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W OR L D B A N KSH OR T COU R S E P R OJ E CT E N GA GIN G CI T IZ E N S : A G A M E C H A N GE R F OR D E V E L OP M E N T C ITIZE N E N G AG EMEN T AN D P ART ICIP A TION TRA I N I N G M A N U A L F O R D E V E L O P M E N T A N D S E RV I C E D E L I V E RY I N I N F O RM A L S L U M C O M M U N I TI E S J u d i th Lom b e 2 0 1 6 T h i s T r a i n i n g M a n u a l ( T M) w a s d e v e l o p e d a s a p r o j e c t f o r t he Wo r l d B a n k S ho r t c o u r s e , t i t l e d E n g a g i n g C i t i z e n s : A G a m e C ha n g e r f o r D e v e l o p m e n t . T h e do c u m e n t s h o w c a s e s t he e n g a g e m e n t o f c i t i z e n s o f i n f o r m a l s l u m c o m m un i t i e s i n i m p l e m e n t i n g s e r v i c e - o r i e n t e d p r o je c t s , s u c h a s w a t e r , s a n i t a t i o n a n d p r o v i s i o n o f de c e n t ho us i n g un i t s . T he t a r g e t a ud i e n c e o f t hi s T r a i n i n g Ma n ua l i s , c i t i z e n s i n i n f o r m a l s l u m c o m m u n i t i e s w ho a r e t h e e n d us e r s o f t h i s T M, a s w e l l a s s e v e r a l P r o j e c t C o o r di n a t o r s , w ho c a n us e t h i s T M a s a f o r m o f P a r t i c i p a t o r y P r o j e c t M a n a g e m e n t a t t a i n e d t h r o u g h t h e a p p l i c a t i o n a n d us e o f C i t i z e n E n g a g e m e n t c o n c e p t s .

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Page 1: World Bank - Engaging Citizens Project 2016

WORLD BANK SHORT COURSE PROJECT ENGAGING CITIZENS:

A GAME CHANGER FOR DEVELOPMENT

CITIZEN ENGAGEMENT AND PARTICIPATION

TRAINING MANUAL FOR DEVELOPMENT AND SERVICE DELIVERY IN INFORMAL SLUM COMMUNITIES

Judith Lombe 2016

This Training Manual (TM) was developed as a project for the World Bank Short course, titled Engaging Citizens: A Game Changer for Development. The document showcases the engagement of citizens of informal slum communities in implementing service-oriented projects, such as water, sanitation and provision of decent housing units. The target audience of this Training Manual is, citizens in informal slum communities who are the end users of this TM, as well as several Project Coordinators, who can use this TM as a form of Participatory Project Management attained through the application and use of Citizen Engagement concepts.

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ABOUT THE AUTHOR:

Judith Lombe is a qualified computer scientist with a Master of Business Administration

majoring in Finance. She is currently working on a proposal for PhD studies in economics for the

European Doctorate in Economics at Erasmus Mundus (EDEEM). Judith has worked at the

Copperbelt University as a lecturer under the Computer Science Computer Centre department, as

well as for Health Professions Council of Zambia (HPCZ) a Statutory Board under the Ministry

of Health as an Information Technology Officer.

Ms. Lombe has been co-opted to mark several undergraduate dissertations with Mukuba

University, and volunteered to supervise a postgraduate thesis for a student at the Greenwich

School of Management.

ACKNOWLEDGEMENTS

The author acknowledges the following for their contributions when developing this manual:

Margaret Lombe - BSc, BSc(Hons), MCRP

[email protected]

The author equally acknowledges the use of images and photographs from the following

websites:

www.pbs.org

www.sdinet.org

www.nccgp.org

www.sanitationupdates.wordpress.com

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CONTENTS

Introduction ....................................................................................................................................................................1

1.1. Trainings and Training Manuals ..............................................................................................................1

1.1.1. Usage of Training Manuals.................................................................................................................2

1.2. Target of Training Manual ..........................................................................................................................2

1.3. Training Manual Concepts ..........................................................................................................................3

1.3.1. Leadership .................................................................................................................................................4

1.3.2. Governance ................................................................................................................................................4

1.3.3. Citizen Engagement ...............................................................................................................................4

1.3.4. Citizen Participation .............................................................................................................................4

Stages of Training .........................................................................................................................................................5

2.1. Training Stage – Leadership ......................................................................................................................5

2.1.1. Step One – Stakeholder Identification ..........................................................................................6

2.1.2. Step Two – Engaging Stakeholders ................................................................................................8

2.1.3. Step Three – Establishing Leadership Structures................................................................ 12

2.2. Training Stage – Governance .................................................................................................................. 16

2.2.1. Step Four – Establishing Working Groups .............................................................................. 17

2.2.2. Step Five – Train WG in Governance .......................................................................................... 19

2.2.3. Step Six – Testing Good Governance structure ..................................................................... 23

2.3. Training Stage – Citizen Engagement ................................................................................................. 25

2.3.1. Step Seven - Information collection, analysis and presentation................................... 26

2.4. Training Stage – Citizen Participation................................................................................................ 33

2.4.1. Step Eight ................................................................................................................................................ 33

Application of manual .............................................................................................................................................. 38

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INTRODUCTION

Citizen engagement is an integral part of development and community growth. The aim of

citizen engagement is to involve the citizens of a particular community or neighbourhood in each

and every step of a development project, such as the provision of sanitation or water services to a

poor, slum community lacking in such facilities.

Engaging citizens during the project design, implementation and end, provides lasting benefits to

the overall success of the project, its long-term use and existence. Engaging citizens ensures that

once a development is completed the onus on maintaining, managing and operating/using the

development outcomes is on the community members as opposed to governmental offices

involved in the development.

There is a need for stakeholders to be trained in how to engage citizens during every step of

development projects if success is to be achieved. This document is a training manual that

establishes the steps taken in ensuring that involved stakeholders in a development project are

well empowered in engaging citizens during the life-span of a development project.

1.1. Trainings and Training Manuals

A Training Manual (TM) is an effective way of teaching stakeholders involved in development

projects such as service delivery the necessary knowledge resources that can be used during the

life span of the project. The necessity of conducting trainings and using TMs is that training

workshops are the quickest way of imparting knowledge to a large number of people in a simple

form than conventional methods of education. Training material is prepared in simplified ways

of educating people on a particular knowledge resource (such as citizen engagement) that is

necessary in the daily operations of those directly involved in the implementation and

management of projects.

The nature of a training course/ or workshop is designed such that knowledge obtained from the

course/ or workshop, is freely and easily assimilated and translated into activities that various

different stakeholders are involved in during the implementation of a project. Conducting

trainings is a simple way of getting a large number of people to acquire a specific knowledge

resource and subsequently, through training other people, and roll-out programmes, impart that

knowledge to other people.

Training Manuals are a vital and important tool for the person conducting the training (the

Trainer) and those that are part of the training, as it allows constant reference to training

materials as well as provides step by step guidance on how to undertake the different stages that

are part of the TM.

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To promote effective learning and assimilation of concepts and methods being used within this

Manual, this Manual is arranged in the following layout: concepts underpinning this Manual are

described in the following section, and subsequent sections describe the stages of the training

based on the previously describe concepts. Each stage of the training is detailed by an objective,

several associated steps and associated activities, scenarios detailing real-life situations where an

activity would be used/ or expected to be used, exercises for the training participants to do, based

on the scenario situations given and outcomes, these are what the participant is expected to learn

and take away from a particular stage. The last section of this manual include the applications of

this manual which describe in detail how to conduct various exercises like Focus Group

Discussions and Community Resource Mapping, amongst other exercises used and mentioned

during this TM.

