypothetical mini case study and scale/ruler, and pencils

Checklist 3 in Section 5 of the Trainees to retain this

Handbook work for later (see 4.2

RECAP sub-section 3 and 4.3 below)

4. How to undertake evaluation

4.1 When to undertake an By Q&A, reintroduce evaluation and Whiteboard + pens to

evaluation and what is why it should be undertaken record responses

involved

4.2 Steps in evaluation Practical exercise in same pairs: Work from 3.3 above.

Trainees to use the information obtained Paper + pens

from case study exercise (3.3 above) to

evaluate progress in reaching the target

and to prepare a summary page

(including traffic light signals)

66 Section 5 Monitoring & evaluation of local based plans

4.3 A feedback report Practical exercise in same pairs Work from 3.3 &

(continued). Trainees to prepare outline 4.2 above

of a feedback report and to present their Paper or blank

findings in a plenary session OHTs + pens

RECAP sub-section 4

5. M&E of an UDF

5.1 Who should be Trainer to give a brief overview of an Trainers refer to

responsible for M&E of UDF and organisational arrangements. Handbook (Section 4,

an UDF Q&A on: sub-sections 1.1 & 1.2)

1. Why M&E are crucial to an UDF and prepare an OHT

2. Why an M&E working group is to show definition and

needed & its possible composition characteristics of an

UDF

OHP

5.2 The nature of the M&E Explain spatial and non-spatial OHP

task components of an UDF Prepared OHT of

Trainer to go through the stages of Checklist 6 to reveal

Checklist 6 to explain the actions set out as each stage is

reached

5.3 How to monitor an UDF Break into small groups to discuss the Whiteboard + pens to

role and importance of the Policy and record responses

Plan Analyst

Feedback ideas

5.4 How to evaluate an UDF Describe, using a flow chart, the Trainer: build this up

sequence and chain of responsibility for on the whiteboard as

undertaking & approving the evaluation you progress through

RECAP section 5 the process

6. Publicising the results of M&E.

6.1 Who to target Q&A on why primary groups should be Whiteboard + pens to

targeted record responses

6.2 What to publicise Trainer to explain

6.3 How to publicise the Brainstorm to gather as many ideas as Whiteboard + pens to

results possible on how to publicise the results record responses

of monitoring and evaluation (as

separate activities). Provide ideas for

widespreading results to the Tesaban

administration and the public.

RECAP sub-section 6


outcomes


➡ Trainer: remember that the Handbook and the Resource Book should be used in conjunction

with each other and, to facilitate this, the numbering system is identical in each document.

67

1. Introduction

The focus of this Section is to highlight the importance of monitoring and evaluation (M&E) to the ongoing

development of local based plans.

➡ Trainer: two significant points to emphasise here:

1. Planning for M&E starts early in the overall process, i.e. during the situation analysis

2. M&E are critical to the on-going management of the urban area

1.1 What is monitoring and evaluation

Monitoring and evaluation are two separate but related processes. They provide information to the local

authority and subsequently to the public about the actions that have been undertaken to implement

policies and to achieve the objectives and targets agreed in the plan.

➡ Trainer: reassure the trainees that monitoring is not auditing.

1.2 What purpose do monitoring and evaluation serve

Plans provide a basis for organised change but implementation does not happen automatically and has

to be managed. Monitoring and evaluation are vital activities that contribute to managing implementation.

? Why are monitoring and evaluation important activities?

M&E are widely considered the most crucial parts of the strategic approach to urban planning and

management because:

• They are tools that provide a basis for decision-making and to help to manage implementation

• They trace what changes have been taking place

• They help to check whether the changes are consistent with the plan’s proposals

Remember that the purpose of a strategic approach is to be responsive to key issues as they arise. The

information or feedback arising from monitoring and evaluation is used to reassure or alert the Tesaban

administration that actions they are taking, or have taken, are or are not working.

A report based on M&E information can be used subsequently to inform the public about progress on

initiatives in which they may have been involved.


