New York University
Robert F. Wagner Graduate School of Public Service
Decentralized Development Planning in Developing Countries
URPL-GP 2665
Monday, 4:55- 6:35 pm (9/8-10/20)
Tuesday, 8:35-10:15 p.m. (9/2-10/21)
Fall 2014
25 W 4th St., C-20
Tisch, LC-9
Instructors
Leonardo Romeo
213 Wyckoff St., Brooklyn, NY 11217
Tel: (718) 855-4120
leonardo.romeo@nyu.edu
Office hours: by appointment
Paul Smoke
Puck Building 3052
Tel: (212) 998-7497
paul.smoke@nyu.edu
Wednesdays 4-6 pm
Description:
The last three decades have witnessed a global proliferation of public sector restructuring,
decentralization, and democratization in developing countries. Traditional development planning
has adapted (unevenly) to these trends as they have unfolded. This course presents an overview
of the evolution of the theory and practice of planning in developing countries with a particular
focus on subnational governments. A central theme is that there are certain universal norms and
processes in development planning, but the structure and performance of a planning system
depend heavily on the economic, political, institutional and cultural context of a particular
country. The course outlines and assesses planning models and systems, reviews approaches
used by developing countries and international development agencies to support decentralization
and local planning, and introduces a range of practices and tools used by local planners in
developing countries. The overall focus is on how local planning systems, techniques and
processes can be strategically designed and implemented to work effectively in different
contexts. Detailed case studies and exercises based on them are an integral part of the course.
Goals:
The main goals of the course are:
1) To familiarize students with the evolution of the theory and practice of development
planning and related public sector systems and procedures in developing countries;
2) To provide students with an overview of common types of development planning systems
and efforts to decentralize planning processes;
3) To introduce students a range of local planning tools used in developing countries;
4) To familiarize students with the approaches of international development agencies to
supporting local development planning; and,
5) To help students think about how to cope with real-world constraints on effective
decentralized development planning.
Format
The class will meet twice weekly for half of the semester (except the first week because the class
normally meets on Mondays and Tuesdays but classes do not start until the Tuesday after Labor
Day). The format will blend lecture, in-class exercises and discussion. Class participation is
encouraged and expected. Two of the five assignments will require group work.
Requirements
The grade will be based on the following:
Exercise 1 Covering Parts I and II (15%) Due September 22
Exercise 2 Covering Part III (15%) Due October 3
Exercise 3 Covering Parts IV and V (15%) Due October 12
Exercise 4 Covering Part VI (15%) Due October 20
Class Participation (10%)
Final Paper (30%) Due November 14
The assignments involve a mix of questions to be answered, analysis of policy situations, and the
application of planning tools and techniques. The final paper requires you to assess the system of
decentralized planning in a particular country or to do a paper on a topic or theme of your choice
subject to faculty approval. Details on all of the assignments will be provided in class.
Readings
There are no required text books for the course. Required readings are provided on the NYU
Classes course site or can be downloaded from websites provided in the reading list. The
readings are a mixture of a few older classics and more recent work by both academics and
practitioners drawn from the planning, social science and management literatures. Some readings
may not seem directly related, but we will make the connections in class discussions.
Please note that websites for journals that the NYU Library subscribes to can only be accessed
by logging in to your NYU email account and entering through the library system. You cannot
get into these password protected sites from other email addresses unless you have a personal
subscription to the journal or the publisher.
The attached reading list also provides a number of supplementary (optional) readings, some of
which are posted in full or in part on NYU Classes or links are provided, but others you will have
to locate on your own in the NYU Library or elsewhere. These are intended to illustrate the state
of the academic and practitioner literature--they are not comprehensive. Guidance about the
required and optional readings will be given regularly.
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Academic Honesty and Grading Policy
This course will abide by the NYU Wagner School general policy guidelines on academic
honesty and grading (including incomplete grades). It is each student’s responsibility to become
familiar with these policies. All students are expected to pursue and meet the highest standards of
academic excellence and integrity. Please see the NYU Wagner website for information on the
academic code and incomplete grades.
Academic Code: http://wagner.nyu.edu/students/policies/academic-code
Grading: http://wagner.nyu.edu/students/policies/grading
Incomplete Grades: http://wagner.nyu.edu/students/policies/incompletes
Late Policy
Extensions will be granted only in case of emergency. This policy is adopted out of respect to
those who have abided by deadlines, despite equally hectic schedules. Assignments handed in
late without extensions will be penalized one-third of a grade per day.
Teaching Associate
The teaching associate for the course is Giuliano Bosi. He has some grading and instructional
responsibilities and may be contacted for assistance. His email is: giuliano.bosi@nyu.edu.
