IDP Guide-Pack: Integrated Development Planning

I D P G u i d e - P a c k
g e n e r a l o v e r v i e w
IDP
Integrated Development Planning
idp guide pack
Publisher
Department of Provincial and Local
Government (DPLG)
Mr E Africa, Ms Esme Magwaza,
Mr Yusuf Patel
Supported by
GTZ (German Agency for Technical
Cooperation)
Coordinator
Mr Yusuf Patel (DPLG)
Team of Authors
The revised IDP Manual was designed by
the Decentralised Development Planning
(DDP) Task Team on basis of the IDP
Assessment process (1998/99), and a
series of IDP-related policy research
papers (1999/2000).
Maria Coetzee (CSIR)
Marc Feldman (Development Work)
Katharina Huebner (GTZ)
Musa Majozi (DPLG/GTZ)
Yusuf Patel (DPLG)
Dr Theo Rauch (GTZ)
Editing and Layout
Simeka TWS Creative
Vira Denton
Printing
Govenment Printers – Brian Brown

INTEGRATED DEVELOPMENT PLANNING SYSTEM
Sustainable
Poverty Sound
Municipal
Reduction Environment
Development
Better Service Local Economic Partnership Spatial

Delivery Development Approach Integration
Monitoring and
Evaluation
Implementation
IDP
Management
Capacity Building
IDP
FOREWORD
Local government is a key role-player in the development process of South Africa. The transformation process
to establish non-racial and viable municipalities is a crucial strategic move towards enabling local government to
fulfil its developmental role.
Major steps of this transformation process were:
• providing a clear and motivating policy framework through the White Paper on Local Government;
• the re-demarcation process which resulted in more viable municipalities; and
• providing a new legal framework for local government by launching the Municipal Structures Act and the
Municipal Systems Act.
With the local government elections held on 5 December 2000 the transitional phase has come to an end and
the local government system can now start operating on a solid basis.
Integrated development planning is one of the key tools for local government to cope with its new
developmental role. In contrast to the role planning has played in the past, integrated development planning is
now seen as a function of municipal management, as part of an integrated system of planning and delivery.
The IDP process is meant to arrive at decisions on issues such as municipal budgets, land management,
promotion of local economic development and institutional transformation in a consultative, systematic and
strategic manner. Integrated Development Plans, however, will not only inform the municipal management; they
are also supposed to guide the activities of any agency from the other spheres of government, corporate
service providers, NGOs and the private sector within the municipal area.
During the past period of office most of the transitional local authorities were already involved in preparing IDPs
(many of them went just as far as preparing LDOs). This was done under difficult circumstances. A conclusive
legal framework was not yet in place. Many local authorities (in particular the Transitional Representative
Councils) had no capacities to manage such a planning process. There was no tested planning methodology and
no comprehensive and systematic training programme. Nevertheless all who have been involved in the
previous IDP process have gone through a highly valuable learning process. And quite a few of the local
authorities have already made significant progress towards establishing a planning practice which helps to
improve implementation of projects and programmes.
Now, just in time for the newly elected councils, a fully fledged support system is in place for the forthcoming
IDP process:
• This new IDP Guide Pack, which has been developed by a special task team in DPLG with support from GTZ,
provides a tested planning and implementation management approach in a user-friendly manner. It includes
the lessons learnt from the previous IDP process.
• There is a nation-wide training programme for municipal managers, technical officers, councillors and
planning professionals which caters for participants from all municipalities.
• A nation-wide support system for local municipalities (PIMSS) is being established with district-level support
centres as a core element.
A large number of municipalities, SALGA, provincial departments of local government and a range of national
sector departments have been involved in the process which has resulted in this new IDP Guide Pack. I am
therefore confident that, as a result, these publications will be a useful guide and source of inspiration for all of
you who are involved in the IDP process in your endeavours to make IDP a tool to address the social and
economic needs of our communities more effectively.
FHOLISANI SYDNEY MUFAMADI

Volumes in this series include:
General Overview
Provides an introduction into IDP and a short summary of the IDP Guide Pack.
Guide I: Guidelines
Provides basic guidance on purpose, contents, processes and institutional aspects of
Integrated Development Planning. The guidelines, besides providing an interpretation of
the Municipal Systems Act 2000, go beyond the minimum requirements as outlined
in the Act.
Guide II: Preparation
Provides assistance on how to plan the planning process. It puts strong emphasis on
clarification of roles and responsibilities, on organisational arrangements and on
alignment of planning processes on various levels.
Guide III: Methodology

Provides a detailed description of the phases of the IDP process and of the planning
activities in each phase with information on:
✰ the purpose (“Why?”);
✰ the required outputs (“What?”); and
✰ the recommended processes (“How?”) and institutional aspects (“Who?”).
Guide IV: Toolbox
Provides a variety of options for planning tools/techniques for crucial planning activities
with hints on the applicability of the tools.
Guide V:
Cross-Sectoral Issues
Provides guidance on how to relate other (non-IDP- specific) general policy guidelines or
sector policies to the IDP process.
Guide VI:
Implementation Management
Provides guidance on:
✰ Planning implementation link.
✰ Institutional preparedness for implementing IDP.
✰ Implementation management tools.
✰ Monitoring and performance management tools.
✰ Reviewing IDPs.
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TABLE OF CONTENTS
1. INTRODUCTION
1.1 The new IDP guide-pack 3

1.2 General overview 3
2. BASICS OF IDPS
2.1 What is Integrated Development Planning? 4

i. What is Integrated Development Planning? 4
ii. What is the legal status of IDPs? 4
iii. What is the life span of an IDP? 4
iv. How long does it take to complete the process? 4
v. What are the core components of an IDP? 4
vi. Who is responsible for managing the process? 5
2.2 Why is it necessary to do IDPs? 5
2.3 Who should participate and why? 7
2.4 What are the roles and responsibilities of different
spheres of government? 8
3. AN OVERVIEW OF THE GUIDES
3.1 Introduction 10
3.2 A short description of each guide 10
i. Guide I: General IDP guidelines 10
ii. Guide II: Preparing for the IDP 11
iii. Guide III: IDP methodology 11
iv. Guide IV: IDP toolbox 12
v. Guide V: Sectoral and cross-cutting policy guidelines 12
vi. Guide VI: IDP Implementation and Monitoring 12
4. OVERVIEW OF THE PLANNING PROCESS
4.1 Introduction 14
4.2 Preparation for the process 14
4.3 The methodology 14
i. Phase 1: Analysis 15
ii. Phase 2: Strategies 15
iii. Phase 3: Projects 16
iv. Phase 4: Integration 16
v. Phase 5: Appproval 17
vi. Provincial Assessment 17
4.4 What an IDP might look like 19
5. IDP SUPPORT SYSTEM
5.1 Legal framework 21

5.2 IDP guide-pack 21
5.3 IDP training 21
5.4 IDP Planning and Implementation Management
Support System (PIMSS) 21
6. USEFUL CONTACTS
A. TABLES
Table 1: Benefits for different target groups 6

Table 2: Roles and responsibilities of different
spheres of government 9
Table 3: A typical IDP table of contents 19
B. DIAGRAMS
Diagram 1: Overview of the Guides 13

Diagram 2: Overview of the planning process 18
2 Diagram 3: IDP support system 20
1. INTRODUCTION
1.1 THE NEW IDP GUIDE-PACK
The Department of Provincial and Local Government (DPLG) supported by German Technical Cooperation (GTZ)
has produced an IDP Guide-pack to assist municipalities with the Integrated Development Planning process to
produce Integrated Development Plans (IDPs).
Unlike the old version of the IDP manual, the new guide-pack attempts to be a more user-friendly document by:
(a) Splitting information into context- and target group-specific packages, i.e. in six guides which can be used
independently of each other namely:
• Guide I – General IDP guidelines
• Guide II – Preparing for the IDP process
• Guide III – IDP methodology
• Guide IV – IDP Toolbox
• Guide V – Sectoral and cross-cutting policy issues
• Guide VI – Implementation and Monitoring.
(b) Avoiding planning jargon as far as possible by not suggesting specific planning techniques in Guide III.
(c) Highlighting minimum requirements for each phase of the methodology, thereby differentiating clearly
between the “musts” (resulting from legal and policy requirements) and the non-prescriptive
recommendations for those who want some hints on how to deal with a certain planning activity.
(d) Providing short answers to the following set of questions for each planning activity:
✰ Why do it? (i.e. explaining the purpose of a planning activity)
✰ What needs to be the result of the planning activity? (i.e. specifying the output)
✰ How should the process or procedure look in order to arrive at the output?
✰ Who shall be in charge and be involved?
✰ How long should it take?
1.2 GENERAL OVERVIEW

The General overview provides an overview of the IDP Guide-pack. Its purpose is three-fold:
• To provide a summary on the complete picture of the IDP process to those stakeholders who do not need a
detailed technical understanding of the IDP.
• To enable different stakeholders to know and understand their roles and hence participate effectively in the
process. This includes provincial and national departments.
• To provide a first and quick overview of the IDP process to those responsible for the management of the
process.
The executive summary is therefore meant to enable any person to get a broad understanding of the Integrated
Development Planning process. For more in-depth information role-players should refer to the specific Guides.
Four main areas are covered in this document namely:
• The basics of IDPs;
• The overview of the Guides;
• The overview of the planning process; and
• The IDP support system.
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2. BASICS OF IDPS
2.1 WHAT IS INTEGRATED DEVELOPMENT PLANNING?
i. What is Integrated Development Planning?
Integrated Development Planning is a process through which municipalities prepare a strategic

development plan, for a five year period. The Integrated Development Plan (IDP) is a product of the
integrated development planning process. The IDP is a principal strategic planning instrument which
guides and informs all planning, budgeting, management and decision-making in a municipality.
ii. What is the legal status of an IDP?
According to the Municipal Systems Act of 2000 all municipalities (i.e. Metros, District Municipalities and
Local Municipalities) have to undertake an integrated development planning process to produce
integrated development plans (IDPs). As the IDP is a legislative requirement it has a legal status and it
supercedes all other plans that guide development at local government level.
iii. What is the lifespan of an IDP?
According to the Municipal Systems Act, every new council that comes into office after the local
government elections has to prepare its own IDP which will guide them for the five years that they are
in office. The IDP is therefore linked to the term of office of councillors. The new council has the option
either to adopt the IDP of its predecessor should it feel appropriate to do so or develop a new IDP taking
into consideration already existing planning documents.
iv. How long does it take to complete the process?
Integrated development planning is a very interactive and participatory process which requires involvement
of a number of stakeholders. Because of its participatory nature it takes a municipality approximately 6 – 9
months to complete an IDP and this timing is closely related to the municipal budgeting cycle. However,
during this period delivery and development is not at a standstill, it continues. The IDP is reviewed annually
which results in the amendment of the plan should this be necessary.
v. What are the core components of the IDP?
The IDP is made up of the following core components:
• The analysis
– An assessment of the existing level of development, which includes identification of communities
with no access to basic services.
• Development strategies
– The municipality’s vision (including internal transformation needs).
– The council’s development priorities and objectives.
– The council’s development strategies.
• Projects
• Integration
– A spatial development framework.
– Disaster management plan.
– Integrated financial plan (both capital and operational budget).
– Other integrated programmes.
– Key Performance Indicators and performance targets.
• Approval
In a nutshell, Integrated Development Planning is about the municipality identifying its priority
issues/problems, which determine its vision, objectives and strategies followed by the identification
of projects to address the issues. A very critical phase of the IDP is to link planning to the municipal
budget (i.e. allocation of internal or external funding to the identified projects) because this will
ensure that implementation of projects and hence development is directed by the IDP.
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vi. Who is responsible for managing the process?
Integrated Development Planning is not just about spatial planning and therefore its management
should not be delegated to the municipal Planning Department or to consultants. It is a mechanism
to manage the affairs of the municipality and its municipal area, and hence holds a very high status
within a municipality. In terms of the Municipal Systems Act, 2000, the Executive Committee or
Executive Mayor has the responsibility to manage the preparation of the IDP or assign this
responsibility to the municipal manager. In most municipalities, the IDP coordinator, linked and
reporting directly to the office of the municipal manager and the Executive Committee or Mayor, is
appointed to manage the process.
2.2 WHY IS IT NECESSARY TO DO IDPS?

Preparing an IDP is a legal requirement in terms of the Municipal Systems Act (MSA), however that it’s
not the only reason why municipalities must prepare the plans. Under the new constitution,
municipalities have been awarded major developmental responsibilities to ensure that the quality of life
for its citizens is improved. The new role for local government includes provision of basic services,
creation of jobs, promoting democracy and accountability and eradication of poverty. Preparing and
having the IDP therefore enables the municipality to be able to manage the process of fulfilling its
developmental responsibilities.
Through the IDP, the municipality is informed about the problems affecting its municipal area and, being
guided by information on available resources, is able to develop and implement appropriate strategies
and projects to address the problems.
Here is why every municipality should have an IDP:
➺ It helps to make more effective use of scarce resources by:

– focusing on identified and prioritised local needs taking into consideration local resources;
– searching for more cost-effective solutions; and
– addressing causes, rather than just allocating capital expenditure for dealing with symptoms.
➺ It helps to speed up delivery by:

– providing a tool which guides where investment should occur;
– getting the buy-in of all relevant role-players for implementation;
– providing deadlock breaking decision-mechanisms; and
– arriving at realistic project proposals taking into consideration limited resources.
➺ It helps to attract additional funds:

Where there is a clear municipal development plan, private investors and sector departments are
willing and confident to invest their money because the IDP is an indication that the municipality has
a development direction.
➺ It helps to strengthen democracy and hence institutional transformation because decisions are made
in a democratic and transparent manner, rather than by a few influential individuals.
➺ It helps to overcome apartheid legacy at local level by:

– promoting integration of rural and urban areas, different socio-economic groups, places where
people live and work etc.; and
– facilitating redistribution of resources in a consultative process.
➺ It promotes intergovernmental coordination by:

– facilitating a system of communication and coordination between local, provincial and national
spheres of government.
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The IDP also provides specific benefits for different target groups, namely:
Stakeholder Benefits
(a) Municipal Enables the municipality to:

council • Obtain access to development resources and outside investment;
• Provide clear and accountable leadership and development direction;
• Develop a cooperative relationship with its stakeholders and communities;
and
• Monitor the performance of officials.
(b) Councillors • Provides councillors with a mechanism of communicating with their

constituencies;
• Enables councillors to represent their constituencies effectively by making
informed decisions; and
• Enables councillors to measure their own performance.
(c) Municipal • Provides officials with a mechanism to communicate with the councillors;
officials • Enables the officials to contribute to the municipality’s vision; and
• Enables officials to be part of the decision-making process.
(d) Communities • Gives them an opportunity to inform the council what their development
and other needs are;
stakeholders • Gives them an opportunity to determine the municipality’s development
direction;
• Provides a mechanism through which to communicate with their
councillors and the governing body; and
• Provides a mechanism through which they can measure the performance
of the councillors and the municipality as a whole.
(e) National and • A significant amount of financial resources for the implementation of
Provincial projects lie with sector departments. The availability of the IDP provides
sector guidance to the departments as to where their services are required and
departments hence where to allocate their resources.
(f) Private sector • The IDP serves as a guide to the private sector in making decisions with
regard to areas and sectors to invest in.
Table1: Benefits of an IDP for different target groups
In the absence of an IDP, a municipality would act in an ad hoc, uninformed and uncoordinated manner which
would lead to duplication and wastage of limited resources. Furthermore, the lack of a municipal tool to guide
development would result in other spheres of government imposing their development programmes, which
might not be priority for a municipal area.
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2.3 WHO SHOULD PARTICIPATE AND WHY?
➺ As mentioned before, the integrated development planning process is participatory in nature and requires
input from various role-players, namely:
• The officials
Integrated development planning is not a function of the municipality’s Planning Department. Everything
that all departments do including treasury and human resources, has to be guided by the municipality’s
management tool which is the IDP. As a result all departments have to get directly involved in the
integrated development planning process.
• The councillors
Councillors have to play a leading role in the IDP process. Not only is the IDP a mechanism through
which they have to make decisions, it also contains their constituency’s needs and aspirations.
Councillors have to participate therefore to ensure that their communities’ issues are well reflected and
addressed.
• The municipal stakeholders
The IDP is about determining the stakeholder and community needs and priorities which need to be
addressed in order to contribute to the improvement of the quality of life. Community and stakeholder
participation in determining those needs is therefore at the heart of the IDP process. The Constitution
and the Municipal Systems Act clearly stipulates that the municipality must mobilise the involvement
and commitment of its stakeholders by establishing an effective participatory process. The municipality
should in particular ensure participation of previously disadvantaged groups e.g. women, the disabled
etc. so that their voices could be heard.
In the case of stakeholder groups that are not organised, the NGOs or other resource persons play a
critical role to advocate the interests of those groups. The nature of the IDP process is therefore such
that it allows all stakeholders who reside or conduct business within a municipal area to contribute to the
preparation and implementation of the development plan.
By abstaining from participating, stakeholders empower other people to make decisions on their behalf,
which decisions might not be in their interest.
• Provincial and National sector departments
The IDP should guide where sector departments allocate their resources at local government level. At
the same time, the municipality should take into consideration the sector departments’ policies and
programmes when developing its own policies and strategies. It is in the interest of the sector
departments, therefore to participate in the integrated development planning process to ensure that
there is alignment between its programmes and that of municipalities.
➺ PRINCIPLES OF PUBLIC PARTICIPATION

Since the IDP involves participation of a number of stakeholders, it is crucial for the municipality to adopt an
appropriate approach and also put in place appropriate structures to ensure effective participation. Here are
some principles on participation:
• The elected council is the ultimate decision-making forum on IDPs. The role of participatory democracy is
to inform, negotiate and comment on those decisions, in the course of the planning/decision-making
process.
• Public participation has to be institutionalised in order to ensure that all residents of the country have an
equal right to participate. Institutionalising participation means:
– setting clear minimum requirements for participation procedures which apply for all municipalities by
means of regulations; and
– providing a legally recognised organisational framework.
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• Structured participation: Most of the new municipalities are too big in terms of population size and area
to allow for direct participation of the majority of the residents in complex planning processes.
Participation in integrated development planning, therefore, needs clear rules and procedures specifying
who is to participate or to be consulted, on behalf of whom, on which issue, through which
organisational mechanism, with what effect.
• Diversity: The way public participation is institutionalised and structured has to provide sufficient room
for diversity, i.e. for different participation styles and cultures. While there has to be a common
regulatory frame for institutionalised participation in the country, this frame has to be wide enough for
location-specific adjustments to be made by provinces and municipalities.
• Promotion of public participation by municipal government has to distinguish between:
– creating conditions for public participation, which is a must for all municipalities (in line with the MSA);
and
– encouraging public participation, which should be done in particular with regard to disadvantaged or
marginalised groups and gender equity in accordance with the conditions and capacities in a
municipality.
Guide I provides more guidance on public participation, namely:
• Tools, procedures and mechanisms for a structured process of public participation;
• Guidelines for creating conditions for public participation;
• Guidelines on the encouragement of public participation; and
• Guidelines on phasing public participation.
2.4 WHAT ARE THE ROLES AND RESPONSIBILITIES OF DIFFERENT SPHERES OF GOVERNMENT ?
The responsibility to prepare and adopt IDPs lies with municipalities. However integrated development
planning is an inter-governmental system of planning which requires involvement of all three spheres of
government. Some contributions have to be made by provincial and national government to assist municipal
planning.
The different roles and responsibilities between the three spheres include:
Sphere of
Roles and responsibilities
government
LOCAL To:
(a) Local • Prepare an IDP
municipality • Adopt an IDP
(b) District • Prepare an IDP

municipality • Adopt an IDP
• Provide support to poorly capacitated local municipalities
• Facilitate the compilation of a framework which will ensure coordination
and alignment between local municipalities and the district
(c) Metros • Prepare an IDP

• Adopt an IDP
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PROVINCIAL To:
(a) Department • Coordinate training
of Local • Provide financial support
Government • Provide general IDP guidance
• Monitor the process in the province
• Facilitate coordination and alignment between district municipalities
• Facilitate resolution of disputes between municipalities
• Facilitate alignment of IDPs with sector department policies and
programmes
• Assess IDPs
(b) Sector • Provide relevant information on sector department’s policies, programmes

Departments and budgets
• Contribute sector expertise and technical knowledge to the formulation of
municipal policies and strategies
• Be guided by municipal IDPs in the allocation of resources at the local level
NATIONAL To:
(a) Department • Issue legislation and policy in support of IDPs
of Provincial • Issue Integrated Development Planning Guidelines
and Local • Provide financial assistance
Government • Provide a national training framework
• Establish a Planning and Implementation Management Support System
(b) Sector • Provide relevant information on sector department’s policies, programmes

Departments and budgets
• Contribute sector expertise and technical knowledge to the formulation of
municipal policies and strategies
• Be guided by municipal IDPs in the allocation of resources at the local level
Table 2: Roles and responsibilities of different spheres
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3. AN OVERVIEW OF THE GUIDES
3.1 INTRODUCTION
The IDP Guide-pack is made up of 6 Guides, namely:
• Guide I – General IDP guidelines
• Guide II – Preparing for the IDP process
• Guide III – IDP methodology
• Guide IV – IDP toolbox
• Guide V – Sectoral and cross-cutting policy guidelines
• Guide VI – Implementation and Monitoring
Each one of the Guides, at different points of the IDP process, contribute to the preparation of an integrated
development plan that municipalities can implement and use as a management tool for the municipal area. It is
important for the people responsible for the management of the IDP process to be familiar with what each
Guide contains, and also to know how to apply it during the IDP process. The Guides need not be used in any
particular sequence. They should be interacted with regularly at different stages in the process.
There are many role-players in an IDP process, each one of them with specific roles and responsibilities that
they fulfil. Some of the Guides are targeted at specific role-players who fulfil specific roles in the process.
However all other role-players should have access to all the Guides should they require more in-depth
understanding of the content of each Guide.
3.2 A SHORT DESCRIPTION OF EACH GUIDE
i. Guide I: General IDP guidelines
✰ Purpose
Guide 1 provides more in-depth information on the purpose and practice of integrated development
planning. It has the following purpose:
• To create better awareness of the relevance and benefits of IDP; and
• To provide clear guidance on the IDP process, expected outcomes and interrelationships with other
processes which can help to fulfil the legal minimum requirements of the Municipal Systems Act.
✰ Target group
The municipal managers and IDP managers require a clear understanding of Guide 1 in order to be
able to properly coordinate and manage the process, whereas the professional planners and
facilitators need it to be able to appropriately lead the process. Other actors must understand the
context of integrated development planning and how they can contribute effectively.
✰ Content of the Guide
The following outline is contained in Guide I:
• Why Integrated Development Planning guidelines?
• Purpose of municipal Integrated Development Planning
• Consideration of existing national policy guidelines
• Implications of municipal Integrated Development Planning on an inter-governmental system of

development planning
• Aligning municipal sector planning and integrated development planning
• Roles and responsibilities of district and local municipalities

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• Organisational arrangements for Integrated Development Planning
• Planning approach and methodology
• Public participation in the integrated development planning process
• Support systems for municipal planning
• Assessment and approval of IDPs
• Legal status of IDPs.
✰ Where to consider in the IDP process
Guide I is useful to refer to during the preparation stage.
ii. Guide II: Preparing for IDP
✰ Purpose
Before any municipality could commence with the planning process, it has to do some preparation.
The purpose of Guide II is to assist municipalities with the preparation for the integrated development
planning process in order to:
• Ensure a well organised planning process with adequate and effective involvement of all relevant
actors
• Ensure that the IDP becomes a tool for institutional transformation
• Help municipalities to plan the process in line with the requirements of the Municipal Systems Act.
✰ Target Groups
The target groups for this Guide are: the municipal managers and IDP managers – to be able to
organise and manage the process accordingly, the professional planners – to be able to apply it in a
flexible and creative manner, and other actors – to get an overview in order to be able to fulfil their
roles in a competent manner.
✰ Contents of the Guide
Guide II provides guidance on:
(i) Process plan
(ii) Framework for IDP
(iii) Distribution of roles and responsibilities
(iv) Organisational structure
(v) Organising participation
(vi) Alignment and Assessment
Understanding Guide II is necessary before the commencement of the planning process. It assists
municipalities to prepare for the processes and the structures it will need to follow and set up for the
planning process. At the same time, Guide II is useful as a reference during the IDP process.
iii. Guide III: IDP methodology
✰ Purpose
The purpose of Guide III is to provide the municipality with methodological guidance for doing IDP.
The contents are summarised in section 4 i.e. planning process.
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✰ Target group
Guide III is targeted at those role-players who require a detailed and technical knowledge of the IDP
process because of the role that they play. The IDP manager requires a good understanding of Guide
III in order to be able to properly organise and manage the process. Professional planners and
facilitators also need a clear understanding to be able to lead the process and produce relevant
documentation.
This Guide is the crux of the planning process. It should be used in each phase of the planning
process.
iv. Guide IV: Toolbox
✰ Purpose
Guide IV is the toolbox which provides different analytical and decision-making planning tools and
techniques which can be applied during the planning process. The tools are optional and differ with
regard to applicability in different types of municipalities.
✰ Target group
The target group for Guide IV is professional planners and facilitators who have the responsibility of
applying the provided tools.
Guide IV has to be used in conjunction to Guide III. The tools are used at different stages of the
planning process and in some cases the same tool can be used on a number of occasions.
v. Guide V: Sectoral and cross-cutting policy guidelines
✰ Purpose
The purpose of Guide V is to make municipalities aware of other national and provincial principles and
programmes that should be taken into consideration when preparing municipal development plans.
✰ Target group
The target group includes municipal managers and IDP managers, as they have to ensure that the
relevant policies and programmes are considered in the municipal IDP and professional planners and
facilitators who need to know how the requirements can be accommodated in the process.
Guide V has to be used in conjunction with Guide III.
vi. Guide VI: IDP Implementation and Monitoring
✰ Purpose
The purpose of Guide VI is to guide municipalities on how to manage the implementation of IDPs.
✰ Target groups
The target groups are those that are charged with ensuring that implementation occurs in line with
the IDP i.e. Municipal Manager and Treasurer, and Heads of Departments and their officials
responsible for managing implementation of specific projects.
The Guide should be considered during the implementation and the monitoring and review phases.
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Diagram 1: overview of the guides
Guide I: General IDP Guidelines

Provides you with basic guidance on purpose, contents and institutional
aspects of IDP, which go beyond the minimum requirements as outlined in
the Municipal Systems Act.
Guide II: Preparing for IDP

Helps you to plan the planning process.
Guide IV: Toolbox Guide III: IDP Guide V: Sectoral

Offers you a variety Methodology and Cross-cutting
policy guidelines
of options for Information about:
Offers you guidance
planning tools/ • required outputs
on how to relate other
techniques to use • recommended (non-IDP-specific)
for each process. processes to general or sector
guide you through policies to the
the process. IDP.process.
Guide VI: Implementation and

Monitoring
Information about:
• Planning-Implementation links
• Institutional preparedness
• Management tools
• Monitoring and performance
Management tools
• Reviewing IDPs.
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4. AN OVERVIEW OF THE PLANNING PROCESS
This section provides a summary of the planning methodology that is recommended in the Guide-pack.
The detail on the methodology is contained in Guide III.
4.1 INTRODUCTION
Strategic planning general occurs in a cycle which is made up of four main stages:
• Planning – identification of issues, objectives and strategies.
• Resource allocation – human and financial resources are committed to the projects.
• Implementation – the actual execution of the projects which address the objectives.
• Monitoring and review – during planning performance indicators are formulated to monitor
implementation and its impact. The outcome of monitoring sometimes results in the adjustment of the
plan and implementation programme.
The integrated development planning process also follows a similar cycle and logic in the process outlined
below.
4.2 PREPARATION FOR THE PROCESS
• “IDP process plan”
There is some preparatory work that needs to be done prior to the commencement of the planning
process. Preparation involves the production of an “IDP process plan”. The programme is necessary to
ensure proper management of the planning process. It must contain the following:
– Institutional structures to be established for management of the process
– Approach to public participation
– Structures to be established for public participation
– Time schedule for the planning process
– Roles and responsibilities (who will do what)
– How the process will be monitored.
• “The framework for Integrated Development Planning”
Also as part of the preparation stage, the district council, in consultation with its local municipalities must
adopt a framework for integrated development planning. The framework determines procedures for
coordination, consultation and alignment between the district and the local municipalities and therefore
binds them both. The framework guides each local municipality in preparing its process plan.
Guide II provides detailed guidelines on preparing for planning.
4.3 THE METHODOLOGY

The Integrated Development Planning methodology consists of the following phases:
• The Analysis
• The Strategies
• The Projects
• The Integration
• The Approval
14
i. Phase 1: Analysis
✰ Process
The analysis phase deals with the existing situation. It is the focused analysis of the type of problems
faced by the people in the municipal area. The issues normally range from lack of basic services to
crime and unemployment. The problems identified are weighed according to their urgency and /or
importance to come up with those to be addressed first i.e. priority issues.
In identifying the problems, the municipality considers people’s perceptions of their problems and
needs, but also facts and figures. It is important during this phase that the municipality understands
not only the symptoms, but also the causes of the problems in order to make informed decisions on
appropriate solutions. Stakeholder and community participation is very critical in this phase. The
municipality must not make assumptions on what the problems are in its area. The people affected
should be involved in determining the problems and the extent of the problems.
It is important to determine the priority issues because the municipality will not have sufficient
resources to address all the issues identified by different segments of the community. Prioritisation
assists the municipality in allocating the scarce resources to those issues highlighted as more
important and /or urgent.
The municipality must be aware of existing and accessible resources and of resource limitations so
that realistic solutions are decided on.
✰ Outputs
The outputs of this phase are:
• Assessment of existing level of development

• Priority issues or problems
• Information on causes of priority issues/problems
• Information on available resources.
ii. Phase 2: Strategies
✰ Process
Once the municipality understands the problems affecting the people of the area and its causes, it
must then formulate the solutions to address the problems. This phase includes the formulation of:
• The vision – The vision is a statement indicating the ideal situation the municipality would like to
achieve in the long term. This is the situation the municipality would find itself in once it has
addressed the problems identified in Phase 1.
• The development objectives – once the priority issues are identified in Phase 1, they need to be
translated into objectives. Development objectives are statements of what the municipality would
like to achieve in the medium term in order to address the issues (problems) and also contribute to
the realisation of the vision. In other words the objectives should bridge the gap between the
current reality and the vision.
• The development strategies – Once the municipality knows where it wants to go (vision) and what
it needs to achieve to realise the vision (objectives), it must then develop strategies. Development
strategies provide answers to the question of how the municipality will reach its objectives. They
are strategic decisions about the most appropriate ways and means to achieve the objectives.
• Project identification
Once strategies are formulated, they result in the identification of projects.
Public participation takes place in Phase 2 in the form of a public debate on the appropriate ways
and means of solving problems.
15
✰ Outputs
Outputs of Phase 2 include:
• The vision
• Objectives
• Strategies
• Identified projects.
iii. Phase 3: Projects
✰ Process
Phase 3 is about the design and specification of projects for implementation. The municipality must
make sure that the projects identified have a direct linkage to the priority issues and the objectives
that were identified in the previous phases. It must also be clear on the target group (intended
beneficiaries), the location of the project, when it will commence and end, who will be responsible for
managing it, how much it will cost and where the money will come from. Furthermore targets and
indicators are formulated to measure performance and impact of the project.
✰ Outputs
The outputs of this phase include:
• Performance indicators
• Project outputs, targets, location
• Project related activities and time schedule
• Cost and budget estimates.
Designing projects requires input from specialists to work with project formulation teams.
Stakeholders and communities affected by a particular project participate in this phase on questions
related to project design.
iv. Phase 4: Integration
✰ Process
Once the projects are identified, the municipality must make sure that they are in line with the
municipality’s objectives and strategies, and also with the resource framework, and comply with the
legal requirements. Furthermore this phase is an opportunity for the municipality to harmonise the
projects in terms of contents, location and timing in order to arrive at consolidated and integrated
programme e.g. a local economic development programme.
✰ Outputs
The output of this phase is an operational strategy which includes:
• 5 year financial plan