68

2. When you should make preparations for

M&E

Planning for the monitoring and evaluation stage has to be part of the strategic approach from an

early stage.

? Why should preparations for M&E be included at an early stage of the strategic approach?

• In order to devise indicators and targets that are relevant to the objectives and are capable

of being measured and assessed at regular intervals (i.e. during the monitoring stage)

• Trend data established during the situation analysis helps to establish a base-line

measurement for subsequent monitoring activities

• To ensure that M&E are undertaken at the most appropriate times by the relevant persons

➡ Trainer: base-line data may be established during the situation analysis but special consideration

should be given to M&E during the formulation of objectives, indicators and targets.

? Why should special consideration be given when formulating objectives and targets?

When indicators and targets are chosen to achieve the objectives, it is essential to establish that

quality data are available so that the indicator can be measured during the monitoring stage.

The wording of the objectives should indicate the ultimate goal that is to be achieved and be written

in such a way that the outcome of the actions to be undertaken can be measured both during the

activities and at their conclusion.

The wording of the targets should specify the time scale for the activities to be undertaken and

achieved. The timing should be realistic.

? Why are indicators used for the monitoring process?

Indicators, being the tool with which to measure change, are used during the monitoring process to

find out (i.e. to indicate) what has been happening as a result of the actions undertaken. They need

careful thought to ensure that the information they provide is valid, reliable and of good quality.

Why should indicators be carefully thought out?

• To be relevant to the objective for which they are prepared

• To ensure they are easily understood

• To use quality data that are readily available

• To allow trends to be established over time to provide an early warning of problems and to

allow for mid-course corrections

• To facilitate comparisons with other Tesaban areas


69

3. How to undertake monitoring

Monitoring is an ongoing activity during implementation. It provides information to the Tesaban

administration so they become aware of and responsive to problems should the outcomes of actions

not be proceeding in accordance with the plan.

3.1 What does monitoring involve

Self-explanatory in the Handbook.

3.2 Gathering and storing data

Monitoring the implementation of a plan needs adequate data.

? Why is gathering data fundamental to the monitoring process?

The first monitoring activity, at the commencement of implementation, provides the base-line

measurement against which the output of subsequent monitoring activity is measured (unless such

data are gathered during the situation analysis).

Monitoring data provide the basis for analysing the effects of the actions that are being undertaken.

? Why is it necessary to store monitoring data?

Data need to be stored because the outcome of each monitoring activity has to be compared to

previous readings.

Some monitoring activities may be undertaken over a period of years and it may be necessary to refer to

data collected at a much earlier stage.

3.3 How to keep track of events

Monitoring activity keeps track of events; evaluation subsequently makes use of the outcome of monitoring

activities.

? Why is it necessary to keep track of events?

So that you can see if the actions that have been carried out are helping to achieve the targets (and

therefore the objectives) of an action plan.

To have the opportunity to make mid-course corrections if the trend data plotted on a graph suggest

that you are unlikely to meet your target.


70

4. How to undertake evaluation

Evaluation helps to identify whether a target has been met and the reasons for any failure to do so.

It provides an opportunity to assess the progress being made during the course of implementation.

4.1 When to undertake evaluation and what is involved

Evaluation is a periodic event dependent on the date to which the target(s) apply.

? Why undertake an evaluation?

The purpose of evaluation is to provide the opportunity to assess whether the changes that have

been occurring during the implementation phase are in accordance with the objectives of the plan.

The evaluation may indicate that:

1. The target has not been met in which case the reason why must be sought. The fault may lie

with the objective, indicator, target or actions undertaken and these need to be reviewed

2. The target has been met and everything has gone according to plan

3. There is an opportunity for further action plans to be prepared to address key issues with a

high priority

4.2 Steps in an evaluation

The steps taken in an evaluation lead to a feedback report to the Tesaban administration.

? Why use “traffic light signals”?

➡ Trainer: the trainees are under no obligation to use “the traffic light signals” but they are an

effective and visual way of providing a simple message on a summary page.