For learning purposes, this TM uses examples in the form of scenarios. The government

departments/ ministries and companies cited in all scenarios are hypothetical and used as part of

this project for the course Citizen Engagement: A Game Changer of Development applications

only.

1.1.1. Usage of Training Manuals

Training Manuals have many uses during the design of a development project (such as sanitation

delivery), the implementation of a develop project and the completion of a development project.

Some of the uses of Training Manuals are:

Training people in a particular way of conducting an activity

Providing a source of knowledge and information that can constantly be referred back to

and taken every where

Training ‘Trainer of Trainers’ – a core group of people that can train other people

Providing guidance to users of the manual that are unfamiliar with a particular knowledge

that the Manual is seeking to impart

Empowering both the Trainer and those that are being trained in fostering relationships,

knowledge exchange and retention, skills acquisition.

1.2. Target of Training Manual

This TM has been designed for use by professionals and non-professionals working in urban

planning and development, particularly those involved in service delivery to populations residing

in informal slum communities. According to the UN (UN Habitat State of the City Report, 2007)

approximately 50 % (or more) of the world’s population reside in cities, with the majority of

those living in informal slum communities. It is expected that with rapid urbanization, cities will

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grow in population and struggle to meet service delivery demands (UN Habitat State of the City

Report, 2007). As urban development moves towards alternative, cost-effect forms of service

delivery, there is a need to empower professionals and non-professionals in how to engage

populations in informal slum communities so that development projects meeting the escalating

demand on service delivery are easily implemented in a participatory manner and the end-users –

the populations dwellings in informal slum communities are satisfied and provided for.

This Training Manual is established for use in engaging citizens in poor, informal (slum)

communities during development projects for service delivery such as water and sanitation as

well as provision of decent housing units. Service delivery to informal/ slum communities is a

necessary development venture, as the majority of a city’s population reside in informal/ slum

communities characterized by the following:

Poor/ lack of access to decent, potable water for consumption and domestic usage; with

most households in poor, informal (slum) communities using unprotected shallow wells

as a source of water.

Poor/ lack of access to decent and hygienic sanitation facilities; with most households in

poor, informal (slum) communities using pit latrines as a form of sanitation.

Poorly constructed housing units; construction is usually from materials such as iron

sheets, timber processing waste wood, which is inherently unsafe for use in housing

construction

Poor/ lack of solid waste management

Poor drainage

Lack of secure tenure

1.3. Training Manual Concepts

Concepts relevant to development are a necessary part of this TM. Underpinning this TM on

concepts pertaining to urban and community development provides the Manual with direction,

objectives and expected accomplishments. Additionally it instills the practical understanding and

perceptions of a particular concept, once that concept is translated and incorporated into

activities that can be implemented on the ground – it helps both professionals and non-

professionals understand how a concept like “leadership” is incorporated into activities

pertaining to community development. Including and underpinning this Manual with concepts

also works towards changing perceptions and mind-sets in the way people think and view issues

of leadership or citizen participation, amongst other concepts.

The concepts anchoring this Training Manual are:

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1.3.1. Leadership

In its simplest definition “leadership” is service of people in influential positions such as

Government to communities and citizens. The objective and desired outcome of leadership is to

place persons in leadership in strategic positions where they are better empowered to enhance the

socio-economic possibilities and opportunities of citizens and communities.

1.3.2. Governance

Governance can practically be defined as the management of the following: people, resources

(time, materials, finances, etc.) and risks (the chance of a hazard occurring at a given time).

During development ‘good’ governance means; (i) effective people management and ensuring

that stakeholders do their job, citizens are included and recipients of development are satisfied

with the development; (ii) effective resource management so that the project does not run out of

resources and sufficient resources are obtained at every stage of development; (iii) effective risk

management so that development is not stalled, deterred/ delayed or stopped.

1.3.3. Citizen Engagement

Citizen engagement is the process by which citizens of a community are included in a

development project and its implementation. Poor citizen engagement entails the use of top-

down or bottom-up leadership structures. Effective citizen engagement seeks to reduce

significantly or eliminate completely power plays and power struggles that exist between the

different stakeholders engaged within a particular development project. Effective citizen

management is best achieved by adopting a horizontal leadership structure; that gives “power” to

both professional (educated and formally employed) and non-professional (e.g. community

members in a poor, informal slum community with little to no formal education and informally

employed) stakeholders by valuing contributions from both types of stakeholders.

1.3.4. Citizen Participation

Citizen participation is empowering citizens through the introduction of choice and alternatives.

Poor citizen participation allows citizens to “participate” by being observers to the process of

development, but not contribute to what is proposed or suggested. Effective citizen participation

seeks to include citizens in each and every stage of development. Empowering citizens through

the introduction of choice and alternative should come from the included citizens themselves as

opposed to professional stakeholders presenting choices and alternatives. Choices and

alternatives introduced in a development project by citizens themselves does (i) neutralizes

power struggles between professional and non-professional stakeholders; (ii) empowers citizens

with a “voice” to raise their concerns, needs and suggestions; (iii) allows citizens to see what

will/ will not work for them; (iv) instils a sense of responsibility/ ownership of the development

project; (v) makes citizens feel relevant and needed during every stage of the development

project, as well as give citizens confidence in sharing their wealth of knowledge on niche socio-

economic and developmental issues affecting them.

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STAGES OF TRAINING

There are four (4) stages in this Manual, each relating to the four concepts that underpin this TM.

Each associated stage of the Training seeks to help participants in understanding the concept as

well as understand the objective and associated activities that would be done practically within a

project context. Each stage also provides various scenario situations and exercise to help

participants understand how to achieve a certain activity in a given situation.

2.1. Training Stage – Leadership

Leadership in development is the coming together of different knowledge/ skills sets and

different perceptions on an issue such as sanitation delivery to achieve a common goal or

objective. In development such as service delivery leadership seeks to establish structures

between the stakeholders driving the development and the target community that then provide

the appropriate setting for the development to continue.

AIM OF LEADERSHIP

The aim of leadership is to foster an environment where the community members feel free to

express their desires, suggestions, concerns and complaints (if any). Thus the aim of leadership is

to create structures that unite or harmonize the stakeholders that are not part of the community

and the community itself. It is important here for participants to view the target community as

stakeholders – with vital and niche knowledge on the issues the development seeks to address. It

is also important for participants to understand that it is not what they can do for the community,

but what the community CAN do for the participants.

OBJECTIVE OF LEADERSHIP

Objective: Establish an Effective Leadership structure

An effective leadership structure is required as it drives the development forward through to

completion. An effective leadership structure seeks to create a horizontal structure of leadership

which maintains ALL participating stakeholders at the same level of power, control and voice.

DEFINITIONS:

STAKEHOLDER – a person/ organisation that has direct influence in the implementation of the

development; a person that will be directly or indirectly affected by the end results/ outcome of

the development. This Manual identifies four types of stakeholders: Initiating Stakeholder – the

organisation/ entity or institution responsible for project creation and design; Professional –

academically trained, such as government officials, NGO workers, etc; Non-professional –

recipients of the development, e.g. residents of informal slum communities and Silent

Stakeholders – funding partners, the rest of the population of the city (general public) the slum

community is located in that will benefit (through trickle-down effects) from the development.

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POWER – the ability to influence and change the outcome of a development, and the

perceptions/contributions of other stakeholders.

CONTROL – the ability to dictate how resources (time, humans, materials and finances) are

used and which stakeholders use them and how.