• 5 year capital investment programme
• Integrated Spatial Development Framework
• Integrated sectoral programmes (LED, HIV, poverty alleviation, gender equity etc)
• Consolidated monitoring/performance management system
• Disaster management plan
• Institutional plan
• Reference to sector plans.
16
v. Phase 5: Approval
✰ Process
Once the IDP has been completed, it has to be submitted to the municipal council for consideration
and approval. The council must look at whether the IDP identifies the issues (problems) that affect
the area and the extent to which the strategies and projects will contribute to addressing the
problems. The council must also ensure that the IDP complies with the legal requirement before it is
approved.
Futhermore, before the approval of the IDP, the municipality must give an opportunity to the public to
comment on the draft. Once the IDP is amended according to the input from the public, the council
considers it for approval.
✰ Output
The output of this phase is an approved IDP for the municipality.
vi. Provincial assessment
Once a municipality has adopted its IDP, it must, within 10 days of adoption, submit a copy thereof,
together with the “Process plan” and the “Framework for the IDP” (in the case of a District
Municipality), to the MEC of the province for assessment. The Municipal Systems Act does not require
the MEC to approve the IDP, only to assess that the IDP complies with the requirements of the Act and
also that it is not in conflict with IDPs and strategies of other municipalities and organs of state.
17
Diagram 2: Overview of the planning process
Phase 1: Analysis
Compiling Existing Meetings with Community

Data and Stakeholder
Representatives
Agreeing on
Analysing the Context Priority Issues
of Priority Issues
Phase 2: Strategies
Agreeing on a vision Considering the relevance and

application of policy guidellines
and on objectives in the local context
Debate and decision-making on

appropriate strategies
Phase 3: Projects
Formulation of project proposals
Phase 4: Integration
Screening, adjusting, Compilation of integrated

consolidating and agreeing
on project proposals programmes
Phase 5: Approval
Inviting and incorporating

comments Adoption by the council
18
4.4 WHAT AN IDP MIGHT LOOK LIKE
Form and content of an IDP document is largely (with exception of those contents prescribed in the Municipal
Systems Act) subject to the discretion of each municipality. Therefore, a list of contents is not prescribed.
A list of contents is, however, quite a useful tool to provide an idea of how an IDP might look. The following
example may help to get an impression, but it should not prevent anyone from developing his/her own creative
ideas.
LIST OF CONTENTS No of pages
1. The Planning Process (3 – 6)

1.1 Institutional arrangements/roles and responsibilities (1 – 2)
1.2 Process overview: Steps and events (1 – 2)
1.3 Self-Assessment of the Planning Process (1 – 2)
2. The Situation (30 – 40)

2.1 Current Reality: Basic facts and figures (3 – 5)
2.2 Summary of community and stakeholder Priority Issues (1 – 2)
2.3 Priority Issues from a Municipal Perspective (1 – 2)
2.4 Spatial Analysis: Patterns and trends (2 – 4)
2.5 Social Analysis: Poverty situation and gender-specific issues (2 – 3)
2.6 Economic Analysis: Major patterns and trends (1 – 2)
2.7 Environmental Analysis: Major risks and trends (1 – 2)
2.8 Institutional Analysis: Strengths and weaknesses
of the municipal administration (1 – 2)
2.9 Priority Issues in Context: Summary reports on in-depth analysis (15 – 20)
3. Development Strategies (25 – 40)

3.1 The Municipal Vision (1)
3.2 Localised Strategy Guidelines (15 – 20)
3.3 Objectives and strategies for each Priority Issue
(including objectives, available resources, alternatives taken
into consideration, assessment and proposed strategy) (10 – 15)
3.4 Financial Strategy (1 – 2)
3.5 Summary list of identified projects (1 – 2)
4. Projects 1 page project format per project (see 3/3) (15 – 30)
5. Operational Strategies (16 – 25)

5.1 Operational 5-year Action Plan (1 – 2)
5.2 5-year Financial Plan (1 – 2)
5.3 Capital Investment Programme (1 – 2)
5.4 Integrated Spatial Development Framework (3 – 5)
5.5 – 5.8 Integrated Social, economic, environmental
and institutional programmes (6 – 10)
5.9 Disaster Management Plan (2 – 3)
5.10 Monitoring and information flow system (2 – 3)
(90 – 140)
19
Diagram 3: IDP support system
Sustainable Municipal
Poverty Reduction Sound Environment
Development
Better Service
Delivery
– faster Local Economic Institutional
Spatial Integration
– more Development Transformation
appropriate
– more effective
Monitoring and
evaluation
Planning
Implementation Management
Capacity Building
20
The Department of Provincial and Local Government (DPLG) has a legislative mandate to provide an enabling
environment for municipalities to fulfil their responsibility to prepare IDPs. DPLG’s support strategy is made up
of four pillars as indicated in the above diagram.
I. LEGAL AND POLICY FRAMEWORK

The Municipal Systems Act and the policy framework provide municipalities with an enabling legal
framework for engaging in integrated development planning.
II. IDP GUIDE-PACK

The IDP Guide-pack provides municipalities with approaches, methods and tools for doing IDPs.
iii. IDP TRAINING

In order to increase the capacity of those involved in the IDP particularly the councillors and the officials,
DPLG has developed a national curriculum development framework which is meant to assist service
providers in developing the appropriate curriculum for IDP training.
Based on the curriculum framework and in conjunction with South African Local Government Association
(SALGA), DPLG has developed an IDP training programme. The training to be provided to various role-players
is targeted training. It is based on the different roles different role-players fulfil in an IDP process and hence
the type of skills they require to be able to effectively fulfil their roles. For information on available training
programmes, municipalities can contact the DDP Task Team (See page 22 for contact details).
IV. PLANNING AND IMPLEMENTATION MANAGEMENT SUPPORT

SYSTEM (PIMSS)
• What is PIMSS?
Preparation of IDPs is a new requirement for South African Local Government. The majority of
municipalities do not have sufficient capacity to do IDPs on their own. To support municipalities, DPLG
initiated the PIMS System. PIMSS is a national IDP support system which has been established to
provide support to municipalities in the preparation and implementation of IDPs. The core element of
the PIMSS is the Planning and Implementation Management Support Centres (PIMS-Centres).
The PIMS-Centres are established at the district council level and their mandate is to assist local
municipalities, which have limited capacity, with the IDP process.
The PIMS-Centres are staffed by experienced professionals with qualifications and experience in local
government, development planning and facilitation as well as other relevant skills required for the
integrated development planning process.
• Who can benefit from PIMSS?
The establishment of PIMSS is geared towards assisting local councils, however at the same time
other stakeholders and community groups can access the PIMSS if they require any form of
assistance e.g. how to organise themselves in order to participate effectively in the IDP process.
The PIMS-Centre staff would provide the assistance directly or refer a role-player to relevant service
providers who have the expertise.
CONCLUSION
As illustrated in the diagram, the combination of the 4 pillars of capacity-building provides an enabling
environment which enables municipalities to produce proper IDPs which address the issues of:
– service delivery;
– local economic development;
– institutional transformation; and
– spatial integration,
which would ultimately result in the improving quality of life at a municipal level.
21
Useful contacts
key departmental contact persons

Name Position Telephone Fax E-mail
Mr Elroy Africa Acting DDG: (012) 334-0799 (012) 334-0763 Elroy@dso.pwv.gov.za
Governance and
Development
Ms Esme Magwaza Director: (012) 334-0823 (012) 334-0612 Esme@dso.pwv.gov.za

Development
Planning and LED
ddp task team (idp programme)

Mr Yusuf Patel DDP Manager (012) 334-0805 (012) 334-0808 Yusuf@dso.pwv.gov.za
Dr Theo Rauch GTZ – DDP adviser (012) 334-0802 (012) 334-0808 Vira@dso.pwv.gov.za
Ms Musa Majozi Task Team member (012) 334-0803 (012) 334-0808 Musa@dso.pwv.gov.za
Ms Vira Denton Administrator (012) 334-0806 (012) 334-0808 Vira@dso.pwv.gov.za
Mr Marc Feldman Task Team member (011) 487-1002 (011) 487-1025 Marcfeld@global.co.za
Ms Maria Coetzee Task Team member (012) 841-2552 (012) 841-4036 Mjcoetze@csir.co.za
idp provincial coordinators

Ms Mosa Molapo KZN (0333) 95-2114 (0333) 42-8825 Molapom@lgh.kzntl.gov.za
Ms Andrea Steenkamp North West (018) 387-3605 (018) 387-3608 Asteenkamp@nwpg.org.za
Mr Thabo Mathabathe Northern Cape (053) 830-9538 (053) 831-2904 Tmathabathe@pancmail.ncape.gov.za
Mr Eddie Scott Free State (051) 405-4415 (051) 403-3403 Dsp@majuba.ofs.gov.za
Mr Solly Maluleke Northern Province (015) 295-5400 (015) 295-3463 Malulekeps@locptb.norprov.gov.za
Ms Mani Molefe Mpumalanga (013) 755-3300 (013) 755-3363 Mmolefe@nel.mpu.gov.za
Mr Tebogo Moremi Gauteng (011) 355-5119 (011) 355-5262 Tebogo@gpg.gov.za
Mr Philip Globler Western Cape (021) 483-4326 (021) 483-4527 Pgrobler@pawc.wcape.gov.za
Mr Kojo Gyan Eastern Cape (040) 609-5466 (040) 609-5525 Gyan@dhlg1.ecape.gov.za
ddp steering committee

As above, with the following additional members:
Mr Chris du Plessis DLA (012) 312-9357 (012) 312-9348 Hcduplessis@sghq.pwv.gov.za
Ms Lize Coetzee DoT (012) 309-3428 (012) 323-9370 Coetzeel@ndot.pwv.gov.za
Mr H Makobe SALGA (012) 338-6700 (012) 338-6747 Hmakobe@salga.org.za
Ms Bev Pretorius DWAF (012) 338-8812 (012) 321-1193 Pretoriusb@dwaf.pwv.gov.za
Mr Diet von Broembsen DoH (012) 421-1453 (012) 341-8893 Diet@housepta.pwv.gov.za
Ms Emmarie Behrens DEAT (012) 310-3745 (012) 320-5469
pimss national task team

Marion Mbina Pimss Manager (012) 334-0788 (012) 334-0790 Pimss@dso.pwv.gov.za
Nomalizo Zibi Administrator (012) 334 0788 (012) 334-0790 Pimss@dso.pwv.gov.za
Katharina Hubner GTZ junior Adviser (012) 334-0839 (012) 334-0790 Katharina@dso.pwv.gov.za
Pinky Kunene Task Team member (012) 334-0788 (012) 334-0790 Pinky@dso.pwv.gov.zav
Kentse Sesele Task Team member (012) 334-0788 (012) 334-0790 Seselek@worldonline.co.za
Danso Agyemang Task Team member (012) 334-0788 (012) 334-0790
other dplg programmes

Name Programme Telephone Fax E-mail
Karen Harrison LED (012) 334-0801 (012) 334-0763 Karen@dso.pwv.gov.za
Sam Choshi Social Plan (012) 334-0755 (012) 334-0610 Sam@dso.pwv.gov.za
Richard Kruger CMIP (012) 334-0744 (012) 334-0610 Richard@dso.pwv.gov.za
Zama Nofemela MSP (012) 334-0750 (012) 334-0610 Zama@dso.pwv.gov.za
22
G u i d e I
g u i d e l i n e s
IDP
TABLE OF CONTENTS
1. WHY INTEGRATED DEVELOPMENT PLANNING GUIDELINES?
1.1 Policy context
1.2 Integrated development planning experience
1.3 The purpose of these guidelines
1.4 The nature of the guidelines
2. PURPOSE OF MUNICIPAL INTEGRATED DEVELOPMENT PLANNING
2.1 Historical context
2.2 International trends in municipal planning
2.3 Existing legal and policy framework
2.4 Doubts and misunderstandings
2.5 Purpose
3. CONSIDERATION OF EXISTING NATIONAL POLICY GUIDELINES AND PRINCIPLES IN

INTEGRATED DEVELOPMENT PLANNING
3.1 What the White Paper says
3.2 What the Development Facilitation Act says
3.3 Integrated development planning experience to date
3.4 Incorporating national policy guidelines and principles
4. IMPLICATIONS OF MUNICIPAL INTEGRATED DEVELOPMENT PLANNING FOR AN

INTER-GOVERNMENTAL SYSTEM OF DEVELOPMENT PLANNING
4.2 Experience to date
4.3 Principles of an inter-governmental planning system
4.4 Guidelines for the distribution of roles and responsibilities
4.5 Guidelines for linkages between the spheres of government and between municipal
and sectoral planning
5. ALIGNING MUNICIPAL SECTOR PLANNING AND INTEGRATED DEVELOPMENT PLANNING

5.3 The approach to formulating alignment guidelines
5.4 Guidelines for aligning municipal sector planning and integrated development planning
6. ROLES AND RESPONSIBILITIES OF DISTRICT AND LOCAL MUNICIPALITIES

6.3 Principles for distribution of roles and responsibilities
6.4 Guidelines for the distribution of roles and responsibilities according to planning phases
7. ORGANISATIONAL ARRANGEMENTS FOR INTEGRATED DEVELOPMENT PLANNING

7.3 Principles for role distribution
7.4 Guidelines for the distribution of roles and responsibilities
8. PLANNING APPROACH AND METHODOLOGY

8.1 Legal and Policy Requirements
8.2 Experiences to date
8.3 Principles for the planning approach
8.4 Guidelines for answering the HOW-question
9. PUBLIC PARTICIPATION IN THE INTEGRATED DEVELOPMENT PLANNING PROCESS

9.3 Principles of public participation
9.4 The functions and context of public participation in the integrated development planning process
9.5 Tools, procedures and mechanisms for an institutionalised and structured process of public
participation
9.6 Guidelines for creating conditions for public participation
9.7 Guidelines on the encouragement of public participation
9.8 Guidelines on phasing public participation
10. SUPPORT SYSTEMS FOR MUNICIPAL PLANNING

10.3 Principles of an integrated development planning support system
10.4 Guidelines on roles and responsibilities within an integrated development planning support system
11. ASSESSMENT AND APPROVAL OF IDPs

11.3 Guidelines for the Assessment/Approval process
12. LEGAL STATUS OF IDP s

4 12.3 Guidelines for insuring the impact of IDPs
1. WHY INTEGRATED DEVELOPMENT PLANNING GUIDELINES?
1.1 POLICY CONTEXT
When Integrated Development Plans (IDPs) were made a legal requirement for municipalities in the Local
Government Transition Act (LGTA)/Second Amendment (1996), their conceptualisation at a policy level was very
limited. Furthermore, the requirements of integrated development planning overlap to some extent with the
planning requirements of Land Development Objectives (LDOs) as established by the Development Facilitation
Act (DFA) of 1995. The DFA Principles have provided a useful policy framework with regard to the spatial
dimension of development planning, but not beyond.
Crucial elements of a policy, legal and methodological framework for IDPs were established after the IDP
process (inter-linked with the preparation of LDOs ) had already started. These are contained in the White Paper
on Local Government (WPLG, March 1998) as a general policy frame, the Municipal Systems Bill (MSB), which
is supposed to become an Act in 2000, and the Integrated Development Planning Manual (September 1998).
The White Paper presented:
i. A sound contextual justification of integrated development planning as a tool for “developmental local
government”, in particular for:
– objective-oriented resource allocation;
– institutional transformation within municipalities (integrated development planning as a means of inter-

sectoral strategic management);
– interaction with other spheres of government; and
– transparent interaction between municipalities and residents, in line with the principle of accountability.
ii. A list of policy principles that integrated development planning is expected to follow, such as basic needs
orientation, poverty alleviation and environmental sustainability.
iii. A list of methodological guidelines including prioritising, strategic focus, incremental approach, medium-term
planning and a multi-sectoral approach.
iv. A sequence of planning steps.
The Municipal Systems Bill, which defines integrated development planning as one of the core functions of a
municipality in the context of its developmental orientation, focuses on defining minimum requirements:
– with regard to the contents of an IDP; and
– with regard to the integrated development planning process.
It refers to the role of municipal planning within the overall context of co-operative government. In the chapter
on “Public Participation” the MSB defines principles, mechanisms, processes and procedures for public
participation which apply, among others, to the integrated development planning process.
Two other legal documents which resulted from the WPLG have some indirect relevance for integrated
development planning. The Municipal Demarcation Act initiated a new demarcation process that has resulted
in a dramatically reduced number of municipalities which are larger and in a better position to become viable
local government units. The Municipal Structures Act gives district municipalities more of a role in supporting
local municipalities in drafting IDPs.
The Integrated Development Planning Manual attempts to provide methodological guidance to all actors
involved in the integrated development planning process to enable them to cope with the new task. It offers a
step-by-step approach with a sequence of planning tools. In contrast to policy and legal framework documents,
it has a non-prescriptive, enabling character. It serves as a basis for training courses and for information and
advice services. It is also subject to continuous modification based on experience and new know-how.
As most of the LDO/ integrated development planning processes were started before this newly emerging
framework was put in place, the quality of the integrated development planning process and outcomes was
only to a very limited degree influenced by this framework.
5
1.2 INTEGRATED DEVELOPMENT PLANNING EXPERIENCE
In most municipalities the integrated development planning processes and their outcomes, the planning
documents, fell short of the basic requirements of integrated, strategic development planning. The process
caused considerable confusion and sometimes frustration among those involved.
Rather than being used as a tool to deal with the real issues of residents and communities in a strategic,
developmental and delivery-oriented manner, many municipalities did no more than fulfil the legal requirement
through their consultants in a mechanistic manner. As a result the outcomes were often no more than
unrealistic shopping lists of investment proposals and some sort of structure plans.
These deficiencies can be attributed in part to capacity limitations in local government, an over-complicated
methodology which might encourage a mechanistic planning approach and the non-availability of appropriate
support systems which forced many municipalities to rely on planning consultants. Moreover, both the process
and the institutional arrangement of transitional local government were new to all the actors involved. A number
of deficiencies, however, are related to the absence of a clear policy framework. The transitional legislation and
the related confusion about LDOs and IDPs were certainly part of the problem. But some of the policy-related
deficiencies, as described below, still need to be addressed.
• The purpose of integrated development planning was not sufficiently clear: in some local authorities it was,
due to its close link to LDOs, perceived as a special spatial planning requirement; in others it was regarded
as a more participatory way of arriving at lists of investment projects for external financing. Hardly anywhere
was it seen as a municipal mainstream process to allocate available and accessible resources around certain
development priorities and strategies.
• As a consequence the outcome of IDPs was usually not much more than a list of project titles without
further specification and without implementation strategies. There was no evidence from most of the
planning documents that overall development policy guidelines such as poverty alleviation, economic growth
or environmental sustainability were considered.
• There was no clear and agreed procedure how integrated development planning should be inter-linked with
planning of other spheres of government and with sectoral planning. In other words, municipal planning is
supposed to be part of an inter-governmental planning system which does not yet exist. Neither is there
sufficient clarity to assist municipalities to overcome the confusion of multiple legal planning requirements.
• There was no clear statement on the way the IDPs of local and district municipalities should be interrelated
(except that they should be done at the same time and inform one another). As a consequence local
municipalities and district municipalities either did their planning in parallel without informing one another, or
local municipalities waited for the districts.
• There was no clear and realistic institutional concept related to the distribution of roles and responsibilities
for the integrated development planning process. Ambitious and vague statements saying that the municipal
governments themselves should be the owners and “drivers” of the process were not appropriate for local
authorities without professional capacity. Due to a lack of guidance on a more specific and realistic
distribution of roles and responsibilities, municipal managers tended to outsource the whole responsibility
for the integrated development planning process.
• Accordingly the question of an appropriate support system for municipal integrated development planning
had not been answered. Aside from some organisational guidance from the provinces, planning consultants
were the only accessible support system.
• Fundamental methodological questions with regard to the planning approach such as:
– prescriptive, linear and rationalistic methodologies versus interactive, negotiated, issues-focused

discussion and decision-making processes;
– the design of the planning-budgeting-implementation link; and
– the IDP – land management link etc,
were left to the technical level of consultants. They had not been not settled at a policy level.
6
• Most municipalities and their consultants were unable to organise the public participation process in a
meaningful way, as basic guidelines were missing.
• While the approval of LDOs was settled by the DFA, it was not clear on what basis and by whom IDPs
should be approved and/or assessed.
• The legal status of integrated development planning needs further clarification.
Unless such crucial policy issues are clarified, all efforts in the fields of capacity building, establishment of
support systems and refinement of planning methodology will have only a limited impact on the quality of
integrated development planning processes and their developmental outcomes.
There is a wide conceptual gap between the broad policy framework of the WPLG and the minimum
requirements defined in the MSB on the one hand, and the design of specific planning methodologies as
outlined in the Integrated Development Planning Manual, on the other. This gap must be bridged to enable
local government to make good use of integrated development planning as a tool.
1.3 THE PURPOSE OF THESE GUIDELINES
The purpose of these guidelines is to ensure that all actors involved in the integrated development planning
process (including trainers and professionals involved in the development of tools and in drawing up
regulations) understand the purpose of integrated development planning, the distribution of roles and
responsibilities, and the planning procedures. This will allow them to arrive at strategic and realistic
decisions related to people’s priority issues in a consultative and integrated manner, and implement
problem-solving measures faster and more appropriately.
These guidelines are one of the four crucial prerequisites for making integrated development planning an
effective tool for more developmental local government. The others are: methodology development;
preparation of training programmes; and the establishment of a support system.
The areas for which further policy guidance is required are related to the deficiencies outlined above.
They form the basis for the structure of these guidelines:
Chapter 2: Purpose of municipal integrated development planning.
Chapter 3: Consideration of national guidelines and principles in integrated development planning.
Chapter 4: Implications of municipal integrated development planning for an inter-governmental system

of development planning.
Chapter 5: Aligning sector planning requirements and integrated development planning.
Chapter 6: Inter-linking integrated development planning processes between district and local
municipalities.
Chapter 7: Organisational arrangements for integrated development planning within a municipality.
Chapter 8: Support systems for municipal integrated development planning.
Chapter 9: Planning approach and methodology.
Chapter 10: Public participation in integrated development planning.
Chapter 11: Assessment and approval of IDPs.
Chapter 12: The legal status of IDPs.
These areas have been subject to analysis during the integrated development planning pilot assessment
process. Some of them were explored in more detail through specific policy research studies.
7
1.4 THE NATURE OF THE GUIDELINES
The guidelines are meant to provide guidance and direction where required. It goes well beyond legal minimum
requirements. Its intention is to enable the responsible actors to make effective use of integrated development
planning as a tool for developmental local government. The guidelines are therefore drafted in accordance with
the following criteria:
• Flexibility: The guidelines will allow for learning processes and for the incorporation of innovations in
planning and management approaches. The framework will encourage diversity of planning styles, given the
diversity of the local realities of South African municipalities.
• A minimum degree of uniformity: The guidelines have to find the balance between providing space for
flexibility within its frame and limiting that space to ensure a certain common ground, common rules,
common language. The degree of commonality in municipal planning is determined by people’s equal
democratic rights in their society, and by the necessity for integrated development planning to form part of a
nation-wide planning system, which requires smooth interaction between and within the three spheres of
government.
• Achievable planning requirements: The guidelines have to keep planning costs low and encourage local
ownership by keeping planning requirements as simple as possible, taking the limited resources and staff
capacities of most municipalities into account. Nevertheless, it will take into consideration that a certain
quality of planning is necessary to avoid wasting money on inappropriate investments. Accordingly, planning
methods may have to differ between Category A (metropolitan) and C (district) local authorities on the one
hand, and Category B (local municipalities) on the other.
• Developmental orientation: Developmental local government is, in accordance with the WPLG, local
government committed to working with citizens and groups within the community to find ways to meet
their social, economic and material needs and improve the quality of their lives. This has implications for the
integrated development planning process (which has to involve the public) and the outcome (which has to
be related to overall developmental objectives). These guidelines are intended to help translate the required
developmental orientation of integrated development planning into practical guidelines and directions.
• Delivery orientation: Any planning guidelines have to keep in mind that planning is not an end in itself but a
tool to arrive at more appropriate, effective and faster delivery of services to the people. Keeping a close
and transparent link between planning, improved public management and delivery is, therefore, the most
important guiding principle for the guidelines.
These guidelines will enable actors involved in the integrated development planning process to look at it as not
just a capacity-consuming legal requirement, but as a tool for better management and co-ordination of decision-
making and implementation, related to public services and general development objectives within their area of
responsibility.
2. PURPOSE OF MUNICIPAL INTEGRATED DEVELOPMENT