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URPL-GP 2665 Weekly Schedule
Fall 2014
PART I:
OVERVIEW OF DEVELOPMENT PLANNING AND SPECIAL ISSUES IN
DEVELOPING COUNTRIES (September 2 and 8)
Topic 1:
Topic 2:
The Evolution of Development Planning Paradigms and Cultures
The Rural-Urban Question in Development Planning
PART II:
DECENTRALIZATION AND THE TRANSFORMATION OF MULTI-LEVEL
PLANNING SYSTEMS (September 9 and 15)
Topic 1:
Topic 2:
Decentralization: Local Governments, Participation and Partnerships
Multilevel and Local/Urban Planning: Institutional Design and Reality
Exercise 1 (Individual): Due September 22
PART III:
BUILDING DECENTRALIZED PLANNING SYSTEMS (September 16-22)
Topic 1:
Topic 2:
Overview of Approaches to Developing Decentralized Planning Systems
The Role of External Assistance
Exercise 2 (Team): Due October 3
PART IV:
PUBLIC EXPENDITURE MANAGEMENT AND DEVELOPMENT PLANNING
(September 23-29)
Topic 1:
Topic 2:
Development Planning and the PEM cycle
Decentralized Planning Systems in Practice
PART V:
STRATEGIC DEVELOPMENT AND SPATIAL PLANNING
(September 30-October 6)
Topic 1:
Topic 2:
Strategic Planning and Investment Programming for Local Development
Spatial Planning and the Integration of Socioeconomic and Physical Planning
Exercise 3 (Individual): Due October 12
PART VI:
TECHNIQUES FOR STRATEGIC DEVELOPMENT PLANNING (October 7-20)
Topic 1:
Topic 2:
Program and Project Formulation: SWOT Analysis and Logical Framework Approach
Program and Project Appraisal: Cost-based and Multi-Criteria Methods
Exercise 4 (Team): Due October 20
PART VII:
SYNTHESIS AND LOOKING FORWARD (October 21)
Open Discussion (driven by student questions submitted in advance)
Final Assignment (Individual) due November 14
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URPL-GP 2665
Fall 2014
Leonardo Romeo
Paul Smoke
Decentralized Development Planning in Developing Countries
Outline and Reading List1
I. Overview of Development Planning/Special Issues in Developing Countries
(September 2-8)
1. The Evolution of Development Planning Paradigms and Cultures
This session provides a concise overview of the evolution of planning in developing countries,
following the transformation from a focus on economic growh to a broader development
perspective, the movement from dominance by technical analysis to a more political process, and
the shift from centralized to more decentralized planning systems. We also briefly cover the role
of planning culture and the transferability of planning approaches across different contexts.
Prior to doing the other required readings, you should have a look at the following case, not for
the details, but for the main messages and questions raised by the experience:
*S. Manyena. "Non-implementation of Development Plans and Participatory Action Research in
Zimbabwe." Planning Theory and Practice. Vol. 14 (2014), pp. 315-332.
For a concise review of international development thinking (especially for those without a
development background), please review:
*S. Deverajan and R. Kanbur. "Development Strategy: Balancing Market and Government
Failure." In B. Currie-Alder, Bruce, R. Kanbur, D. Malone and R. Medhora. International
Development: Ideas, Experience, Prospects. (Oxford: Oxford University Press, 2014).
Required Readings
*A. Todes. "Reinventing Planning: Critical Perspectives." Urban Forum. Vol. 22 (2011), pp.
115-133.
.*T. Killick, “The Possibilities of Development Planning,” Oxford Economic Papers, (July
1976), pp. 161-184.
1Readings
marked with an "*" are available on NYU Classes.
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*P. Healey, “Traditions of Planning Thought,” in P. Healey, Collaborative Planning
(Vancouver: University of British Columbia Press, 1997), Chapter 1, pp. 7-30.
*B. Sanyal, et. al. “Hybrid Planning Cultures: The Search for the Global Cultural Commons,” in
B. Sanyal, ed., Comparative Planning Cultures (London: Routledge, 2005), pp. 3-25.
*P. Healey, “The Universal and the Contingent: Some Reflections on the Transnational Flow of
Planning Ideas and Practices.” Planning Theory, Vol. 11 (2012), pp. 188-207.
Note: National Development Plans (most recent available) for selected countries we will be
discussing to varying degrees during the semester--Cambodia, Indonesia, Kenya, the
Philippines, South Africa, and Uganda--are located in a labeled sub-folder on NYU Classes
under Part I. Please have a quick look at some of them to get sense of what plans look like.
Supplementary Readings
*K. Macdonald, et. al. "Challenging Theory, Changing Practice: Critical Perspectives on the Past
and Potential of Professional Planning." Planning Theory and Practice, Vol. 15 (2014), pp. 95122.
*B. Sanyal, . "Four Planning Conversations." In Planning Ideas the Matter: Livability,
Territoriality, Governance and Reflective Practice. (Cambridge, MA: MIT Press, 2012).
*D. Connel. "Schools of Planning Thought: Exploring Differences through Similarities.
International Planning Studies. Vol. 15 (2010), pp. 269-280.
L. Rodwin and B. Sanyal, eds, The Profession of City Planning: Changes, Images and
Challenges (New Brunswick, NJ: Rutgers Center for Urban Policy Research, 2000).
P. Hall and M. Tewdwr-Jones, Urban and Regional Planning, Fifth Edition (London: Taylor and
Francis, 2010).
P. Healey, Collaborative Planning (Vancouver: University of British Columbia Press, 1997).
D. Conyers and P. Hills, An Introduction to Development Planning in the Third World
(Chichester: John Wiley and Sons, 1984).