VOICE – the ability to communicate desires, concerns, complaints effectively without

intimidation, fear and with the expectation that communicated information will be positively

acted upon and incorporated

NOTE:

A horizontal leadership structure achieves the following:

Neutralizes future power plays/struggles between stakeholders, especially between

community members and the rest of the stakeholders;

Neutralizes intimidation of other community members by those in leadership structures;

Empowers community members that are not part of the leadership structure

2.1.1. Step One – Stakeholder Identification

ACTIVITIES UNDER STEP ONE

Activity ONE: Assessing Development

Assessing the development entails answering the following questions:

Which community is targeted?

What community issue is being addressed?

What is being developed? How?

Who is proposing the development? Why?

Who will benefit from the development? How?

Activity TWO: Listing Stakeholders

Creating a list of stakeholders that have been identified to be part of a development ensures that:

Everyone is aware of who stakeholders are, and who contact people are

Communication between stakeholders is fostered

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Once listed, stakeholders should be categorised as belonging to: Initiating Stakeholder, Silent

Stakeholders, Professional and Non-Professional

SCENARIO ONE:

An informal/ slum community is located at the fringes of a large city, next to a swamp/marsh-

land that easily floods when it rains. The community lacks in water, sanitation and housing units

are poorly constructed with waste products of the construction industry, resorting to shallow

wells and traditional pit-latrines as alternative sources of water and sanitation. The community

suffers from endemic disease outbreaks of cholera every wet/ rainy season with approximately

15 % of the population of 150,000 residents being affected and a 2.5 % mortality rate of those

infected. The Government through the Department/ Ministry of Urban Planning and Community

Development seeks to reduce the cholera outbreaks by 5 % and mortality rates by 2 %, by

building a road between the community and the swamp/marsh-land, building a drainage network

within the community that drains storm-water run-off into the same swamp/ marsh-land and

including a flood buffer zone between the road and the swamp/marsh-land. Including a flood

buffer zone between the proposed new road and the swamp/ marsh-land will mean some of the

existing housing structures would have to be demolished and residents relocated. The

Department/ Ministry of Urban Planning and Community Development already have a place to

relocate the residents expected to be affected and compensation through monetary and materials

to help construct new units is already in place. This new place for relocation is on the other side

of the city.

EXERCISE ONE:

TEACHING TOOLS:

Pens

Paper

Assignment for TRAINER:

Divide participants into groups of three or four each.

Based on the scenario detailed above, do the activities listed under Step ONE above.

Discussions: when the participants have completed Exercise One, have a discussion

around answers from each of the groups.

Assignment for TRAINER:

Choose one of the following (if time allows – choose more) and discuss with participants

the activities under Step One, based on options below:

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- A recently proposed development in your community, province/state or country

- An on-going development

- A completed development

Discuss with participants potential short-falls, successes and failures of projects based on

activities under Step One

2.1.2. Step Two – Engaging Stakeholders

Once stakeholders have been identified they need to be informed or made aware of the project.

Most times if development projects are Government initiated they already come with a list of

stakeholders that have been informed of the development and are already familiar with it. For

development projects not initiated by Government stakeholders need to be approached and made

familiar with the development project.

ACTIVITIES UNDER STEP TWO

Activity THREE: Sensitization of ‘Silent” Stakeholders

‘Silent’ Stakeholders include the Funding Partners and the rest of the population of the city (i.e.

general public), or in some cases community where the proposed development is taking place.

Sensitization Methods:

This is the medium through which the ‘Silent’ Stakeholders are made aware of the development.

This can be done through the following:

Letters: for Funding Partners these are written by the Stakeholder responsible for initiating the

development. For the general public letters are written and printed in newspapers and other

forms of print media, or written and delivered by the local authorities at houses.

Media:

This includes: print, electronic (TV and internet, social media pages, etc), and radio

Print (posters, flyers, pamphlets): these specifically target the general public in raising

awareness of the development and contain information on start dates, affected areas, and whether

the general routine of movement, socio-economic activities (work, etc) and recreational of the

general public will be disrupted by development. These forms of media usually bear the mark of

approval from the local authorities (City Councils, etc) and are stuck all over the city,

community in areas that have a high frequency of movement and population gathering (such as

transport inter-changes, bus-stops, shopping areas, churches, etc)

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Electronic (TV, internet and social media pages, etc): the target is to reach a large number of the

general public or the entire public even beyond the city boundaries. Information transmitted

through such means is easily repeated amongst the general public thus enhancing sensitization.

Radio: like electronic media, the target is also to reach a large number of people in the shortest

possible time. Information also transmitted through radio has a larger chance of getting repeated

through the general public, thus hastening sensitization.

Activity FOUR: Sensitization of Professional Stakeholders

Professional Stakeholders include: Government Officials (Central and Local); NGO workers;

Service Delivery Company workers, etc, and hold an academic qualification that contributes to

the implementation of the development.

Sensitization Methods:

Personalized Letters: these are letters written by the Stakeholder initiating the development,

usually to the company or institution where Professional Stakeholders work and are needed by

the development. It is the onus, then of that company or institution to assign a worker to the

development project who then becomes the point of contact between initiating Stakeholders and

the company/ institution.

Activity FIVE: Sensitization of Non-Professional Stakeholders

Non-Professional Stakeholders include: the population of the target community that offer

knowledge and expertise based on their experiences within the community, and not based on

academic qualifications or third party observations of having worked in informal/ slum

communities

NOTE: Professional Stakeholders with experience in working in informal/ slum communities

acquire third-party knowledge on situations and events, but this is not the same as first hand

experiences resulting from residing in an informal/ slum community.

Sensitization Methods:

Meetings: these can be in the form of community meetings or rallies that aim to inform the

residents of the community about the development.

Media:

Print, Electronic and Radio: this not only reaches a large number of the residents of the

community, but also generates awareness that is repeated between community members.

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SCENARIO ONE:

An informal/ slum community is located at the fringes of a large city, next to a swamp/marsh-

land that easily floods when it rains. The community lacks in water, sanitation and housing units

are poorly constructed with waste products of the construction industry, resorting to shallow

wells and traditional pit-latrines as alternative sources of water and sanitation. The community

suffers from endemic disease outbreaks of cholera every wet/ rainy season with approximately

15 % of the population of 150,000 residents being affected and a 2.5 % mortality rate of those

infected. The Government through the Department/ Ministry of Urban Planning and Community

Development seeks to reduce the cholera outbreaks by 5 % and mortality rates by 2 %, by

building a road between the community and the swamp/marsh-land, building a drainage network

within the community that drains storm-water run-off into the same swamp/ marsh-land and

including a flood buffer zone between the road and the swamp/marsh-land. Including a flood

buffer zone between the proposed new road and the swamp/ marsh-land will mean some of the

existing housing structures would have to be demolished and residents relocated. The

Department/ Ministry of Urban Planning and Community Development already have a place to

relocate the residents expected to be affected and compensation through monetary and materials

to help construct new units is already in place. This new place for relocation is on the other side

of the city.

EXERCISE TWO:

TEACHING TOOLS:

Paper (ranging in sizes: A5, A4, A3, A2)

Pens (different colours)

Markers and crayons of different colours

Assignment for TRAINER:

Divide participants into groups of three or four each.

For PARTICIPANTS:

Based on the scenario detailed above, do the following activities, as the Initiating Stakeholder:

Identify and list down what will be disrupted in the routine of the General Public (for

example, a proposed development can result in certain roads being closed-off from the

General Public, etc). Give reasons why it will be a disruption to the routine of the General

Public

Write TWO letters: one to a Funding Partner requesting for funding; and another to the

General Public to be printed in the newspaper.

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Write Personalized Letters to THREE Professional Stakeholders:

- in Government (Ministry/ Department of Public Health;

- NGO dealing in Water and Sanitation Provision;

- Private Sector Company dealing in environmental protection

NOTE TO PARTICIPANTS:

Remember YOU are from Central Government, under Urban Planning and Community

Development who is initiating this development project.