PLANNING
2.1 HISTORICAL CONTEXT
For more than five decades after the advent of municipal planning in South Africa in the 1930s, in most cases
planning at the local level:
• was very technical in nature with little or no participation from other role-players such as communities;
• focused on the controlled use of land through a range of complicated statutory mechanisms;
• furthered the aims of the Apartheid dispensation in promoting racially segregated spatial, social and
economic development;
• was based on the perceived needs of the privileged groups in society;
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• predominantly sector based, with transport, land use and infrastructure plans being prepared by municipal
departments in isolation from one another;
• inflexible and of a blue-print nature;
• indifferent on issues of environmental sustainability and economic viability;
• concerned with physical development and sectorally-structured infrastructural delivery programmes by the
public sector;
• unconcerned with the social and economic dimensions of development such as poverty alleviation, social
health and welfare; and
• weak on the facilitation of private sector investment.
During the early 1990s, various negotiating forums (such as the Local Negotiating Forum and the National
Housing Forum) conceived the notion of integrated development planning in reaction to this outdated and
inappropriate way of planning. At the same time, the idea of integrated planning was gaining international
ground as a response to the fragmented, ad hoc project based approaches to planning in the 1980s, a move
towards integration in technology, and the environmentalists’ concern for a holistic perspective on
development.
The ANC Policy Guidelines for a Democratic South Africa, 1992 proposed that a new system of municipal
planning should:
• ensure maximum involvement of all communities and stakeholders;
• be directed at those in greatest need;
• strive to break down Apartheid privilege, geography and institutional structures;
• be aimed at ensuring integrated and sustainable development; and
• be focused on delivery.
By 1995 “Integrated Development Planning” had emerged as a distinct approach to planning and was being
promoted by the RDP Office and the intergovernmental Forum for Effective Planning and Development (FEPD).
The FEPD defined integrated development planning as: “...a participatory planning process aimed at integrating
sectoral strategies, in order to support the optimal allocation of scarce resources between sectors and
geographic areas and across the population in a manner that promotes sustainable growth, equity and the
empowerment of the poor and the marginalised”.
These ideas were further elaborated in the Reconstruction and Development Programme, concretised in
The Constitution and articulated further in a range of policy documents including the White Paper on Local
Government and the Green Paper on Development Planning. They were also given legal substance in
legislation such as the Development Facilitation Act, 1995, the Local Government Transition Act Second
Amendment Act, 1996, the Municipal Structures Act, 1999, and the Municipal Systems Bill, 2000.
2.2 INTERNATIONAL TRENDS IN MUNICIPAL PLANNING
i. Decentralisation of planning
International experience suggests that truly democratic and developmental local government should play an
expanding role in planning, managing and implementing development at a local level.
The international trend of “thinking globally and acting locally” has translated into a growing tendency to
decentralise government in general, and planning in particular.
– In India a constitutional amendment in 1992 provided for the substantial devolution of functions,
including that of urban planning to urban local bodies.
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– All local authorities in Germany are required to prepare their own plans although they need to be
consistent with the plans of other spheres.
– In Malaysia local authorities prepare plans and projects that address local needs and complement
national proposals.
– Indonesia has an annual bottom-up regional development planning process, which starts at the village
level.
The South African Constitution (1996) responded to this trend by creating local government as a
distinctive, yet interrelated sphere of government with its own executive and legislative authority and an
important developmental mandate. One of the key tools for this new form of developmental local
government is the integrated development planning process.
ii. Democratisation of planning
The global democratisation trend emphasises the need for the fair and equitable distribution of resources
and services to the population as a whole. This trend also translates into the practice of participatory
planning for ordinary citizens to have a say in the real issues affecting their lives.
Participatory planning implies that individuals, groups and organisations should have access to information
relevant to development and be able to participate in decision-making processes for the areas in which they
live and work. The purpose of participatory planning is essentially to deepen democracy and represents a
shift from the concept of “government” to the concept of “governance”. The proponents of participatory
planning believe that greater local government/community interaction will result in improved planning and
development implementation especially at a local level.
In 1992, the leaders of 179 countries signed a global action plan for sustainable development called Agenda
21 based on the assumption that development issues can only truly be addressed by the participation and
co-operation of local authorities through participatory local planning processes. Local Agenda 21 suggests
that municipalities undertake a consultative planning process with their populations and achieve consensus
on the development agendas of their local communities. It regards broad public participation in decision-
making as one of the fundamental pre-requisites for sustainable development.
In South Africa, all development related legislation passed since 1994 requires participative processes in
plan formulation. The Municipal Systems Act (2000) redefines the concept of a municipality to include the
community, which emphasises the need for the collaborative setting of local development priorities.
iii. Changing conceptions of government
Currently government tends to be seen as an “enabler” of service delivery to its citizens. Municipalities are
regarded as vehicles for local economic development, implying that they should create the climate and
conditions that are favourable to investment and economic growth. Municipalities should increasingly seek
to establish partnerships with other stakeholders in the provision of services through ensuring interaction
and communication and the building of alliances around local development.
In the South African situation, local economic development is regarded as an important outcome of the
integrated development planning process. The municipal planning process should create the platform for
putting development issues on the development agenda of the municipality and creates opportunities for
establishing co-operation and partnerships in support of local development.
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iv. The pursuit of sustainability
Another international trend, the pursuit of sustainable development, promotes the importance of integrating
environmental concerns into social and economic development decision-making processes.
According to Local Agenda 21 and the international Habitat Agenda, “development should support
community life and power and distribute the benefits of development equitably, in order to sustain them
over the long term”. Continued economic growth is commonly held to be unsustainable unless it
compliments and augments the processes of ecological and community development.
Sustainable development best practices are not isolated to first-world countries like Canada, Australia and
New Zealand. The UNDP is just one of a host of major international role-players that promotes people
centred development in support of sustainable development in developing countries.
– The city of Curitiba in Southern Brazil has been widely lauded as a model of sustainable planning and as
a “third world City that really works”.
– Calcutta in India has attracted worldwide attention with sustainable solutions to the treatment and use of
sewage.
– The City of Greater Montego Bay in the West Indies developed a community driven integrated
development plan and is regarded as a model for the sustainable development of both urban and rural
towns in Jamaica.
The sustainability debate has been taken up in various legal and policy documents in South Africa such as:
– the national development principles contained in the Development Facilitation Act;
– the definition of developmental local government in the White Paper on Local Government;
– Habitat and Local Agenda 21 initiatives driven by the National Department of Housing and the
Department of Environmental Affairs and Tourism;
– the Green Paper on Development and Planning; and
– the National Environmental Management Act.
v. The search for integration
The international search for integration is based on the premise that improved integration will contribute to
the more effective and efficient use of scarce resources. Some international examples of integrated
planning initiatives include:
– The formulation of an Integrated Development Plan for the Tibetan Refugee Community;
– The Regional Cities Integrated Development Programme in Thailand;
– Decentralised Integrated Development Planning Processes in Ghana;
– The Integrated Development of Small and Medium Towns in India; and
– The Integrated Development Programme for Belvedere on the Eastern Caribbean.
The search for integration in South Africa with its heritage of inequitable growth and development, and its
reality of countless demands and limited resources, is probably more complex and pronounced than anywhere
else in the world. South Africa can hardly afford expensive development mistakes. Instead, it needs to achieve
integration through integrated development planning with the view to harness the countries scarce resources in
a coherent and purposeful manner.
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2.3 EXISTING LEGAL AND POLICY FRAMEWORK
According to the Constitution (sections 152 and 153), local government is in charge of the development
process in municipalities, and it is in charge of municipal planning. The constitutional mandate to relate its
management, budgeting and planning functions to its objectives gives a clear indication of the intended
purposes of municipal integrated development planning:
– to ensure sustainable provision of services;
– to promote social and economic development;
– to promote a safe and healthy environment;
– to give priority to the basic needs of communities; and
– to encourage involvement of communities.
The WPLG is in line with the spirit of the constitution as it considers integrated development planning explicitly
as a tool for developmental local government. Besides relating integrated development planning to the
developmental outcomes which are largely in line with the objectives stated in the constitution, the WPLG
outlines why integrated development planning is considered a necessary tool to achieve these purposes.
Integrated development planning will:
– help to align scarce resources behind agreed policy objectives and programmes;
– make sure that actions are prioritised around urgent needs;
– ensure the necessary integration with other spheres of government, it will serve as a tool for
communication and interaction with them; and
– serve as a basis for engagement between local government and communities/residents1.
The MSB confirms the nature of integrated development planning as a legal requirement. With regard to the
purpose it refers to the Constitution.
According to the existing legal and policy framework, despite its legal status, it is clear that municipal integrated
development planning is not an end in itself, but a necessary tool to assist local government to achieve its
developmental outcomes or objectives.
The reasons for allocating the developmental role and the responsibility for integrated development planning to
the local government sphere, in spite of its capacity limitations, are:
• its relative closeness to the communities and residents, local places and conditions; and
• that it is the appropriate place from which to co-ordinate investment and the activities of different sectors
and actors in terms of location and time.
2.4 DOUBTS AND MISUNDERSTANDINGS
In spite of the fact that the Constitution, together with the WPLG, provide clear information about the purpose
of municipal integrated development planning, there are various doubts and misunderstandings among both
local government representatives and planning professionals:
• Some people doubt whether it is appropriate to spend more resources and time on planning when people
on the ground are anxiously waiting for delivery.
• Some people doubt whether it is worthwhile to do all this planning when there are hardly any financial
resources for development available, especially in most local municipalities.
• Others doubt whether planning is really a useful tool to achieve developmental outcomes.
1
Other tools are performance management and co-operation with local citizens and partners (public participation and municipal service
12 partnerships).
• Many officials at provincial and national level still tend to assume that integrated development planning is
exclusively related to local governments’ own budgets and activities.
• Due to its close inter relation with LDOs, many people (especially local government officials) associate
integrated development planning with spatial planning which has little to do with their field of responsibility.
Thus, integrated development planning is sectoralised.
• For many municipalities, the main purpose for drawing up IDPs (besides the fact that it is a legal
requirement) is to compile a list of investment projects for external funding, in particular for infrastructure
projects funded by DPLG.
Such misinterpretations and concerns demonstrate that more clarification on the purpose and rationale of
integrated development planning is necessary to convince some of the crucial role-players of the relevance and
usefulness of integrated development planning as a tool for social and economic development.
2.5 PURPOSE
The purpose of integrated development planning is faster and more appropriate delivery of services and
providing a framework for economic and social development in a municipality. A range of links exist between
integrated development planning and its developmental outcomes, which have great relevance, in particular in a
context of financial crisis of municipalities, urgency of service delivery, and employment generation. Integrated
development planning can contribute towards eradicating the development legacy of the past, making the
notion of developmental local government work and fostering co-operative governance.
i. Eradicating the development legacy of the past
• Integrated development planning is a mechanism to restructure our cities, towns and rural areas.
Apartheid planning entrenched the ideology of separate development in spatial development patterns.
Integrated development planning will redress these spatial imbalances and promote integrated human
settlement through:
– ensuring a shared understanding of spatial development opportunities, patterns and trends;
– the localisation of spatial development principles that promote integrated and sustainable development;
– the formulation of specific strategies aimed at the spatial restructuring of cities and towns; and
– the formulation of a spatial development framework that provides a spatial overview of planned public
and private sector investment.
• Integrated development planning is a mechanism to promote social equality.
The planning process is participatory in nature and allows for local processes of democratisation,
empowerment and social transformation. The integrated development planning process is designed in such
a way that all role-players and stakeholders have a voice in the issues affecting their lives.
• Integrated development planning is a weapon in the fight against poverty.
Integrated development planning should address severe social and economic imbalances such as the
urban/rural divide as well as adverse conditions affecting marginalised groups on the grounds of race,
gender, age or disability.
The Constitution requires that “a municipality must structure and manage its administration and budgeting
and planning processes to give priority to the basic needs of the community and to promote the social and
economic development of the community”. The strategies, projects and programmes that are generated
through the integrated development planning process must be assessed in terms of the extent to which
they assist in empowering and improving the living conditions of the disadvantaged.
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The holistic, integrated and participatory nature of integrated development planning allows poverty
alleviation to be addressed in a multi-faceted way. The IDP can do this through:
– focusing on areas of greatest need;
– prioritising projects that focus on the plight of the poor and the marginalised;
– addressing landlessness through implementing appropriate land reform initiatives;
– promoting local economic development; and
– preparing spatial frameworks that mainstream the poor into the economy.
• Integrated development planning is a catalyst in the creation of wealth.
Integrated development planning can assist in the promotion of socio-economic development through:
– levering funds from the other spheres of government, donor organisations and investors by defining and
packaging attractive projects and programmes;
– facilitating the creation of an environment that is conducive to private sector investment and the general
promotion of local economic development; and
– proposing direct interventions in the economy through, for example, providing incentives, developing
economic infrastructure, and buying, developing and leasing or selling land.
ii. Making the notion of development local government work
• Integrated development planning is a device to improve the quality of people’s lives through the formulation
of integrated and sustainable projects and programmes.
Integrated development planning is a cross-cutting process that integrates and co-ordinates all development
dimensions and sectors. The planning process:
– facilitates the formulation of integrated development strategies;
– considers the social, economic and environmental sustainability of development strategies;
– facilitates the process of making trade-offs between sectors through improved inter-sectoral prioritisation
processes; and
– ensures that all dimensions of development are adequately considered in the process of formulating
integrated and sustainable project and programmes.
• Integrated development planning lays the foundation for community building.
Integrated development planning is the platform for building a sense of community ownership within a
municipal area through:
– creating a shared vision for the future development of the municipal area;
– providing a public arena for discussion and making of trade-offs;
– nurturing common agreement around the most strategic and pressing development priorities in the
municipal area;
– transcending party political debates in order to harness support behind commonly agreed development
issues;
– providing a sound base for building partnerships around development; and
– fostering a shared understanding of cross-cutting development priorities such as poverty alleviation, local
economic development and environmental sustainability.
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• Integrated development planning is a strategic framework that facilitates improved municipal governance.
Integrated development planning provides a strategic framework that facilitates improved municipal
governance through:
– linking, integrating and co-ordinating plans and development proposals and other strategies, plans and
frameworks for the municipality;
– acting as the policy framework and basis on which the annual budget for the municipality must be
based;
– acting as a strategic framework for the decision-making processes of the council;
– providing the strategic framework for the development of operational systems such as financial
management, procurement and land-use management;
– aligning the financial resources and human capacity of the municipality with the implementation of
strategies, projects and programmes that will address the prioritised needs of the most deprived, and
maintain the existing infrastructure and economic activities in the municipality;
– assisting municipalities to focus on the environmental sustainability of their delivery and developmental
strategies;
– providing a clear, common orientation for the administration by allowing the municipal manager and
council to provide guidance and exercise control in relation to agreed and transparent objectives and
targets; and
– creating is a useful frame for implementation management, especially in municipalities with limited
management capacities.
• Integrated development planning is an agent of local government transformation.
The integrated development planning process and the transformation of local government are to some
extent in a “chicken and egg situation”. Some institutional transformation is required to ensure the
successful preparation and implementation of the integrated development planning process. The planning
process, however concerns itself with determining the strategies and functions that will require
amendments to municipal structure and form.
The integrated development planning process should result in a set of operational strategies that will ensure
that municipalities are able to deliver effectively and efficiently on the development priorities, objectives,
strategies, projects and programmes identified in the municipal planning process. The planning process will
promote institutional transformation in line with agreed priorities and objectives in order to give full effect to
local government’s new developmental mandate.
• Integrated development planning is a conduit/channel for attracting investment.
The integrated development planning process will create a climate of investment confidence by elaborating
clear and agreed upon medium term financial and capital investment plans.
– Integrated development planning is meant to inform municipal, provincial, national budgets and
programmes as well as funding agencies, residents of a municipality and anybody from outside who may
consider living or investing in the municipal area. It has neither an exclusively local government, nor an
exclusively external focus.
– The planning process should produce appropriate and feasible project proposals that will enable the
speedy allocation and utilisation of funds by various bodies. This will enable the integrated development
planning process to create frameworks for investment by putting in place clear targets and timeframes
for the implementation of projects and programmes.
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– South Africa has more funds available for financing projects at the local level than can be made use of.
This is due to a lack of good project proposals or business plans. Many local and international funding
agencies are desperately looking out for feasible project proposals. Such proposals (which should be
more than wish lists with project headings) require planning. Thus, the crucial bottleneck for delivery is
not finance but proper planning.
• Integrated development planning is an instrument to ensure more effective and efficient resource allocation
and utilisation.
IDPs enable municipalities to weigh up their obligations and systematically prioritise programmes and
resource allocation. In a context of great inequalities, IDPs serve as a framework for municipalities to
prioritise their actions around meeting urgent needs, while maintaining the overall economic, municipal and
social infrastructure already in place.
Where (financial) resources are available in abundance, there is little need for proper planning. The scarcer
the resources, the more relevant is planning, as planning means thinking systematically about alternative
ways to make use of scarce resources in the most beneficial manner. Preconceived standard solutions are
usually too expensive for municipalities, which are short of funds. Planning facilitates appropriate solutions,
by evaluating problem-solving alternatives in a participatory process. Poor communities cannot afford to do
without planning. IDP assists a municipality in allocating its scarce resources in a focused and sustainable
way.
• Integrated development planning is a vehicle to fast-track delivery.
The integrated development planning process puts in place a systematic and consultative process that:
– ensures a well informed, speedy, but sustainable decision-making process;
– minimises delays due to conflicts and non-acceptance during the implementation process;
– ensures the effective and efficient management and utilisation of financial and human resources in
support of implementation; and
– lessens situations where funds allocated for service provisions cannot be used in time due to a shortage
of professionally sound and approved project proposals.
• Integrated development planning is a barometer for political accountability and a yardstick for municipal
performance.
The IDP is tied to a political term of office, therefore:
– a municipal council and councillors can be held accountable for its implementation;
– communities may use the IDP as a yardstick to measure the performance of politicians; and
– councillors may use it as a way of measuring the effectiveness and efficiency of the administration and
to give effect to their political mandates.
Local government will constantly be challenged to motivate development decisions in the context of limited
resources. The integrated development planning process should provide the local authority with a clear,
objective and rational framework to guide development decisions and to create a basis from which to
measure the performance of the municipality.
iii. Fostering co-operative governance
• Integrated development planning is a mechanism for alignment and co-ordination between spheres of
government.
IDPs are vital tools to ensure the integration of local government activities with other spheres of
development planning at provincial, national and international levels, by serving as a basis for communication
and interaction.
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• Integrated development planning is a mechanism for alignment and co-ordination within spheres of
government.
Within the municipality the IDP plays the role of providing a basis for engagement between officials,
councillors, citizens and other stakeholders. Since this engagement is focused around practical concerns
such as budget allocation, it should do far more than provide a talk-shop. In the longer term this
engagement should promote more strongly networked localities, and also the building of alliances that
would make the new definition of “municipality” in the Municipal Systems Bill a reality.
IDPs serve as a basis for engagement between local government and citizens at local level, and with various
stakeholders and interest groups. Participatory and accountable government only has meaning if it is related
to concrete issues, plans and resource allocations.
3. CONSIDERATION OF EXISTING NATIONAL POLICY GUIDELINES

AND PRINCIPLES IN INTEGRATED DEVELOPMENT PLANNING
3.1 WHAT THE WHITE PAPER SAYS
The WPLG, in section B on “developmental local government”, states all national development policy
guidelines that are of particular relevance for local government. They are largely based on the constitution and
on fundamental national policy frameworks such as the Reconstruction and Development Programme (RDP)
and Gowth, Employment and Redistribution strategy (GEAR). They form the normative framework for the
contents of IDPs. These development policy guidelines and principles can be summarised as follows:
• Orientation towards people’s needs.
• Poverty alleviation with special consideration of marginalised and disadvantaged groups and gender equity.
• Environmentally sustainable development and a safe and healthy environment.
• Economic growth with creation of income and employment opportunities.
• Involvement of residents, communities and stakeholders.
• Sustainability of services, municipalities and settlements.
3.2 WHAT THE DEVELOPMENT FACILITATION ACT SAYS

The DFA, which is explicity referred to in the WPLG, adds some specific spatial development principles such as:
• integrated and liveable settlements;
• compact towns and cities (instead of urban sprawl);
• maximum use of existing infrastructure and services (rather than duplication); and
• equal consideration of formal and informal settlements.
As integrated development planning contributes to social and economic development, it must take these
principles into consideration.
3.3 INTEGRATED DEVELOPMENT PLANNING EXPERIENCE TO DATE
Most IDPs developed in 1998/99 did not reflect these guidelines and principles, nor any other explicit
normative points of reference. Aspects like social differentiation (e.g. disadvantaged groups or gender
differentiation), affordability and sustainability were frequently not addressed at all. There seemed to be a lack
of knowledge on how to consider such policy guidelines and principles, in the planning process.
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3.4 INCORPORATING NATIONAL POLICY GUIDELINES AND PRINCIPLES
Without going into procedural and methodological detail, these policy guidelines can provide some general
guidance and direction on ways and means of considering national development policy guidelines and
principles in municipal integrated planning.
• The principle of basic needs orientation has to be considered in the integrated development planning
approach by:
– identification of service gaps for basic services as part of the analysis;
– differentiation of priority needs assessed during the public participation phase by social strata, gender
and location, and classification of needs as basic or non-basic;
– making sure that a basic needs orientation is reflected in the objectives; and
– making sure that strategies are explicit with regard to the proposed ways of catering for basic needs-
related services.
In other words: IDPs have to give explicit answers about the degree to which, and how, they intend to
improve basic needs satisfaction.
• The policy guidelines of poverty alleviation and gender equity have to be considered by:
– including socio-economic and gender-specific differentiation of problems, needs and potential as part of
the analysis;
– identifying poverty groups and other specific problem groups in the analysis;
– encouraging the participation of poverty groups, special problem groups, women, youth etc., in the
public participation process through legitimate representatives, advocates or competent resource
persons;
– setting target group specific objectives, and by making sure that these objectives do address major
poverty issues, issues of crucial problem groups and crucial gender imbalances;
– assessing alternative strategies by considering their impact on poverty alleviation and gender equity;
– considering poverty and gender issues when designing project proposals (costs, location, accessibility
etc.); and
– designing the system of rates and tariffs in a gender and poverty sensitive manner.
IDPs, consequently, have to give an explicit answers on the expected contribution to poverty alleviation,
gender equity and crucial concerns of specific problem groups, and on how the municipality intends to
address those issues.
• The principles of environmental soundness and sustainability have to be incorporated by:
– identification of environmental degradation and risks during the analysis;
– involvement of competent stakeholders and/or resource persons in charge of environmental concerns in

the public participation process;
– making sure that major environmental problems and threats are reflected in the objectives;
– assessing alternative strategies by considering their environmental impact; and
– considering environmental aspects when designing project proposals.
In short, IDPs have to give an explicit answer on how the municipality will deal with environmental problems
and avoid negative environmental impact.
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• The policy guidelines related to promotion of economic growth, income and employment generation have to
be considered by:
– an analysis of economic structures, trends and potentials during the analysis, at least in category A and C
municipalities (for smaller category B municipalities this task may be too ambitious);
– involving the business community (including informal sector representatives) in the public participation
process;
– making sure that each municipality establishes an employment generation/LED strategy as part of its IDP
(category B municipalities may be given guidance through joint district-level strategy workshops to
comply with this task);
– deciding on measures for improving the institutional framework for private investment and for informal
sector activities; and
– deciding on areas for municipal service partnerships and on measures to promote such partnerships.
In other words: IDPs have to include an LED promotion strategy.
• The principle of involvement of residents, communities and stakeholders in all municipal processes will be
dealt with in detail in chapter 9 of this policy framework.
• The principle of sustainability of services, settlements and municipalities has to be addressed by:
– analysing cost-coverage rates for various services and problems and potential related to administrative
efficiency and effectiveness of service delivery during the analysis;
– addressing issues related to financial sustainability and cost-effectiveness and payment for services
during the public participation process;
– drafting objectives that take sustainability into consideration;
– deciding on alternative strategies on the basis of sustainability-related criteria; and
– considering financial sustainability when designing project proposals (service standards, etc.).
In short: IDPs must avoid the compilation of mere wish lists, and must be explicit on how the municipality
will make services as cost-effective as possible, and thereby affordable and sustainable.
• The DFA principles of integrated, liveable and compact towns and cities and of equal consideration of formal
and informal settlements have to be addressed in IDPs by:
– identifying problems and dynamics in the spatial system and the settlement patterns during the analysis;
– defining spatial development objectives and related spatial development strategies for the municipality;
– deciding on alternative locational options based on consideration of the DFA principles; and
– defining the land-use management tools to be applied to influence the spatial pattern in line with the
DFA principles.
In other words: IDPs have to include spatial considerations and have to be explicit on how to promote
development in line with basic spatial development principles as outlined in the DFA.
Only by considering these national development policy principles and guidelines, can IDPs become a useful
tool for sustainable municipal development that addresses the most urgent needs (through explicit
consideration of the basic needs of the poor) on the basis of utilising economic potential and of increasing
cost-effectiveness.
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4. IMPLICATIONS OF MUNICIPAL INTEGRATED DEVELOPMENT
PLANNING FOR AN INTER-GOVERNMENTAL SYSTEM OF
DEVELOPMENT PLANNING
The constitution wants “distinct, but interdependent spheres” of government. This implies that each sphere
is in charge of planning for the activities that are its responsibility, but that at the same time these activities, and
the corresponding plans by which they are guided, have to be aligned to one another.
The WPLG becomes more explicit on the distribution of roles and responsibilities, as well as on the way they
should be interrelated. It requires a mutual alignment, rather than a one-directional top-down or bottom-up
alignment. In this alignment process, local level planning has to be informed by national and/or provincial
policies, principles, strategies and standards, but the programmes of the other spheres of government must be
integrated and co-ordinated at the local level with due consideration for local needs, priorities and resources.
This applies to sectoral programmes as well as to multi-sectoral strategies. While the WPLG thus provides a
clear framework for inter-governmental interrelations, it is not very specific in saying what this means for the
system of development planning.
The MSB (draft 13-4-2000) does not go much further, saying that “the planning undertaken by a municipality
must be aligned with, and complement, the development plans and strategies of other affected municipalities,
organs of state of the province within which the municipality is located, and national organs of state ...” It does
not specify how this alignment (which can only be seen as a mutual process, given the participatory process of
planning required by the MSB) is to be achieved. It tends to put the responsibility for alignment on the
municipality, by asking it to adjust its plan if it is not aligned with development plans and strategies of other
organs of state.
4.2 EXPERIENCE TO DATE
Taking the distribution of government revenue between the spheres of government into account, IDPs can only
become powerful tools for developmental local government and for the required integration and co-ordination of
all government programmes within their jurisdiction, if there is:
– a significantly increased degree of fiscal decentralisation which would give IDPs more power to influence
delivery, and/or
– a well-designed and enforced inter-governmental planning system which would give IDPs more influence on
the way other spheres of government (including sector departments) spend their funds within
municipalities.
If both prerequisites are missing, IDPs will be a toothless tool and a useless exercise with little relevance for
delivery and little appreciation at local level.
There is another problem, closely related to the absence of fiscal decentralisation and/or an inter-governmental
planning system. As long as the implementation of IDPs depends on undefined ways of providing funds for
implementation of proposed projects, the incentive system for local councils will contradict the rules of
strategic planning. Rather than looking for the most cost-effective solutions and making strategic choices for
the best use of limited resources, councils tend to submit lengthy wish-lists because the system requires you
to ask for double what you really need in order to get anything at all. This incentive system discourages any
attempts at making best use of scarce resources.
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4.3 PRINCIPLES OF AN INTER-GOVERNMENTAL PLANNING SYSTEM
1. National development guidelines and principles have to inform development planning in all spheres.
2. Each sphere has its own distinct developmental tasks and related planning tasks corresponding to the scale
of operations and the area of jurisdiction.
3. The needs, priorities and resources of municipal residents and the local conditions must inform
developmental activities at local level. Consequently, they will have to inform the planning processes of all
spheres of government and all sectors as far as these are in charge of implementing or financing projects at
local level.
4. Municipal integrated development planning as a tool to integrate and co-ordinate implementation in terms of
geographical space and time has to inform, and be informed by, the planning of other spheres of
government, including sectoral/departmental planning of line agencies.
5. The necessary mutual alignment between national principles/guidelines, sectoral planning requirements
(standards, provincial strategies) and local needs, conditions and resources, must be accomplished by the
“counter currency principle”. According to this principle, decisions at different levels/of different spheres of
government have to inform one another mutually, and be mutually binding. For example, local government
has to participate in the decision-making processes of the national or provincial spheres whenever their
decisions are likely to affect the local sphere. The decisions are binding on the local level and the national or
provincial sphere will have to advise the local sphere on how these decisions are to be incorporated into
local decisions. Such local decisions will then be checked for compliance with national/provincial decisions,
by organs of the provincial/national sphere in which the local sphere has to be represented.
These principles reflect a synthesis between top-down and bottom-up planning philosophies.
4.4 GUIDELINES FOR THE DISTRIBUTION OF ROLES AND RESPONSIBILITIES
i. The national sphere should provide:
• A framework for sectoral, provincial and municipal planning to ensure orientation towards:
– a normative framework consisting of common policy guidelines and principles;
– general strategic guidelines with regard to sectoral strategies (focal sectors); and
– spatial macro-strategies (focal locations).
• Co-ordination and prioritisation of programmes and budgets between sectors and spheres in line with the
framework.
From the perspective of municipal integrated development planning, there is no need for an overall multi-
sectoral national development plan. But there may be national sector investment strategies, with objectives
and targets for public investment and services of national and provincial departments.
ii. The provincial sphere should provide:
• a more specific framework, i.e. a joint point of reference for all sector departments and all municipalities
consisting of:
– a provincial development strategy with mid-term objectives and targets for public investment and
services within a province (including a mid-term financial framework for investment and regionally
adjusted minimum standards and norms) and with provincial-scale projects and programmes; and
– a spatial macro-framework for all sectors and municipalities.
The provincial framework may include specifications of the national legislative framework related to certain well-
defined minimum requirements that reflect regional conditions.
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• Co-ordination of sectoral programmes and of district programmes as well as alignment between municipal
planning and sectoral planning.
iii. The local government sphere has to elaborate a 5-year IDP as part of an integrated system of planning and
delivery, which serves as a frame for all development activities within the municipal area and which
accordingly informs:
– the annual budget of the municipality;
– the budgets and investment programmes of all sector departments (national and provincial) which
implement projects or provide services within the municipality;
– the business plans of the municipality;
– land-use management decisions;
– economic promotion measures;
– the local authority’s organisational set-up and management systems; and
– the monitoring and performance management system.
Consequently, the sphere of local government is the major arena of development planning. In the local arena
people’s needs and priorities and local conditions have to be linked, with national guidelines and sectoral
considerations, to specific projects and programmes.
4.5 GUIDELINES FOR LINKAGES BETWEEN THE SPHERES OF GOVERNMENT AND BETWEEN MUNICIPAL
AND SECTORAL PLANNING
The linkages should follow the principle of mutual information flow and checks and balances (counter-currency
principle) between the spheres, rather than a one-way information line. The system of linkages must consist of
the following components:
i. National and provincial (sectoral) frameworks with involvement of representatives from the other two
spheres of government. These frameworks (including legal planning requirements of the various sectors)
inform municipal planning.
ii. Relevant subject matter specialists from sector departments (provincial and national) to provide technical
guidance and/or initiate relevant studies for the integrated development planning process. The necessary
consultation link between local municipalities and representatives from provincial and national levels will be
arranged at the district/regional level.
iii. IDPs (with attached sector specific plans according to requirements) will be submitted to the provincial MEC
for local government for assessment. The assessment process is to fulfil three different functions:
• checking compliance with legal requirements and crucial policy guidelines;
• providing professional feedback related to methodological quality standards of the planning process and
the IDP document (as part of a learning process); and
• assessment of the feasibility and viability of the proposed projects and programmes by an alignment
committee composed of representatives of provincial and national departments (based on written
comments).
The provincial MEC may delegate these assessment and alignment functions to sub-committees at
district/regional level.
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iv. The provincial MEC for Local Government (with the support of the alignment committee) should give
feedback to the municipalities on IDPs with regard to:
– compliance with legal and policy requirements;
– methodological aspects of the planning document;
– feasibility and viability of the proposed projects or programmes; and
– decisions made with regard to incorporation of proposals in provincial/national sectoral budgets.
The results of this alignment process should inform the plans/budgets of the provincial and national sector
departments involved.
v. Sector departments (provincial/national) will finance and/or implement projects/programmes in or with the
municipalities, in line with their commitments and according to the agreed distribution of roles and
responsibilities.
It is up to provincial regulations to determine which of these interactions is carried out through written
communications and which require joint meetings. This should be done in the spirit of keeping co-ordination
efforts on a manageable level.
This planning system will ensure that municipal planning and sectoral planning are:
– informed by the same legal and policy frameworks and macro-strategies;
– mutually inform each other; and
– inform budgets and business plans of municipalities and of provincial and national departments.
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5. ALIGNING MUNICIPAL SECTOR PLANNING AND INTEGRATED
The MSB states that development strategies must be aligned with national or provincial sectoral plans and
planning requirements. It also establishes that a single, inclusive and strategic plan must be adopted which
links, integrates and coordinates plans.
National sector legislation contains various kinds of requirements for municipalities to undertake planning.
Sector requirements vary in nature in the following way:
(a) Legal requirements for the formulation of a discrete sector plan (such as water services development plans).
(b) A legal compliance requirement (such as the NEMA and DFA principles).
(c) A requirement that planning be undertaken as a component of, or part of, the IDP (like housing strategies
and targets).
(d) More a recommendation, than a requirement, which is deemed to add value to the municipal planning
process and product (like Local Agenda 21).
The following table summarises the requirements using this categorisation:
Category of requirement Sector requirement
Requirement for a distinct plan Water services development plan (WSDP), integrated
transport plan (ITP), integrated waste management plan
(IWMP), Land Development Objectives (LDOs) -–to be
replaced by spatial planning requirements as part of IDP.
Requirement for sector Housing strategies and targets, coastal management

planning to be incorporated issues, LED strategies, integrated infrastructure planning,
into IDP spatial framework, integrated energy plans (IEPs).
Requirement that IDP complies NEMA principles, DFA principles, EIPs and EMPs.
Value adding contribution Local Agenda 21.
Municipalities were confused about how to accommodate the multiple legal requirements in procedural and
substantive terms. Very few municipalities attempted alignment between water services development planning
and integrated development planning, for example. Those that did, found it extremely difficult. Secondly and
more generally, in addition to difficulties arising from legal requirements for sector planning, sectoral integration
was not achieved. In some places it was attempted but old practice and lack of appropriate inter-sectoral
procedures complicated the task. In addition, insufficient project definition prior to the completion of the IDPs
meant that most municipalities never got to the point of dealing with projects in a multi-sectoral way.
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5.3 THE APPROACH TO FORMULATING ALIGNMENT GUIDELINES
i. The intention of sector alignment
The approach to sector alignment is intended to be a practical guide for municipalities to fulfil the range of
planning requirements imposed by national government sector departments. The approach does not
address the multiple legal requirements themselves – being a methodological guide, as opposed to
recommendations for legal rationalisation, it cannot. It works within the existing legal parameters and
proposes ways and means that municipalities can simplify their planning processes, while still conforming to
the legal requirements. The approach to alignment is intended to create links and dialogue between the IDP
and sector planning processes.
ii. Responding to the diverse status of requirements
Sector requirements in national legislation vary in status. For example at the time of writing:
– The Department of Land Affairs had not yet finalised a White Paper on Development and Planning or a
national spatial planning law. Another example is that while the Department is clear that land reform
planning needs to be incorporated into the IDP process, there was not yet policy clarity on planning for
land reform.
– The Department of Water Affairs and Forestry has final legislation, policy guidelines, local government
support instruments such as manuals and implementation experience. Accordingly, the approach to
aligning water services development plans and IDPs is relatively well developed.
– The Department of Environmental Affairs and Tourism’s requirements for conformity with EIPs and
EMPs had not yet had the benefit of implementation experience. The local government impact was
therefore unclear. Another example is that some of the sub-sector planning requirements are still the
subject of an unfolding legislative process, such as oil spill contingency plans.
iii. The scope and application of requirements
The sector requirements incorporated within the approach are national in scope. Provincial requirements
have not been addressed. The requirements of six national departments were assessed for alignment
namely:
– The Department of Water Affairs and Forestry.
– The Department of Transport.
– The Department of Environmental Affairs and Tourism.
– The Department of Housing.
– The Department of Land Affairs.
– The Department of Provincial and Local Government.
However, the guidelines are sufficiently broad and inclusive of departments with significant requirements as
to be adequate. Municipalities could apply the approach proposed to whatever sectors emerge as significant
in the local priorities, as well as for sectors with requirements for the production of a plan. To aid in this
application, municipalities may want to consider a broad, two-fold differentiation of sectors:
(a) Firstly, those sectors that are delivery, output or target focused (such as water, housing or infrastructure).
(b) Secondly, those that are more process and principle orientated (such as environment and spatial
planning).
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iv. The focus of alignment
The guidelines for alignment adopt as their focus aligning the planning processes within the municipal
sphere of government i.e. alignment between sectors at local government level (although the requirements
themselves have originated in national policy and law). This means that the approach does not directly
address alignment within sectors between spheres of government, although reference is made to when
such co-ordination is required for the aligned sector/IDP planning processes. In other words, aligning water,
transport or housing planning with the IDP process falls within the focus, while housing sector alignment
between local and provincial government does not. Although provision of information on the availability of
housing subsidies is required in the IDP process, indicating a need for aligning provincial multi-year housing
plans with the housing targets incorporated in the IDP. Intra-sectoral communication is assumed to be the
responsibility of sectors themselves, rather than of the IDP process, although an aligned IDP process will
greatly assist in this regard.
v. The need for strategic and implementable IDPs
An IDP has to include a considerable degree of technical and organisation detail in order to ensure:
– a truly participatory approach which means involving residents/potential users in decisions about location,
standards, responsibilities and costs, rather than leaving such crucial decisions to technicians of line
agencies;
– strategic planning, part of which is making technological and institutional choices which relate to aspects
such as cost-effectiveness, satisfaction of basic needs, poverty alleviation, gender impact, environmental
impact and other developmental principles;
– that the plan can actually inform the budget and help speed up and improve implementation, which
means specifying quantity, quality, timing, costs and responsibilities;
– multi-sectoral integration and co-ordination which requires that project and programme proposals
elaborated by technical teams have to be presented to the overall IDP committee for discussion and
amendment to ensure co-ordination and compliance with overall objectives and strategies; and
– that the plan can form a suitable basis for performance management – an IDP has to be more than a
macro-strategy framework for detailed sectoral and technical plans.
On the other hand, there are some pragmatic considerations that need to be taken into account:
– Time frames
Not each project can be designed with the same degree of detail within a given period.
– Volume of planning documents
Integrated development planning documents should not be too long. The plans should be user-friendly
documents for multi-sectoral management and monitoring. They should serve as a political reference
documents to be used by municipal managers, councillors, and an informed and interested public, rather
than by sector specialists.
An IDP, therefore, should include a short overview of all projects and programmes with:
– targets and indicators;
– major activities;
– timing; and
– costs and budget.
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5.4 GUIDELINES FOR ALIGNING MUNICIPAL SECTOR PLANNING AND INTEGRATED DEVELOPMENT
PLANNING
i. Relevance and municipal priorities
Attempts to align sector requirements and the integrated development planning process are bound to come
up against the tension between fulfilling legal requirements and promoting local priorities. However, this
tension can be overcome and a compromise reached by applying the concepts of “relevance”, “aligned and
incorporated” and “aligned and parallel”.
The manner in which alignment is addressed in a municipality depends on the relevance of the sector in that
municipal context. Relevance is about the extent to which a particular sector features as an element, or as
elements, of multi-sectoral IDP priorities and IDP projects. If a sector, or aspects of a sector, are related to
priorities or projects, then the sector will be incorporated into the integrated development planning process.
In this case, if there are legal requirements for municipal planning in relation to the sector, then these
requirements could be undertaken as part of the IDP process. However, if a sector, or aspects of a sector,
for which there are municipal planning requirements does not emerge in relation to the priorities and
projects, then a parallel sector planning process will need to be organised and managed for those aspects of
the sector which fall outside of the IDP process. These cases are summarised in the following diagram.
CASE A
IDP Process Sector Planning