*R. Agarwala, Planning in Developing Countries: Lessons of Experience. Staff Working Paper
No. SWP 576. (Washington, DC: The World Bank, 1983).
D. Rondinelli, Development Projects as Policy Experiments: An Adaptive Approach to
Development Administration (London: Routledge, 1983).
A. Hirschman, Development Projects Observed (Washington, DC: Brookings Institution, 1967) .
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2. The Rural-Urban Question in Development Planning
This session briefly introduces a long contested issue in development with great relevance for
planning--the relative role of rural versus urban areas in promoting economic development and
social well being. We take a brief look at some of the key issues and trends and note the growing
re-emergence of interest in rural-urban linkages, secondary cities and national urban strategies.
Required Readings
*G. McGranahan and D. Satterthwaite. Urbanization Concepts and Trends. IIED Working
Paper. (London: International Institute for Environment and Development, 2014). (Please focus
on sections 1, 4 and 5.)
* G. Jones and S. Corbridge, “The Continuing Debate about Urban Bias,” in Progress in
Development Studies, Vol. 10 (2010), pp. 1-18. (Read for main points, not technical details).
*C. Tacoli. "Links Between Urban and Rural Development." Environment and Urbanization.
Vol. 15 (2003).
*UN-Habitat. A New Generation of National Urban Policies. (Nairobi: UN-Habitat, 2014).
Supplementary Readings
*E. Belsky et. al. Advancing Inclusive and Sustainable Urban Development: Correcting
Planning Failures and Connecting Communities to Capital. (Cambridge, MA: Joint Center for
Housing Studies of Harvard University, 2013).
*M. Friere. Urban Planning: Challenges in Developing Countries. (Madrid: International
Congress on Human Development, 2006).
*R. Zetter and R. White, eds., Planning in Cities (London: ITDG Publishing, 2002).
*B. Dalal-Clayton, D. Dent and O. Dubois, eds., Rural Planning in Developing Countries
(London: Earthscan Publications Ltd., 2003).
*UN-Habitat. State of the World's Cities 2012/2013. (London and New York: Routledge, 2013).
*World Bank, “Dynamic Cities as Engines of Economic Growth,” in Entering the 21st Century:
World Development Report, 1999-2000 (Washington, DC: The World Bank, 2000, pp. 126-138).
*A. de Brauw, V. Mueller and H. Kim. "The Role of Rural-Urban Migration in the Structural
Transformation of Sub-Saharan Africa. World Development, Vol. 63 (2014), pp. 33-42.
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*M. Momen, "Synergistic Rural-Urban Development: The Experience of the Rural-Urban
Partnership Program in Nepal." International Development Planning Review. Vol. 31 (2009), pp.
281-300).
*L. Christiansen and Y. Todo. "Poverty Reduction During Rural-Urban Transformation--The
Role of the Missing Middle." World Development. Vol. 63 (2014), pp. 43-58.
II. Decentralization and the Transformation of Multi-Level Planning and
Financing Systems (September 9-15)
1. Decentralization: Local Government, Participation and Partnership
This session provides an overview of public sector decentralization and the role of local
governments in development planning in the context of diverse and often complex multi-actor
environments. We also take a brief look at participation and nongovernmental partnerships as
elements of local governance relevant for development planning.
Required Readings
*J. Boex and S. Yilmaz, An Analytical Framework for Assessing Decentralized Local
Governance and the Local Public Sector. (Washington, DC: The Urban Institute, 2010).
*Smoke, Paul. "Rethinking Decentralization: Assessing Challenges to a Popular Public Sector
Reform." Public Administration and Development (forthcoming).
*G. Mansuri and V. Rao. Localizing Development: Does Participation Work? (Washington,
DC: The World Bank, 2013), pp. 1-13 and pp. 283-307.
*D. Brinkerhoff and J. Brinkerhoff. "Public-Private Partnerships: Perspectives on Purposes,
Publicness and Good Governance." Public Administration and Development. Vol. 31 (2011), pp.
2-14.
Supplementary Readings
*G.S. Cheema and D. Rondinelli, eds. Decentralizing Governance: Emerging Concepts and
Practices. (Washington, DC: Brookings, 2007).
*Faguet, Jean-Paul. "Decentralization and Governance." World Development. Vol. 53 (2014), pp.
2-13.
E. Connerley, K. Eaton and P. Smoke, eds. Making Decentralization Work: Democracy,
Development and Security (Boulder, CO: Lynne Rienner Publishers, 2010).
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*V. Beard, F. Miraftab and C. Silver. Planning and Decentralization: Contested Spaces for
Public Action in the Global South. (London: Routledge, 2008).
*A. Shah, ed., Local Governance in Developing Countries. Washington DC: World Bank, 2006).
*S. Yilmaz, Y. Beris and R. Serrano-Berthet
"Linking Local Government
Discretion and Accountability in Decentralization." Development Policy Review, 28 (3), 259293.
*J. Tendler, Good Government in the Tropics (Baltimore, MD: Johns Hopkins, 1997).
*T. Firman. "Decentralization Reform and Local Government Proliferation in Indonesia:
Towards a Fragmentation of Regional Development." Review of Urban and Regional
Development Studies. Vol. 21 (2009), pp. 143-157.