NOTE TO TRAINER:

Letters should contain the following information (inclusive of start and end salutations):

Why is the letter being written: introduce development; reasons for development

What is being requested from recipient?

Expected role of recipient

Expected outcome of development

For PARTICIPANTS:

Design the following based on Scenario One for the General Public and Non-Professional

Stakeholders: posters, flyers and pamphlets

Design the following based on Scenario One for the General Public and Non-Professional

Stakeholders: electronic media message for TV and social media pages; radio advert.

Design TWO strategies: one for a community meeting and another for a community rally

NOTE TO TRAINER:

The design exercises should include the following:

Initiating Stakeholder

Information of development; what, when, where, how, who

Any disruptions to routine of General Public

Target community; why

Assignment to TRAINER:

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Discussions:

When the participants have completed Exercise Two, have a discussion around answers from

each of the groups to assess the following:

Is the sensitization method used capturing necessary details, and giving enough

information?

Is it easy to understand?

Discuss with participants potential short-falls, failures and drawbacks of a poorly designed

sensitization package across all three types of stakeholders.

2.1.3. Step Three – Establishing Leadership Structures

ACTIVITY UNDER STEP THREE

Activity SIX: Meetings

Meetings are an easy way of getting all stakeholders together in one place at the same time to

achieve sensitization. Usually for each type of stakeholders defined, three separate meetings can

be held. For learning purposes, we will assume that three specialized meetings are required.

Meetings with ‘Silent’ Stakeholders

Funding Partners: on occasion it will be necessary to meet Funding Partners. Usually meetings

include a tour of the target community.

General Public: these are usually held in Town/ City Halls, rallies in town/ city squares or

public open spaces.

Meetings with Professional Stakeholders

Meetings are usually initiated at the point of sensitization where a proposed meeting date is

included in letters. Meetings are usually held in offices of either the initiating Stakeholders or the

recipients of the letter.

Meetings in Non-Professional Stakeholders

Meetings are usually held within the community, in open spaces or school grounds of the

community.

The aim of the meetings is to:

Sensitize community

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Assess existing (if any) leadership structures within the community, and how to re-

enforce them

Divide community into smaller zones/ sections for easier operations

Selection of leaders from each zone/ section. This is done by the community members

themselves not the Professional Stakeholders. All the Professional Stakeholder does is

ASK the community members to choose reliable and trustworthy people to serve as their

representatives. EXPLAIN to community members that the chosen leaders are only

representatives thus they are free to voice concerns, suggestions to them who will then

pass it on to YOU. EXPLAIN role of these selected leaders so that future power plays/

struggles are avoided.

The outcome of the meetings is to:

Establish leaders within each zone/ section as elected by community members themselves

that will work with a team of Professional Stakeholders.

NOTE TO PARTICIPANTS:

On Community Meetings, ensure the following:

Always go with a person or two/ three people from within the community, who are

familiar with its layout and its residents. They will help in establishing relationships. If in

a community meeting where you do not understand the language, the community

members you go with can serve as translators, or you can identify other stakeholders who

have experience within that community that you can work with whom the community

members have a working relationship with. It is also helpful to learn a few phrases of the

local language (such as greetings/ goodbyes, thank you for your time, etc) that you can

use to create an atmosphere of trust/ communication and to ‘break the ice’.

Always remember the aim is to foster an environment where community members are

comfortable with YOUR presence. Get to know the people you meet, listen to their

stories and what else they have to say

Avoid an imposing attitude. An imposing attitude includes using language that would

make community members feel like you have just come to impose your ideas on them as

opposed to getting ideas from them on how to change the situation/ challenges they are

facing.

Let the community members you have gone with do the speaking. When answering

questions speak at the level of community members.

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Respect the ideas, suggestions, viewpoints, complaints, etc, that community members

might have and voice.

Not all things said will be beneficial to the project so learn how to control conversations

and steer them to remain on the issue being discussed.

Learn how to help a community member understand ideas, suggestions they have from a

cost-effective, material usage, resource availability, time management, etc, perspective.

SCENARIO ONE:

An informal/ slum community is located at the fringes of a large city, next to a swamp/marsh-

land that easily floods when it rains. The community lacks in water, sanitation and housing units

are poorly constructed with waste products of the construction industry, resorting to shallow

wells and traditional pit-latrines as alternative sources of water and sanitation. The community

suffers from endemic disease outbreaks of cholera every wet/ rainy season with approximately

15 % of the population of 150,000 residents being affected and a 2.5 % mortality rate of those

infected. The Government through the Department/ Ministry of Urban Planning and Community

Development seeks to reduce the cholera outbreaks by 5 % and mortality rates by 2 %, by

building a road between the community and the swamp/marsh-land, building a drainage network

within the community that drains storm-water run-off into the same swamp/ marsh-land and

including a flood buffer zone between the road and the swamp/marsh-land. Including a flood

buffer zone between the proposed new road and the swamp/ marsh-land will mean some of the

existing housing structures would have to be demolished and residents relocated. The

Department/ Ministry of Urban Planning and Community Development already have a place to

relocate the residents expected to be affected and compensation through monetary and materials

to help construct new units is already in place. This new place for relocation is on the other side

of the city.

EXERCISE THREE:

Assignment for TRAINER:

Divide participants into groups of three or four each.

Based on Scenario One detailed above, prepare the following for the participants:

Arrange a meeting with Funding Partners (out of country funders visiting for the first

time, will only fund if match-funding is met)

Arrange a meeting with Professional Stakeholders (from Government Health

Department/ Ministry, where match funding is requested from Health Department/

Ministry; NGO in water and sanitation – who only promote alternative water and

sanitation provision of boreholes and dry toilets, shared septic tanks and lined pit-latrines;

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Private Sector Company in environmental protection - where the Private Sector Company

is opposing development)

Arrange a community meeting – where the community has had a lot of failed investments

in water and sanitation and are fed up and not willing to participate, and where those who

will be affected and need relocation are divided: some do not want to move because it is

near work and moving to the new proposed site will inconvenience them, and others will

only move if Government builds them new housing units with secure tenure –

Government is only offering money and materials to construct housing units, not building

any housing units.

BEAR in mind the following:

Location of meetings, materials needed for meetings, other people to attend, who will take

meetings, number of meetings required

Once arranged do role play exercises for each meeting.

ROLE PLAY EXERCISE:

Select TWO participants to be representatives of the Funding Partners and give them their

outline for what they need to ‘play’ during meeting

Select SIX participants to be the other stakeholders (two from each of the three named

stakeholders)

Select TWO participants to be from the Initiating Stakeholders

ASK the remaining participants to observe and write down observations on what wrongs, rights,

to be avoided, or encouraged during the role play exercise

Have the selected participants ACT OUT the role plays in front of the rest of the participants

Have discussions around each role play – from what the rest of the participants observed

Repeat exercise with different participants until ALL participants have had a chance at role-

playing.

NOTE TO TRAINER: Your participants will be from a diverse professional field with different

experiences on how they have engaged stakeholders before, the challenges they met and how

they overcame those challenges.

ASK participants to share past experiences.

STAGE OUTCOMES

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By the end of this stage, the participants should be able to do the following:

Sensitize and engage all types of stakeholders

Arrange for meetings with all types of stakeholders

Establish leadership structures in communities

SOMETHING TO REMEMBER

For PARTICIPANTS:

ALWAYS keep at the back of your mind that most slum communities have existing leadership

structures in place. These can be from works done by other NGOs that encourage community

members to organize themselves in small groups (such as Catholic Relief Services – CRS, World

Vision, CARE International and SDI), to gangs controlling a particular section of the

community, and ‘silent’ leadership structures that emerge over time due to the affluence (in

materials, money or knowledge) of certain community members.