4.3 A feedback report

There is no prescribed form that the feedback report should take.

? Why is a feedback report desirable and what useful purpose does it serve?

As a strategic approach is non-statutory, there is no obligation to prepare a feedback report but the

Tesaban administration will expect a progress report at some stage.

A feedback report is an opportunity to spread information to the public and to provincial bodies. It can

demonstrate successful action, raise awareness about an action plan and re-vitalise motivation

amongst all the actors.

It is an occasion to review the situation and to generate a debate about the next steps that might

include:

• the revision of certain objectives, indicators, targets and actions

• a review of the entire planning cycle and the preparation of the next round of action plans


71

5. Monitoring and evaluation of an Urban

Development Framework

Monitoring and evaluation are as crucial to the UDF as they are to any other plan based on a

strategic approach.

5.1 Who should be responsible for M&E of an UDF

There is a need for a working group representative of staff from the participating local authorities.

? Why are monitoring and evaluation crucial to the UDF?

To ensure that the Tesaban administration and TAOs can react cohesively and promptly to key

strategic issues when they become evident.

? Why is a M&E Working Group required?

A M&E Working Group comprising representatives from all the participating local authorities needs

to be established because:

1. A small working group of people experienced in handling data is required

2. There is a need for a cohesive approach to M&E to ensure uniformity among the different

local authorities

5.2 The nature of the M&E task

➡ Trainer: the trainees should be reminded that M&E are two separate but closely related tasks.

? Why does M&E of an UDF differ from other plans based on a strategic approach?

It differs because:

1. More than one local authority is involved

2. Co-ordination is both within a local authority and between local authorities

5.3 How to monitor an UDF

Monitoring an UDF is less straightforward than for monitoring a plan for a single local authority that is

based on a strategic approach.

? Why is this a significant point?

It is significant because:

1. M&E play a crucial role in any plan based on a strategic approach

2. There is a need to co-ordinate activities among staff in a number of adjoining local authorities

? Why outsource the work of the Policy and Plan Analyst?

This is because the role of a Policy and Plan Analyst in monitoring and evaluation may be relatively new

to staff in local authorities and there may not be an existing member of staff sufficiently skilled to undertake

this role.


72

There is a need for a person with analytical skills and experience especially in the field of evaluating

monitoring data and making recommendations.

5.4 How to evaluate an UDF

Agreement on an Evaluation Report needs to be developed progressively.

? Why pay attention to the chain of responsibility?

The passage of the evaluation report from the Policy and Plan Analyst to the M&E Working Group, and

then to the Technical Support Team and the CLA, may appear laborious, but it enables disagreements to

be addressed and assists the process of consensus building.

6. Publicising the results of monitoring and

evaluation

There may have been considerable publicity during the preparation of a plan based on a strategic

approach. Publicising the results of M&E is just as important as it provides an opportunity to renew

public interest.

6.1 Who to target

When drafting the feedback report you need to bear in mind for whom it is being written.

? Why should three key partners be targeted?

Decision-makers and staff from the Tesaban administration and the public (who have not been heavily

involved in M&E) tend to overlook a plan based on a strategic approach. You need to take this opportunity

to remind them of the plan’s existence.

The public has a right to be informed about progress (or a lack of it) in implementing a plan that they

have helped to prepare.

6.2 What to publicise

➡ Trainer: impress on the trainees the need to seize the opportunity to promote the M&E work and to

motivate decision-makers, elected representatives and staff from the Tesaban administration and the

public alike.

? Why publicise the results of M&E?

There are four reasons for publicising the outcomes of the monitoring and evaluation processes:

1. It offers a way to keep the decision-makers, elected representatives and staff of the Tesaban

Administrations informed about what is happening

2. It provides a way of demonstrating transparency


73

3. It meets the state’s requirement for public participation and nurtures public support for the

actions being taken

4. It acts as a reminder about M&E activities

6.3 How to publicise the results

Careful planning has been undertaken at each of the various stages of the strategic approach and as

much thought should be given to a strategy for publicity that has impact.