*B. Dalal-Clayton, D. Dent and O. Dubois, “Approaches to Participation in Planning,” In Rural
Planning in Developing Countries (London: Earthscan, 2003), pp. 90-132.
*United Nations Department for Economic and Social Development, Participatory Planning and
Budgeting at the Subnational Level. (New York, NY: UNDESA, 2005).
*G. Mohan and K. Stokke, "Participatory Development and Empowerment: The Dangers of
Localization," Third World Quarterly, Vol. 21, No. 2 (2000), pp. 247-268.
*L. Piper and R. Deacon. "Too Dependent to Participate: Ward Committees and Local
Democratization in South Africa." Local Governance Studies. Vol. 35 (2009), pp. 215-422
*M. Hooper and J. Cadstedt. "Moving Beyond 'Community' Participation: Perceptions of
Renting and Participation Around Urban Development in Dar es Salaam, Tazania."
International Planning Studies. Vol. 19 (2013), pp. 25-44.
J. Brinkerhoff and D. Brinkerhoff, eds. Special Issue: "Public-Private Partnerships: Familiar
Ground, Fresh Perspectives." Public Administration and Development. Vol. 31 (2011), pp. 1-73.
R. Batley. ed. Special Issue: "Governments and Non-Governmental Service Providers:
Collaboration or Rivalry?" Public Administration and Development. Vol. 31 (2011), pp. 229319.
2. Multilevel and Local/Urban Planning: Institutional Design and Reality
This session examines the ways in which local governments are embedded in larger institutional
structures and considers how this affects their ability to develop and implmenent development
9
plans. Given the great institutional variation across counties, we briefly consider selected cases
to illustrate a range of intergovernmental arrangements.
Required Readings
*L. Hopkins and E. Alexander, “Planning in Complex Multiorganizational Systems,” Journal of
Planning Education and Research, Vol. 28 (2009), pp. 470-475.
*K.V. Sundaram, Decentralized Multilevel Planning: Principles and Practice (New Delhi:
Concept Publishing Company, 1997), Chapters 2, 4, and 5; pp. 51-66, 98-147. (Skim this as an
example of a conventional multilevel planning system).
*P. Smoke "Metropolitan Cities in the National Institutional and Fiscal Structure." in R. Bahl, J.
Linn and D. Wetzel, eds. Financing Metropolitan Governments in Developing Countries.
(Cambridge, MA: Lincoln Institute of Land Policy, 2013).
*"L. Romeo and P. Smoke, "The Political Economy of Local Infrastructure Planning." In. J.
Frank and J. Martinez-Vazquez, eds. Decentralization and Infrastructure. (London: Routledge,
forthcoming).
Supplementary Readings
*C. Leuprecht and H. Lazar. "From Multi-level to Multi-order Governance?" In H. Lazar and C.
Leuprecht, eds. Spheres of Governance: Comparative Studies of Cities in Multilevel Governance
Systems. (Montreal and Kingston: McGill-Queens University Press, 2007, pp. 1-22).
*A. Faludi. “Multi-Level (Territorial) Governance: Three Criticisms,” Planning Theory &
Practice, Vol. 13 (2012), No. 2, pp.197-211.
*E. Alexander, "Institutional Transformation and Planning: From Institutionalization Theory to
Institutional Design." Planning Theory. Vol. 4 (2005), pp. 209-223.
*P. Filion and C. Sanderson. “The Impact of Organizational Crafting on Planning,” Planning
Theory & Practice, Vol. 12 (2011), No.1, pp. 77-94.
*V. Watson. "Co-production and Collaboration in Planning--the Difference." Planning Theory
and Practice. Vol. 15 (2014), pp. 62-76.
Case Materials
*P. Smoke and J. Morrison. “Decentralization in Cambodia: Consolidating Central Power or
Building Accountability from Below?” In J. Martinez-Vazquez and F. Vaillancourt, eds.,
Decentralization in Difficult Environments (Cheltenham, UK: Edward Elgar, 2011, pp. 313-342).
10
*T. Niazi. Deconcentration and Decentralization Reforms in Cambodia. (Manila: Asian
Development Bank, 2011).
*K. Pak. Fiscal Decentralization in Cambodia: A Review of Progress and Challenges. (Phnom
Penh: Cambodia Development Resource Institute, 2011).
*World Bank and Asian Development Bank, Decentralization in the Philippines. (Washington,
DC and Manila: World Bank and Asian Development Bank, 2005).
*W. Gera, “Rethinking Bureaucratic Institutionalization in Philippine Political Decentralization,”
Indiana Journal of Political Science, Vol. 28 (2009), pp. 28-40.
*J. Capuno, ed. Special Issue: Twenty Years of Fiscal Decentralization in the Philippines, The
Philippines Review of Economics, Vol. 49 (2012), No. 1.
*L. Picard and T. Mogale. "Decentralization and the Apartheid Legacy." In T. Dickovick and J.
Wunsch, eds. Decentralization in Africa: The Paradox of State Strength (Boulder, CO: Lynne
Rienner, 2014). pp. 183-204.
*N. Steytler. "National, Provincial & Local Relations: An Uncomfortable Ménage à trois?" In H.