Incorporated
Sector
Planning
CASE B
IDP Process Parallel Sector Planning

Incorporated
Sector
Planning
ii. Alignment phase by phase

The following table provides an indication of how sector alignment could occur in each phase of the IDP
process. (This is addressed in greater detail in Guide 3).
For sectors in general For water, transport and waste management
Phase I: Analysis In-depth analysis of In-depth analysis of priority issues –

priority issues – sectoral incorporation of aspects of sector information
analysis where relevant and analysis requirements where appropriate
to IDP priorities to IDP priorities; agreement to parallel process
where all requirements are not relevant to in-
depth analysis of IDP priorities
Phase II: Strategies
Phase III: Projects Involvement of relevant Drafting of WSDP, ITP and IWMP based on
sector expertise in IDP projects, parallel process for additional
design of project plan requirements not covered by IDP
proposals priorities and projects
Phase IV: Integration Integrated sector Integrated sector programmes

programmes
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iii. Keeping abreast with change
Municipalities need to be aware of the different status of requirements, conform to those that are final and
incorporate those that arise as significant in the local planning process. It will be necessary to keep abreast
of unfolding legal and policy processes that finalise some requirements which were being developed at the
time of drafting this manual.
6. ROLES AND RESPONSIBILITIES OF DISTRICT AND LOCAL

MUNICIPALITIES
The present legislation requires District Councils and Local Municipal Councils to do integrated development
planning. According to the Municipal Structures Act Amendment Act, a district municipality is responsible for
integrated development planning for the district municipality as a whole, including a framework for integrated
development plans of all municipalities in the area of the district municipality. The Municipal Structures Act
further states that this framework binds both the district municipality and the local municipalities in the area of
the district municipality.
This district IDP Framework must at least:
• identify the plans and planning requirements binding in terms of national and provincial legislation on the
district municipality and the local municipalities;
• identify all matters that must be included in the district IDP and local IDPs and that require alignment;
• specify the principles to be applied and the approach to be adopted in respect of those matters; and
• determine procedures for consultation between the district and local municipalities in the process of drafting
their respective IDPs as well as procedures to effect changes to the framework.
These legal requirements have to be seen in the context of the results of demarcation which imply a
fundamental change in the relationship between district councils and local councils. While in the past each of
them was, by and large, in charge of different geographical areas (local municipalities for the towns, district
councils for the rural areas), in future they will share responsibilities for the same areas, due to the
establishment of wall-to-wall municipalities. Local planning and district planning will differ by geographical scale
rather than by location. As a consequence, relations between District Councils and Local Municipal Councils
will have to change fundamentally. The interrelations will have to intensify.
While it is clear that district planning and planning of local municipalities have to inform each other, the
legislation is far from clear on how they should be aligned with one another. Consequently, there is a need for
clarification if confusion is to be avoided when the newly elected councils get involved in integrated
development planning.
As the relationship between the capacities of local and district municipalities differs widely from place to place,
the guidelines have to be somewhat flexible, but at the same time they have to ensure that a new type of
relationship between district and local councils is established which is in line with the new distribution of roles
after demarcation.
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6.3 PRINCIPLES FOR DISTRIBUTION OF ROLES AND RESPONSIBILITIES
There are four crucial criteria to be taken into account for an appropriate distribution of roles between the two
tiers of local government. The tension between planning at the scale that is closest to the people and achieving
optimal use of capacity and resources in an environment with severely limited capacity and resources is
summarised in the four criteria listed below:
i. Closeness to people and places
Appropriate planning has to take the realities and needs of the people and the conditions of different
locations into account. The scale at which district-level planning in South Africa will have to take place (areas
with close to a million people and more than 10 000 km2 on average) is too large for that type of local level
planning.
ii. Capacities and costs
Many local municipalities face serious capacity constraints. Therefore, it may be useful to allocate certain
challenging tasks, which require scarce resources, to a higher level rather than trying to provide such scarce
and expensive resources in each small place.
iii. Link to management of delivery and institutional transformation
Planning decisions have to be transformed into budgets and business plans by those charged with
implementation. The planning process is also meant to influence the management of implementation. Since
this link is crucial for improved delivery, local municipalities have to be involved in planning their projects and
programmes.
iv. Co-ordination
The district level will be the forum where inter-local co-ordination and co-ordination between local
municipalities and provincial/national sector departments will have to take place.
6.4 GUIDELINES FOR THE DISTRIBUTION OF ROLES AND RESPONSIBILITIES ACCORDING TO PLANNING
PHASES
The synchronisation of planning activities between district and local municipalities is essential to ensure that the
planning activities occur and outputs are available more or less simultaneously so that the joint and
complimentary responsibilities of the municipalities can be undertaken for all and by all responsible, at the same
time. This approach will avoid duplication of the required joint processes and maximise the use of limited
human resource capacities. It will also ensure consultation between the local and district municipalities and over
decision that effect and are binding on both.
The distribution of key roles and responsibilities for the district and local municipalities in the planning phases
are outlined in the table below.
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Planning Phase At Local Level At District Level
Analysis To: To:

• Determine local • Determine district scale issues, problems,
issues, problems, potentials and priorities.
potentials and • Consolidated the analysis results of the
priorities. district and local municipalities and define
common priority issues.
Strategies To: To:

• Define a local vision • Define a district vision and set of
and set of objectives. objectives.
• Participate in district • Provide an event for a joint strategy
level strategy workshop with local municipalities and
workshop. provincial and national role-players thereby
• Determine local providing an organisational framework for
strategies per priority aligning strategies.
issue on the basis of • Determine cross-boundary and district
the district level strategies per priority issue.
analysis.
Projects To: To:

• Design local council • Design district council projects per
projects per strategy. strategy.
Integration To: To:

• Compile a set of local • Compile a set of district Integrated
Integrated Programmes for managing
Programmes for implementation.
managing • Align and assess the Capital Investment
implementation. and Implementation programmes of local
and district municipalities.
Approval To: To:

• Ensure that the IDP is • Ensure that the IDP is adopted by the
adopted by the Local District Council.
Council. • Align the IDPs of the municipalities in the
district council area and with the other
spheres of government.
1
Distribution of roles and responsibilities between local and district municipalities.
7. ORGANISATIONAL ARRANGEMENTS FOR INTEGRATED

The WPLG emphasises the need for transformation of the municipal administrative system without proposing
any specific organisational arrangements. Considering the diversity of conditions, it is left to the municipalities
to develop an institutional plan that proposes appropriate arrangements. Specifically, with regard to the
development of an IDP, the WPLG stresses that this process should not be “farmed out” to consultants, but
should “be managed within municipalities to provide a way of enhancing the strategic planning capacity of the
administration, building organisational partnerships between management and labour, and enhancing synergy
between line functions” (WPLG, p.28).
30
While the WPLG requires integrated development planning to be managed within a municipality without saying
by whom, the MSB is slightly more specific. It states that the Executive Committee of the municipal council (or
the Executive Mayor, or – in absence of both – an appointed committee or councillors) must manage the
drafting of an IDP and assign responsibilities in this regard to the municipal manager.
The spirit of the political and legal framework is quite clear: IDPs should be an intense part of municipal
management and of an integrated system of planning and delivery. The full responsibility is within the
municipality and its organs.
Most municipalities outsourced their IDPs and handled them as tasks quite separate from their usual municipal
management process. The municipal administration, or the councillors, or both, were not involved in the
process.
This way of handling the planning task was partly a result of confusion regarding the exact nature of the roles
and responsibility of municipalities. Furthermore, many municipalities were concerned about the challenge of
drafting IDPs on their own, which would have exceeded their capacities in terms of time and professional
qualifications. The confusion was related to the lack of a clear definition and separation of the tasks of:
– managing a planning process, and
– providing professional planning and facilitation services.
While rejecting the unrealistic expectation that they become development planners, most municipal managers
also avoided coping with the realistic challenge of managing planners, and organising the planning process.
7.3 PRINCIPLES FOR ROLE DISTRIBUTION
The distribution of roles and responsibilities within a municipal planning process has to be guided by democratic
principles on the one hand, and by the guideline of aiming at an integrated system of planning and delivery on
the other.
The new democracy in South Africa represents a synthesis between the system of a representative democracy,
where elected bodies like councils have to decide or to finally approve decisions, and a corporatist, negotiating
type of democracy, where decisions are arrived at through public discussion and processes of negotiation. For
the integrated development planning process, this understanding of democracy means that:
– the process is not just a planning process within municipal government, but a forum for discussions and
negotiations of various municipal stakeholders, and
– the final decision and the accountability is with the municipal council as the elected body answerable to the
public on the utilisation of public resources.
The establishment of an integrated system of planning and delivery (or planning and implementation
management) requires the full involvement of those in charge of municipal management in the planning
process.
For the integrated development planning process, this implies that:
– the process has to be managed by somebody from within the municipal government, acting on behalf of the
Municipal Manager (CEO), who has been assigned the powers to get all relevant actors from within
municipal government on board, and
– there has to be a special multi-sectoral IDP committee or task team which has to include all municipal heads
of department and at least those councillors sitting in the Executive Committee as a basis for institutional
transformation within the municipal administration.
Unless these prerequisites are fulfilled, integrated development planning has little chance of becoming a useful
tool for democratic and developmental local government.
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7.4 GUIDELINES FOR THE DISTRIBUTION OF ROLES AND RESPONSIBILITIES
The actual distribution of roles and responsibilities may vary between different categories and types of
municipalities, according to the available human and institutional resources. As long as they are in line with the
principles, allocations of roles and responsibilities to various role-players may differ slightly. Nevertheless, the
proposed role distribution will serve as a guide for the majority of category B municipalities.
Role-players Roles and Responsibilities
Municipal Council Final decision-making/approval of IDPs

Monitoring
Councillors Linking integrated development planning process to their

constituencies/wards
Organising public participation
Executive Committee or Decide on planning process: nominate persons in

charge; monitor planning process
Executive Mayor/Municipal
Manager/CEO Overall management and co-ordination responsibility
(to make sure that all relevant actors are involved)
IDP Manager Day-to-day management of the drafting process on

behalf of the Municipal Manager
(nominated chairperson of IDP
committee (to ensure a properly managed and organised planning
process)
– from within municipality
– adequate time allocation
IDP Committee/Task Team Elaboration/discussion of contents of the IDP

(with special sub-committees) – providing inputs related to the various planning steps
– summarising/digesting/processing inputs from the
composed of: participation process
– councillors – discussion/commenting on inputs from consultants or
– officials other specialists
– selected public representatives – deciding on drafts
Planning professionals/ Methodological guidance/facilitation of planning

facilitators workshops/documentation/special studies
They may be from the municipal Planning professionals may take over the role of a
“secretary” of the IDP Committee/Task Team
administration or contracted
according to availability
Municipal officials Providing technical/sector expertise and information
(technical officers, heads of Preparing draft project proposals
departments)
“Civil Society” Representing interests and contributing knowledge

and ideas
– stakeholders
– communities (see Section 8 on “Public Participation”)
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8. PLANNING APPROACH AND METHODOLOGY
8.1 LEGAL AND POLICY REQUIREMENTS
According to the WPLG, the integrated development planning approach is to help municipalities fulfil their
developmental mandate by:
• helping them to understand the various dynamics operating within their area;
• requesting them to agree on a joint, concrete vision for the area;
• enabling them to develop strategies for realising that vision in partnership with other stakeholders;
• enabling them to align their financial and institutional resources behind agreed policy objectives and
programmes;
• ensuring the integration of local government activities with other spheres of development planning, by
serving as a basis for integration and interaction;
• serving as a basis for engagement between local government and citizens; and
• enabling municipalities to systematically prioritise programmes and resource allocations.
In short: integrated development planning needs to be a consultative, analytical, strategic and objectives-
oriented approach of decision-making on issues related to municipal development. The WPLG proposes
concrete planning steps for the process:
• An assessment of the cur rent social, economic and environmental reality in the municipal area – the current
reality.
• A determination of community needs through close consultation.
• Developing a vision for development in the area.
• An audit of available resources, skills and capacities.
• A prioritisation of these needs in order of urgency and long-term importance.
• The development of integrated frameworks and goals to meet these needs.
• The formulation of strategies to achieve the goals within specific time frames.
• The implementation of projects and programmes to achieve key goals.
• The use of monitoring tools to measure impact and performance.
The WPLG is less clear on the “product” of the process, and on the nature of the integrated development
planning document(s):
“While the idea behind IDPs is to build up a comprehensive integrated plan, municipalities cannot plan
everything in detail in the first year. Rather, IDPs should empower municipalities to prioritise and strategically
focus their activities and resources. An attempt to plan too comprehensively may result in unrealistic plans that
lack the human and financial resources for implementation.”
The question of how comprehensive and how detailed the outcome of the integrated development planning
process should be, is still to be answered.
The MSB defines the legal minimum requirements with regard to the contents or “core components” of an IDP
which include (by and large in line with the steps suggested by the WPLG):
• a vision (internal and external);
• an assessment of the existing levels of development;
• development priorities;
• development objectives;
33
• development strategies;
• a spatial development framework;
• operational strategies;
• disaster management plans;
• a financial plan (including a 3-year budget projection); and
• KPIs and performance targets.
This list of contents provides clear indications on the design of the integrated development planning process.
8.2 EXPERIENCES TO DATE
Most municipalities and their planning consultants found it difficult to cope with the various methodological
challenges related to the requirements of the WPLG and the MSB:
• Most found it difficult to organise public participation processes in an appropriate manner.
• Many municipalities spent most of their planning funds on comprehensive, unfocused approaches of
situation analysis (usually misguided by provincial regulations which prescribed the contents of such analysis
in detail) which were not helpful for understanding the dynamics in the area.
• Most planners found it difficult to relate the results of data-based analysis and of participatory needs
analysis to each other.
• Hardly any municipalities managed to cope with drafting development strategies, making strategic choices,
prioritising systematically and answering the HOW-questions.
• Most IDPs are not concrete enough to guide implementation and are far from being a useful management
tool.
Most of the challenges were new. Appropriate training and support systems were not yet in place. The IDP
Manual, which tried to assist municipalities to cope with the new challenges with a very detailed step-by-step,
and tool-by-tool approach, turned out to be too complicated. It tended to encourage a mechanistic approach that
discouraged a broad and open strategic discussion process on the “real issues” and the most appropriate ways
and means of dealing with them.
In short: Most municipalities and their planning consultants have not yet found appropriate ways to cope with
the new challenge of combining the approaches of participatory, strategic and implementation-oriented project
planning. The available guidelines did not give an adequate answer to this crucial question.
8.3 PRINCIPLES FOR THE PLANNING APPROACH
In line with the WPLG and the MSB, the IDP approach has to conform to the following methodological
principles:
i. An IDP has to reflect the priority needs/problems of the municipality and its residents.
ii. Available resources must be used in an objective-oriented manner.
iii. The plan has to be strategic, i.e. it has to be based on a process of informed choices and searches for cost-
effective solutions with high synergy and leverage effects.
iv. An IDP has to be implementation-oriented, i.e. it has to be specific enough to inform budgets, business
plans, land use management decisions, etc.
In short: The integrated development planning process has to provide a forum for identifying, discussing and
resolving the “real issues” in a municipality (which may be over-arching issues for the whole municipality, as
well as issues of specific communities or stakeholder groups) to a level of detail which is required for realistic
costing and which helps manage the implementation process without much delay.
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8.4 GUIDELINES FOR ANSWERING THE HOW-QUESTION
It is not the function of integrated development planning guidelines to provide methodological guidelines that
can help answer all the HOW-questions in detail. This will be done in Guide 3. However, there are some basic
questions related to the methodology which have to be considered as policy issues, and need to be dealt with
in this section.
i. Participatory approach
Municipal planning within the enlarged municipalities (with nearly 100 000 residents on average) cannot be
based on direct participation through public meetings, but requires structured participation with
institutionalised participation channels (see section 8).
ii. Analysis
This should not mean a comprehensive compilation of all kinds of data. It should, instead, be focused on
identified priority issues and help clarify the causes and dynamics of these issues. This requires an
amendment of most provincial regulations.
iii. Data-based analysis and participatory identification of problems/needs/issues
These processes must inform each other. Participatory dialogues with communities or stakeholders should
be related to facts and figures, while the priority issues resulting from participation processes should be the
topics for in-depth analysis.
iv. Objectives and strategies
The process of arriving at objectives and strategies for each of the priority issues should allow for a strategic
multi-sectoral discussion process on ways of dealing with the issues. It is meant to be a process of
discussing strategic options, taking into account policy guidelines and framework conditions.
v. Implementation orientation
If integrated development planning processes and products are to help speed up and improve delivery, if
they are to inform budgets, business plans, land use management and programmes of sector line agencies,
they must become sufficiently specific to allow for cost calculations, quantified targets and decisions on
locations. This requires decisions on, for example, technology standards and designs. Consequently,
technical project planning has to be, up to a point, part of integrated development planning, for it to become
part and parcel of the municipal management system. This implies that an IDP has to:
– include a binding spatial development framework which is sufficiently specific to form an operational
basis for speedy land management decisions and for guiding investment decisions of private and public
investors;
– include project proposals which are sufficiently detailed to allow for a feasibility and viability analysis and
can, thus, attract funds from financing institutions;
– include an action programme for economic promotion and income generation aimed at the
establishment of an attractive institutional/infrastructural environment for economic ventures;
– include clearly specified targets and indicators as a basis for transparency and accountability of local
councils and as a performance management system; and
– prepare the ground for municipal service partnerships, including community partnerships, by involving
community and stakeholder organisations in the designing and decision-making process of concrete
localised projects.
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9. PUBLIC PARTICIPATION IN THE INTEGRATED DEVELOPMENT
PLANNING PROCESS
The Constitution stipulates that one of the objectives of municipalities is “to encourage the involvement of
communities and community organisations in the matters of local government”.
The WPLG emphasises the issue of public participation (not only in municipal planning). It goes into some detail
on how to achieve public participation and of the role local government has to play to ensure the involvement of
citizens in policy formulation and designing of municipal programmes, as well as implementation and monitoring
and evaluation of such programmes. Public participation is meant to promote local democracy. While the
WPLG emphasises that the municipalities themselves should develop appropriate strategies and mechanisms
to ensure participation, some hints on how are given, such as:
• forums of organised formations (especially in the fields of visioning and on issue-specific policies, rather
than on multiple policies);
• structured stakeholder participation in council committees (in particular in temporary issue-oriented

committees);
• participatory action research, with specific focus groups (for in-depth information on specific issues); and
• formation of associations (especially among people in marginalised areas).
There are guidelines reflected in these hints. Firstly, participation should be a structured process rather than a
process of public mass meetings. Secondly, public participation should focus on certain specific processes, and
is not equally useful in all fields of municipal management.
Local government is not only expected to find its own ways of structuring participation, but is expected to
become active in encouraging and promoting participation, especially when it comes to the participation of
marginalised groups and women.
While the MSB defines a municipality as a “corporate entity” which consists not only of its “structures,
functionaries and administration”, but also of its “communities, residents and ratepayers”, it differentiates
clearly between the roles and responsibilities of the “governing structures” (which form a separate legal
personality), and the communities, residents and ratepayers.
The public participation chapter of the MSB is guided by the principle that formal representative government
must be complemented by a system of participatory governance. Participation in the decision-making processes
of the municipality is determined to be a right of communities, residents and ratepayers. Integrated
development planning is emphasised as a special field of public participation.
The decision on appropriate mechanisms, processes and procedures for public participation is largely left to the
municipality. The only prescribed participation procedures are the receipt, processing and consideration of
petitions and complaints and the public notice of council meetings. No procedures are prescribed for
participation in the integrated development planning process.
Municipalities are requested to create conditions for public participation and, moreover, to encourage it. The
only prescribed tool for promotion of public participation, however, is the dissemination of information on
mechanisms and matters of public participation, on rights and duties of residents and on municipal governance
issues in general.
36
Leaving the decision on ways and means of public participation to each municipality results in:
• completely different styles of democracy with highly diverging combinations of formal representative and
participatory governance within the country;
• helplessness and confusion on the side of most municipalities, which find it difficult to determine
appropriate procedures of their own; and
• denying residents their right to participate, by avoiding setting minimum requirements which specify that
right.
Many participation processes in the recent integrated development planning phase were organised in a way
which did not comply with any of the general principles stated in the WPLG and the MSB.
9.3 PRINCIPLES OF PUBLIC PARTICIPATION
i. The elected councils are the ultimate decision-making forum on IDPs. The role of participatory democracy is
to inform, negotiate and comment on those decisions, in the course of the planning/decision-making
process.
ii. Public participation has to be institutionalised in order to ensure that all residents of the country have an
equal right to participate. Institutionalising participation means:
– setting clear minimum requirements for participation procedures which apply for all municipalities by
means of regulations, and
– providing a legally recognised organisational framework.
iii. Structured participation: Most of the new municipalities are too big in terms of population size and area to
allow for direct participation of the majority of the residents in complex planning processes. Participation in
integrated development planning, therefore, needs clear rules and procedures specifying who is to
participate or to be consulted, on behalf of whom, on which issue, through which organisational mechanism,
with what effect.
iv. Diversity: The way public participation is institutionalised and structured has to provide sufficient room for
diversity, i.e. for different participation styles and cultures. While there has to be a common regulatory frame
for institutionalised participation in the country, this frame has to be wide enough for location-specific
adjustments to be made by provinces and municipalities.
v. Promotion of public participation by municipal government has to distinguish between:
– creating conditions for public participation, which is a must for all municipalities (in line with the MSB),
and
– encouraging public participation, which should be done in particular with regard to disadvantaged or
marginalised groups and gender equity in accordance with the conditions and capacities in a municipality.
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9.4 THE FUNCTIONS AND CONTEXT OF PUBLIC PARTICIPATION IN THE INTEGRATED DEVELOPMENT
PLANNING PROCESS
Participation in the integrated development planning process is only one of several arenas of participatory
interaction between local government and citizens. Other means of ensuring participatory local government
are:
• offering people choices between services;
• citizen and client-oriented ways of service delivery and public administration;
• partnership between communities/stakeholder organisations and local authorities in implementation of

projects; and
• giving residents the right of petition and complaint and obliging municipal government to respond.
Participation in the development of municipal IDPs has to be seen within this wider context. It serves to fulfil
four major functions:
i. Needs orientation: ensuring that people’s needs and problems are taken into account.
ii. Appropriateness of solutions: using the knowledge and experience of local residents and communities in
order to arrive at appropriate and sustainable problem solutions and measures.
iii. Community ownership: mobilising local residents’ and communities’ initiatives and resources, and
encouraging co-operation and partnerships between municipal government and residents for implementation
and maintenance.
iv. Empowerment: Making integrated development planning a public event and a forum for negotiating
conflicting interests, finding compromises and common ground and, thereby, creating the basis for
increased transparency and accountability of local government towards local residents.
These functions must always influence the choice of appropriate procedures and mechanisms for public
participation.
9.5 TOOLS, PROCEDURES AND MECHANISMS FOR AN INSTITUTIONALISED AND STRUCTURED PROCESS
OF PUBLIC PARTICIPATION
Structured participation is largely based on the existence of a set of organisations with certain rights in the
planning process. While the organisational arrangements may differ widely in detail from area to area, the
following minimum requirements have to be regulated.
i. Ward Committees are the organisational framework through which communities in geographical areas can
participate in the planning process.
ii. Stakeholder organisations which represent certain social, economic, gender or environmental interests have
to be registered as “Stakeholder Associations” (at municipality level) through which they can participate in
the planning process.
iii. The council and the chairperson of the IDP Committee have to make sure that all relevant groups and all
social strata are given the opportunity to be adequately represented. Unorganised groups should be
represented by “advocates” (e.g. social workers, NGOs, resource persons who did studies on such groups,
etc.).
iv. All Ward Committees and Stakeholder Associations should be represented on the “Representative IDP
Forum” which will form a formal link between the municipal government and the public. The Representative
IDP Forum should be a permanent organisation which is also in charge of monitoring the performance
during IDP implementation. Meetings of the IDP Forum have to be attended by the IDP Committee
members and by the councillors.
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v. IDP committees and their technical, project/programme-related sub-committees or task teams may include
representatives from ward committees and stakeholder associations or resource persons from civil society if
the municipality considers it appropriate. Such representatives may be permanent (sub-) committee
members or be invited on a temporary issue-related basis.
For category A and C municipalities, different institutional arrangements will apply. While districts can build on
the participation processes of the local councils within the area of jurisdiction, metropolitan municipalities may
need one additional stage of participation on a sub-metropolitan level.
9.6 GUIDELINES FOR CREATING CONDITIONS FOR PUBLIC PARTICIPATION
The MSB requires municipalities to disseminate information on processes and procedures and on matters of
concern. Transforming this general requirement to the integrated development planning process means that
each municipality has to follow at least the following procedures.
i. The residents have to be informed on the integrated development planning process as a whole, and on
crucial public events related to that process through:
– public announcements (appropriate media to be determined in the “work plan”); and
– ward committees and stakeholder associations.
ii. Councillors have to inform the communities within the area of the ward, through a public ward-level
meeting.
iii. The Representative IDP Forum has to be involved at least once in each major stage of the drafting process.
iv. The community and stakeholder representatives have to be given adequate time (2-4 weeks) to conduct
meetings or workshops with the groups, communities or organisations they represent, before the issue is
dealt with by the Representative IDP Forum. This is to give a fair opportunity for legitimate representative
participation, but it does not necessarily involve the municipal governments in community- or stakeholder-
level workshops.
v. Draft planning documents have to be accessible for every resident, and everybody has the right to submit
written comments. There must be a time period of at least four weeks for ward committees, stakeholder
associations and interested groups and residents to discuss the draft document publicly, and to comment on
it before the Representative IDP Forum deals with the draft.
vi. The IDP committee has to inform the ward committees and stakeholder associations on the way the
comments were considered, or on reasons why they were not considered by the Representative IDP
Forum, before the draft is submitted to the council for approval.
vii. Council meetings on the approval of integrated development planning must be public meetings.
9.7 GUIDELINES ON THE ENCOURAGEMENT OF PUBLIC PARTICIPATION
The municipal government, through its IDP committee and its councillors, should use all appropriate means,
above and beyond creating the necessary conditions, to encourage public participation. As it will be a struggle
for most municipalities to provide the minimum conditions, and ensure the involvement of the major role-
players from within municipal government, and as participation is a right but not a duty of residents, the ability
to actively encourage public participation at community level will be limited in most places.
Active encouragement should therefore focus on those social groups which are not well organised and which
do not have the power to articulate their interests publicly. This could mean poverty groups, or women, or
specific age groups (youth, orphans, aged people). The municipality has to identify the groups and determine
appropriate ways of ensuring their representation in the Representative IDP Forum.
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9.8 GUIDELINES ON PHASING PUBLIC PARTICIPATION
Public participation is not equally relevant and appropriate in each stage of planning, and not all participation
procedures are equally suitable for each planning step. To limit participation costs, to avoid participation fatigue,
and to optimise the impact of participation, the mechanisms of participation will have to differ from stage to
stage. The following guidelines can help municipalities to decide on appropriate tools for the right step:
Planning phase Required intensity of Mechanisms

public participation
Analysis • Community and stakeholder meeting

✰✰✰ • Sample surveys (problem census, etc.)
• Opinion polls
Strategies • District level workshops of IDP

committees, with representatives of
sector departments and selected
✰ representatives of stakeholder
organisations and resource people
• Partly on district-level
Project planning • Technical sub-committees with few

(a) Projects/programmes selected representatives of stakeholder
✰ organisations/civil society
with municipality-wide
scale • Intensive dialogue between technical sub-
(b) Localised community- committees and affected
level projects ✰✰✰ communities/stakeholders
Integration ✰ • By Representative IDP Forum
Approval • Broad public discussion/consultation

process within all community/stakeholder
✰✰✰ organisations
• Opportunity for comments from residents
Monitoring of • By Representative IDP Forum

✰✰
implementation
✰✰✰ – High intensity: Involvement of communities, stakeholders, residents, users and partners.
✰✰ – Medium intensity: Involvement of representative municipal IDP Forum.
✰ – Low intensity: Small technical committees with selected representatives of the public.
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10. SUPPORT SYSTEMS FOR MUNICIPAL PLANNING
There is a clear separation between roles and responsibilities which each sphere of government has, in its own
right, as part of a co-operative system of government with shared responsibilities, and the specific support roles
of national and provincial government towards local government, which are to help local government to fulfil its
own functions adequately. While shared responsibilities within the system of co-operative governance are of a
long-term nature, support responsibilities may be temporary.
According to the Constitution, national and provincial government must support and strengthen the capacities of
municipalities to manage their own affairs, to exercise their powers and to perform their functions.
The WPLG refers to this constitutional mandate and specifies the roles of national and provincial government.
While national government is supposed to establish an overall framework for municipal capacity building and
support, provincial government has to provide a framework for capacity building in the province, which takes
account of the different needs of the municipalities, and ensures that capacity building takes place. Provincial
training structures have to be established. Providing assistance with municipal IDPs is one of the capacity-
building functions mentioned in the WPLG. District governments are expected to fulfil the role of providing on-
demand assistance as well as systematic capacity building for local municipalities. This refers, among other
areas, to technical support in the area of planning.
The MSB refers only to the support role of the province for integrated development planning, without providing
further details.
All spheres of government are expected to take responsibility for capacity-building support for local
municipalities. While national government’s role is that of providing a framework for support, provinces and
districts are expected to become directly involved in capacity building. The distribution of support roles
between provinces and districts is not specified any further.
The existing support systems for integrated development planning did not correspond to the support
requirements of all smaller category B municipalities which could not afford their own built-in professional
planning capacities. Neither national support (such as the provision of guidelines and manuals), nor provincial
support (such as providing regulations, organising training and exchange workshops, and providing
organisational guidance) filled the gap in planning and facilitation skills at the local level. It was mistakenly
presumed that municipal managers could be capacitated to take over the role of planners and facilitators by
being provided with a manual and a short introductory course. Municipal managers, however, had neither the
time nor the professional background to take on the job of a planner for a number of months. The support gap
was, therefore, filled by consultants. This solution turned out to be inadequate in most cases, for two reasons:
• Planning consultants tended to use a product-related approach rather than a supportive and capacity-building
one. In addition, most municipalities that outsourced integrated development planning to consultants
wanted a document at the end that would qualify for approval by the MEC, thus fulfilling a legal
requirement.
• Most planning consultants were specialised in a conventional type of town planning. They were not familiar
with concepts of participator y, or of strategic and project planning. The support was usually not adequate for
the new requirements of integrated development planning.
None of the existing types of support agents can take over the role of providing professional methodological
guidance to municipal managers during the planning and drafting process.
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10.3 PRINCIPLES OF AN INTEGRATED DEVELOPMENT PLANNING SUPPORT SYSTEM
i. Two components of a planning and management support system for local government have to be
distinguished:
– Constitutional public support obligations like finance, policy guidance, policy-related information,
monitoring and control. This type of support must be provided in a proactive, supply-oriented manner by
the agencies in charge.
– Professional services like methodological guidance, facilitation, documentation, surveys, analytical

studies, etc. These services may be provided by private or public service providers, depending on the
capacity to provide the appropriate services. They should only be provided on a demand basis.
ii. In relation to time horizons it is important to distinguish between temporary and permanent support
requirements:
– Temporary support is usually enabling support. It has to be provided to capacitate actors in fulfilling their
roles and responsibilities in line with the new requirements.
– Permanent support is usually provision of services for which a governing body is politically responsible
without being able to do it on its own, due to a lack of economies of scale and specialisation advantages.
iii. Professional support has to be managed by the municipalities. It should not take over the municipal
management responsibility. Just as municipal managers cannot be expected to do the job of a planner (but
can be expected to control planners), planners should not be allowed to do the job of the IDP manager.
iv. Principle of subsidiarity: Support systems should be as close to the local sphere as possible. Whatever can
be done as well or better at a lower level should not be done at a higher level. Whatever is done adequately
by existing service providers should not be done by newly established service providers. The responsibility
for municipal support systems should, as far as possible, be within the local sphere of government. New
support systems should only fill support gaps, not replace functioning existing support.
10.4 GUIDELINES ON ROLES AND RESPONSIBILITIES WITHIN AN INTEGRATED DEVELOPMENT PLANNING