LEARN to recognize (by speaking to community members) these existing leadership structures

and engage them during all stages of development as they have the ‘power’, ‘control’ and ‘voice’

to influence and affect the outcomes of community development.

2.2. Training Stage – Governance

Practically during a development initiative, ‘governance’ is the management of how a

development progresses from inception stage through to its completion. It involves; (i) managing

the human resources participating and benefiting from the development; (ii) managing the

resources needed to keep the development progressing; and (iii) managing the risks (potential

hazards that might occur and affect progression of development).

AIM OF GOVERNANCE

The aim of governance is the following; (i) giving all participating stakeholders, especially non-

professional stakeholders (community members residing in an informal/ slum community) a

voice and a platform from which they can express themselves and communicate their ideas,

suggestions, concerns, etc across to other stakeholders; (ii) creating a platform where issues

“silent’ stakeholders such as the general public would have; (iii) ensuring resources used during

the development do not run out in the middle of development; and (iv) all potential risks are

identified and mitigation measures are in place.

OBJECTIVE OF GOVERNANCE

Objective: Establish a Good Governance structure

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A good governance structure is necessary for the survival of the development and ensuring that it

is not delayed, deterred or stopped due to poor (mis)management of human and non-human

resources and the lack of identifying potential risks and establishing risk mitigation measure

during the implementation of a project. A good governance structure is one that involves all

stakeholders and promotes equality in power amongst the stakeholders and recognizes the

different knowledge each stakeholder contributes and enhances that knowledge so that it is

effective during project implementation.

2.2.1. Step Four – Establishing Working Groups

ACTIVITIES UNDER STEP FOUR:

Activity SEVEN: Establish Working Groups (WG) in each zone/ section of community

An effective WG has less people from the Professional Stakeholders, with the majority are from

the Non-Professional Stakeholders. Ideally WG should be kept at a minimal size, depending on

the zone/ section of the community where this WG is established.

The profile of the Non-Professional Stakeholders who are part of the WG should comprise of

more females than males and youths should be included.

NOTE: Females are encouraged to be more in number than males are they are usually most

affected by community development due to their societal role of being ‘home-keepers’.

SCENARIO TWO:

An NGO operating in the Slum Upgrading sector – specifically in the construction of cheap,

alternative housing units using pre-fabricated materials has secured USD$ 1,500,000.00 funding

from a Donor Agency known as Friends of the Slum Dweller for the first phase of a five-phase,

five-year project in upgrading the housing units in an informal/ slum community. The informal/

slum community has an estimated population of 350,000 residents, with an unknown number of

dwelling units. The major source of water and sanitation is shallow wells and traditional pit

latrines respectively. The informal/ slum community has four major movement routes passing

within it, running north-south, and east-west intersecting at a large play field in the middle of the

community. The community is constructed on a slight slope inclining at 18 degrees south. There

is a river running through the community, an old crude oil refinery located west of the

community, located near the river and an abandoned quarry south of the community. The first

phase of the project is targeting construction of 1,200 dwelling units within 3 years, at a price of

USD$250.00 per dwelling unit. The identified stakeholders are: Government through the

Department/ Ministry of Urban Planning and Community Development, a Private Sector

Company dealing in the construction and selling of pre-fabricated housing construction materials

known as Build A House Today, Government through the Department/ Ministry of Water and

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Natural Resources, the City Council through the Department of Disaster Identification and

Mitigation, a NGO dealing in Environmental Protection known as Friends of the Environment

and the Community itself. In the past, the river has often flooded when rains have been heavy,

when this has happened the community has mobilized itself and reinforced the river banks with

stones obtained from the abandoned quarry. The quarry itself was abandoned because it would

flood during the rainy season. It still floods even today. In the past mud-slides have often

occurred during the rainy season, resulting in several housing units being destroyed.

EXERCISE FOUR:

TEACHING TOOLS:

Pens

Paper

Assignment for TRAINER:

Divide the participants into small groups of four participants each.

For PARTICIPANTS:

Based on Scenario Two above, do the following exercise:

Divide the community into smaller zones/ sections

Establish WG within each zone/ section. Detail the number of people and give reasons

why

Assignment for TRAINER:

Discuss the exercise and outcomes for each group with participants.

EXERCISE FIVE:

Assignment for TRAINER:

Once the above exercises have been completed, arrange for a field visit to an informal/ slum

community, so that participants understand how to divide community into zones/ sections.

Obtain maps or satellite images of the visited communities to use during next exercise and

community profile (information including population, number of housing units, water points,

sanitation points and quantities, etc)

Visit community with participants

Divide the participants into small groups of four each.

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For PARTICIPANTS:

Based on hand-out, do the following exercise (within the community):

Divide the community into smaller zones/ sections

Establish WG within each zone/ section. Detail the number of people and give reasons

why

Identify potential land marks you can use to recognize boundaries

Assignment for TRAINER:

Discuss the exercise and outcomes for each group with participants within the community

2.2.2. Step Five – Train WG in Governance

ACTIVITIES UNDER STEP FIVE

Training the WG in Good Governance entails teaching the WG to assess a development, from

the following perspectives:

Human resources available and how to manage them

Non-human resources and how to manage them

Identifying potential risks and establishing mitigation measures to use during the

development life-span

Activity EIGHT: Assessing and managing human resources

Assessing human resources entails recognizing the knowledge each resource brings. Managing

human resources entails establishing who does what, when it is done, where it is done, how it is

done, who is in charge of ensuring tasks are drawn out, given out and carried out to enhance

accountability; establishing who is in charge of ensuring that things are done according to

established guidelines, rules and protocol, and that limitations are not breached to enhance

transparency, and; establishing who is in charge of ensuring that things are done on time and

errors are accounted for and corrected quickly to ensure responsibility.

Activity NINE: Assessing and managing non-human resources

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Non-human resources include any resource that is not human, such as finances, materials for

construction, etc. Resource management entails establishing how resources are used, dispensed,

allocated and distributed, re-stocked on a timely basis.

Activity TEN: Identifying risks and establishing mitigation measures

Identifying risks entails foreseeing what could negatively affect, hinder, deter, delay or even stop

the project from progressing. Risk management seeks to establish potential risks of development

and how these can be addressed so that development is not delayed. Mitigation measures are

tangible long-term solutions that are used against a recurring risk (such as seasonal flooding), or

short term measures that are used during the construction process (such as setting up scaffolding

and construction barriers). Both types of mitigation measures are used during the life-span of the

development.

Activity ELEVEN: Establishing Simple Monitoring and Evaluation Tools

Monitoring and Evaluation (M & E) is a way of keeping track of how a development project is

being implemented, how human resources are being maximally utilized, how non-human

resources are being spent and how the budget is being used. M & E tools give all stakeholders

the chance of seeing how the development is progressing as well as seeing where potential short-

falls and delays in project implementation will occur, such as under-expenditure in certain

activities. Knowledge of such allows stakeholders to meet and address issues before it is too late.

M & E tools also help in reporting to Funders and Donor Agency during project implementation.