Lazar and C. Leuprecht, eds. Spheres of Governance: Comparative Studies of Cities in Multilevel
Governance Systems. (Montreal: McGill-Queens University Press, 2007, pp. 229-256).
*P. Smoke, W. Muhumuza and E. Sssewankambo. “Decentralization in Uganda: Reforms,
Reversals and an Uncertain Future.” In T. Dickovick and J. Wunsch, eds. Decentralization in
Africa: The Paradox of State Strength (Boulder, CO: Lynne Rienner, 2014). pp. 229-248.
*P. Smoke, “The Evolution of Subnational Planning under Decentralization Reforms in Kenya
and Uganda,” in V. Beard, F. Miraftab and C. Silver, Decentralization and the Planning Process
(Boulder, CO: Routeledge, 2008).
III. Building Decentralized Planning Systems (September 16-22)
1. Overview of Approaches to Developing Decentralized Planning Systems
This session reviews the evolution of approaches often used to establish local development
planning and promote local governance/capacity building. It links these approaches to broader
international donor agency support for decentralization and local governance, which is further
elaborated in the next session.
Required Readings
11
*J. Tendler, “Why Are Social Funds so Popular?” in S. Yusuf, W. Wu, and S. Evenett, eds.
Local Dynamics in an Era of Globalization. (Oxford, 2000), pp. 114-129.
*H. Binswanger-Mkhize, et. al. Scaling Up Local and Community Development: A Real World
Guide to Its Theory and Practice. (Washington, DC: The World Bank, 2009), pp. 1-16.
*Cities Alliance, The Impacts of City Development Strategies (Washington, DC: Cities Alliance,
2005), pp. 1-25.
*T. Land and V. Hauck, Building Coherence between Sector Reforms and Decentralization: Do
SWAPs provide the Missing Link?, Discussion Paper No. 49. (Masstricht: European Center for
Development Policy Management, 2003).
*UNCDF, Delivering the Goods: Building Local Government Capacity to Achieve the MDGs,
(New York, NY: UN Capital Development Fund, 2005), Chapters 1-3.
Supplementary Readings
*A. Parker and R. Serrano, Promoting Good Local Governance through Social Funds and
Decentralization. (Washington, DC: World Bank, 2000).
*M. Bhatia. Social Funds: A Review of Public Sector Management and Institutional Issues.
(Washington, DC: The World Bank, 2005).
*L. Helling, R. Serrano and D. Warren. Linking Community Empowerment, Decentralized
Governance and Service Delivery through a Local Development Framework. (Washington, DC:
The World Bank, 2005).
World Bank, City Strategies to Reduce Poverty through Local Economic Development
http://info.worldbank.org/etools/docs/library/166856/UCMP/index.htm
*World Bank, Systems of Cities: Harnessing Urbanization for Growth and Poverty Alleviation
(World Bank Urban Strategy) (Washington, DC: World Bank, 2009).
*J. Beall, “Local Funds and Development,” in Funding Local Governance (London: ITDG
Publishing, 2005), pp. 3-19.
*United Nations Capital Development Fund, Taking Risks (New York, NY: United Nations
Capital Development Fund, 1999).
2. The Role of External Assistance
This section briefly outlines the broader landscape of and issues related to donor support for
decentralization and local development. This discussion situates the types of support for
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decentralized planning covered above in the larger landscape of develeopment assistance for
decentralization and public sector reform in general.
Required Readings
*L. Romeo, “The Role of External Assistance in Supporting Decentralization Reforms,” Public
Administration and Development, Vol. 23, No. 1 (2003).
*S. Fritzen, “Linking Context and Strategy in Donor Support for Decentralization: A Diagnostic
Framework. Public Administration and Development Vol. 27 (2007), pp.13-25.
*Development Partners Working Group on Decentralization and Local Governance, Busan and
Beyond: Localizing Paris Principles for More Effective Support to Decentralization and Local
Governance Reforms (Bonn: GIZ, 2011).
Supplementaty Readings
*T. Dickovick. "Foreign Aid and Decentralization: Limitations Impact on Autonomy and
Responsiveness." Public Administration and Development. Vol. 35 (2014), pp. 193-205.
*P. Smoke and M. Winters. Donor Program Harmonization, Aid Effectiveness and
Decentralized Governance. (Bonn: Development Partners Working Group on Decentralization &
Local Government, 2011).
*K. Eaton, K. Kaiser and P. Smoke. The Political Economy of Decentralization: Implications for
Aid Effectiveness. (Washington, DC: The World Bank, 2011).
*World Bank Independent Evaluation Group. Decentralization in Client Countries: An
Evaluation of World Bank Support, 1990-2007. (Washington, DC: The World Bank, 2008).
*USAID. Democratic Decentralization Programming Handbook. (Washington, DC: United
States Agency for International Development, 2009).
*EuropeAid: Supporting Decentralization and Local Governance in Third Countries. (Brussels,
European Commission, 2007).
*OECD. Lessons Learned on Donor Support to Decentralization and Local Governance. (Paris:
Organization for Economic Cooperation and Development, 2004).