SUPPORT SYSTEM
i. The role of national government in supporting municipal planning is (aside from its own role of setting a
legal framework and policy guidelines and principles):
– to provide a set of planning tools or methods;
– to cater for the elaboration of a general framework for training programmes and curricula development;
– to contribute to the planning costs;
– to help get a nation-wide support system established;
– to monitor the planning and implementation process; and
– to provide opportunities for exchange of ideas and experiences.
ii. The supporting role (aside from its own roles in the planning system) of provincial government is:
– to provide broad procedural guidance for the planning process;
– to provide professional feedback on methodological as well as on substantive aspects of an IDP;
– to contribute to the planning costs;
– to organise learning networks between municipalities;
– to ensure access to appropriate training programmes; and
– to monitor the planning and implementation process.
42
iii. District Councils must support local municipalities with insufficient planning capacities by:
– providing access to planning and management related information;
– providing methodological guidance to single local municipalities during the course of the planning
process (e.g. by joint workshops with local municipalities for some critical integrated development
planning components);
– training local municipality officials and councillors in managing the process through “learning by doing”
approaches;
– linking local municipalities to appropriate services, information and training; and
– providing opportunities for sharing ideas and experiences and for doing certain planning steps through
joint workshops.
iv. The private sector (consultants, NGOs) can be used for all planning-related services that do not affect the
management responsibility of local authorities and which require specific skills and can easily be outsourced:
– NGOs may be used in particular for assisting communities and disadvantaged, unorganised groups to get
involved in the process through establishing appropriate representative systems and mechanisms.
– Private consultants may be used, in particular, for specific product-related contributions (e.g. technical
studies, surveys, environmental impact assessments, mapping and GIS).
– Facilitation of planning workshops and meetings requires very special, high-level skills. Competent
facilitators are rare and may be hired from NGOs, the private sector or from within the government
sector.
The Department of Provincial and Local Government is in the process of establishing a nation-wide “Planning
and Implementation Management Support System” (PIMSS), which is in line with these guidelines.
The allocation of tasks within the support system can help all actors involved to identify their own mandates
and responsibilities. It should not be taken as a rigid and prescriptive formula. There are some overlaps, there
must be some flexibility related to local circumstances, and there may be competition among different types of
service providers.
11. ASSESSMENT AND APPROVAL OF IDP S

The WPLG emphasises the importance of not undermining the municipalities’ executive authority over
development procedures and approvals, thereby questioning the approval procedure required by the DFA.
The MSB requires only the submission of a copy of the IDP, which has to be adopted by the municipal council,
to the MEC for local government. If the IDP does not comply with legal requirements or development plans or
strategies of other municipalities or other spheres of government, the MEC may request the municipality to
amend the plan. If the municipality disagrees, the MEC may appoint an ad hoc committee to deal with the
case. If this ad hoc committee insists on the amendment, the municipality must adjust the IDP.
The system of inter-governmental relations and the important role of provincial and national government
agencies in the implementation of IDPs requires provincial government and relevant representatives of national
government to be involved in the assessment and/or approval of IDPs for alignment purposes. However, it is far
from clear who should be involved in that process and against which criteria an IDP should be assessed. Clear
guidelines for the assessment approval procedure are required to make it a meaningful exercise.
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11.3 GUIDELINES FOR THE ASSESSMENT /APPROVAL PROCESS
i. IDPs have to be approved by municipal councils only.
ii. District councils need to ensure the co-ordination of local plans and should therefore mediate a process of
achieving co-ordination and alignment between local plans.
iii. To ensure functioning inter-governmental relations (as outlined in Chapter 4), and to contribute to a smooth
horizontal and vertical co-ordination mechanism, IDPs have to be submitted to the provincial MECs for local
government for assessment and feedback in line with the MSB.
iv. The provincial level assessment and feedback process should be done in line with four major criteria:
– compliance with legal requirements;
– professional quality of the planning process and usefulness of the integrated development planning
documents as a tool;
– feedback on feasibility and viability of proposed projects; and
– harmonisation of plans across district boundaries and alignment with sectoral/departmental planning in
the context of provincial strategies and national priorities.
v. The MEC for local government should establish an IDP alignment committee consisting of representatives
of provincial, national and local government to comment on and discuss issues related to the criteria of
feasibility and viability of projects and harmonisation and alignment.
12. LEGAL STATUS OF IDPs

The legal status of IDPs is defined in the MSB which says that the IDP:
– informs all planning and development, and all decisions with regard to planning and development, in the
municipality;
– binds all persons (except in case of inconsistencies with national or provincial legislation); and
– requires that the municipal council give effect to it by conducting its affairs in a manner which is consistent
with the IDP.
Moreover, the spatial development framework contained in an IDP prevails over plans made in line with the
Physical Planning Act, 1991.
It is obvious that the MSB wants to make IDPs a powerful tool to guide all actions of a municipal council.
The intention of the MSB to provide IDPs with strong teeth is difficult to operationalise. Many components of
plans are not sufficiently precise to be binding; others are too subject to continuous adjustment to changing
conditions (e.g. budget frames, new opportunities) to be binding in a legal sense. Some specification and
interpretation is required to allow IDPs to have more impact.
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12.3 GUIDELINES FOR ENSURING THE IMPACT OF IDPS
i. IDPs are a principle-led, indicative framework for all decision-making processes within the municipality,
including specific elements such as:
– municipal budgets and business plans;
– sectoral/departmental investment budgets;
– land management decisions; and
– economic promotion measures.
The municipal council is politically accountable for deciding on, and conducting its affairs in line with, the IDP.
Its performance will be measured against the objectives and indicators outlined in the IDP.
ii. The spatial development framework, with the IDP, will be a legally binding document for all land-use
management decisions in accordance with the new spatial planning legislation under preparation.
45
G u i d e I I
P R E P A R A T I O N
IDP
INTEGRATED DEVELOPMENT PLANNING
TABLE OF CONTENTS
1. INTRODUCTION: PREPARING FOR THE IDP PROCESS 5
1.1 What needs to be prepared? 5

1.2 Legal Requirements with regards to Preparation of the IDP Process 6
1.3 The Required Documents: Process Plan and Framework 7
1.4 The Preparation Process 10
1.5 Guidance Offered by this Document 10
2. DISTRIBUTION OF ROLES AND RESPONSIBILITIES 13
3. ORGANISATIONAL ARRANGEMENTS 18
4. MECHANISMS AND PROCEDURES FOR PUBLIC PARTICIPATION 24
5. DESIGNING AN ACTION PROGRAMME 30
6. MECHANISMS AND PROCEDURES FOR ALIGNMENT 32
7. NATIONAL AND PROVINCIAL BINDING LEGISLATION AND

PLANNING REQUIREMENTS 36
8. BUDGET FOR THE PLANNING PROCESS 37
9. THE FRAMEWORK 39
ANNEX 1 41
ANNEX 2 42
Phase I: Analysis 42
Phase II: Strategies 43
Phase III: Projects 44
Phase IV: Integration 45
Phase V: Approval 46
ANNEX 3 47
CONTACT DETAILS 48
4
1. INTRODUCTION: PREPARING FOR THE
IDP PROCESS
Guide II intends to help municipal management to accomplish its preparation

work for the IDP process. Thus, it is about planning for planning.
This introduction section provides you with:
• a short rationale for the preparation process, explaining what needs to be

prepared and why (1.1);
• a presentation and interpretation of legal preparation requirements (1.2);

• a summary of the documents (and their contents) to be compiled as a
result of the preparation process (1.3);
• some general guidance on how to organise the preparation process (1.4);

and finally
• an overview of the contents of this guide (Guide II) which indicates how it
will lead you through the various preparation steps and tasks (1.5).
1.1 WHAT NEEDS TO BE PREPARED?
Drafting an Integrated Development Plan requires a 9 month planning process

with the involvement of a wide range of role-players from inside and outside
the municipality. Such a process needs to be properly organised and prepared.
It needs some kind of a business plan:
• Roles and responsibilities have to be clarified in advance and internal

human resources have to be allocated accordingly.
• Organisational arrangements have to be established and decisions on

the membership of teams, committees or forums have to be made.
• A programme needs to be worked out which sets out the envisaged

planning activities, a time frame and the resource requirements for the
planning process. Such a detailed programme of the planning process is
crucial to keep track and to interact with other role-players (especially
between local and district municipalities).
• Special attention has to be paid to deciding on mechanisms and

procedures for community and stakeholder participation during the
planning process: Who has to be involved, consulted and informed in
which stage of the process by which means? This has to be decided in
advance in order to inform people in time and to allocate required
resources in time.
• The same is true with regard to mechanisms and procedures for

alignment with external stakeholders such as other municipalities,
districts, and other spheres of government. Such alignment activities have
to be decided on a mutually binding basis, through a joint framework for
the interactive planning process which requires preparation well in
advance.
5
• One has to make sure that all relevant documents, which have to be
considered in the course of the planning process, are known and available.
This applies especially to legal documents and to guidelines, plans and
strategies from the provincial and national sphere and corporate service
providers.
• Based on all these preparation steps a cost estimate has to be made for
the whole planning process.
This preparation task for IDP is the duty of municipal management. The
preparation process should contribute to the institutional preparedness of the
municipality for the IDP process. Nobody else, therefore, can make the
management decisions involved in it. Guide II is supposed to assist the
municipal manager to do this preparation work in a simple and straightforward
manner.
1.2 LEGAL REQUIREMENTS WITH REGARDS TO PREPARATION OF THE

IDP PROCESS
In order to ensure certain minimum quality standards of the IDP process and a
proper co-ordination between and within the spheres of government, the
preparation of the planning process has been regulated in the Municipal
Systems Act, 2000. The Act does not say anything different from the
“common sense” preparation requirements outlined above. It requires:
(a) Adoption of a “process set out in writing” by each municipality

(local/district) which is supposed to guide the planning, drafting, adoption
and review of the IDP. This written document on the IDP process will be
called in short the “Process Plan” in this Guide. This Process Plan has to
include:
– a programme specifying the time frames for the different planning

steps;
– appropriate mechanisms, processes and procedures for consultation

and participation of local communities, organs of state, traditional
authorities, and other role-players in the IDP drafting process; and
– the identification of all plans and planning requirements binding on

the municipality in terms of national and provincial legislation.
(b) Adoption of a framework for integrated development planning by each

district municipality which binds both the district municipality and the
local municipalities in the area and which is supposed to ensure proper
consultation co-ordination and alignment of the planning process of the
district municipality and the various local municipalities.
While the Process Plan has to be based on appropriate consultation with

local communities and to be communicated to them, the Framework has
to be based on a consultative process with the local municipalities within
the district area.
6
Process Plans and the district-level Framework need to be established in an
inter-active, mutually aligned manner during the preparation phase in order to
ensure the Process Plans of local municipalities are in line with the Framework
and the Framework reflects the proposals of all local municipalities. A co-
ordinated planning process requires co-ordinated preparation of that process.
Both Process Plan and Framework have to be submitted to the MEC for Local
Government together with the adopted IDP document at the end of the
planning process.
1.3 THE REQUIRED DOCUMENTS: PROCESS PLAN AND FRAMEWORK
Process Plan and Framework are two distinct documents which are talking to
each other. The Process Plan is a management tool for each municipality (local
and district) which helps with the management of the IDP process on a day-
to-day basis. The Framework is a coordination tool for the district which helps
ensure interrelated parallel planning processes at district and local level.
Some sections of Process Plans and Framework are identical, others are only
required in one of the two documents (compare diagram 1).
The Process Plan should fulfil the function of a business plan or an

operational plan for the IDP process. It should say in a simple and transparent
manner what has to happen when, by whom, with whom, and where, and it
should include a cost estimate.
Accordingly, it should be a highly standardised document, which provides an

easy overview through formats.
While each municipality is free to design the document in its own way, a
proposed list of contents may help to give a clear picture on how the legal and
practical requirements lined out above can be incorporated.
7
PROCESS PLAN – PROPOSED LIST OF CONTENTS Approx no of pages
1. Introduction (1)
2. Distribution of Roles and Respnsibilities in the IDP Process (1 – 2)
3. Organisational Structures/Institutional Arrangements for the

IDP Process (1 – 2)
4. Action Programme with Time Frame and

Resource Requirements (4 – 5)
5. Mechanisms and Procedures for Community and

Stakeholder Participation (2 – 3)
6. Mechanisms and Procedures for Alignment (1 – 2)
7. Binding Plans and Planning Requirements at

Provincial and National level (1)
8. Cost Estimate for the Planning Process (1 – 2)
The function of the Framework is to ensure that the process of district IDPs
and local IDPs are mutually linked and can inform one another. If parallel
processes are supposed to be smoothly inter-linked, one has to agree on a
joint time schedule and some crucial joint milestones. This will be done
through the Framework. The district municipalities are in charge of drafting the
Framework. As it has to be agreed by local municipalities and as is has to be
used by all municipalities as a basis for drafting their Process Plans, the
Framework has to be agreed upon at an early stage of the preparation
process.
FRAMEWORK: PROPOSED LIST OF CONTENTS
1. Introduction
2. Framework Programme with Time Frame (1 – 2)
3. Issues, Mechanisms and Procedures for Alignment

and Consultation (1 – 2)
4. Binding Plans and Planning Requirements at Provincial

and National Level (1)
5. Procedures and Principles for Monitoring of the Planning

Process and Amendment of the Framework (1)
The compliance of the actual IDP process of all municipalities with the
Framework has to be carefully monitored by the districts in order to be able to
undertake corrective action in time if some municipalities fail to adhere to the
timeframes.
8
DIAGRAM 1: PROCESS PLAN AND FRAMEWORK
CONTENTS IN COMPARISON
Distribution of Roles and

Responsibilities
Organisational Arrangements
Process Plans
Mechanisms and Procedures (Local and District Municipality)

for Community and
Stakeholder Participation
Action Programme with

Timeframe and Resource
Requirements
Mechanisms and Procedures

for Alignment
Binding Legislation and

Planning Requirements at
Provincial/National level Framework
Cost Estimate for the Planning (District Level)

Process
Principles and Procedures for

Monitoring of the Planning
Process and Amendment of
the Framework
9
There are three chapters which must be part of the Framework and of each
Process Plan: The Action Programme, the alignment chapter, and the chapter
on binding legislation and planning requirements. The Action Programmes of
municipalities will differ significantly from the Action Programme in the
Framework. They need to be far more detailed, and therefore need to be
drafted by each municipality individually, taking the timeframes of the
Framework Action Plan into consideration. The Alignment Procedures and the
binding legislation and planning requirements will be the same for the district
Framework and the Process Plans. Consequently, they can be taken over from
the Framework.
1.4 THE PREPARATION PROCESS
It has already been said that preparing a Process Plan is a management task
like the preparation of any business plan. It does not require specific
professional planning skills. Neither does it need the involvement of
consultants. The result of the preparation process should not only be a
document (the Process Plan), but also a well-prepared management, confident
about the planning task ahead. The preparation process requires some
consultation with those role-players who are expected to participate or to be
consulted in the planning process:
(a) between local municipalities and district municipalities (as required for
establishing the Framework);
(b) with community and stakeholder groupings who are to be given the
opportunity to become part of the organisational arrangements; and
(c) with financing bodies for aligning resource requirements for the planning
process with available resources.
Managing these consultation processes and getting all role-players on board of

the IDP process is definitely the major preparation task. With some
concentrated efforts, a time-span of one month should, nevertheless, be
sufficient.
1.5 GUIDANCE OFFERED BY THIS DOCUMENT
Guide II aims at putting the municipal management into a position to

formulate the Process Plan and the Framework without external support and
in line with the requirements of the Municipal Systems Act, 2000, as well as
with the practical requirements of a well managed planning process. Guidance
will be provided with regard to each of the preparation tasks:
10
• deciding on the distribution of roles and responsibilities (section 2);
• designing organisational structures and institutional arrangements for the
IDP drafting process (section 3);
• drafting the Action Programme with phases, time schedules, and resource
requirements (section 4);
• deciding on appropriate participation mechanisms and procedures

(section 5);
• deciding on contents and mechanisms for co-ordination and alignment

(section 6);
• identifying binding legislation and planning requirements (section 7);

• preparing the budget for the planning process (section 8); and
• compiling the Framework (section 9).
For each of these preparation tasks, guidance will be provided on:
(a) the required preparation activities and outputs (procedural guidance

for the preparation process) which partly includes recommended formats
for documentation of the outputs; and
(b) contents of the Process Plan and Framework, i.e. proposals on the
decisions to be taken with respect to the nature of the IDP process, or
on criteria to be considered when making such decisions.
The content recommendations given in Guide II, on how to design the IDP
process, cannot replace a proper reading of the content of Guides I and III,
which is the basis for a sound understanding of the IDP process. Such sound
understanding is crucial for preparing the IDP process of a specific
municipality in a flexible and appropriate manner taking into consideration the
local circumstances. The intent of summarising the content recommendations
in Guide II is just to put these guidelines into the context of the preparation
process and the Process Plan.
11
DIAGRAM 2: TIMEFRAME FOR PREPARING FOR THE IDP PROCESS
12
Process Plans
2. DISTRIBUTION OF ROLES Distribution of Roles
AND RESPONSIBILITIES and Responsibilities
Framework
It is one of the pre-requisites of a smooth and well organised planning process
that all role-players are fully aware of their own and of other role-players’
responsibilities. Therefore, it is one of the first preparation requirements for
the IDP planning process to ensure that there is a clear understanding of all
required roles, and of the persons or organisations which can assume those
roles.
(A) PREPARATION ACTIVITIES AND OUTPUTS
Required Outputs • List of required roles and responsibilities for the planning process
(by municipal management).
• List of persons or agencies who are expected to assume these roles

and responsibilities.
• Clear and mutually agreed terms of reference, which describe their

roles and responsibilities in detail.
Proposed Process (1) The IDP Steering Committee clarifies the roles which the
municipality has to play in the IDP process in relation to the roles
which external role-players are expected to play (in line with
Section 84 of the Municipal Structures Act).
(2) The roles to be played by municipal role-players are further

specified by drafting terms of reference for each role which
determine the responsibilities related to that role.
(3) The Municipal Manager, after having drafted the role descriptions
approaches persons to take over the various roles and submits a
proposed list of role-players for discussion in the IDP Steering
Committee and for approval by the Executive Committee of the
Council or the Executive Mayor or Committee of Appointed
Councillors.
13
(B) CONTENT GUIDELINES
(1) PROPOSED DISTRIBUTION OF ROLES AND RESPONSIBILITIES BETWEEN THE MUNICIPALITY
AND EXTERNAL ROLE-PLAYERS
Actors Roles and Responsibilities
Local Municipality To:

• Municipal • Prepare, decide on and adopt a Process Plan.
Government
• Undertake the overall management and co-ordination of the
planning process which includes ensuring that:
– all relevant actors are appropriately involved;
– appropriate mechanisms and procedures for public consultation
and participation are applied;
– the planning events are undertaken in accordance with the time
schedule;
– planning process is related to the real burning issues in the
municipality, that it is a strategic and implementation-oriented
process; and
– the sector planning requirements are satisfied.
• Adopt and approve the IDP.
• Adjust the IDP in accordance with the MEC for Local Government’s
proposal.
• Ensure that the annual business plans, budget and land use
management decisions are linked to and based on the IDP .
Residents, To represent interests and contribute knowledge and ideas in the

planning process by:
communities and
• participating in the IDP Representative Forum to:
stakeholders (civil
society) including – inform interest groups, communities and organisations, on
relevant planning activities and their outcomes;
traditional leaders
– analyse issues, determine priorities, negotiate and reach
consensus;
– participate in the designing of project proposals and/or assess
them;
– discuss and comment on the draft IDP;
– ensure that annual business plans and budgets are based on and
linked to the IDP; and
– monitor performance in implementation of the IDP.
• conducting meetings or workshops with groups, communities or
organisations to prepare for and follow-up on relevant planning
activities.
NOTE: The specific role of traditional leaders still needs further
clarification. The roles of the “civil society” are to be seen as an
opportunity rather than a responsibility or duty.
14
District A. Same roles and responsibilities as governments of local
Municipality municipalities but related to the preparation of a District IDP.
B. Co-ordination roles for local municipalities:
• ensuring horizontal alignment of the IDPs of the
municipalities in the district council area;
• ensuring vertical alignment between district and local
planning;
• facilitation of vertical alignment of IDPs with other spheres of
government and sector departments; and
• preparation of joint strategy workshops with local
municipalities, provincial and national role-players and other
subject matter specialists.
Provincial • Ensuring horizontal alignment of the IDPs of the district

Government municipalities within the province.
• Local • Ensuring vertical/sector alignment between provincial sector

departments/provincial strategic plans and the IDP process at
Government
local/district level by:
Department
– guiding the provincial sector departments’ participation in and their
required contribution to the municipal planning process; and
• Sector
Departments – guiding them in assessing draft IDPs and aligning their sectoral
programmes and budgets with the IDPs.
and Corporate
Service • Efficient financial management of provincial IDP grants.
Providers • Monitoring the progress of the IDP processes.

• Facilitation of resolution of disputes related to IDP.
• Assist municipalities in the IDP drafting process where required.
• Organise IDP-related training where required.
• Co-ordinate and manage the MEC’s assessment of IDPs.
To:
• Contribute relevant information on the provincial sector
departments’ plans, programmes, budgets, objectives, strategies and
projects in a concise and accessible manner.
• Contribute sector expertise and technical knowledge to the
formulation of municipal strategies and projects.
• Engage in a process of alignment with district municipalities.
• Participate in the provincial management system of co-ordination.
15
Support Providers/ Any external providers of planning related services should only be
Planning consulted for such tasks for which internal professional capacities are
Professionals 1 not available.
Though different types of service providers may be specialised on

Consultants, NGOs, specific types of services, there are usually many overlaps. Therefore
PIMS-Centres we do not differentiate the roles by service providers.
Municipal Planning External service providers may be engaged for:

Officials • providing methodological /technical guidance to the IDP process;
• facilitation of planning workshops;
• documentation of outcomes of planning activities;
• special studies or other product related contributions;
• support to organised and unorganised groups and communities to
more effectively engage in and contribute to the planning process; and
• ensure the IDP is aligned with provincial and national department’s
budget.
1
Planning professionals may be town and regional planners, development planners or any other professionals involved in
development and spatial planning.
(2) PROPOSED DISTRIBUTION OF ROLES AND RESPONSIBILITIES WITHIN THE MUNICIPALITY
Municipal Council As the ultimate political decision-making body of the municipality, the
Municipal Council has to:
• Consider and adopt a Process Plan.
• Consider, adopt and approve the IDP.
Executive As the senior governing body of the municipality, they have to:
Committee or • Decide on the Process Plan.
Executive Mayor or • Be responsible for the overall management, co-ordination and
Committee of monitoring of the process and drafting of the IDP, or delegate this
function to the Municipal Manager.
Appointed
• Approve nominated persons to be in charge of the different roles,
Councillors activities and responsibilities of the process and drafting.
Ward Councillors Councillors are the major link between the municipal government
and the residents. As such, their role is to:
• Link the planning process to their constituencies and/or wards.
• Be responsible for organising public consultation and participation.
• Ensure the annual business plans, and municipal budget are linked to
and based on the IDP.
16
Municipal Manager The Municipal Manager or a senior official being charged with the
and/or IDP function of an IDP Manager on his/her behalf has to manage and
Manager co-ordinate to IDP process. This includes to:

• prepare the Process Plan;
• undertake the overall management and co-ordination of the planning
process;
• ensure that all relevant actors are appropriately involved,
• nominate persons in charge of different roles;
• be responsible for the day- to-day management of the drafting
process;
• ensure that the planning process is participatory, strategic and
implementation orientated and is aligned with and satisfies sector
planning requirements;
• respond to comments on the draft IDP from the public, horizontal
alignment and other spheres of government to the satisfaction of the
municipal council;
• ensure proper documentation of the results of the planning of the
IDP document; and
• adjust the IDP in accordance with the MEC for Local Government’s
proposals.
Even if the Municipal Manager delegates some of these functions to an

IDP Manager on his/her behalf, he/she is still responsible and
accountable.
Heads of As the persons in charge for implementing IDPs, the technical/sectional

Departments and officers have to be fully involved in the planning process to:
Officials • provide relevant technical, sector and financial information for

analysis for determining priority issues;
• contribute technical expertise in the consideration and finalisation of
strategies and identification of projects;
• provide departmental operational and capital budgetary information;
• be responsible for the preparation of project proposals, the
integration of projects and sector programmes; and
• be responsible for preparing amendments to the draft IDP for
submission to the municipal council for approval and the MEC for
Local Government for alignment.
17
Process Plans
Organisational 3. ORGANISATIONAL
Arrangements
ARRANGEMENTS
Framework
The municipalities will need to establish a set of organisational arrangements

to:
• institutionalise the participation process;
• effectively manage the drafting of outputs; and
• give affected parties access to contribute to the decision-making process.
The number of structures and composition or positions may vary between

different categories and types of municipalities to suit the available human and
institutional resources, but the proposed generic arrangements are
recommended as a minimum and are based on the following principles:
• Public participation has to be institutionalised to ensure all residents have

an equal right to participate; and
• Structured participation must specify who is to participate, on behalf of

whom, on which issues, through which organisational mechanisms and to
what effect.
Municipalities should consider existing arrangements, use them and adapt

them if necessary, and avoid duplication of mechanisms. For example if they
have adopted a ward committee approach they may want to use this structure
and would only need to ensure that in addition stakeholders and social groups
are also represented.
The following structures/persons are recommended:

• Municipal Manager or IDP Manager
• IDP Steering Committee
• IDP Representative Forum
• Project Task Teams
The recommended arrangements will serve as a guide for the majority of

district and local municipalities. The IDP Manager, IDP Steering Committee
and IDP Representative Forum are structures required through the whole
IDP process to be established at the beginning and therefore will be
introduced in this Guide.
The Project Task Teams will be small operational teams composed of a

number of relevant municipal sector departments and technical people, actors
involved in the management of implementation and where appropriate
community stakeholders directly affected by the project. The Project Task
Teams will be required at the outset of phase 3 and will be introduced there in
more detail (Planning Activity 3.1).
All organisational arrangements suggested above should be maintained during

IDP implementation stage as teams in charge of co-ordinating and steering
the implementation process.
18
Required Outputs • Type of arrangements/structures to be established.

• Clear Terms of Reference for each of the arrangements/structures.
• Criteria for Selection
• List of agreed persons and/or organisations to be represented.
• Code of Conduct.
• Selected members are familiar with roles.
Proposed Process (1) The Executive Committee, or Executive Mayor, or a Committee of

Councillors should in consultation and with support of the Municipal
Manager:
• Define Terms of Reference for IDP Manager and Steering
Committee;
• Identify an appropriate IDP Manager, taking into consideration the
importance of IDP, time constraints of the municipal manager and
alternative persons;
• Assign responsibilities with regard to drafting of the IDP to the
Municipal Manager; and
• Identify and nominate suitable candidates for the Steering
Committee ensuring that all relevant issues (e.g. LED, spatial,
housing municipal finance) have at least one responsible person.
(2) The newly established IDP Steering Committee should be responsible
for the establishment of the IDP Representative Forum by:
• Defining Terms of Reference and criteria for members of the IDP
Representative Forum;
• Informing the public (e.g. issue advert) about the establishment of
the IDP Representative Forum and request submission of
applications from stakeholders/community groups indicating goals,
objectives, activities, number of members, and constitution;
• Identifying:
– additional stakeholders and unorganised marginalised/
underrepresented groups that may need an “advocate” to
represent their interests,
– potential advocates,
– resource persons,
– senior officials;
• Selecting potential groups/members based on criteria;
• Submitting proposed groups/members to council for consideration;
and
• Nominating members and informing the local community.
(3) If the Municipal Manager is not the IDP Manager the Municipal
Manager must decide on:
• powers and functions to be delegated;
• responsibility remaining with Municipal Manager/accountability; and
• reporting mechanisms.
(4) IDP Steering Committee to:
• establish sub committees (if necessary) and decide on relationship/
reporting mechanisms; and
• appoint the secretariat.
19
EXECUTIVE COMMITTEE/EXECUTIVE MAYOR/COMMITTEE OF COUNCILLORS
The executive committee or executive mayor of a municipality or, if the municipality does not have an
executive committee or executive mayor, a committee of councillors appointed by the municipal council
must:
• manage the drafting;

• assign responsibilities in this regard to the municipal manger; and
• submit the draft plan to the municipal council for adoption.
These are structures already established and required by the Municipal Structures Act and not specific
structures of the municipality for the IDP.
It is recommended that the responsibility for managing the drafting of the IDP is assigned to the
Municipal Manager or IDP Manager on his behalf.
IDP M ANAGER
The Municipal Manager, or IDP Manager on his behalf, is the responsible person for championing the
Integrated Development Planning process. The selection of the appropriate person is crucial for the
success of IDP and needs to be done as the first step towards preparing the Process Plan since the IDP
Manager is also the responsible person for designing the Process Plan.
The IDP Manager should be a dedicated person that has the required authority to involve all relevant
role-players.
Proposed Terms of • Responsible for the preparation of the Process Plan.