SCENARIO TWO:

An NGO operating in the Slum Upgrading sector – specifically in the construction of cheap,

alternative housing units using pre-fabricated materials has secured USD$ 1,500,000.00 funding

from a Donor Agency known as Friends of the Slum Dweller for the first phase of a five-phase,

five-year project in upgrading the housing units in an informal/ slum community. The informal/

slum community has an estimated population of 350,000 residents, with an unknown number of

dwelling units. The major source of water and sanitation is shallow wells and traditional pit

latrines respectively. The informal/ slum community has four major movement routes passing

within it, running north-south, and east-west intersecting at a large play field in the middle of the

community. The community is constructed on a slight slope inclining at 18 degrees south. There

is a river running through the community, an old crude oil refinery located west of the

community, located near the river and an abandoned quarry south of the community. The first

phase of the project is targeting construction of 1,200 dwelling units within 3 years, at a price of

USD$250.00 per dwelling unit. The identified stakeholders are: Government through the

Department/ Ministry of Urban Planning and Community Development, a Private Sector

Company dealing in the construction and selling of pre-fabricated housing construction materials

known as Build A House Today, Government through the Department/ Ministry of Water and

Natural Resources, the City Council through the Department of Disaster Identification and

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Mitigation, a NGO dealing in Environmental Protection known as Friends of the Environment

and the Community itself. In the past, the river has often flooded when rains have been heavy,

when this has happened the community has mobilized itself and reinforced the river banks with

stones obtained from the abandoned quarry. The quarry itself was abandoned because it would

flood during the rainy season. It still floods even today. In the past mud-slides have often

occurred during the rainy season, resulting in several housing units being destroyed.

EXERCISE SIX:

TEACHING TOOLS:

Pens

Paper

Assignment for TRAINER:

Divide the participants into small groups of four participants each

For PARTICIPANTS:

Based on Scenario Two above, do the following exercise:

Assess the human resources available and list them down

Establish, in a table, a management plan to be circulated to all stakeholders including the

following:

- Roles, tasks and activities to be done during project

- Who/ which stakeholder performs the role

- How to hold people accountable and responsible for actions of success or failure of

implementing particular tasks on time

- How to keep the entire stage of implementation transparent

- Work plans and associated budgets

Assess the non-human resources and list them down

Establish in, table form, how to manage non- human resources. You might find that you

prepare more than one table for:

- Inventory – keep track of materials that are purchased in bulk (for example: a

construction project is building a network of storm-water drainage; materials such as

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cement, river sand, and bricks/ crushed rocks, etc, would need to be purchased in

bulk, at periodical intervals and stored somewhere)

- Re-stocking of materials

- How materials will be dispensed

- Allocation and distribution of materials

- Where materials will be stored? Why?

- Who will be in charge of each component of non-human resource management.

Identifying risks

- What are the risks to the project detailed in Scenario Two? List them down. Give

reasons why it is a risk. Separate identified risks into long-term risks and short-term

risks

Establishing mitigation measures for risk

- For each risk identified above, write down a mitigation strategy of how you would

work with the community in helping the community put in place long-term and

short term risk mitigation measures.

Establish simple M & E tools, in table form, that can be used during the project

implementation described in Scenario Two including the following: objective, activities

associated to objective, follow up activities, Performed (Yes/No), Reasons, Comments,

Estimated Budget, Actual Budget

Assignment for TRAINER:

Discuss the exercise and outcomes for each group with participants

Choose either of the following, from currently existing development projects:

Proposed development project

On-going development project

Completed development project, and

Discuss the above exercises with the participants, based on the choice of existing project

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2.2.3. Step Six – Testing Good Governance structure

Activities under step six

Once the Good Governance structure has been established there is a need to ‘test’ it to assess its

strengths, weaknesses and ability to produce the desired outcome: a well implemented project

with minimal delays that the community is satisfied with.

Activity TWELVE: Repeat Step Five

Activity Twelve seeks to put into practice what has been learned in Step Five by applying it to

the current development project that the participants are being trained in. Thus, the Current

Scenario is the current development project that this WG is being trained under.

NOTE TO TRAINER: If there is a mixture of participants from different development projects,

list the development projects and then do exercise seven for each project

EXERCISE SEVEN:

TEACHING TOOLS:

Pens

Paper

Assignment for TRAINER:

Divide the participants into small groups of four participants each

For PARTICIPANTS:

Based on Current Scenario, do the following exercise:

Assess the human resources available and list them down

Establish, in a table, a management plan to be circulated to all stakeholders including the

following:

- Roles, tasks and activities to be done during project

- Who/ which stakeholder performs the role

- How to hold people accountable and responsible for actions of success or failure of

implementing particular tasks on time

- How to keep the entire stage of implementation transparent

- Work plans and associated budgets

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Assess the non-human resources and list them down

Establish in, table form, how to manage non- human resources. You might find that you

prepare more than one table for:

- Inventory – keep track of materials that are purchased in bulk (for example: a

construction project is building a network of storm-water drainage; materials such as

cement, river sand, and bricks/ crushed rocks, etc, would need to be purchased in

bulk, at periodical intervals and stored somewhere)

- Re-stocking of materials

- How materials will be dispensed

- Allocation and distribution of materials

- Where materials will be stored? Why?

- Who will be in charge of each component of non-human resource management.

Identifying risks

- What are the risks to the project detailed in Current Scenario? List them down. Give

reasons why it is a risk. Separate identified risks into long-term risks and short-term

risks

Establishing mitigation measures for risk

- For each risk identified above, write down a mitigation strategy of how you would

work with the community in helping the community put in place long-term and short

term risk mitigation measures.

Establish simple M & E tools, in table form, that can be used during the project

implementation described in Scenario Two including the following: objective, activities

associated to objective, follow up activities, Performed (Yes/No), Reasons, Comments,

Estimated Budget, Actual Budget

Assignment for TRAINER:

Discuss the exercise and outcomes for each group with participants

STAGE OUTCOMES

By the end of this stage – the participants will be able to do the following:

Divide a community into smaller zones/ sections

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Establish WG within a community

Assess and manage human resources for their own project

Assess and manage non-human resources for their own project

Establish a simple monitoring and evaluation tool to be used by initiating stakeholders

Identify risks and establish mitigation measures for their own project.

SOMETHING TO REMEMBER:

For PARTICIPANTS:

The preparation of budgets and work plans would have already been done during the initiation

and design stages of the development project.

The structure of project budgets and work plans differs according to different Funding Bodies,

however most will contain information on the following:

Budgets: Budget Item (e.g. pens, pencils, cement, etc); unit price (the price of 1 pencil, pen, or

bag of cement); quantity (the number of pens or bags of cement needed), total cost (quantity X

unit cost; this is sometimes expressed in two currencies, local and foreign depending on the

Funding Body and their requirements)

Work-plans: objective (although not all the time), activity, requirements of activities,

participants, responsibility, total cost of activity (estimated), total cost of activity (spent),

duration (start and end date)

M & E tools vary from different organisations and institutions offering M & E services, it is

always advisable for organisations, Government entities and institutions to have simple M & E

tools that they use within their daily operations and project implementation. M & E tools help

keep track of budgets, work plans, expenditure as well as project implementation. It is helpful to

Funders, Auditors and interested Third Parties if an organisation, institution or Government

entity has simple M & E tools they use in their daily operations. Also M & E tools help in

reporting timely and adequately to Funding Partners and can be used in lobbying and advocating

for funding.

2.3. Training Stage – Citizen Engagement

Citizen Engagement seeks to include the community members during each stage of

implementation of a development project.

AIM OF CITIZEN ENGAGEMENT

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The aim of Citizen Engagement is to create a platform that allows Non-Professional stakeholders

to be included in development projects – not as observing stakeholders but as active

stakeholders, who partake and contribute knowledge, skills and resources (human and non-

human) to the development.

OBJECTIVE OF CITIZEN ENGAGEMENT

Objective: To establish an effective Citizen Engagement Structure

Establishing an effective Citizen Engagement Structure will ensure that a platform is created that

allows non-professional stakeholders to partake, contribute knowledge and skills as well as

resources.