? Why should you have a publicity strategy ?

You want to maintain public interest in the ongoing strategic approach.

Success enhances the reputation of the Tesaban administration and may affect the future level of funding.

Similarly the Mayor may see political advantage.



74 Glossary

Glossary

Action plan An informal plan, containing a strategy (objective, policy and target) to

address each issue, that influences the content of statutory plans and

helps to manage urban change

Base line A measurement taken at the beginning of the monitoring period

measurement Change is compared to the base line measurement and the target

BOD Biological Oxygen Demand: the amount of dissolved oxygen consumed

by micro-organisms as they decompose organic material in polluted

water

Consensus Collective opinion or general agreement

Decision makers Elected officials (and their representatives) who are empowered to take

decisions on behalf of the public

Development plan A social and economic plan of local authorities that defines means and

strategies for local development. Development plans are categorised

by (1) Annual Plans; (2) 5-year Plans (which will include 3-Year Rolling

Plans). These are used as basic information (framework & guideline)

for local budget preparation

Dialogue An exchange of views in the hope of ultimately reaching agreement

Evaluate To assess the value of actions or outcomes

Evaluation An analysis of results after a period of time to assess whether changes

(as a consequence of implementation) accord with the objectives and

targets of the plan. It might confirm that changes have been consistent

with the plan or reveal unexpected delays or side effects suggesting

the need for a review

Expert panel A small group of people who have specialist knowledge, skills and

experience

Facilitate To help to move forward. To ease in performance or action

Facilitators People who are in a position to help to make things happen

Field trips Visits to parts of the urban area (in general) to gather information

75Glossary

Frequency Regular time interval between successive measurements of an indicator

during the monitoring period

Goals Broad aims relating to an unspecified future date which the Tesaban

administration wishes to work towards

Gradient The degree of slope. A gradient of 1 in 4 is a rise of 1 metre in height for

every 4 metres in horizontal distance

Implementation Taking action to make things happen to achieve the specific

development objectives of an action plan

Inaugural meeting The introductory meeting for a new body or group of people

Indicator A measurement of change that indicates progress (or a lack of it) in

working towards the achievement of a specific development objective

Infrastructure The system of services that supports the town and its citizens

Inter-local Inter-local co-operation is joint working among neighbouring local

co-operation authorities in a single urban area to address issues of common concern

that transcend existing boundaries

Internal audit A systematic examination of practices in the Tesaban administration

Issue An important point

Leachate Toxic liquid seeping from a landfill site (and endangering watercourses)

as a consequence of rainwater passing through solid waste

Liaise To make or keep a connection and act together

Line agency An agency with executive power accountable to national government

(of national

government)

Mediate To settle disputes between people with opposing views

Mediator A person who settles disputes between people with opposing views

76

Minutes The notes that record what took place in a meeting

Mobilisers People who gather together stakeholders and assemble information

Monitor To regularly keep track of, and record, what has been happening within

an activity or actions taken

Monitoring A continuous activity that regularly keeps track of, and records, what

has been happening on the ground in response to action to achieve

objectives and implement policies and targets in the plan. It can provide

an early warning of unacceptable trends and indicate the need for

corrective action

Objective What you want to achieve to address a priority issue

Physical plan A spatial plan showing how land will be used in future (for development

or conservation), e.g. a general or comprehensive plan

Policy A statement expressing a course of action to achieve (an objective)