Reference for IDP • Responsible for the day-to-day management of the planning process
Manager under consideration of time, resources, people, ensuring:
– involvement of all different role-players, especially officials;

– that the timeframes are being adhered to;
– that the planning process is horizontally and vertically aligned and
complies with national and provincial requirements;
– that conditions for participation are provided; and
– that outcomes are being documented.
• Chairing of the Steering Committee.
• Management of consultants.
20
IDP STEERING COMMITTEE
The Steering Committee should be a technical working team of dedicated Heads of Departments and
senior officials who support the IDP Manager and ensure a smooth planning process. The IDP Manager
is responsible for the process but will often delegate functions to members of the Steering Committee.
In municipalities where there are relevant portfolio councillors who want to be part of the IDP Steering
Committee they should be included. In this cases the appropriate protocol must be considered.
Proposed Terms of • Provides terms of reference for the various planning activities
Reference for IDP • Commissions research studies
Steering
Committee • Considers and comments on:
– inputs from sub-committee/s, study teams and consultants
– inputs from provincial sector departments and support providers
• Processes, summarises and documents outputs
• Makes content recommendations
• Prepares, facilitates and documents meetings
Proposed Chaired by:

composition of the • The Municipal Manager and/or IDP Manager
IDP Steering
Committee Secretariat:
• Official of the Municipality
Composition:
• Heads of Departments or Senior Officials
• Treasurer
Note • The IDP Steering Committee may establish sub-committees for

specific activities and outputs which should include additional persons
outside the Steering Committee.
• An Official of the municipality should be appointed to prepare,

facilitate and document meetings. The function should be the
responsibility of the Municipal Planner or similar official.
• For the logistics of workshops, dissemination of information and

invitations the Official should be supported by an administrator.
21
IDP REPRESENTATIVE FORUM
The IDP Representative Forum is the structure which institutionalises and guarantees representative
participation in the IDP Process. The selection of members to the IDP Representative Forum needs to
be based on criteria which ensures geographical and social representation.
Proposed Terms of • Represent the interests of their constituents in the IDP process
Reference for IDP • Provide an organisational mechanism for discussion, negotiation and
Representative decision making between the stakeholders including municipal
Forum government
• Ensure communication between all the stakeholder representatives

including the municipal government
• Monitor the performance of the planning and implementation process
Proposed Chaired by:

composition of the • A member of the Executive Committee or the Executive Mayor or a
IDP Representative member of the Committee of Appointed Councillors
Forum Secretariat:
• IDP Steering Committee
Composition:
• Members of the Executive Committee
• Councillors (including Councillors who are members of the District

Council and relevant portfolio Councillors)
• Traditional Leaders
• Ward Committee Chairperson
• Heads of Departments / Senior officials
• Stakeholder representatives of organised groups
• Advocates for unorganised groups
• Resource persons
• Community Representatives (e.g. RDP Forum)
Note The preparation, facilitation and documentation of meetings and

workshops of the IDP Representative Forum may need to be supported
by professional planners, e.g. PIMS-Centres.
22
Proposed issues to The code of conduct should regulate issues such as:
be considered in • meeting schedule (frequency and attendance)
the Code of
• agenda, facilitation and documentation of meetings
Conduct for the
• understanding by members of their role as representatives of their
IDP Representative
constituencies
Forum
• feed back to constituents
• required majority for approval
• resolution of disputes
District • Similar structures will be required at District level for the District IDP;
Municipalities: • The composition of the District Municipality Representative Forum
Organisational should include all DM Councillors and ensure geographical
Arrangements representatives, include district wide stakeholders and
representatives of district wide issues.
DIAGRAM 3: PROPOSED ORGANISATIONAL ARRRANGEMENTS
Council
Executive Committee or Executive

Mayor or Appointed Councillors
Municipal Manager
(IDP Manager)
IDP Steering Committee IDP Representative Forum
Stakeholder Ward
Project Task Team
Structures Committee
23
Process Plans Mechanisms and 4. MECHANISMS AND
Procedures for
Community and
Stakeholder
PROCEDURES FOR PUBLIC
Framework Participation
PARTICIPATION
One of the main features about the integrated development planning process is the involvement of
community and stakeholder organisations in the process. Participation of affected and interested parties
ensure that the IDP addresses the real issues that are experienced by the citizens of a municipality.
Section 3 above dealt with the minimum organisational arrangements that need to be established to
ensure proper participation. This section will go even further in providing guidance on what each
municipality needs to consider when developing a public participation strategy for its integrated
development planning process. For more information on the legal and policy framework on community
and stakeholder participation in the affairs of local government, municipalities should refer to Guide I
“General IDP Guidelines”. Guide IV (“Toolbox”) provides various tools and techniques for participation.
Required Outputs A public participation strategy to be approved by council
Proposed Process (1) The IDP Steering Committee formulates a proposal for the strategy
taking into consideration the need to comply with any relevant
legislation e.g. chapter 4 of the Municipal Systems Act and IDP
Regulations.
(2) The proposal is submitted to the council for consideration and
approval.
(3) Once the strategy is approved by council, the IDP Steering
Committee has the responsibility to implement it.
(4) The IDP Steering Committee presents the strategy to the first
meeting of the IDP Representative Forum.
24
Proposed Content The participation strategy must contain a decision on issues like:
• Roles of different role-players during the participation process (e.g.

councillors, the IDP Steering Committee, the IDP Representative
Forum, other officials, consultants etc.)
• Means of encouraging representation of unorganised groups
• Participation mechanisms for different phases of the methodology
• Available resources for participation
• Frequency of meetings/ workshops
• Appropriate venue for the meetings/workshops
• Time frames to allow responses, comments, inputs
• Appropriate participation tools
• Means of information dissemination
• Means of eliciting and collecting community needs (including

documentation of participation inputs)
25
(C) ISSUES TO CONSIDER WHEN DEVELOPING A STRATEGY
FOR PUBLIC PARTICIPATION
In designing a strategy for participation, a municipality must take into consideration the following issues:
Principles of public • The elected council is the ultimate decision-making forum on IDPs.
participation The role of participatory democracy is to inform stakeholders and
negotiate with them on issues. It is also to give stakeholders an
opportunity to provide input on the decisions taken by the council.
• In order to ensure public participation, the legislation requires

municipalities to create appropriate conditions that will enable
participation. This is a minimum requirement, however, it is not
enough. Municipalities also have a responsibility to encourage its
community and stakeholder groups to get involved. This should be
done in particular with regard to disadvantaged or marginalised
groups in accordance with the conditions and capacities in a
municipality.
• Structured Participation: Most of the new municipalities are too big

in terms of population size and area to allow for direct participation of
the majority of the residents in a complex planning process.
Participation in the integrated development planning, therefore needs
clear rules and Structured Participation: Most of the new
municipalities are too big in terms of population size and area to allow
for direct participation of the majority of the residents in a complex
planning process. Participation in the integrated development
planning, therefore needs clear rules and procedures specifying:
– Who is to participate
– Who will not directly participate, but must be consulted on certain

issues (e.g. adjoining municipalities)
– On which issues should direct participation or consultation take

place.
• Diversity: The way public participation is structured has to provide

sufficient room for diversity within the municipal area in terms of:
– Different cultures
– Gender
– Language
– Education levels
• Participation costs can be kept at an acceptable level if potential

participants are made aware of the fact that it is in their own interest
to be involved in the planning process and it is not a task they have
to be paid for.
26
In developing its participation strategy, the municipality has to ensure that conducive conditions are
created for proper and successful public participation. Here are some of the issues to consider:
Creating • Informing Communities and stakeholders:

conditions for
The residents and stakeholders have to be informed on the
public participation
municipality’s Intention to embark on the integrated development
planning process. In doing so the municipality must ensure that the
appropriate forms of media (e.g. community radio stations,
information flyers inside the municipal bills etc.) are utilised in order
to reach as many people as possible. No stakeholders should feel
ignored or unimportant. In choosing the appropriate form of media,
municipalities must consider the cost of using such mechanisms. For
instance, it can be very costly to place an advert in a newspaper,
therefore this might not be a feasible option.
Another mechanism of informing communities is through councillors.

Councillors have to inform the people within their wards, by means of
public ward-level meetings.
• All affected and interested parties to be invited to participate:
All relevant community and stakeholder organisations must be invited

to register as members of the IDP Representative Forum. The
municipality must also keep a database of those groupings that will
not necessarily participate as members of the Representative Forum,
but that will need to be consulted at various stages of the process.
• Use of appropriate language:
The use of appropriate language is essential to allow all stakeholders

to freely participate. The IDP Steering Committee have to consider
the need to identify an interpreter to cater for situations where some
participants are uncomfortable with a particular language.
• Choosing the right venue:
The venue where public participation events are held can determine
the level of attendance. It is crucial that the venue that is selected
can be accessed easily by all stakeholders e.g. it should be accessible
by public transport to enable those participants without private
transport to get to it.
• Choosing the suitable time for meetings:
The times when the IDP Representative Forum Meetings are held
should accommodate the majority of the members. The IDP Steering
Committee needs to establish the best suitable time for the majority
of the members to hold meetings. Weekends should also be
considered.
27
• Appropriate refreshments:
If the IDP Representative Forum has long meetings which would

require the provision of refreshments, consideration must be given to
the participants’ different preferences e.g. halaal, vegetarian etc.
• Representatives to be encouraged to report back to their

organisations:
To allow for a fair opportunity for legitimate representative

participation, the community and stakeholder representatives have to
be given adequate time (2-4 weeks) to conduct meetings or
workshops with the groups, communities or organisations they
represent, before the issue is dealt with by the IDP Representative
Forum. This must be taken into consideration when the programme
and timeframe are developed. The requirement for the
representatives to report back to those they represent on the
outcome of the IDP Representative Forum meetings/workshops,
must be included in the code of conduct for the Forum.
• Opportunity for stakeholders to comment on draft documents:
Draft planning documents have to be accessible for all communities

and Stakeholders. There must be a time period of at least three
weeks for ward committees, stakeholder associations and interested
groups and residents to discuss the draft document publicly, and to
comment on it before the IDP Representative Forum finalises the
draft. This timing must be catered for in the programme.
• Council meetings for approval:
Council meetings on the approval of the IDP should be open to the

public.
• The IDP document to be available to all stakeholders:
Copies of the finalised IDP must be available to all communities and

stakeholders. It might even be useful to summarise the main outputs
of the plan e.g. municipality’s vision, objectives etc. in the various
languages that are relevant for that particular municipal area.
Encouraging public The municipal government, through its IDP committee and its
participation councillors, should use all appropriate means, above and beyond
creating the necessary conditions, to encourage public participation.
Active encouragement should particularly focus on those social groups
which are not well organised and which do not have the power to
articulate their interests publicly e.g. poverty groups, women,
disabled, specific age groups (youth, orphans, and aged people) etc. The
municipality has to identify the groups and determine appropriate ways
of ensuring their representation in the IDP Representative Forum.
One of the mechanisms of ensuring participation of these groups is to
mobilise NGOs or competent resource persons that advocate for their
interests.
28
GUIDELINES ON PHASING PUBLIC PARTICIPATION
Public participation is not equally relevant and appropriate in each stage of planning, and not all
participation procedures are equally suitable for each planning step. To limit participation costs, to avoid
participation fatigue, and to optimise the impact of participation, the mechanisms of participation will
have to differ from stage to stage. The IDP Steering Committee need to have a good understanding of
Guide III (methodology) to be able to decide on the intensity of participation and also the appropriate
participation tools for different phases. The following guidelines can help municipalities to decide on
appropriate tools for different planning phases:
Planning phase Participation Mechanisms
Analysis • Community meetings organised by councillors

• Stakeholder meetings
• Sample surveys
• Opinion polls
Strategies • District level strategy workshops, with representatives of all

municipalities, sector provincial and national departments and
selected representatives of stakeholder organisations and resource
people.
• IDP Representative Forum at local level
• Stimulation of public debates through public events like hearings,
press conferences etc.
Project planning • Technical sub-committees with few selected representatives of

(a) Projects/ stakeholder organisations/civil society
programmes
• Intensive dialogue between technical sub committees and affected
with
communities/stakeholders
municipality-
wide scale
(b) Localised
community-
level projects
Integration • IDP Representative Forum
Approval • Broad public discussion/ consultation process within all

community/stakeholder organisations
• Opportunity for comments from residents and stakeholder
organisations
Monitoring and • IDP Representative Forum

implementation
29
Process Plans
Action Programme with
Timeframe and 5. DESIGNING AN ACTION
Resource Requirements
Framework PROGRAMME
The Action Programme is a component of the Process Plan and nothing other than a business plan
which answers the questions: what needs to be done, when, how long will it take, who is responsible,
who contributes and which resources will be required. The Action Programme should be known by all
role-players involved in the IDP process to ensure participation and alignment. To design the Action
Programme it is crucial to be familiar with and understand Guide III and to consider the District
Framework. Not all the information needed for the design of the Action Programme will be available
already during the preparation phase. Some activities may have to be included and defined at a later
stage (e.g. only once the priority issues are known, will the need for more in-depth analysis become
clear).
Required Outputs Action Programme based on the IDP Phases and Planning Activities
including:
• activities/tasks/events for preparing, undertaking and finalising each
Planning Activity;
• the name of the responsible person to manage, facilitate and/or
document the Planning Activity;
• the starting date and expected duration;
• the names of people/structures that need to be involved an how
(e.g. attend meeting/comment ); and
• the required resources (consultants/venues/catering/finances/
translation) and costs.
A Format/Template is being provided in Annex 2.
Proposed Process IDP Manager together with the IDP Steering Committee to:
(1) Consider activities per phase and proposed time frames from
Guide III as well as District Briefing Session;
(2) Submit draft Action Programme for District Framework Workshop;
(3) Discuss and agree on District Framework Programme as basis for
Municipal Programme;
(4) Adapt Action Programme to local circumstances (taking the DM
Framework into consideration); and
(5) Finalise Action Programme by:
• considering organisational structures and defined roles and
responsibilities within those structures;
• including alignment activities;
• including community participation; and
• indicating required resources (consultants, venue, catering).
30
Issues to be • The Time Frame Table of Annex 1 should be considered when

considered for the designing the Framework and Action Programme.
Time Frame of the
• The Action Programme should consider local circumstances (e.g.
Action Programme
frequency of Council meetings) and be aligned in time with the
municipal budgeting process, bearing in mind that a considerable
amount of budgeting activities will be undertaken as part of the IDP
process.
• To ensure that the outputs of the IDP process are satisfactory to the
municipality, the municipal Council will need to consider and request
amendments to the outputs during the process. For this to occur we
recommend a phased-consideration process where the outputs of
each phase are:
(1) submitted to the IDP Representative Forum, to signal that the

process can continue and once approved;
(2) tabled and discussed by the municipal Council.
It is very important that while the municipal Council considers specific

outputs of the IDP process, the process continues and is not put on
hold, even if the outputs are not satisfactory. The comments from the
municipal Council will be incorporated subsequently to them being
noted.
31
Process Plans
Mechanisms and
Procedures for 6. MECHANISMS AND
Alignment
Framework PROCEDURES FOR
ALIGNMENT
The IDP planning process is a local process, which requires the input and support from other spheres of
government at different stages. Before starting with the planning process municipalities need to
understand where alignment should take place and how best, through which mechanism, this can be
achieved. Alignment is the instrument to synthesise and integrate the top-down and bottom-up planning
process between different spheres of government.
The alignment procedures and mechanisms are a component of the Process Plan as well as the
Framework. It should be arrived at between Local and District municipalities, and all parties involved in
the alignment need to be informed.
There are two main types of alignment required:
• Between municipalities and relevant district to ensure that their planning processes and issues
are co-ordinated and addressed jointly. The District has the responsibility to ensure that alignment
between the local municipalities takes place.
• Between local government (municipalities/districts) and other spheres, especially

provincial/national sector Departments as well as corporate service providers (e.g. Eskom, Telkom) to
ensure that the IDP is in line with national and provincial policies and strategies so that it is
considered for the allocation of departmental budgets and conditional grants. The Provincial
Department for Local Government should play a co-ordinating role ensuring that all other spheres
and especially sector departments understand the need for alignment and their role within the local
IDP process.
32
Required Outputs The required outputs should be defined separately for both types of
alignment (between municipalities and relevant district/ between local
government and other spheres/corporate service providers):
• List of role-players to be involved in the alignment process.
• Alignment events (like information flows and joint planning activities)
per phase with indication of time and role-players to be involved.
• Conflict solving mechanisms for aligning different role-players.
Proposed Process The process of arriving at agreed alignment procedures corresponds to

the general process of arriving at the Framework.
(1) IDP Steering Committee to present alignment need at District level
Framework workshop based on methodology Guide III.
(2) At workshop:
• compile joint list of alignment needs and discuss mechanisms to
ensure alignment;
• agree on alignment mechanism with time and role-players to be
involved; and
• propose for debate and final decision mechanism to dissolve dispute
or differences between local municipalities and local with district.
(3) DM to engage (meeting, written communication) with provincial and
national departments and corporate service providers to outline
municipal and district alignment needs and expectations and agree
on mechanisms.
(4) Each municipality to consider alignment when designing the Action
Programme with time frame.
33
Alignment • Alignment requirements should be minimised to keep the co-

Principles ordination requirements on a manageable level.
• Different alignment mechanisms will be suitable for the different
alignment needs and at different stages.
• This implies with regard to alignment mechanisms:
– Keeping the number of alignment events (such as workshops/
meetings) to a minimum due to the financial and time resources
required.
– Using bilateral communication – telephonic/electronic/written
communication as far as possible.
• Events with numerous participants from different sectors and
spheres will usually require a competent facilitator. The facilitator
should also be responsible for the documentation of the outcome.
• Alignment with provincial Departments can also be achieved through
provincial visits to the districts.
• The establishment of a structure which includes provinces, districts,
municipalities etc. can in some cases be the most appropriate form.
• Municipalities, both local and district, may have to align on a bilateral
basis with neighbour municipalities for issues that affect both.
Proposed persons Between municipalities and relevant district:

that need to be • District council’s IDP Manager and IDP Steering Committee.
involved in the • Local council’s IDP Manager and IDP Steering Committee.
alignment process • PIMS-Centre professional planning staff.
Between local government and other spheres/corporate service
providers:
• Local IDP Manager.
• District IDP Manager.
• Provincial IDP Co-ordinator.
• Provincial/national senior sector department officials.
• Senior officials of relevant service providers (Eskom, Water Boards,
Telkom, etc).
Proposed • For both alignment types (between municipalities and relevant

management district/between local government and other spheres/corporate
service providers) the main responsibility to ensure alignment lies
structure to ensure with the District Municipality.
alignment • The IDP Manager should ensure alignment of local issues.
• The Provincial Department of Local Government plays a crucial
role as co-ordinator to ensure alignment above District level and
between districts within a province.
• Where they have adequate capacity, the PIMS-Centres (Planning and
Implementation Management Support Centres), established at the
district level, could support the management of the alignment
process.
• Districts without a PIMS-Centre should nominate a responsible
person to manage the alignment process.
• In the case of under capacitated District municipalities (e.g. newly
created district) the municipalities should appoint a responsible
municipality and person within that municipality to manage the
process on behalf of all municipalities within that DM.
34
Proposed Due to the different nature of each phase alignment may be of more or
alignment per less importance and the suitable alignment mechanism will differ. The
phase table proposes minimum alignment requirements for both types of
alignment per phase. The indicated timing refers to the proposed
Indicative Time Programme attached in Annex 1.
Local
Local Govt/
Timing Municipality/ other
Phase (weeks) Alignment Activity District spheres
1. 7th 1. Information on
Priority Issues to DC X
2. 14th 2. Joint decision on

Localised Guidelines X X
15th – 18th 3. District-level Strategy Workshop X X
3. 23rd – 27th 4. Technical inputs to

project planning X
4. 28th – 30th 5. Sector Programmes under

responsibility of provincial/
national sector departments X
5. end 33rd 6. Submission of draft IDP X X
34th – 36th 7. Comment on draft IDP X X
36th – 37th 8. Compiling District-level

Summary of local IDPs
35
Process Plans
Binding Legislation and 7. NATIONAL AND PROVINCIAL
Planning Requirements
at Provincial/National
level
BINDING LEGISLATION AND
Framework
PLANNING REQUIREMENTS
To ensure that all relevant binding national and provincial legislation as well as other policies,
programmes, strategies and available funds are considered in the IDP process municipalities should be
aware of all these relevant information. In order to increase efficiency and minimise costs, Districts
should provide municipalities with the required information.
Required Outputs • Joint District list of national and provincial binding legislation
including the category of requirement (legal requirement for a
municipal level plan, legal requirement as part of IDP, compliance
with normative framework, for value adding contribution). (Proposed
list on national legislation, see Annex 3).
• List of other relevant policies, programmes and documents.
Proposed Process (1) DM with support of provincial IDP Co-ordinator to prepare list of
Provincial legislation and other important national and provincial
information for Framework Workshop.
(2) DM to present list at Framework Workshop and familiarise

municipalities with provincial sector departments’ requirements as
well as policies/programmes/funds/contact persons.
Use opportunity of engaging with national and provincial sector departments to establish contacts
for alignment and outline the need for information on policies, programmes and funds, to ensure
that IDP is in line with sector requirements and can attract sector budgets.
36
Process Plans
8. BUDGET FOR THE Cost Estimate for the
Planning Process
PLANNING PROCESS
Framework
The costs for the IDP process have to be budgeted by the municipality. This budget serves as a basis
for applying for financial contributions from the provincial and national level. It can also help the
municipal management to check whether the planning costs are reasonable in relation to other budget
items. In case the planning costs seem to be unacceptably high, one will have to reconsider the Process
Plan in order to arrive at a less costly IDP process or one will have to look for contributions from other
sources.
Required Outputs • A list of expenditure items with per unit cost, numbers of units and
total cost per expenditure item.
• Addition of all costs.
• Crucial budget/expenditure items to be distinguished are:
– Consultant fees
– Facilitator fees
– PIMSS fees for contract services
– Costs for disseminating information
– Costs for workshops and meetings
– Printing costs
Proposed Process (1) The required resources have to be indicated in the “Programme
with Time Frame and Resource Requirements” for each major
planning activity.
(2) Based on that table, the costs can be calculated and summarised
by type of expenditure.
(3) In case the total costs are unacceptably high, the Steering
Committee will have to discuss ways and means to reduce costs
either by looking for less costly ways and means to get a planning
activity accomplished or by slimming down on the way planning
activities are designed.
37
• As it is not possible to predict all planning costs precisely before the beginning of a planning
process the budget for the IDP process will be necessarily a tentative estimate.
• The budget for the IDP process of an average size Category B Municipality (approximately
100 000 people) should not exceed an amount of R200 000,00.
• Information requirements are usually rather costly. This is true in particular for rural areas where
only limited information is available. In such cases one should keep in mind that not all relevant
information need to be collected in the course of the first IDP process of a new municipality.
Reasonable planning can usually be done well on the basis of sound professional estimates.
• Participation costs can be kept at an acceptable level if potential participants are made aware of
the fact that it is in their own interest to be involved in the planning process and it is not a task
they have to be paid for.
• There are a number of departments and agencies, which get part of their planning requirements
covered by the IDP. Some of these agencies (such as DLA, DWAF, CMIP, LED, ISRD, etc.) are
expected to cover part of the planning costs, and it is recommended that planning costs be
specified according to their requirements.
38
9. THE FRAMEWORK
The Framework is the main guiding document for aligning the planning process between municipalities
and between municipalities and the relevant district. The framework should be developed in a joint
workshop and it is binding on both district and local municipalities.
Required Outputs • Introduction.
• Framework Programme.
• Mechanisms and Procedures for alignment and consultation (see

chapter 6).
• Legally binding Plans and Planning Requirements (see chapter 7).
• Principles and Procedures for monitoring of the Process Plan and

amendment of the Framework.
Proposed Process (1) District Briefing session of IDP Managers on:
– Planning Process and Approach.
– Legislation (Municipal Structures and Systems Act).
– Support Systems.
(2) Municipalities draft tentative programmes with alignment needs.
(3) District to prepare workshop including list of binding legislation and

planning requirements.
(4) District Framework workshop to:
• Synthesis the individual programmes and agree on the

Framework Programme;
• Discuss and agree alignment needs and mechanisms; and
• Develop and agree on legally binding legislation and relevant

documents.
(5) Adoption of Framework by District Council.
(6) Framework to be considered by all municipalities within the District

boundaries while preparing the Process Plan.
39
• The Framework Programme is a summary of the District Action Programme and the Municipal
Action Programmes which focuses on the district-wide activities that need to be undertaken
together in a co-ordinated way (e.g. District-wide strategy workshop). In other words it is a tool
for the alignment between municipalities and a relevant district.
• Principles and Procedures for monitoring of the Process Plan and amendment of the
Framework.
• Each municipality will be responsible for monitoring its own Process Plan and ensure that the
Framework Programme is being followed as agreed.
• Proposed Procedures for Deviations:
– Establish a committee of IDP Managers that meets after each phase to jointly assess
progress and decide on amendments;
– Each municipality to inform the District Municipality on deviations of the Action

Programme that affect district-wide activities (e.g. the identification of municipal priority
issues is delayed and the District wide strategy workshop needs to be postponed);
– DM has the mandate to decide when and how an amendment takes place and therefore
postpone an activity or continue with the agreed programme; or
– All municipalities have to agree before the Framework is amended.
40
ANNEX 1
41
ANNEX 2
PHASE I: ANALYSIS
The Analysis Phase should take, on average, 3 months to complete. All the Planning Activities should be
programmed to occur within this time.
42
PHASE II: STRATEGIES
The Strategies Phase should take, on average, 2 months to complete. The Planning Activity should be programmed
to occur within this time.
43
PHASE III: P ROJECTS
The Projects Phase should take, on average, 2 months to complete.The Planning Activities of this phase should
be programmed to occur within this time.
44
PHASE IV: INTEGRATION
The Integration Phase should take, on average, 6 weeks to complete. The Planning Activities of this phase
should be programmed to occur within this time.
45
PHASE V: A PPROVAL
The Approval Phase should take 6 weeks to complete for submission to the MEC. The Planning
Activities of this phase should be programmed to occur within this time frame.
46
ANNEX 3
LIST OF NATIONAL BINDING LEGISLATION
Category of Requirement Sector Requirement
For a municipal level plan • Water Services Development Plan;
• Integrated Transport Plan;
• Integrated Waste Management Plan; and
• Land Development Objectives (to be

replaced by spatial planning as a
requirement to be incorporated as a
component in the IDP).
For sector planning to be • Housing strategies and targets;

incorporated as a component • Coastal management issues;
in the IDP
• Local economic development strategies;
• Integrated infrastructure planning;
• Integrated energy planning; and
• Spatial framework.
For compliance with normative • National Environmental Management Act

frameworks principles;
• Development Facilitation Act principles;
• Environmental Implementation Plans; and
• Environmental Management Plans.
For value adding contribution • Local Agenda 21.
47
Useful contacts
key departmental contact persons
Mr Elroy Africa Acting DDG: (012) 334-0799 (012) 334-0763 Elroy@dso.pwv.gov.za
Governance and
Development
Ms Esme Magwaza Director: (012) 334-0823 (012) 334-0612 Esme@dso.pwv.gov.za

Development
Planning and LED
ddp task team (idp programme)

Mr Yusuf Patel DDP Manager (012) 334-0805 (012) 334-0808 Yusuf@dso.pwv.gov.za
Dr Theo Rauch GTZ – DDP adviser (012) 334-0802 (012) 334-0808 Vira@dso.pwv.gov.za
Ms Musa Majozi Task Team member (012) 334-0803 (012) 334-0808 Musa@dso.pwv.gov.za
Ms Vira Denton Administrator (012) 334-0806 (012) 334-0808 Vira@dso.pwv.gov.za
Mr Marc Feldman Task Team member (011) 487-1002 (011) 487-1025 Marcfeld@global.co.za
Ms Maria Coetzee Task Team member (012) 841-2552 (012) 841-4036 Mjcoetze@csir.co.za
idp provincial coordinators

Ms Mosa Molapo KZN (0333) 95-2114 (0333) 42-8825 Molapom@lgh.kzntl.gov.za
Ms Andrea Steenkamp North West (018) 387-3605 (018) 387-3608 Asteenkamp@nwpg.org.za
Mr Thabo Mathabathe Northern Cape (053) 830-9538 (053) 831-2904 Tmathabathe@pancmail.ncape.gov.za
Mr Eddie Scott Free State (051) 405-4415 (051) 403-3403 Dsp@majuba.ofs.gov.za
Mr Solly Maluleke Northern Province (015) 295-5400 (015) 295-3463 Malulekeps@locptb.norprov.gov.za
Ms Mani Molefe Mpumalanga (013) 755-3300 (013) 755-3363 Mmolefe@nel.mpu.gov.za
Mr Tebogo Moremi Gauteng (011) 355-5119 (011) 355-5262 Tebogo@gpg.gov.za
Mr Philip Globler Western Cape (021) 483-4326 (021) 483-4527 Pgrobler@pawc.wcape.gov.za
Mr Kojo Gyan Eastern Cape (040) 609-5466 (040) 609-5525 Gyan@dhlg1.ecape.gov.za
ddp steering committee

As above, with the following additional members:
Mr Chris du Plessis DLA (012) 312-9357 (012) 312-9348 Hcduplessis@sghq.pwv.gov.za
Ms Lize Coetzee DoT (012) 309-3428 (012) 323-9370 Coetzeel@ndot.pwv.gov.za
Mr H Makobe SALGA (012) 338-6700 (012) 338-6747 Hmakobe@salga.org.za
Ms Bev Pretorius DWAF (012) 338-8812 (012) 321-1193 Pretoriusb@dwaf.pwv.gov.za
Mr Diet von Broembsen DoH (012) 421-1453 (012) 341-8893 Diet@housepta.pwv.gov.za
Ms Emmarie Behrens DEAT (012) 310-3745 (012) 320-5469
pimss national task team

Marion Mbina Pimss Manager (012) 334-0788 (012) 334-0790 Pimss@dso.pwv.gov.za
Nomalizo Zibi Administrator (012) 334 0788 (012) 334-0790 Pimss@dso.pwv.gov.za
Katharina Hübner GTZ Adviser (012) 334-0839 (012) 334-0790 Katharina@dso.pwv.gov.za
Pinky Kunene Task Team member (012) 334-0788 (012) 334-0790 Pinky@dso.pwv.gov.zav
Kentse Sesele Task Team member (012) 334-0788 (012) 334-0790 Seselek@worldonline.co.za
Danso Agyemang Task Team member (012) 334-0788 (012) 334-0790
other dplg programmes

Name Programme Telephone Fax E-mail
Karen Harrison LED (012) 334-0801 (012) 334-0763 Karen@dso.pwv.gov.za
Sam Choshi Social Plan (012) 334-0755 (012) 334-0610 Sam@dso.pwv.gov.za
Richard Kruger CMIP (012) 334-0744 (012) 334-0610 Richard@dso.pwv.gov.za
Zama Nofemela MSP (012) 334-0750 (012) 334-0610 Zama@dso.pwv.gov.za
48
PHASE 1:
ANALYSIS
Introduction
1/1 Compilation of Existing Information
1/2 Community and Stakeholder Level Analysis
1/3 Reconciling Existing Information Compilation and Community
and Stakeholder Level Analysis
1/4 Municipality-level Analysis
1/4a Economic Analysis
1/4b Environmental Analysis
1/4c Institutional Analysis
1/5 Spatial Analysis
1/6 Socio-economic/Gender Differentiation
1/7 Identification of Municipal Priority Issues
1/8 In-depth analysis of Priority Issues: General Guidelines
1/9 In-depth analysis of Priority Issues: Generic Guidelines for
Sector Alignment
1/9a Sector Specific Requirements
1/10 Consolidation of Analysis Results
24
PHASE 1: ANALYSIS
Outputs
• Assessment of the existing level of development
• Priority issues of pr oblems

• Information on context, causes, dynamics of priority issues or pr oblems
• Information on available r esour ces and potentials
Process
1/1
1/2
Compilation of existing
infor mation Community and
Stakeholder level Analysis
• Service gaps (sector specific)

• Differentiated by location and
• Differentiated by area and social category
social category • Cross-sectoral
• Available resource potentials
1/3 Reconciliation 1/4

Municipality-level
Analysis
– cross-sectoral
– overarching issues/problems
• Economic Analysis 1/4a
• Environmental Analysis 1/4b
• Institutional Analysis 1/4c
1/5
• Spatial Analysis
1/6
• Socio-economic Analysis
Gender/Poverty
1/8
In-depth Analysis of Aggregation
Priority Issues
1/7
• Understanding the exact

nature of the issue
• Dynamics/Trends
• Causing factors 1/10
1/9
• Resources/Potentials Priority Issues
= planning event
= output
= other planning activities