2.3.1. Step Seven - Information collection, analysis and presentation

ACTIVITIES UNDER STEP SEVEN

Activity THIRTEEN: Establish an information collection package

Information from community members is an important part of the implementation of a

development project as it mirrors the views, perceptions and expectations of the community. An

information collection package includes: collecting information, capturing and analysing the

information and presenting the information.

Information Collection Methods:

Questionnaires:

This is a door-to-door administration of a set of thematic questions that are centered around the

issues and challenges the community faces, the issues and challenges the development is

expecting to address, demographic and socio-economic statistics (such as age, sex, average

monthly income, employment, education levels, etc), as well as basic services provision and

public facility provisions (such as availability of water points, sanitation facilities, clinics,

community health centers, etc)

Interviews:

Interviews are one-to-one discussions around a set of specific questions held between the person

conducting the interview and the respondent.

Photographs:

These are the easiest way of depicting the current situation of the community and bringing

attention to the challenges the community is facing, as well as a means of establishing a

photographic time-line that tells the transformative story of the community, in before

development, during development and after development scenarios through photographs.

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Independent Observations:

These happen as the information collectors are walking through the community and see/ observe

something interesting or something that contributes to further understanding the issues and

challenges faced by the community, etc. These should be noted down in notebooks for future

reference.

Community Resources Mapping Exercises:

These are community meetings where the participating community members are asked to draw a

representative diagram of their zone/ section and what is located in it (such as schools, open

space, solid waste heaps, communal water/ sanitation points, public facilities like clinics,

informal markets, etc), and where it is located. Movement routes, major land-marks (such as

hills, water bodies, open spaces, etc), informal markets, etc, are good indicator to use as a

reference points for where resources within the community are located.

NOTE TO TRAINER:

Care should be taken when taking photographs within communities, as some community

members are sensitive with photographs being taken for fear of how those images will be used.

ASK for permission from individuals, existing community leadership structures or from City

Council Officials (such as Councilors) that are operational within the community before

photographs are taken. If photographs will be used, inform individuals, existing community

leadership structures or from City Council Officials (such as Councilors) how they will be used

and ASK for permission to use images. If used in publications, acknowledge sources in

publication.

Care should also be taken when observations are being made and written down. ASK permission

from individuals, existing community leadership structures or from City Council Officials (such

as Councilors) if it is alright to take notes of observations. ASK individuals if it is alright before

going in for a ‘closer’ look or when noting down something that is in the house-space of

individuals.

Activity FOURTEEN: Recruit and train more community members for Information Collection

As the collection of Information from communities can be a long task, it is important to have as

many community members possible to be a part of the information collection process. Having a

large number of community members collecting information about their own community not

only empowers them but also builds on the trust the rest of the community has towards the

project, its implementation and the stakeholders involved in the project’s implementation.

Once recruited there is need for new recruits to be trained in how to collect information, capture

it and observe surroundings.

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Activity FIFTEEN: Conduct information collection exercise

Information is collected from each zone/ section in which the community is divided in.

Activity SIXTEEN: Analyse Collected Information

Once the information collection phase is finished, the information is collated, captured and

analysed. Information from the door-to-door administered questionnaire is collected and mapped

using Geographic Information System (GIS) to locate on a map of the community through the

same software. Information is entered separately, allowing for overlays to be made and

information collected to be analysed and presented separately. Community Resource Mapping

exercises is also analysed. Information from interviews and observations is also analysed.

Photographs are also analysed for their relevance and potential usage.

Activity SEVENTEEN: Presentation of information

Information presentation can be in the following means:

Tables, charts and diagrams of data from the administered door-to-door questionnaire.

These can range from small print outs on A4 size paper to large print outs on walls,

blackboards or large A0 sized paper stuck in community schools and are updated manual

as the exercise of collecting information continues

Maps done through GIS

Representative diagrams from Community Resources Mapping exercises

A write up of the observations noted down

A display of photographs

SCENARIO THREE:

Field Visit to an informal/ slum community for the purposes of information collection.

Assignment for TRAINER:

Choose an informal/ slum community for the purposes of this exercise.

Liaise/ speak with Government Officials or any Community Leadership Structures in place to

allow participants to collect information for the purposes of the training

EXERCISE EIGHT

TEACHING TOOLS

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Pens

Paper

Printer

Assignment for TRAINER:

Prepare the participants for the field visit, by giving them a background to the community they

are going to visit.

Divide participants into groups of four.

ASK groups of participants to design an information collection package including the

following:

A questionnaire that captures the following information:

- Demographic information

- Socio-economic information (income, employment, education/ literacy levels)

- Access to basic services (water, sanitation, solid waste management)

- Occurrence/ frequency of natural disasters (flooding, mud-slides, etc)

- Challenges/ issues community faces

A set of interview questions

A set of guide-lines for the observations that need to be listed down

For PARTICIPANTS:

Create the information collection package according to the guidelines above

Assignment for TRAINER:

When completed, discuss each group’s information collection package

Make a generic information collection package of questionnaire, interview and guidelines for

observations by asking participants to select which questions should be kept, why and which

questions should be dropped and why

Print out enough copies for groups of two participants each to fill in about 10 sets of information

collection packages each.

EXERCISE NINE:

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TEACHING TOOLS:

Pens

Papers (questionnaires)

Assignment for TRAINER:

Divide participants into groups of two

Go to informal/ slum community and explain to participants what they need to do – collect data

and fill in their 10 information collection packages. Assign a meeting and departure point.

Assign boundaries for each group where they go and collect their information. Disperse

participants to go and collect information.

When exercise is completed, meet to discuss observations, challenges/ issues faced etc, and how

the process can be improved.

NOTE TO TRAINER: It is encouraged that YOU join a group and collect data with them

EXERCISE TEN:

TEACHING TOOLS:

Pens

Paper

Assignment to TRAINER:

Organize with the same informal/ slum community at least four groups of community members

(between 30 – 50 community members) in different locations of the community for the purpose

of the Community Resources Mapping exercise

Divide participants into groups of four.

ASK groups of participants to design a set of questions for the Community Resources Mapping

exercise that captures the following information:

Location of natural features like streams, rivers, etc

Location of the major movement routes

Location of public facilities like churches, schools, clinics/ health centres

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Location of markets and open spaces

Location of occurrences of natural disasters like flooding

Location of communal water/ sanitation points

For PARTICIPANTS:

Create set of questions according to guidance given above

Assignment for TRAINER:

When completed, discuss each group’s set of questions

Make a generic questions, by asking participants to select which questions should be kept, why

and which questions should be dropped and why

Print out enough copies for groups to use

EXERCISE ELEVEN:

TEACHING TOOLS:

Pens

Paper

Assignment for TRAINER:

Divide participants into four groups

Go to informal/ slum community and explain to participants what they need to do – ASK the

community to carry out a community resources mapping exercise. Assign each group of

participants to a group of community members and a person from the community to work with

the participants. Assign a meeting and departure point and time limit of 2 hours. Disperse

participants to go and collect information.

NOTE TO TRAINER: It is encouraged that YOU join a group and observe how the conduct a

Community Resources Mapping exercise.

NOTE TO PARTICIPANTS:

Allow the community guide to introduce you to the group. Exchange with the community guide

asking the community to draw where various things are located so that the group does not feel

intimidated.

EXERCISE TWELVE:

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TEACHING TOOLS:

Pens

Paper

For PARTICIPANTS:

Using the target community in YOUR development project; recruit and train community

members. Do Activities Thirteen and Fourteen under Step Seven.

EXERCISE THIRTEEN:

TEACHING TOOLS:

Pens

Paper

For PARTICIPANTS:

Using the target community win YOUR development project, conduct an exercise in information

collection, analysis with community members recruited, in the target community. Do activities

Fifteen – Seventeen and Exercises Eight to Ten.