Primary data Data gathered specifically for the purpose of monitoring a strategic

plan

Quality data Data which the Policy Analyst and the M&E Working Group regard as

reliable, i.e. they have confidence in the accuracy of the measurements

Resources Assets (financial, economic, human or natural) available to pursue a

course of action

Round table A special forum where a variety of interests are represented in a non-

hierarchical setting

Secondary data Data gathered for other purposes but used for monitoring the strategic

plan

Site visits A visit to a specific site that is the focus of a group’s deliberations for

the purpose of understanding the nature of a problem

Spatial pattern The pattern of the distribution of matters illustrated on a map or plan,

e.g. land use

Glossary

77

Spatial plan A drawing illustrating the location and distribution of policy proposals

for the development of the town, the provision of infrastructure, or the

conservation of land in accordance with a written strategy

Spatial techniques Techniques used in spatial (or land use) planning

Stakeholders People with an interest (or a stake) in the local area or the issue under

consideration

Strategic issue An important question that affects the whole of the urban area rather

than simply one jurisdiction

Strategic planning An approach that helps a Tesaban administration to respond to fast-

moving events, to manage change, and to improve the quality of life. It

involves preparation, vision, analysis, and action

Substitute To put someone or something in place of another

Sustainable Meeting the needs of the present generation without compromising

development the ability of future generations to meet their needs

Target A specific and measurable commitment that can be achieved within a

specific time frame. In practice, it should be realistic but challenging

Terms of A guiding statement defining the scope of a piece of work

Reference

Tesaban The elected representatives, the decision-makers and the staff of a

administration local authority at the municipal level

Trend line A line on a graph, joining up a series of measurements taken during

monitoring activity, indicating change from a base-line situation

Underbounding Where urban development has extended beyond the boundaries of a

single local authority into one or more adjoining Tesaban/ TAO areas

Units of measurement The units in which an indicator has been measured, e.g. number of

vehicles using a highway in a 24 hour period

Glossary

78

Urban An Urban Development Framework (UDF) is a voluntary statement of

Development strategic policies for urban development and integrated management

Framework jointly produced by all local authorities within a single urban area

Vision A written statement expressing the collective view, or opinion, of local

decision-makers, the administration, and the public about the kind of

living environment they wish to work towards in the longer term

Workshop A discussion group that addresses its debate to a particular topic

Glossary

79

References

Decentralisation of authority to Local Government, B.E. 2543, an English translation (2000)

Ministry of Science, Technology and Environment, Pollution Control Department, Regulation and

Guidelines of Municipal Solid Waste Management B.E. 2541 (1998)

Urban Environmental Management Project (DOLA/GTZ), The Workshop approach: a guide for

Environmental Action Planning B.E. 2542 (1999)

Urban Planning and Management Project (MOI/GTZ), Public Participation at the local government

level B.E. 2543 (2000)

Urban Planning and Management Project (MOI/GTZ), Monitoring and evaluation in urban planning

and management B.E. 2543 (2000)

Urban Planning and Management Project (MOI/GTZ), Inter-jurisdictional co-operation B.E. 2542 (1999)


example (draft report), B.E. 2543 (2000)


example (Working Material) B.E. 2543 (2000)

Urban Planning and Management Project (MOI/GTZ), Phase I: Demonstration Capacity Building for

Thai Municipalities and Sanitary Districts B.E. 2542 (1999)

Office of the Council of State, Constitution of the Kingdom of Thailand, B.E. 2540, a tentative translation

into English by the Foreign Law Division, January B.E. 2541 (1998)

Town and Country Planning Act, B.E. 2518 (1975), An English translation

Vatanasapt V. et al, Canadian International Development Agency and Natural Resources and

Environmental Management, Public Participation and Conflict Management Training Program

Training Material B.E. 2540 (1997)

References

80

List of contact partners

Office of the Permanent Secretary for Interior (OPS)

Bureau of Policy and Planning

Ministry of Interior,

Atsadang Road,

Bangkok 10200

Tel : 0-2223-5242

Department of Local Administration (DOLA)

Local Government Developmental Affairs Division

Wang Sumantha

Ratchasima Road

Dusit

Bangkok 10300

Tel : 0-2243-2230 ext. 127,128

Fax : 0-2243-1812, 0-2243-2226 ext. 123

Department of Town and Country Planning (DTCP)

The office of Foreign Relations

224 Rama 9 Road,

Huay Kwang,

Bangkok 10320

Tel : 0-2245-1425-7

Fax : 0-2246-2709

List of contact partners

urban planning and management project

Documents