IV. Public Expenditure Management and Development Planning (September
23-29)
1. Development Planning and the PEM Cycle
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This session places the preparation of development plans by national and sub-national
governments within the broader framework of public sector expenditure management (PEM). It
reviews basic principles that underlie PEM systems, discusses the PEM cycle and highlights the
relation between planning and multi-year public investment programming and annual budgeting
at both national and sub-national level. It concludes by extending the earlier discussion on the
relation between decentralization and development to the developmental rationale of
decentralized development planning by autonomous local authorities.
Required Readings
*Asian Development Bank, "What is Public Expenditure Management (PEM)?" The
Governance Brief , Issue 1-2001. (Manila , ADB).
*Asian Development Bank, "Linking Planning and Budgeting: The Medium-Term Expenditure
Framework" The Governance Brief , Issue 2-2001. (Manila , ADB).
*The World Bank, Public Expenditure Management Handbook, (Washington, DC: The World
Bank, 1998) Chapter 3, pages 31-60
*L. Romeo, Decentralizing for Development: the developmental potential of local autonomy
and the limits of politics-driven decentralization reforms. Swedish International Center for
Local Democracy (ICLD), Working paper no. 11, 2012.
*L. Romeo, A Territorial Approach to Local Development (Brussels: European Commission
DEVCO-B2, 2014).
Supplementary Readings
*G. Clark. "A Theory of Local Autonomy," Annals of the Association of American
Geographers, (1984), 74:2,195— 208
T. Hadingham, Decentralization and Development Planning: Some Practical Considerations
(London: UK Department for International Development, 2003).
http://www.ilo.org/wcmsp5/groups/public/@ed_emp/@emp_policy/@invest/documents/public
ation/wcms_asist_8213.pdf
*S. Schiavo-Campo and D. Tomasi. Managing Government Expenditure, (Manila: Asian
Development Bank, 1999), Chapter 12, pp.1-25, Chapter 13 (1-34).
14
*Asian Development Bank. Public Expenditure Management Handbook, Ch.12- The
Programming of Public Investment (pp. 1-25), Ch.13- Multi-year Expenditure Programming
Approaches, pp. 1-34.
Rajaram, A., Le, T.M., N. Biletska and J. Brumby. A Diagnostic Framework for Assessing
Public Investment Management, World Bank Working Paper 5397 (Washington, DC: World
Bank, 2010). http://elibrary.worldbank.org/doi/pdf/10.1596/1813-9450-5397
2. Decentralized Planning Systems in Practice
This session reviews the key dimensions of a sub-national planning system: (i) the territorial
scale of planning (ii) the planning instruments, (iii) the planning process, (iv) the multi-level
coordination mechanisms, (v) the planning time frame and (vi) the national planning oversight
and support mechanisms. The discussion highlights the policy choices that must be made with
respect to each of these dimensions and illustrates them with a comprehensive review of the case
of Cambodia where a reform of the sub-national planning system is currently being considered.
Comparative references are also made to the Philippines and South Africa cases.
Required Readings
*L. Romeo, Sub-National Planning Policy Framework: A Policy Note to Guide the Revision of
Existing Regulations and Guidelines, (Phnom Penh: Kingdom of Cambodia, Ministry of
Planning, 2012), pp. 1-20
*Bureau of Local Government Development (Philippines), Rationalizing the Local Planning
System: A Sourcebook, (Manila, 2008), pp. i-ix and 1-36.
*Multi Level Government Initiative, Integrated Development Planning: A Practical Guide to
Municipalities (Cape Town: MLGI, 2000)
http://www.mlgi.org.za/publications/publications-by-theme/local-government-in-southafrica/establishment-of-municipalities/1.%20The%20IDP%20-%20Guide%20PDF.pdf
Supplementary Readings
*L. Romeo, Sub-National Administration Planning and Investment Programming System, A Subprogram of the National Program for Democratic Decentralization of the Kingdom of
Cambodia. (Phnom Penh: Ministry of Planning, 2011).
Philippines-Canada Local Government Support Program (LGSP). How to Formulate an
Executive and Legislative Agenda for Local Governance and Development: A Manual, (Manila:
Philippines Local Government Academy, 2004).
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Department of Provincial and Local Government (DPLG), Integrated Development Planning in
South Africa, IDP Guide Pack, General Overview
http://www.cidb.org.za/_layouts/Toolkit/data/ai_docs/PG1-S06%20IDP%20Guidepack.pdf
*S. Parnell. “Building Developmental Local Government to Fight Poverty: Institutional Change
in the City of Johannesburg.” International Development Planning Review, Vol. 26 (2004). No.
4, pp. 377-399.
V. Strategic Development and Spatial Planning (September 30-October 6)
1. Strategic Planning and Investment Programming for Local Development
The session reviews the meaning of “strategy” and its relation to the hierarchy of public policy
instruments (plans, policies, programs, projects and regulatory measures), and discusses the
adoption of “strategic planning” in the public sector. It then reviews the experience of the City
Development Strategies (CDS) highlighting both process and outcomes. It concludes with an
introduction to local capital programming and presents a simple system intended to support
effective municipal level investment programming and related decision-making.