25
INTRODUCTION
Focusing In Phase 1, municipalities deal with the existing situation . The big challenge for the
municipal management in the Analysis Phase is to focus on the relevant aspects of the
situation. In the past, planners tended to compile all kinds of information in a
Avoiding data comprehensive manner. This is an expensive and largely irrelevant effort destined for
cemeteries the book shelves, which contributed to a widespread perception that planning is a
useless exercise in a situation of pressing needs and scarce resources.
Providing useful Considering IDP as part of an integrated management system means asking what kind
management of information on the existing situation is really necessary to arrive at appropriate
information management decisions. This means that it is up to the municipal management and not
the planning professionals or provincial regulations to decide on information
requirements.
Assessing the What are the required outputs of the Analysis Phase? In other words, what do
existing level of municipalities need to know to arrive at strategic and implementation-oriented decisions
development on how to make best use of their scarce resources? The Municipal Systems Act is not
very prescriptive on this issue. It just requires an assessment of the existing level of
development¸ including an identification of communities which do not have access to
the basic municipal services.
Looking at the decision-making and management requirements of municipalities, the

need for information and analysis of the existing situation is determined by the
following considerations :
Arriving at a well- ✰ The information should enable the municipality to decide on priority issues or
informed decision problems, with due consideration of the residents’/communities’ perceptions and of
on priority issues available facts and figures.
Focused analysis of ✰ The municipal decision-makers should be knowledgeable about the concrete nature
a few prioritised of these priority issues or problems, such as trends, context, causes and impacts
issues related to these issues, in order to make informed decisions on appropriate
solutions (rather than just curing symptoms).
Being aware of ✰ The municipal decision-makers should be aware of existing and accessible assets
resources and and resources and of resource limitations before making decisions on strategies.
assets In short, expected outputs of the Analysis Phase are:
• Assessment of the existing level of development (with special reference to
service gaps).
• Priority issues or problems.
• Information on context, dynamics and causes of priority issues.
• Information on available resources, potentials and assets.
There are different possible processes to arrive at these outputs. The process
proposed here is guided by the following considerations:
People’s ✰ There is a necessity to combine “data-based” and participatory methods of analysis:

perceptions and It is important to know the residents’ perceptions of their needs (see Planning
statistical Activity 1/2 ). But, it is as important to be informed by facts and figures, e.g. on
information service gaps or on unemployment (see Planning Activity 1/1 ). Good decisions can
rely neither on perceptions, nor on statistical data alone. They have to consider both,
to compare both, and to interrelate both sources of information to one another to
arrive at a full and realistic picture (see Planning Activity 1/3 ).
26
Adding the wider ✰ There is a necessity to look at the situation, not only from the community and
perspective stakeholder perspective, but also from a municipality-wide perspective. The
crucial issues in a municipality are more than the sum of the needs of the
communities and stakeholder groups living in it. There may be all kinds of
overarching issues, like massive population influx, economic decline, HIV/AIDS
related problems, cumbersome administrative procedures and environmental
problems, which may not arise from a localised analysis. Therefore, we
recommend a special municipality level planning event to identify and analyse
such issues (Planning Activity 1/4) .
✰ The analysis should not be sectoralised. Otherwise sectoral thinking would

result in a wide and comprehensive list of issues, rather than in focusing on the
burning issues felt by people. But there are some cross-sectoral dimensions
which need to be considered in any analysis of the existing situation in order to
ensure that related development policy guidelines can be applied in a situation-
specific manner:
A spatial analysis is required as a basis for designing a spatial development

framework which is in line with the DFA principles of spatial development
(Planning Activity 1/5) .
Analysing the A socio-economic analysis with special focus on the poverty situation, on
situation from a gender differentiation and on issues like HIV/AIDS is required as a basis for
cross-cutting arriving at an inclusive development strategy in line with national policy
perspective…. guidelines on poverty alleviation and gender equity (Planning Activity 1/6) .
Some municipalities (especially Category A and C) may decide to do a systematic

… with limited data cross-sectoral analysis as well for the economic, environmental and institutional
and resources dimensions (Planning Activities 1/4a – c) . As this would be too ambitious, and
hardly affordable for smaller Category B municipalities, we do not recommend this
for the time being. We would rather recommend an issue focused approach within
the “Municipality-wide Analysis” (1/4) which makes best use of available knowledge
(including existing studies) and which may have to rely on informed professional
guesses rather than exact analysis.
Well-known basic facts and figures on the institutional system, on economic

conditions and environmental issues should already be included in the “compilation
of existing information” (1/1).
Getting the pieces ✰ A major challenge in the Analysis Phase is to take the step from all the bits and
together pieces of analysis done at different levels and places and by different methods
to a consolidated list of priority issues which does justice to all actors involved
and to all information sources. It is a compilation, aggregation and reconciliation
of information which needs to be done, before the IDP Representative Forum
can arrive at a well-informed and fair list of priority issues in a transparent
manner (Planning Activity 1/7) .
Deciding what you ✰ After priority issues have been agreed upon, it may turn out that the nature of
really need to the issues or their dimensions are far from being clear. We may know that the
know better majority of the residents suffer from lack of access to clean drinking water but
we may not know whether the deficient supply situation is mainly a result of
water resources availability, technical deficiencies, an inappropriate water
Adding the wider management system, a tariff structure which encourages excessive
perspective
27
consumption, or a lack of investment funds. Such information, however, is crucial
for finding appropriate solutions. In such cases of high priority issues with crucial
information deficits, a focused in-depth analysis addressing these specific
information deficits is justified (Planning Activity 1/8 and 1/9 for sector-specific
requirements) .
✰ The information gathered during the Analysis Phase is primarily relevant for those
And summarising role-players involved in the further planning and decision-making process. That
useful information means, it needs to be summarised and made available for use during Phase 2
for the further (Planning Activity 1/10) . To turn the argument around: Only information which is
planning process. being used during the further stages of the IDP process is worth collecting.
Therefore, management’s question “for what purpose do we need to know this?”
should guide all activities in Phase 1.
Sector alignment in the Analysis Phase
Instead of compiling existing information (activity 1/1) and undertaking community

and stakeholder level analysis (activity 1/2) in entirely separate and uncoordinated
sector compartments, municipalities should attempt to collapse these into one.
The analysis is not the comprehensive, wasteful status quo of the past. It is defined,
directed or focused by the priorities established in the IDP process. The IDP analysis
phase can accommodate a range of sector status quo and analysis requirements that
are general in nature (such as demographics, consumer profile, financial and human
resource constraints analysis). These general, potentially duplicative aspects of sector
planning should be incorporated into “Compilation of Existing Information” (1/1) as
well as the identification of service gaps related to the sector (in case of basic
services). The decision about whether or not to incorporate the technical sector
elements of analysis within the In-depth Analysis (1/8) or undertake them in parallel
will depend on the relevance of the sector with regard to the Priority Issues of a
municipality.
Sector alignment also indicates the need to expand consideration of resource
constraints analysis beyond the financial and human capacity aspects to include
natural resources such as water, land and the environment. This sector perspective
and related expertise should be incorporated in the Municipality level Analysis (1/4)
and the In-depth Analysis (1/8 and 1/9).
Each municipality should agree, through the IDP institutional arrangements made for
sector communication, on the exact definition of what goes into the IDP process and
into the parallel processes in the analysis (and subsequent phases). Planning activity
1/9 (appended) provides a guide in this respect.
28
PHASE 1: ANALYSIS Keep facts and figures
1/1
in mind!
PLANNING ACTIVITY: 1/1

COMPILATION OF EXISTING INFORMATION
Purpose: To ensure that all actors involved in the planning process are aware of and have
access to basic facts and figures related to the present situation, trends and
WHY? dynamics. This will contribute to the identification of realistic solutions, with
proper consideration of the real needs and of available resources.
Minimum ✰ Basic demographic figures.

✰ Service levels and service gaps for all basic public services (localised, target-
Requirements: group specific and basic-needs related).
w/r to Output ✰ Financial resources differentiated by source of income and type of
expenditure.
WHAT? ✰ Available institutional capacities.
✰ Compilation of crucial policy requirements.
w/r to Process None
Hints for Designing (1) Current reality assessment is meant to be limited to a compilation or up-
dating of existing data. It should not include research related to unknown
the Output information.
(2) It should provide a quick overview of relevant data, i.e. one should not
attempt to maximise information, but to select that which is crucial for
planning and decision-making.
(3) The data should provide evidence on problems (e.g. service gaps) and on
resources which can possibly help solve problems.
(4) The information should be spatialised and differentiated by population
groups as far as possible.
(5) Sector-specific data requirements should at this stage be considered only to
the extent which is necessary to identify service gaps and sector agencies’
information should be used as far as possible.
(6) HIV/AIDS prevalence rates or “best estimates” should be included.
HOW?
(7) Crucial information gaps should be identified.
Suggested • The compilation of data should be managed by the IDP Steering Committee.
• All technical officers of the municipalities should compile data within their
Institutional
field of responsibility.
Arrangements/ • Provincial and national sector agencies should be approached to provide the
Responsibilities data on their facilities and services.
• Consultants are not needed to compile such basic data.
WHO?
Times Requirement Note:

(tentative) ☛ Data requirements for making appropriate decisions are usually
over-estimated. On aspects for which proper data are missing,
2 weeks sound professional guesses may help establish a realistic
understanding of the situation.
thereafter, amendments and
“Better be vaguely right than precisely wrong!”
additions may be made ☛ Population dynamics may be difficult to quantify. If there are no
updated figures, identify major trends.
☛ Make use of maps for information on spatial settlement patterns
and location of public services.
29
PHASE 1: ANALYSIS
1/2
Relate planning to people’s
problems and needs

COMMUNITY- AND STAKEHOLDER-LEVEL
ANALYSIS
Purpose: To contribute towards a situation in which municipal activities will address

people’s priority needs and incorporate people’s own initiatives.
WHY? In addition, the participation process should help make residents aware of the
importance of IDPs for the quality of their lives.
Minimum ✰ Summary/ies of residents’/communities’/stakeholders’ prioritised needs

differentiated by location, social categories and gender.
Requirements: ✰ Summary/ies of residents’/communities’/stakeholders’ own resources and
w/r to Output initiatives to address those needs differentiated by location, social categories
and gender.
WHAT?
w/r to Process ✰ Create conditions for public participation by:

– informing the public and specific stakeholders on the IDP process and
encouraging their contribution.
– establishing an IDP Representative Forum.
– giving community and stakeholder representatives the opportunity to
conduct meetings or workshops within an agreed time frame and in a
language which is in line with the preferences of the majority of the
people (taking into account the involvement of illiterate people).
HOW? – Considering the results of community and stakeholder level events in the
further analysis.
Hints for (1) Establishment of an IDP Representative Forum consisting of representatives of

geographical areas (Wards), stakeholder organisations and disadvantaged
Structuring the groups.
Process (2) Inform members on intended participation process and procedures.
(3) Give them at least one month to organise meetings in their areas or with their
membership.
(4) If necessary, provide them with guidance on how to organise such meetings.
(5) Compile and consolidate results in a workshop of the IDP Representative
Forum.
Suggested • The IDP Representative Forum is the central body of a structured

participation process.
Institutional • Ward Councillors and Ward Committees are the crucial actors to organise
Arrangements/ community participation.
Responsibilities • Stakeholder representatives to organise stakeholder participation.
• Traditional authorities should be considered as important stakeholders in rural
areas.
• Special resource persons or advocates should be nominated for consideration
of needs of unorganised marginalised/under represented groups.
WHO? • There should be competent facilitation of workshops. This might be done in
partnership with NGOs or other service providers (like PIMSS).
Time Requirement Note:

☛ The proposed procedure complies with all sectoral planning
(tentative) requirements.
☛ Prioritisation of problems/needs is crucial.
☛ The top priority problems/needs should be specified by providing
– Initial meeting of IDP Representative facts and figures (quantity, quality, affected groups, locations, time
Forum: 1 day dimensions).
☛ Name residents’/communities’/stakeholders’ own resources and
– Time-span for community/
initiatives related to each priority problem or need.
stakeholder meetings: 1 month ☛ For aggregation of priority needs, see Planning Activity I/7.
– Consolidation Workshop of IDP ☛ For utilisation of existing (data-based) information during
30 Representative Forum: 1 – 2 days community- and stakeholder-level analysis see Planning Activity I/3.
PHASE 1: ANALYSIS
1/3
“Which Truth Counts?”
RECONCILING “COMPILATION OF EXISTING
INFORMATION” AND
“COMMUNITY/STAKEHOLDER ANALYSIS
Purpose: To contribute to a realistic identification of priority issues.
WHY?
Minimum ✰ Reconciled results from “existing information” and “participatory analysis”.

Requirements:
w/r to Output
WHAT?
w/r to Process None
Hints for To arrive at a realistic picture, double cross-checking of the results of data-based
analysis and of people’s perceptions is required. Practically, this can be arranged
Structuring the
in the following manner:
Process
– The intermediate results of the data-based “Compilation of Existing
Information” are communicated to the IDP Representative Forum and to
those involved in community-/stakeholder level participatory workshops as
facilitators or resource persons.
– During community-/stakeholder workshops, participants are challenged with
information from data-based analysis in case the data indicate something
which seems to contradict people’s perceptions of their problems.
– The results of community-/stakeholder analysis are communicated to those
in charge of “Compilation of Existing Information” to give them the
HOW?
opportunity to check, in case of contradicting information.
Suggested • Those in charge of “Compilation of Existing Information” (including technical

officers) should attend meetings of the IDP Representative Forum.
Institutional
• Officials in charge of a certain geographical area or a specific socio-economic
Arrangements/
group (e.g. teachers, health officers) should attend community or stakeholder
Responsibilities meetings.
WHO?

(tentative) ☛ Challenging people with facts is crucial in achieving realistic and
precise results of a participatory process. Those who conduct
participatory workshops should know the current reality in the
area.
No additional time requirements.
☛ Data do not always provide sufficient evidence of problems.
People’s perceptions may indicate problems which are not
reflected by data. Both sources of information have to be
combined.
31
PHASE 1: ANALYSIS Looking at the whole
1/4
reveals more than the
sum of its parts!

MUNICIPALITY-LEVEL ANALYSIS
Purpose: To ensure that the IDP projects and programmes will address not only
community- and stakeholder specific issues, but also over-arching issues which
WHY? relate to the municipality and its sustainability as a whole.
Minimum ✰ Identification of crucial trends, dynamics, and related problems which affect
the area of the municipality and the municipal government as a whole.
Requirements: ✰ Identification of available resources, competitive advantages and initiatives in
w/r to Output the municipal area and of the municipal government to address these
problems.
WHAT?
w/r to Process ✰ Involvement of the IDP Representative Forum and of other competent
resource persons for economic, environmental, institutional and social trends.
Hints for Designing While the discussion process should focus on concrete issues, instead of being
structured according to general “dimensions” (like economic, social, institutional,
the Output environmental), the documentation of the results of the analysis should be
grouped under headlines such as economic, environmental, etc, aspects.
Hints for While participatory problem analysis/needs assessment is proceeding on

community and stakeholder level there should be municipality-level workshops.
Structuring the At such workshops major municipal wide issues should be identified (such as
Process employment generation, service payment, HIV/AIDS, draught, immigration,
administrative reform) and be dealt with by working groups. The issues may be
HOW? summarised eventually under headlines like economic, environmental, social and
institutional aspects (compare Planning Activities 1/4a – c).
Suggested • The IDP Steering Committee should identify the topics for workshops and
the participants.
Institutional • Resource persons on issues of general concern, especially on HIV/AIDS,
Arrangements/ should be consulted to ensure that problematic, but sensitive issues are not
Responsibilities neglected.
• The members of the IDP Representative Forum should always be invited, in
order to ensure that interlinkages between community stakeholder-specific
issues, and over-arching issues are taken into account.
WHO? • Experienced facilitators should be invited to prepare, facilitate and document
the workshops.

☛ To ensure a focused discussion on the real issues, do not
(tentative) subdivide the process of analysis a priori according to the four
dimensions: “environmental”, “economic”, “social” and
“institutional”.
☛ Category A and C municipalities as well as bigger and better
4 days (during the same time while resourced Category C municipalities may do professional studies
planning activity 1/2 is done). for environmental, economic, social and institutional analysis as
part of the Analysis Phase of the IDP process, or they may be in
a position to make use of existing studies. Districts should do
economic and environmental analysis on a district-wide scale for
the benefit of all local municipalities in their area (see 1/4a – c).
For smaller and resource poor municipalities, such systematic
approaches of analysis are usually too ambitious and not
affordable (unless sponsored by external funding agencies). They
have to make best use of available knowledge and experience
and on informed professional guesses and, if available, of district-
32 level analyses.
PHASE 1: ANALYSIS 1/4a
Being aware of economic
potentials and limitations
PLANNING ACTIVITY: 1/4 A

ECONOMIC ANALYSIS
Purpose: To ensure that municipal development strategies and projects take existing
economic potentials and limitations of the area into account.
WHY?
Minimum ✰ Basic economic data (employment, major economic sectors).

Requirements: ✰ Major economic trends (growth, decline by sector).
w/r to Output ✰ Major economic potentials (under-utilised resources).
✰ Major constraints for economic development.
WHAT?
w/r to Process None
Hints for • Preparing an economic analysis is desk-work, rather than a workshop event.
All available economic data related to the municipal area should be compiled
Structuring the as background information for the municipal-level workshop dealing with
Process “Municipality-Level Analysis” (1/4).
• Most municipalities will not be in a position to do or initiate economic
surveys to obtain additional information as part of their IDP process. If there
is an urgent need for more data and a more in-depth analysis, local
municipalities may join their efforts with the district municipality and initiate a
HOW? district-wide analysis on crucial economic issues of general interest (to be
done as part of Planning Activity 1/9).
Suggested • Compilation of existing economic data can be done by one of the technical
officers of the municipality, based on available reports and in consultation
institutional
with economic stakeholders and promotion agencies.
Arrangements/ • Provision of new information should be done on a district-wide scale and be
Responsibilities initiated by the district councils, unless category B municipalities feel the
need, and have the capacities to do a specific study for their own area.
• Involve economic stakeholders and specialists in the IDP Representative
WHO?
Forum.

(tentative) ☛ Do not make economic analysis a topic of a workshop or a work
group session. Work groups should focus on issues (such as
unemployment) rather than providing information.
(a) Compilation of existing economic
data 1 – 2 days
(b) Study 2 – 3 weeks (during Phase 1,
parallel to other Planning Activities)
33
1/4b PHASE 1: ANALYSIS Being aware of
environmental problems
and threats
PLANNING ACTIVITY: 1/4 B

ENVIRONMENTAL ANALYSIS
environmental problems and threats into consideration as well as environmental
WHY? assets which require protection or controlled management.
Minimum ✰ A list of major existing environmental problems with a short description of

each of the problems (location, people affected, magnitude of problem,
Requirements: causes).
w/r to Output ✰ A list of major environmental threats and risks (including disaster risks) with a
short description.
WHAT?
w/r to Process None
Hints for • Preparing an environmental analysis is a task which involves investigation

and desk-work, rather than a topic for a workshop event. All available
Structuring the information on crucial environmental problems and threats within the
Process municipal area should be considered as background information for the
municipal-level workshop dealing with “Municipality-Level Analysis” (1/4).
• It is up to the IDP Representative Forum to decide (taking the information of
the environmental analysis into account) whether or not a certain
environmental issue will become a municipal Priority Issue.
• Most category B municipalities will not be in a position to do or initiate a
comprehensive environmental study to obtain additional information as part
of their IDP process. Should there be an urgent need for more information,
local municipalities may join their efforts with the district municipality and
HOW? initiate a district-wide analysis on crucial environmental issues (as part of
Planning Activity 1/9).
Suggested • One of the technical officers of the municipality can compile existing
information on environmental problems and risks, based on available reports
Institutional and consultation with environmental stakeholders and promotion agencies.
Arrangements/ • Provision of new information should be done on a district-wide scale and be
Responsibilities initiated by the district councils, unless a category B Municipality feels the
need and has the capacities to carry out a specific study on a specific
environmental issue in their own area.
WHO? • Involve environmental stakeholders and specialists in the IDP Representative
Forum.

☛ Do not make environmental analysis a topic for a workshop or a
(tentative) work group session. There may, however, be workshops or work
groups on certain specific burning environmental issues (such as
air pollution or risk of floods or forest fires) if they are identified
as municipal priorities. Work groups should focus on discussing
(a) Compilation of existing information such crucial issues rather than being used for providing
on environmental problems information.
1 – 2 days
(b) Study 2 – 3 weeks (during Phase 1,
parallel to other Planning Activities)
34
PHASE 1: ANALYSIS Being aware of 1/4c
institutional strengths
and weaknesses
PLANNING ACTIVITY: 1/4 C

INSTITUTIONAL ANALYSIS
institutional capacities and constraints into consideration, and that they address
WHY? institutional problems in the municipality.
Minimum ✰ An organogram of the municipal administration.

Requirements: ✰ An overview of institutional strengths and weaknesses of the municipal
government in relation to the new requirements of a developmental local
w/r to Output government.
✰ A compilation of all institutional constraints which have been identified as
WHAT?
causal factors of other identified priority problems/issues.
w/r to Process None
Hints for • The institutional analysis should be part of the Municipality-Level Analysis.
Strengths and weaknesses of the municipal government can be identified
Structuring the
through a joint and facilitated meeting of councillors and officials (self-
Process analysis).
• The compilation of institutional constraints related to the priority issues
raised by the residents (communities, stakeholders) is an on-going process
during Phase 1 and which is not limited to Planning Activity 1/4 . Somebody
from the municipality has to make sure that all institutional aspects are noted
and summarised at the end of Phase 1.
• Most category B municipalities will not be in a position to initiate an
organisational analysis by professional consultants as part of their IDP
process. Such external support is not required at this stage, but may have to
HOW?
come into it, in the event of a major organisational restructuring process.
Suggested • The Municipal Manager, as head of municipal administration, should take

direct responsibility to ensure that institutional aspects are adequately
institutional
addressed during the analysis process. As institutional aspects and possible
Arrangements/ consequences to be drawn from it are usually controversial within the
Responsibilities governing bodies of a municipality, this task cannot be done by a junior or a
sectoral officer.
WHO? • Self-assessment of the strengths and weaknesses of a municipal
government requires a qualified and independent facilitator.

(tentative) ☛ As institutional analysis always affects the interests of the
members/employees of an organisation, it is important to rely
1 day throughout Phase 1 not only on the internal perspective (which may be biased), but
also on an external (clients’, residents’) perspective.
(a) Self assessment
That external perspective can come in, when the people’s
(b) Compilation of institutional Priority Issues and their causes are analysed in depth
constraints (parallel to other (Planning Activity 1/9).
Planning Activities).
35
PHASE 1: ANALYSIS
1/5 You don’t know it unless
you know where it
PLANNING ACTIVITY: 1/5 happens.
SPATIAL ANALYSIS AND THE SP ATIAL

REPRESENT ATION OF
DEVELOPMENT ISSUES
Purpose: To ensure that the municipality’s spatial strategies and land use management
decisions are based on a general awareness of:
• spatial constraints, problems, opportunities, trends and patterns;
• the necessity for spatial restructuring;
• the need for land reform; and
WHY?
• the spatial dimension of development issues.
Minimum ✰ Mapping the spatial dimensions of development issues identified in 1/1, 1/2
and 1/4.
Requirements: ✰ Mapping major spatial patterns, trends (such as migration patterns), problems
w/r to Output and opportunities.
✰ Mapping of spatial restructuring issues in compliance with DFA and NEMA
WHAT? principles.
✰ Identification and mapping of land reform issues with respect to
redistribution, restitution and tenure reform.
w/r to Process ✰ Maps should be used as a tool during all steps of analysis.
Hints for • Representing the spatial dimension of development issues should not be
a separate process, but an extension of:
Structuring the
– the compilation of existing information;
Process – community and stakeholder level analysis;
– municipal level analysis; and
– socio-economic analysis.
• All problems which can be located or represented in space should be
mapped.
• Analysis of spatial patterns and trends should be one issue to be dealt
with in the “Municipal-level Analysis”.
• Avoid expensive and time-consuming data capturing exercises and where
HOW? possible make use of other sources of existing information such as ENPAT
(ENnvironmental Potential AT las) etc.
Suggested • In municipalities with a (spatial) planning department/section or official, this

Institutional office should be charged with preparing the spatial analysis.
Arrangements/ • Municipalities without spatial planning capacity should engage a spatial

planner for this purpose.
Responsibilities
WHO?

(tentative) ☛ Within a mid-term perspective each municipality should establish
a basic system of spatial information (if necessary supported by
PIMSS-Centres).
☛ Within a short-term perspective it is sufficient to spatialise the
No separate process, but involvement
available information.
of a spatial planner in the analysis
process for a minimum of one week.
Time requirements depend on the size
of the municipality.
36
PHASE 1: ANALYSIS
1/6
Being inclusive by
differentiating
SOCIO-ECONOMIC/GENDER DIFFERENTIATION
OF ANALYSIS
Purpose: To ensure that the municipality’s strategies and programmes sufficiently

consider the needs of disadvantaged/marginalised population groups, in order to
WHY? deal effectively with poverty-reduction and gender equity.
Minimum ✰ Data of “Compilation of Existing Information” are differentiated by socio-

economic category and by gender/age group as much as data availability
Requirements:
allows.
w/r to Output ✰ Residents’/communities’/stakeholders’ priority needs are differentiated by
social categories and gender.
WHAT?
w/r to Process ✰ Public participation process has to be inclusive and representative with
regard to social categories (especially poverty groups), gender and age
groups.
Hints for • No separate process required. Socio-economic and gender differentiation is

one dimension of “Compilation of Existing Information” and of “Community
Structuring the and Stakeholder Analysis”.
Process • “Municipality-level Analysis” should include an identification of poverty
groups (with their specific problems) and of poverty trends.
HOW?
Suggested • Representatives of disadvantaged social groups, poverty groups, women,

youth, aged, households affected by HIV/AIDS etc. should be members of
Institutional
the IDP Representative Forum. In the event of a disadvantaged group not
Arrangements/ having legitimate representatives, competent resource persons should be
Responsibilities nominated as “advocates” for such groups.
• In municipalities with a social development officer, this officer should be a
member of the IDP Steering Committee to ensure a representative poverty
and gender sensitive process. Municipalities without such capacities should
WHO?
engage a specialist as a resource person on a temporary basis.

(tentative) ☛ The interlinkages between poverty and HIV/AIDS as well as
between gender and HIV/AIDS need special attention.
☛ Well-capacitated municipalities should go far beyond these
No separate process, but involvement
minimum requirements and initiate focused studies on the
of a specialist for poverty/gender
situation of specific disadvantaged/poor groups and on specific
issues for a minimum of one week
gender-related problems.
during the Analysis Phase.
☛ In areas with under-capacitated Category B municipalities it is
suggested that Districts-, agencies from other spheres of
government or research institutions should initiate regional-scale
studies on typical socio-economic/gender related issues for the
benefit of Category B municipalities.
37
1/7
PHASE 1: ANALYSIS
Finding common ground
for joint action
IDENTIFICATION OF MUNICIPAL PRIORITY
ISSUES/AGGREGATING PRIORITIES
Purpose: To ensure a clear focus of municipal action on strategic municipality-wide priority

issues, while at the same time ensuring that essential location and target group
WHY? specific needs or problems will not be neglected.
Minimum ✰ Municipality-wide priority issues.

✰ Summary of community and stakeholder-specific priorities.
Requirements:
w/r to Outcome
WHAT?
w/r to Process ✰ Involvement of community and stakeholder representatives in the

consolidation process.
Hints for (1) IDP Representative Forum Workshop: Presentation of community,

stakeholder and municipal-level priorities.
Structuring the (2) Summarising of all results on overview charts for comparison and
Process aggregation.
(3) Presentation of outcomes of data-based service gap analysis and reconciling
process (see Processes 1/3 and 1/2).
(4) Identification of consolidated municipal Priority Issues taking into
consideration community-, stakeholder- and municipal-level priorities as well
as the results of “Compilation of Existing Information”.
(5) In addition to the consolidated priority issues, those community- /stakeholder-
HOW? specific top priorities not covered by the overall priorities have to be listed.
Suggested • The consolidation process is a key event within the overall IDP-process and
should be done through a workshop of the IDP Representative Forum.
Institutional • Preparatory work like compilation of all information has to be done by the IDP
Arrangements/ Steering Committee or by a person nominated by the Committee.
Responsibilities • The consolidation workshops require high level facilitation skills and should
be done by experienced facilitators.
WHO?

(tentative) ☛ The consolidation process includes aggregation of results from
various communities and stakeholder groups and the
reconciliation of results of participatory and data-base analysis.
Both tasks should be done within one workshop.
1 – 2 days preparation ☛ Information on community/stakeholder-specific problems and
1 – 2 days workshop related details are still important for the further planning process
1 – 2 days – documentation of and must not get lost in the consolidation process.
workshop results ☛ While, in principle, the identification of Priority Issues should
result from the local context rather than from a national
perspective, there are two issues of nation-wide concern which
are assumed to be relevant in most municipalities: This is
unemployment and HIV/AIDS. Where these issues are not
identified as Priority Issues, reasons should be given.
38
PHASE 1: ANALYSIS 1/8
Finding out what you
really need to know
IN-DEPTH ANALYSIS OF PRIORITY ISSUES:
GENERAL GUIDELINES
Purpose: To ensure that the strategies and projects are based on a thorough knowledge of
all the relevant aspects of the priority issues identified to ensure that strategies:
– respond to causes rather than symptoms
– deal with the problem in context
WHY? – consider potentials, opportunities and initiatives for resolving priority issues.
Minimum ✰ Analysis of the precise nature of a problematic issue (quantity, quality,

Requirements: affected groups, location, time).
✰ Analysis of causes and their impact
w/r to Output
✰ Analysis of priority issues in context.
WHAT? ✰ Analysis of dynamics related to the priority issues.
✰ Analysis of problem-solving potentials and initiatives.
w/r to Process ✰ Different process requirements for different issues.
Hints for (1) Identification of additional information requirements for each priority issue
(under consideration of sectoral planning requirements).
Structuring the
(2) Identification of officers in charge of managing the in-depth analysis.
Process
(3) Drafting Terms of Reference for each in-depth study.
(4) Select responsible persons for doing the analysis (in consultation with
District-level PIMS-Centre).
(5) Provide organisational support, guidance and feedback to study team.
HOW?
(6) Organise workshop to draw conclusions from study results.
Suggested • Whether an in-depth analysis can be done by a municipality on its own or

whether it has to be outsourced depends on the information requirements
Institutional and on the in-house capacities of the municipality.
Arrangements/ • Local resource persons (including government field staff like teachers, health
Responsibilities officers, technical officers and NGOs) should be involved in the analysis.
• For issues which are common to several municipalities in a region, Districts
WHO? may be charged with the task to organise in-depth studies in order to make
effective use of limited resources.

(tentative) ☛ The information requirements of in-depth studies have to be
determined by those in charge of making the decisions, rather
than by consultants commissioned with doing the analysis. Do
not waste funds on creating data-cemeteries for the shelf, but
Timeframe: 1 month. determine what municipal government needs to know better in
order to arrive at realistic strategies.
The time requirements in terms of
person-days will differ considerably ☛ In-depth analysis has to include and build upon information from
previous steps of analysis (1/1, 1/2, 1/4, 1/5, 1/6).
depending on the nature of the study,
but should not exceed 20 person-days
per study.
39
PHASE 1: ANALYSIS
1/9
Make sector requirements
meet people’s priorities
IN-DEPTH ANALYSIS OF PRIORITY ISSUES:
GENERIC GUIDELINES FOR SECTOR
ALIGNMENT
Purpose: To ensure that sector planning is aligned with the in-depth analysis in a manner
which promotes local priorities; resolves sector planning requirements where
these exist; and ensures that a thorough and expert knowledge of the sector is
WHY?
included in relevant in-depth studies.
Minimum ✰ Requirements differ by sector.

Requirements:
See table for further guidance on output requirements.
w/r to Output
WHAT?
w/r to Process ✰ Not applicable in general terms. Sector official (see below) to bring any
specific process requirements to the in-depth analysis, where relevant.
Specific recommendations and principles are addressed in the table below.
Hints for (1) Identification of sector officers who will take responsibility for aligning
sector planning and IDP priorities in the in-depth analysis – either via
Structuring the incorporation or in parallel, depending on the relevance of the sector in
Process relation to the Priority Issues.
(2) Identification of what aspects of the sectors have relevance in relation to
the Priority Issues.
(3) Agreement on which sector information and analysis requirements are
incorporated into the Terms of Reference of the in-depth studies.
HOW?
(4) Inclusion of sector expertise on the relevant study teams.
Suggested • The sector officers could be district and local officials, depending on the IDP
priorities (see table below for further guidance).
Institutional
• Whether the sector elements of the in-depth analysis/analyses can be done
Arrangements/
by a municipality on its own, or whether this has to be out-sourced, depends
Responsibilities on the information requirements and on the in-house capacities of a
municipality.
WHO?