STAGE OUTCOMES

By the end of this stage, participants should be able to do the following:

Create a door-to-door questionnaire

Create a structure for a Community Resources Mapping exercise, and conduct such an

exercise

Be able to summarize and present important observations from written down

observations

Be able to recruit and train community members in information collection, analysis and

presentation

Analyse data collected

Present data collected and analysed in a way it is easily understood

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2.4. Training Stage – Citizen Participation

Citizen Participation is the process through which citizens are empowered with a ‘voice’ and an

appropriate platform from which community members are able to communicate and express their

suggestions, concerns, expectations and solutions to the challenges they face.

AIM OF CITIZEN PARTICIPATION

Citizen Participation seeks to create inclusive participation from community members as

opposed to community members being ‘silent’ participants during implementation of

development projects. For participation to be inclusive there is a need to establish a platform

where community members can express themselves as a source of knowledge and experience

that is relevant and vital to solving the issue the development is seeking to address.

OBJECTIVE OF CITIZEN PARTICIPATION

Objectives: Establish effective channels of Citizen Participation and;

Create an effective Citizen Participation structure

Establishing appropriate channels of Citizen Participation will ensure that community members

are not ‘silent’ participants.

Establishing an effective Citizen Participation Structure will ensure that community members are

active participants and contribute their knowledge, experiences, skills and resources to the

progression of the development, inclusive of the completion of the development.

2.4.1. Step Eight

ACTIVITY UNDER STEP EIGHT

Activity EIGHTEEN: Conduct Focus Group Discussions

A Focus Group Discussion is a thematic community meeting that brings together a diverse

profile of community members to discuss selected issues. Ideally, more information is gotten

from community members if they are a small number (30 – 50) separated into smaller groups of

four to 10 people each. Thus more than one Focus Group Discussion can be held within each

zone/ section that the community is divided into.

Activity NINETEEN: Information exchange and review with other zones/ sections

For a representative picture of the issues, challenges and day-to-day experiences of community

members within the community, to be obtained, information needs to be exchanged between the

different zones/ sections and reviewed by the community members in those zones/ sections.

Activity TWENTY: Assessment of information from Focus Group Discussions and Information

Exchange and Review

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For any development to be effective, modifications and revisions need to be made. Assessing

information from FGD and the information exchange and review provides a platform through

which new ideas can be incorporated and old ideas (that prove unfeasible) are abandoned or

modified. The aim is to get the community themselves to choose between the information

presented before them, choose which ideas they adopt and include and those they abandoned, as

well as help the community understand why they have made the choices they have made.

Activity TWENTY-ONE: Creation of Implementation WG

For effective implementation a WG needs to be created that comprises solely of community

members. This WG is responsible for the implementation of activities, mobilizing of community

members and for explaining to community members any changes and helping community

members to understand changes.

Activity TWENTY-TWO: Establish Post-development Community Leadership structures

The success of a development project is not in its implementation but in its continuation after

project completion. For community development projects, Post-development Community

Leadership structures are encouraged to be created. This is done by the community themselves as

it fosters a sense of responsibility for the development, its usage and its continuation within the

community itself. Establishing post-development community leadership structure from amongst

the community members reduces dependency on Donor Agencies and Government as well as

ensures that once the development is completed, the community will be responsible for its

management, maintenance, operations and upgrades if needed.

SCENARIO FOUR:

The Government through the Department/ Ministry of Urban Planning and Community

Development seeks to relocate the informal/ slum community known as Above Waters that is

located on a dangerous flood plain and constantly faces seasonal flooding and subsequent disease

outbreaks of cholera and dysentery, to another location in the city which is safer and does not

flood. The Government is willing to compensate the slum dwellers for property lost and damage

and for materials to construct their new housing units, but is requesting that the community

members contribute towards the land-fee and land rates, as well as contribute towards the title

deed/ secure tenure documentation. Government is asking each household within Above Waters

to contribute an amount of USD$ 150.00. A previously conducted data information exercise

show that the community has the following profile:

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Community Characteristic Statistic

Population 350,000 (at an average of 6 persons per house)

Males 171,500

Females 178,500

Boys 85,750

Girls 89,250

Average Income/ month USD$ 35.00

Highest Education Levels Early high school (grade 8/ 9)

Common Skills Construction; curio/ craft-making; making and selling

dumplings (fritters)

Common Type of Employment Informal marketer; part-time construction worker; self-

employed (curio/ craft-making)

Government has sourced funding from a Donor Agency Friends of the Slum Dweller to fund for

the provision of water points, communal sanitation facilities and solid waste management

initiatives. However, Friends of the Slum Dweller is insisting that Government invests in

empowering community members to utilize solid waste and establish income-generating

activities from solid waste. There is a women’s group in the informal/ slum Above Waters that

makes jewelry and other curio/ crafts from solid waste – in particular metal, glass and plastic.

There is also a men’s group within the informal/ slum community that is trained in construction

techniques. The community is willing to move, but seem wary on the amount Government is

asking them to contribute. Government is willing to empower the two groups within Above

Waters informal/ slum community, but is currently looking for funding to do so. Community

members do not want communal sanitation facilities and want individual facilities. Communal

sanitation costs is cheaper at USD$ 250 per 8-seat block (4-toilet seats and 4-shower heads), and

a single sanitation facility costing USD$ 450.

EXERCISE FOURTEEN:

TEACHING TOOLS:

Pens

Paper

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Assignment for TRAINER:

Divide participants into groups of four people.

For PARTICIPANTS:

Based on the above Scenario Four, do the following exercises:

Structure FGD questions to find out the following:

Views on communal sanitation and why it is opposed

Views on contributing money towards land – the USD$ 150.00 Government is asking

each household contributes

The various income generating activities within the community

Socio-economic networks (where those in income generating activities sell their

products, where marketers go to work if outside community, etc, basically connections

that connect community members to their places of work, places of getting food, places

of recreation, etc) that will help determine if the relocation is the right idea, and would

enhance the socio-economic opportunities of the community members.

EXERCISE FIFTEEN:

TEACHING TOOLS:

Pens

Paper

For PARTICIPANTS:

Establish an Implementation WG for this project. Explain why such a structure has been chosen

EXERCISE SIXTEEN:

TEACHING TOOLS:

Pens

Paper

For PARTICIPANTS:

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Establish a post-development Community Leadership structure. Explain why such a structure has

been chosen.

EXERCISE SEVENTEEN:

TEACHING TOOLS:

Pens

Paper

Assignment for TRAINER:

Hold discussions with participants on the Implementing WG and the post-development

Community Leadership structure.

ROLE PLAY EXERCISE

Based on the Scenario above, do a Role Play exercise – where a Focus Group Discussion (FGD)

is held.

Assignment for TRAINER:

Select five participants to facilitate the FGD, the rest of participants will be the community

members

When completed, choose five different participants and conduct another Role Play exercise

Discuss observations, challenges and issues that might arise and how the process can be

improved and why?

STAGE OUTCOMES

By the end of this stage, participants should be able to:

Conduct a FGD

Conduct information exchanges and reviews

Assess information obtained from FGD and other zones/ sections

Establish WG for project implementation

Assist the community in establish post-development community leadership structures

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APPLICATION OF MANUAL

The wide applications of this Manual are vast. This Manual can be used in the following:

By stakeholders to train their Project Implementation teams in how to engage citizens

before project implementation starts

By community members themselves to train themselves in various components of this

Manual. For the interest of literacy levels within informal/ slum communities,

components of the Manual that are required by the community can be translated into

audio versions in a local language, allowing usage by communities

By Government Official and other Governmental Entities in their project

implementations

By NGOs and the Private Sector organisations

This Manual can be replicated, printed and disseminated to interested Third Parties.