Required Readings
*Cities Alliance, Guide to City Development Strategies: Improving Urban Performance
(Washington, DC: World Bank, 2006)
http://www.citiesalliance.org/sites/citiesalliance.org/files/CA_Docs/resources/cds/cdsguidelines/acknowledgements.pdf
*D. Frank et al. City Development Strategy: A Conceptual Framework, Cities Alliance
Discussion Paper No. 1. (Washington, DC: World Bank, 2011). http://wwwwds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2013/09/06/000356161_2013
0906115720/Rendered/PDF/809630NWP0CDS00Box0379824B00PUBLIC0.pdf
*ECON Analysis and Centre for Local Government, UTS. The Impacts of City Development
Strategies Report prepared for the Cities Alliance (Washington, DC: Cities Alliance, 2010),
Exec. Summary p. 1-12. http://www.citiesalliance.org/sites/citiesalliance.org/files/cds-impactstudy-final-report-august-11-2005%5B1%5D.pdf
*CDIA City Infrastructure Investment Programming & Prioritization Toolkit : User Manual
(Manila: Cities Development Initiative for Asia, 2010, p. 1-32).
http://cdia.asia/wp-content/uploads/User-Manual-Generic-version-2010.pdf
Supplementary Readings
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Sims D. Sanaa: A City Development Strategy, (Washington, DC: Cities Alliance and World Bank,
2006).
https://www.citiesalliance.org/sites/citiesalliance.org/files/Cities%20Alliance%20Sana'a%20pub
%2010-5-09.pdf
G. Gordon, Strategic Planning for Local Government, second edition. (Washington, DC:
International City/County Management Association, 2005, pp. 5-26).
J. A. Vogt. Capital Budgeting and Finance: A Guide for Local Governments. (Washington, D.C.,
International City/County Management Association, 2004).
V. Elmer, Capital Improvement Plans and Budgets, (Cambridge, MA: Lincoln Institute, 2009).
2. Spatial Planning and the Integration of Socio-Economic and Physical Planning
This session reviews the emerging “spatial planning” approach and the integration of physical,
environmental and socioeconomic development planning. It illustrates recent practice in South
Africa and the Philippines, where Spatial Development Frameworks (SDF) and other spatial
planning instruments are a key component of Integrated/Strategic Development Planning. The
session then focuses on the relation of spatial planning instruments to infrastructure investment
programming and to the management of land use and the built environment.
Required Readings
*United Nations Economic Commission for Europe, Spatial Planning: Key Instrument for
Development and Effective Governance, with Special Reference to Countries in Transition
(Geneva: UNECE, 2008).
*Reinventing Planning: A New Governance Paradigm for Managing Human Settlements. A
Position Paper developing themes from the Draft Vancouver Declaration for debate leading into
the World Planners Congress, Vancouver 17-20 June 2006
*Housing and Land Use Regulatory Board. Guidelines for Application of the Strategic Planning
Process in the Preparation of the Comprehensive Land Use Plan (CLUP). (Manila, 2001).
*Department of Rural Development and Land Reform (South Africa), Guidelines for the
Development of Municipal Spatial Development Frameworks (Pretoria, 2012), pp. 1-33.
*Eggenberger M. & Partidário M.R. "Development of a Framework to Assist the Integration of
Environmental, Social and Economic Issues in Spatial Planning. Impact Assessment and Project
Appraisal. Vol. 18 (2000), pp. 201-207.
Supplementary Readings
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HLURB (2001) Planning Strategically: Guidelines for the Application of the Strategic Planning
Process in the Preparation of the Comprehensive Land Use Plan (CLUP) Philippines Housing
and Land Use Regulatory Board (p. 6-30).
http://hlurb.gov.ph/wp-content/uploads/services/lgu/Vol4.pdf
Ethekwini (Durban) Municipality (2013), Spatial Development Framework Report 2013/14.
http://www.durban.gov.za/Resource_Centre/reports/Framework_Planning/Documents/Spatial_De
velopment_Framework_Full_Report_May_2013.pdf
Todes A. Rethinking Spatial Planning University of the Witwatersrand, Johannesburg, SA
http://siteresources.worldbank.org/INTSOUTHAFRICA/Resources/Todes_bladgereedSSno_5320
08_revised3.pdf
*Todes A, et al., "Beyond Master Planning? New Approaches to Spatial Planning in Ekurhuleni,
South Africa." Habitat International Vol. 34 (2010) pp. 414-420.
*Francos Halla, “A SWOT Analysis of Strategic Urban Development Planning: The Case of Dar
es Salaam City in Tanzania,” Habitat International, Vol.31 (2007), pp. 130–142.
*Francos Halla, "Preparation and Implementation of a General Planning Scheme in Tanzania:
Kahama Strategic Urban Development Planning Framework." Habitat International, Vol. 26
(2002), pp. 281–293.
*Balbo, M. "Beyond the City of Developing Countries. The New Urban Order of the ‘Emerging
City’" Planning Theory Vol. 13(2014), pp. 269–287.
*A. Friendly. "The Right to the City: Theory and Practice in Brazil," Planning Theory &
Practice, Vol. 14 (2013), pp. 158-179.
VI. Techniques for Strategic Development Planning (October 7-20)
1. Programs and Projects Formulation: SWOT Analysis and Logical Framework
Approach
This session introduces the basic techniques of SWOT (Strengths, Opportunities, Weaknesses
and Threats) analysis, Means-Ends analysis and the logical framework approach (LFA) as
applied, in strategic planning processes, to identify strategic goals and develop the policies,
programs and projects to achieve them.
Required Reading
*Bryson J.M. "A Strategic Planning Process for Public and Non-profit Organizations," Long
Range Planning, Volume 2 (1988), pp. 73-81.
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ODI Context Assessment SWOT Analysis, (London, Overseas Development Institute, 2009)
http://www.odi.org/sites/odi.org.uk/files/odi-assets/publications-opinion-files/7199.pdf
*C. Saldanha and J. Whittle, Using the Logical Framework for Sector Analysis and Project
Design: A User's Guide, (Manila: Asian Development Bank, 1998 pages 1-30),
http://www.afdb.org/fileadmin/uploads/afdb/Documents/Evaluation-Reports/00157943-ENLOGFRAME-ADB.PDF
*P. Crawford and P. Bryce. “Project Monitoring and Evaluation: A Method for Enhancing the
Efficiency and Effectiveness of Aid Project Implementation,” International Journal of Project
Management, Vol. 21 (2003), pp. 363–373.
*Asian Development Bank, Project Design Quality Assessment: A Tool to Check the Quality of a
Project’s Logical Framework (Manila: ADB, undated) pp. 1-6.
Lutz Horn-Haacke Using SWOT for Project Team Planning Sessions (NB: useful guidance for
completion of Assignment 4)
http://relaxlifestyle.com/system/files/SWOT%20in%20Project%20Planning.pdf
Supplementary Reading
EuropeAid Co-Operation Office, Project Cycle Management Manual (Brussels: European
Commission, 2004), Chapter 5 on the Logical Framework Approach.
http://ec.europa.eu/europeaid/multimedia/publications/documents/tools/europeaid_adm_pcm_gui
delines_2004_en.pdf
SIDA , The Logical Framework Approach : A Summary of the Theory Behind the LFA Method
(Stockholm: Swedish International Development Agency, 2004)
http://unpan1.un.org/intradoc/groups/public/documents/un/unpan032558.pdf
UNDP, Results Based Management: Concepts and Methodology (New York, NY: UNDP,
undated) pp.1-12.
http://web.undp.org/evaluation/documents/RBMConceptsMethodgyjuly2002.pdf
P. Crawford and P. Bryce. “Project Monitoring and Evaluation: A Method for Enhancing the
Efficiency and Effectiveness of Aid Project Implementation,” International Journal of Project
Management, Vol. 21 (2003), pp. 363–373.
2. Program and Project Appraisal: Cost-based and Multi-Criteria methods
This session discusses multi-criteria decision making (MCDM) methods for strategic planning
and investment programming and demonstrates the use of selected techniques (Weighed Sum
Model-WSM and Analytical Hierarchy Process-AHP) for prioritization of strategies, programs
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and projects. It also introduces Cost-based (Cost-Benefit, Cost-Effectiveness and Cost-Utility)
appraisal methods and elaborates on the use of Cost-benefit Analysis – CBA, by international
development agencies for financial and economic appraisal (ex-ante evaluation) of development
interventions.
Required Reading
*UK Department for Communities and Local Government, Multi-criteria Analysis: A Manual,
(London, 2009), Ch. 2 pp. 9-13, Ch. 4 pp. 19-29, Ch. 6 pp 46-71.
http://eprints.lse.ac.uk/12761/1/Multi-criteria_Analysis.pdf
*Haas R. and Meixner O. An Illustrated Guide to the Analytical Hierarchy Process, University
of Vienna, http://www.boku.ac.at/mi/ahp/ahptutorial.pdf
[NB: a free AHP Excel Template , with instructions on its use can be downloaded from
http://bpmsg.com/new-ahp-excel-template-with-multiple-inputs/ ]
*Ginés De Rus, Introduction to Cost-Benefit Analysis: Looking for Reasonable Shortcuts,
(Cheltenham, UK: Edward Elgar, 2010), pp. 1-13.
Supplementary Reading
Vaidya O.S, Kumar S., Analytic Hierarchy Process: An Overview of Applications, European
Journal of Operational Research Vol. 169 (2006), pp.1–29.
Nick Hanley and Edward B. Barbier, Pricing Nature: Cost-Benefit Analysis and Environmental
Policy (Cheltenham, UK: Edward Elgar 2009), Chapters 1 and 2, pp. 1-43
Jenkins G. P, C. Y. K Kuo and A.C. Harberger, “Cost-Effectiveness And Cost-Utility Analysis”
Chapter 15 in Cost-Benefit Analysis for Investment Decisions. Draft Manuscript for Publication,
(Kingston, Ontario: Queens University, 2011).
VII. Synthesis and Looking Forward (October 21)
In the final class meeting, the instructors will provide some synthetic comments, but the focus
will be on an open discussion driven by student questions about key lessons from experience,
ongoing debates and future directions and prospects for local and intergovernmental
development planning. Class members will be asked to submit questions one week in advance of
the final class.
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