(tentative) ☛ This activity helps to ensure that sector planning is grounded in
local priorities and that the IDP has the necessary technical
Timeframe: 1 month. expertise.
☛ If there are aspects of the sector planning requirements that are
These activities are components of the
not directly related to IDP priorities, then this activity will assist
in-depth analysis step. municipalities to allocate responsibility for these in parallel to the
integrated development planning process in order to ensure that
requirements are nevertheless met.
☛ Basic sector information (such as service gaps) of descriptive
nature as well as duplicative sectoral information requirements
(population issues) should already be included under Compilation
of Existing Information (1/1), as it may help to identify Priority
Issues.
40
PHASE 1: ANALYSIS
1/9a
PLANNING ACTIVITY: 1/9 A

SECTOR-SPECIFIC GUIDELINES
Minimum Requirements: w/r to Output WHAT?
Transpor t The minimum output requirement of the ITP that corresponds with this phase of the IDP
is the current public transport r ecord, which constitutes the basis for the integrated
transport plan. It must be prepared in accordance with the document titled “require-
ments and format for preparation of current public transport records by core cities”, as
published in the Gazette on 22 May 1998 or any subsequent amendment thereof
published in the Government Gazette and agreed to by the MECs. The record must:
– take into account the changes necessary in the context (except where that
document is in conflict with the National Transport Act);
– show all of the scheduled and unscheduled ser vices that are operated in the area
of the planning authority, and take into account those to and from the areas of
neighbouring planning authorities; and
– show all the facilities and infrastr uctur e in place and utilised in the area concerned
for the purpose of, or in connection with the public transport services, as well as the
facilities and infrastructure being developed for those purposes or in that connection
within the area concerned.
Water It is the responsibility of water services authorities (WSAs) to produce WSDPs. As all
district municipalities are also water services development authorities, the following
minimum information and analysis requirements will apply to districts. In those cases
where local municipalities are also water services development authorities, then the
requirements will also apply to them. While some requirements such as consumer
profile and service levels should be covered already in Planning Activity 1/1 the following
other requirements need an in-depth analyis:
• water balance;
• water source and quality;
• water service infrastructure;
• demand management;
• institutional aspects and management; and
• finances and affordability.
Waste It is the responsibility of district municipalities to produce IWMPs, with the assistance of
provincial government if necessary. While demographics will be covered within 1/1 and
management stakeholder and needs analysing under 1/2 the following minimum information and
analysis requirements will apply in the in-depth analysis phase:
• background information on relevant policy and laws;
• waste quantities and characteristics;
• existing waste management practices; and
• financing.
Infrastructur e Although the revised Municipal Infrastr uctur e Investment Framework was not final at
the time writing, the following list indicates the ouptut requirements that are being
proposed (remember that the infrastructure planning process requirement is that it must
be done as part of the IDP process):
• the existing service levels available to households (part of 1/1);
• costs to households of service payments; and
• availability of grant funding.
Minimum Requirements: w/r to Process HOW?
Transpor t There are no specific process requirements for the public transport record. However, the
National Transport Bill (2000) stipulates that participation of all interested and affected
parties in transport planning including vulnerable and disadvantaged persons must be
promoted.
Water There are no WSDP process requirements applicable in this phase. However, district and
local municipalities should engage with one another on aspects of local and district
priorities which affect water.
Waste There are no IWMP process requirements applicable in this phase.

management
41
1/10 PHASE 1: ANALYSIS Information management
means summarising useful
information

CONSOLIDATION OF ANALYSIS RESULTS
Purpose: To ensure that the knowledge gained during the Analysis Phase is easily
available for the further planning phases and for implementation and monitoring
WHY? purposes.
Minimum ✰ Information from the various analysis activities is summarised per Priority
Issue in a refined and well-structured manner and made accessible to all
Requirements: actors involved in the planning process.
w/r to Output
WHAT?
w/r to Process None
Hints for The in-depth analyses will result in additional, more detailed and perhaps
different information compared to the information from previous planning
Structuring the activities. These different pieces of information can be combined in the
Process following way:
(1) Reports of in-depth studies shall be presented to the IDP Representative
Forum for comments.
(2) The person in charge of a Priority Issue should outline in a summary paper
all information related to the issue on the basis of the report, the
HOW? comments, from compilation of the existing information, and from
community/stakeholder-level analysis.
Hints for Designing The summary paper on each Priority Issue should not exceed 3 – 5 pages. It
the Output should include:
– Facts and figures related to the issue, differentiated by geographical area and
social category (incl. gender).
– Trends and dynamics related to the issue.
– Causal factors and wider context of the issue.
– Potentials available to resolve the issue.
Suggested • Discussion of in-depth study results in IDP Representative Forum.

• Compilation of summary report: desk work.
Institutional
• Alignment requirement: The summary documents need to be submitted
Arrangements/ to the district as a basis for their efforts to prepare district-level strategy
Responsibilities workshops on issues which affect more than one municipality.
WHO?

(tentative) ☛ The compiled summary reports for each Priority Issue may
become part of the IDP document.
☛ The summary documents should be made available to all
1 week
members of the IDP Steering Committee, of the IDP
Representative Forum, and to Project Task Teams.
42
INTEGRATED DEVELOPMENT PLANNING SYSTEM
Sustainable
Poverty Sound
Municipal
Reduction Environment
Development
Better Service Local Economic Partnership Spatial

Deliver y Development Approach Integration
Monitoring and
Evaluation
Implementation
IDP
Management
Capacity Building
IDP
IDP: Phases and planning activities
Introduction to Guide III
1. ANALYSIS
Introduction
1/1 Compilation of Existing Information 29
1/2 Community and Stakeholder Level Analysis 30
1/3 Reconciling Existing Information Compilation and Community and Stakeholder Level Analysis 31
1/4 Municipality-wide Analysis 32
1/4a Economic Analysis 33
1/4b Environmental Analysis 34
1/4c Institutional Analysis 35
1/5 Spatial Analysis 36
1/6 Socio-economic/Gender Differentiation 37
1/7 Identification of Municipal Priority Issues/Aggregating Priorities 38
1/8 In-depth Analysis of Priority Issues: General Guidelines 39
1/9 In-depth Analysis of Priority Issues: Generic Sector Guidelines 40
1/9a Sector Specific Requirements 41
1/10 Consolidation of Analysis Results 42
2. STRATEGIES
Introduction
2/1 Vision 48
2/2 Working Objectives 49
2/3 Localised Strategic Guidelines 50
2/3a Localised Spatial Strategic Guidelines 51
2/3b Localised Strategic Guidelines for Poverty Alleviation and Gender Equity 52
2/3c Localised Strategic Environmental Guidelines 53
2/3d Localised Strategic Guidelines for Local Economic Development (LED) 54
2/3e Localised Institutional Strategic Guidelines 55
2/4 Defining Resource Frames/Financial Strategy 56
2/5 Creating Strategic Alternatives 57
2/6 Creating Conditions for Public Debate on Alternatives 58
2/7 Undertaking District-level Strategy Workshops 59
2/8 Analysing Alternatives 60
2/9 Deciding on an Alternatives/Designing the Strategy 61
2/10 Translating District Strategy Workshop Results into Local Decisions 62
Examples for Strategy Statements 63-66
3. PROJECTS
Introduction
3/1 Forming “Project Task Teams” 71
3/2 Establishing Preliminary Budget Allocations 72
3/3 Designing Project Proposals 73
3/4 Target Group Participation in Project Planning 74
3/5 Involvement of Project Partners 75
3/6 Setting Indicators for Objectives 76
3/7 Project Outputs/Targets/Locations 77
3/8 Major Activities/Timing/Responsible Agencies 78
3/9 Cost/Budget Estimates/Source of Finance 79
4. INTEGRATION
Introduction
4/1 Screening of Draft Project Proposals 84
4/2 Integrating Projects and Programmes 85
4/3 Integrated Sector Programmes 86
4/4 5-year Financial Plan for the Municipality 90
4/5 5-year Capital Investment Programme (all sources of investment) 91
4/6 5-year Action Programme 92
4/7 Integrated Monitoring and Performance Management System 93
4/8 Integrated Spatial Development Framework 94
4/9 Integrated Poverty Reduction/Gender Equity Programme 95
4/10 Integrated Environmental Programme 96
4/11 Integrated LED Programme 97
4/12 Integrated Institutional Programme 98
4/13 Integrated HIV/AIDS Programme 99
4/14 Disaster Management Plan 100
5. APPROVAL
Introduction
5/1 Opportunity for Comments from Provincial/National Government 104
5/2 District-level Horizontal (Inter-municipal) Coordination 105
5/3 Opportunity for Public Comments 106
5/4 Incorporating and Responding to Comments 107
4
5/5 Final Adoption by the Municipal Council 108
5/6 Compiling District-level Summaries of Local IDPs 109
INTRODUCTION
1. THE CHALLENGE OF A SIMPLIFIED AND USER-FRIENDLY INTEGRATED DEVELOPMENT PLANNING
(IDP) MANUAL
The authors of this new IDP methodology were challenged by three major requests:
♦ to simplify the approach
♦ to encourage a debate on the “real issues” in a municipality, rather than a comprehensive data collection
exercise and a mechanistic application of planning tools
♦ to present the manual in a more user-friendly format.
There is general agreement about the need for clear, concise and user-friendly guidelines, and on the desirability
of a planning style which provides an platform for debate on real issues, rather than motivating for professional
planners’ lonesome deskwork struggle with the right terminology. The challenge of a simplified methodology is
more difficult to deal with. Integrated development planning, in order to be meaningful, is not that simple and
includes:
1. A consultative process which requires meaningful involvement of a wide range of different stakeholders in
various stages of the analysis and the decision-making process. Getting everybody on board when and
where they need to be on board (rather than all the time) is a complex task.
2. A strategic process which requires a focused approach, and a systematic search for the most appropriate
and effective solution, keeping in mind given resources, and overall policy guidelines and principles. This
goes well beyond simply compiling priority lists and transforming them into budget proposals.
3. An integrated approach which requires thinking and acting holistically across the conventional sectoral
boundaries.
4. Implementation-oriented planning, which requires becoming quite specific in terms of quantities, quality,
responsibilities, location, time and costs to make sure delivery will take place. This goes well beyond a list
of project titles.
The challenge of an IDP planning approach is to combine these three requirements in order to arrive at a
decision-making process which is consultative, strategic and implementation oriented at the same time.
This manual uses four means of making the complexity of IDP manageable:
1. It involves an event-centred approach to organising the IDP process, instead of a tool- or method-centred
approach. Thinking of planning as a sequence of organisational events is easier than thinking of a sequence
of planning tools. And it tends to encourage a consultative and strategic discussion process on real issues
which is not disturbed by requirements to stick to a certain terminology or certain formats.
2. It clearly differentiates between a generic IDP Approach (Guide III) which applies to all types of
municipalities, and specific planning techniques and tools (Guide IV) which may differ greatly from
municipality to municipality.
3. It aims at a more user-friendly language by avoiding planners’ jargon.
4. It unpacks the overall process into five sequenced “phases”, and into “planning activities” for each
phase (which are not necessarily to be followed in a certain sequence).
2. INTENDED USERS OF THE MANUAL
The planning methodology, as it is outlined in this Guide III is supposed to provide guidance on how to structure
and organise the IDP process. Accordingly, the major users will be the IDP Coordinators (Municipal Managers)
and any professional planners or facilitators assisting in the IDP process. Other role players who are involved in
the IDP Steering Committee and in the IDP Representative Forum should at least be able to understand it.
5
3. THE IDP APPROACH
Event-Centred Approach
The event-centred IDP Approach is supposed to be a systematic (but not rigid) sequence of planning events:
➺ starting from a focused and consultative analysis of the existing situation (Phase 1 – Analysis);
➺ getting through a strategic discussion and decision-making phase on the objectives and on the most
appropriate ways and means of resolving priority issues (Phase 2 – Strategies);
➺ to a process of concrete and technical project planning (Phase 3 – Projects);
➺ before all project proposals are checked for compliance and consistency and integrated into a
consolidated IDP (Phase 4 – Integration);
➺ which eventually has to go through an assessment, alignment and approval process (Phase 5 – Approval).
Diagram 1: The Event-Centred Approach
Phase 1: Analysis
Meetings with Community and

Compiling Existing Data
Stakeholder Representatives
Agreeing on
Priority Issues
Analysing the Context
of Priority Issues
Phase 2: Strategies
Considering the relevance and

Agreeing on a vision
application of policy guidellines in the
and on objectives
IDP process
Debate and decision-making on

appropriate strategies
Phase 3: Projects
Formulation of project proposals
Phase 4: Integration
Screening, adjusting, consolidating and Compilation of integrated

agreeing on project proposals programmes
Phase 5: Approval
Inviting and incorporating comments Adoption by the council
6
Planning events are usually meetings or workshops of the organisational structures in charge of the IDP
process (IDP Representative Forum, IDP Steering Committee, Project Task Teams) or, in exceptional cases,
activities done by individuals (data compilation, surveys, etc.). Each planning event is supposed to result in
certain “outputs”. Such outputs can be in the form of information or decisions. Some of the outputs are
related to legal requirements, others are just logical requirements which help to follow a conclusive process.
For each planning event, suggestions are made on the type of organisations and “actors” to be involved, in
order to ensure an inclusive and representative consultative and participatory process.
IDP Approach excluding Planning Techniques
The planning approach, however, does not say much about the specific planning tools to be used for each
planning event. These tools may differ greatly by type of municipality.
While metropolitan councils may use sophisticated computer-based planning techniques, small category B
municipalities may deal with the same planning event by means of a simple dialogue. While advanced
municipalities may make use of refined information processing techniques (e.g. geographical information
systems), others may have to rely on guesswork and rapid appraisal approaches. As a consequence, the
event-centred IDP approach as presented in this manual applies to all categories and types of
municipalities1. All have to answer the same type of questions by going through the same kind of
consultative/participatory planning and decision-making events. The principles of a:
♦ consultative
♦ strategic
♦ implementation oriented process
apply to each municipality and all of them will have to go through the phases of:
1. Analysing the existing situation
2. Making strategic choices
3. Designing concrete project proposals
4. Screening and integrating these proposals
5. Getting their IDPs assessed, aligned and approved.
Only the planning techniques will differ. To avoid confusing the overall IDP Approach and the context-
specific techniques and tools, possible techniques and tools for different types of municipalities are
compiled in a different manual (Guide IV: “Tool Box”). Designing the IDP Approach in a way which avoids
proposing specific planning techniques and tools is a way:
➺ to simplify the approach (each municipality can opt for its own degree of simplification or sophistication);
and
➺ to allow for a certain degree of pluralism with regard to planning styles and techniques as well as for
flexible adjustment to the context of each municipality.
Consultative/Participatory Approach
The IDP Approach is based on the principle of inclusive and representative consultation and/or
participation of all residents, communities and stakeholders within a municipality, as well as
representatives from other spheres of government, sector specialists, and other resource persons.
Due to the large size of the amalgamated municipalities, the consultation/participation process as suggested
here follows the principles of:
(a) structured participation through organisations and legitimate representatives (or advocates in the case of
non-organised disadvantaged or marginalised population groups), rather than direct participation,
(b) providing prerequisites and opportunities for participation, rather than proactively encouraging and
organising participation by municipal government.
For the distribution of roles between District Municipalities and Local Municipalities see Guide II.
1 7
In other words: Direct participation of residents and community members through public meetings will be the
exception rather than the rule in municipalities with 100 000 inhabitants on average. The approach is based on
institutionalised participation with an IDP Representative Forum as the major organisational body, and with
provision of adequate time for the representatives to consult with their communities or their membership
before discussing the issue in the IDP Representative Forum.
Participation and consultation will have to happen during all phases, rather than being exclusively applied for
assessment and prioritisation of needs or problems during the Analysis Phase.
Diagram 2: Consultative/Participatory Approach by Planning Phase
Phase 1: Phase 2: Phase 3: Phase 4: Phase 5:

Analysis Strategies Projects Integration Approval
Provincial/ Sectors Specialists Assessment

National by Sectors
District-level Project Proposals Integrated

District and Issues District Plans Adopted IDP
Municipality Identification
Strategy
Decisions Integrated
Local Issues Project
Proposals Local Plans Adopted IDP
Municipality Identification
Communities/ Problem/ Consultation of Discussion in

Stakeholders/ Public debate specific affected Comments from
Needs IDP Representative
Users on alternatives population the public
Analysis Forum
groups
➺ In phase 1 communities and stakeholders are given the chance to analyse their problems and determine
their priorities.
➺ In phase 2 there will be opportunity for a broad public debate on the appropriate ways and means of solving
problems.
➺ In phase 3, the communities and/or stakeholders affected by a concrete localised project will be consulted
on specific questions related to the project design (how should facilities/services be designed? where should
they be located? who should provide it? who should get access under which conditions?).
➺ In phase 4, the IDP Representative Forum will have to check whether the project proposals are in line with
the priorities and strategic guidelines.
➺ In phase 5, communities and stakeholders will be given the opportunity to comment on the draft IDP.
This approach of institutionalised and structured participation and consultation is expected to provide better
opportunities for relevant participation with less effort and cost for the municipal government which does not
necessarily have to cover costs for initiating and organising public meetings.
8
Strategic Approach
The strategic planning approach does not only become relevant during the “Strategy Phase”. Strategic planning
means to make the best use of limited resources considering the given conditions and policy guidelines. It
includes:
♦ prioritising on a few crucial issues rather than dealing in a comprehensive manner with all issues
(Phase 1).
♦ focusing analysis rather than wasting resources for collection of useless information (Phase 1).
♦ addressing root causes of problems, rather than only symptoms (in Phase 1, causes are to be identified, in
Phase 2 they have to be considered when designing strategies).
♦ taking given resources and relevant context into account (in Phase 1 these have to be identified, in Phase
2 they have to be considered).
♦ identifying and analysing alternative strategic options (asking the “How-question”) rather than going for
preconceived solutions (Phase 2).
Diagram 3: Strategic Approach
start
First you make

yourselves aware of
given framework Thereafter, you focus all
conditions and
your analysis and debates
available resources.
on these priorities.
Before defining solutions, you

You decide on your priorities start thinking about the
1) ............................................... causes of the problems, and
2) ............................................... of ways of addressing them.
3) ...............................................
Now you need

to become
creative to identify
alternative ways of
how to address
problems in a cost-
effective, sustainable These alternative options need to be analysed
and policy systematically, for their advantages and
guidelines related disadvantages before making a strategic choice .
manner.
finish
9
Strategic planning is not difficult as such. In private life, everybody is used to prioritising, focusing, addressing
the roots of problems, taking own resources (and limitations) carefully into account, and searching for the best
option. It tends to be the institutional routine which takes us along the non-strategic path of spending scarce
public resources in an ineffective manner by trying to deal with symptoms in a comprehensive manner and by
applying costly standard solutions.
The challenge of strategic planning is not a methodological one. It is an institutional and sometimes a political
one. Prioritising, focusing and making choices require a debate on distribution and allocation of scarce
resources, between departments, population groups and locations.
Such debates tend to be conflictual ones. The challenge of developmental local government is to handle and
resolve such conflicts by following policy guidelines, by looking for more effective ways and means which can
satisfy more needs with given funds, by finding common ground or by managing negotiation processes for
compromises.
IDP does not establish that challenge, but IDP tries to provide an appropriate forum and systematic
manner of dealing with that given challenge. The IDP approach, by being a strategic planning approach, can
be seen as a conflict-resolving process. By providing a systematic and transparent decision-making process, it
will help find acceptable solutions within given time-periods, thereby overcoming many of the decision-making
deadlocks which delay the delivery of services.
In addition to the systematic approach proposed in this manual, good facilitators will be crucial for such
consultative decision-making processes. Moreover, appropriate solutions may need a broader discussion
process, involving external resource persons and other spheres of government, besides local stakeholders. For
this reason, the District-level is proposed to be a crucial forum for strategic decision-making processes . It is
the appropriate forum, where “people & places” meet “sectors & subjects”, i.e. where local knowledge can be
combined with the knowledge of technical experts.
Implementation oriented Approach
Integrated Development Plans are only as good in so far as they help municipal management to improve
and fast-track delivery and development. Planning is supposed to become part of municipal management by
preparing decisions in a manner which is conducive to turning them into actions. This understanding of IDP
implies some requirements with regard to the nature and quality of the planning process:
(a) The project proposals have to be rather concrete and specific in respect of quantitative targets, quality,
timing, location, costs, and responsible implementing agencies. This is required in order to provide the
necessary information for the business planning of envisaged implementing agencies and for fulfilling
approval requirements of potential financing agencies.
(b) The IDP has to be carefully checked for its compliance with the financial resource framework and with the
available institutional capacities.
(c) There has to be a close link between the planning and the budgeting process.
(d) Those in charge of managing the implementation process have to play a key role in the planning process in
order to ensure realism of the plans and to promote their buy-in.
(e) There has to be sufficient consensus among potential users, affected population groups and other
interested stakeholders on the planned projects to avoid delay of implementation resulting from conflicts.
This means, that concerned population groups have to be involved in the project designing process.
10
Diagram 4: Implementation-oriented Approach
Consequently, IDPs have to go beyond providing a general and vague strategic framework for subsequent
project planning, in order to be useful as a management and budget planning tool. The “real” technical planning
work is not supposed to be done after the completion of an IDP, it needs to become an integral part of the IDP
process (though not all technical details may have to become part of the IDP document).
Not all technical planning, however, can be done within the IDP’s planning period. Some projects may require
detailed feasibility studies which take more time or which may only be due at a later stage. In such cases,
targets, costs and budgets have to be calculated on the basis of sound professional estimates
(“pre-feasibility study” level of planning).
11
IDP and Sectoral Planning
IDP is an inter-sectoral, but priority focused planning process which may or may not include each and every
sector. It may also only overlap with sectoral planning responsibilities to a certain degree, depending on local
priorities as the primary guiding factor.
Sector agencies within a municipality, as well as those belonging to other spheres of government, have their
own planning requirements, some of which are defined by legislation. The IDP approach, as presented in
this manual, is aligned to these sectoral planning requirements in a way that they are incorporated in the
IDP process.
As a result, sectoral planning requirements will be met by the IDP process as proposed in this manual,
wherever such planning requirements relate to cross-cutting issues (like spatial planning and environmental
issues) and where a sector (or part of it) is related to priority issues resulting from the IDP process. Only
such aspects of sectoral planning requirements which have nothing to do with the priorities of a municipality
will have to be dealt with separately from the IDP process. That means that there will be varying degrees of
overlap, depending on the coincidence between sectoral planning requirements and a municipality’s
priorities. But there will be no more duplication of planning requirements. And there will be a basis for the
full involvement of sector agencies in the IDP planning, funding and implementation process.
Diagram 5: IDP and Sector Planning

Case A
IDP Process The sector is strongly related to the priority issues which arise from the
IDP Analysis. Only minor segments of the sectoral planning requirements
do not fit into the issues focused IDP process and have to be done as
Sectoral “homework” outside the IDP process.

Planning
Case B
IDP Process The sector is partly related to the priority issues arising from the IDP
process. E.g. public passenger transport may be a priority issue, while
road maintenance may not be a priority. The sector department will do its
public passenger transport planning as part of the IDP process, while
Sectoral
Planning the minimum planning requirements for road maintenance will have to
be done outside the IDP process.
Case C
IDP Process There is only a very small overlap between sectoral planning
requirements and IDP priorities. In such a case, the sectoral staff will
only be asked to provide a few specific contributions to the IDP process.
Sectoral
Planning
Conclusion
The event-centred IDP Approach which does not include planning techniques, is supposed to make the
inherent complexity of a consultative, strategic and implementation oriented inter-sectoral planning process
manageable and transparent. One does not have to be a professional planner to understand the approach
and to organise the IDP process accordingly. But one may have to engage professional planners or
facilitators at certain stages of the approach to help identify and handle appropriate planning techniques and
tools.
12
4. THE USER-FRIENDLY DESIGN OF THE IDP GUIDE PACK
The new manual attempts to be a user-friendly document by:
(a) Splitting information into context- and target group-specific packages, i.e. in six guides 2 which can be used
independently of each other; and
(b) Standardising the presentation of the planning methodology (Guide III) to a high degree by sub-dividing
the approach into “Planning Activities” which are described and explained in the same way, thus allowing
quick and focused access to the required information.
Diagram 6: Guide III in Context
Guide I: General IDP Guidelines

Provides you with basic guidance on purpose, contents and institutional
aspects of IDP, which go beyond the minimum requirements as outlined in
the Municipal Systems Act.

Helps you to plan the planning process.
Guide IV: Tool Box Guide III: IDP Guide V: Sectoral and
offers you a variety Methodology Cross-cutting Policy
of options for information about: Guidelines
planning tools/ • required outputs offers you guidance on
techniques to use • recommended how to relate other
for each process. processes to guide you (non-IDP-specific)
through the process. general or sector
policies to the IDP.
Guide VI: Implementation

Management and Monitoring
and Review
information about:
• Planning-Implementation Links
• Institutional Preparedness
• Management Tools
• Monitoring and Performance
Management Tools
• Reviewing IDPs.
The six Guides are:

2
Guide I: IDPGuidelines
Guide III: IDPMethodology
Guide IV: IDP Toolbox
Guide V: Sectoral and Cross-cutting Policy Guidelines
Guide VI: Implementing and Monitoring IDPs
13
(c) Avoiding planning jargon as far as possible by not suggesting specific planning techniques in Guide III.
(d) Highlighting minimum requirements for each phase and planning activity, thereby differentiating clearly
between the “must” (resulting from legal and policy requirements) and the non-prescriptive
recommendations for those who want some hints on how to deal with a certain planning activity.
(e) Providing short answers to the following set of questions for each planning activity:
• WHY do it? (i.e. explaining the purpose of a planning activity)
• WHAT needs to be there as a result of the planning activity? (i.e. specifying the output)
• HOW should the process or procedure look in order to arrive at the output?
• WHO shall be in charge and be involved?
• HOW LONG should it take?
Guide III, however, has got the character of a manual. That means it is not a booklet to be read from page 1 to
the end to get a quick overview (this purpose is aimed at by the General Overview “IDP at a Glance”). It is a
document to be used during the planning process accordingly to need, i.e. to look for answers when questions
arise. It is meant to offer fast access to specific information for those involved in the planning process, rather
than to provide a short holistic summary on what IDP is all about.
5. PLANNING ACTIVITIES
The IDP Approach is structured by “Planning Activities” which apply for both Local and District Municipalities.
These “Planning Activities” should not be confused with planning steps. While some of the “Planning
Activities” are planning events which will have to be done in a certain sequence, other “Planning Activities” are
related to ways and means of considering certain aspects and planning requirements during or inbetween
certain planning events (e.g. how to deal with the environmental, spatial, or economic dimension when
designing strategies). In other words: Planning Activities may be steps or events to be organised (such as
workshops, studies, data compilation) or they may refer to the way certain aspects have to be considered
during a specific step or event.
For each phase of the IDP process, there is an overview chart which indicates:
(a) the proposed planning events and their sequence;
(b) the outputs of the phase; and
(c) “Planning Activities” which cover aspects to be considered in the process.
This will help give the user of the Guide an overview of the process and nature of the “Planning Activities”.
14
6. THE 5 PLANNING PHASES: PURPOSES, PROCESS AND OUTPUTS
PHASE 1: ANALYSIS
Purpose: To ensure that decisions will be based on:

– people’s priority needs and problems
– knowledge on available and accessible resources
– proper information and on a profound understanding of the dynamics
influencing the development in a municipality.
Processes: (1) Data-based analysis of service standards/gaps

(including sector-specific data)
(2) Participatory problem analysis/issues prioritisation (cross-sectoral)
(3) In-depth analysis related to identified priority issues (dynamics, causal
factors, resources, etc).
Outputs: • Assessment of the existing level of development

• Priority issues/problem statements
• Understanding of nature/dynamics/causes of these issues
• Knowledge on available resources and potentials (including a tentative
overall financial frame).
PHASE 2: STRATEGIES
Purpose: To ensure that there will be a broad inter-sectoral debate on the most
appropriate ways and means of tackling priority issues, under
consideration of policy guidelines and principles, available resources,
interlinkages, competing requirements and an agreed vision. The strategy
debate shall help avoid the usual short cut from identified needs to
sectoral projects. It shall help find more appropriate, innovative and cost-
effective solutions under due consideration of various options. It is the
phase of making choices.
Processes: • Inter-sectoral workshop process as a forum for open discussions on

ways and means of dealing with the priority issues/problems
• Workshops (as a rule) at district-level with all affected local
municipalities and representatives from relevant provincial and national
agencies and corporate service providers in order to ensure:
– well informed and well facilitated strategic debates
– that cross-boundary issues and inter-government/sector alignment
issues are taken care of.
Outputs: • Vision (for the municipality)

• Objectives (for each priority issue)
• Strategic options and choice of strategy (for each issue)
• Tentative financial framework for projects
• Identification of projects.
15
PHASE 3: PROJECTS
Purpose: To ensure a smooth planning/delivery link by providing an opportunity for a

detailed and concrete project planning process done by project task teams
of professionals and relevant stakeholders who provide proposals with
tentative target figures, technical standards, locations, time horizons and
cost estimates. This phase will give the sector specialists their appropriate
role in the planning process, thereby contributing to a smooth planning –
implementation link.
Process: Project Task Teams which include the officers from the agencies in charge
of implementation (departments, corporate sector agencies) and other
domain specialists will be charged with the task of working out project
proposals in consultation with specialists from provincial/national agencies
and from the communities or stakeholders affected by the project.
Outputs: • Indicators (quantities, qualities) for objectives

• Project outputs with targets and location
• Major activities, timing
• Responsible agencies/actors
• Costs and budget estimates and sources of finance
– Consideration of sectoral planning requirements
– Sector plans may be elaborated during this phase; IDP will only
include a summarising project overview resulting from such sector
plans.
The degree of specification and exactness of the outcomes will vary, as
some projects may need in-depth feasibility studies which may not be
manageable within the IDP planning period. At least tentative estimates
based on preliminary decisions on the project design (pre-feasibility level)
shall be provided.
Remark: While the focus of the IDP planning process is on priority issues, there
are also a number of departmental routine projects (e.g. maintenance)
which are found to be necessary though not regarded as a priority. These
have to be planned during phase 3 and be reviewed in relation to the
financial requirements for priority issues and related projects/
programmes.
16
PHASE 4: INTEGRATION
Purpose: To ensure that the results of project planning will be checked for their
compliance with vision, objectives, strategies and resources and that they
will be harmonised. The harmonisation process will result in a
consolidated spatial, financial and institutional framework as a sound basis
for smooth implementation.
Processes: • Presentation of project proposals to the IDP Representative Forum

and discussion
• Matching, alignment (within municipality)
• Revision by Project Task Teams
• Compilation of revised proposals.
Outputs: • Revised project proposals (may be revised strategies)

– for priority projects
– for other projects
• 5-year financial plan (all sources of finance)
• 5-year capital investment programme (all sources of finance)
• 5-year municipal action plan (for municipal management)
• Integrated spatial development framework
• Integrated programmes for LED, environmental issues, poverty
alleviation, gender equity and HIV/AIDS
• Institutional plan for implementation management
• Consolidated monitoring/performance management system
• References to sector plans
• (Outcomes of sector plans to be fed back into the IDP process)
• Disaster Management Plan.
17
PHASE 5: APPROVAL
Purpose: To ensure that, before being adopted by the Municipal Council, all relevant
stakeholders and interested parties, including other spheres of government
have been given a chance to comment on the draft plan, thus giving the
approved plan a sound basis of legitimacy, support and relevance.
Processes: • Discussion of Draft IDP in the Municipal Council

• Providing opportunity for public comments
• Amendments in line with comments
• Approval by Municipal Council
• District-level alignment: Horizontal coordination
• Provincial/national level alignment
– legal compliance check
– sector alignment
– feasibility check/professional feedback
• Amendments and/or response by local councils
• Final adoption by council.
Output: • An amended and adopted Integrated Development Plan.
Final Outcome: • An IDP document which has the support of the municipal administration,
the municipal residents, the district council and all relevant agencies in
charge of implementation of programmes and projects within the
municipal area of jurisdiction and which is approved by the Municipal
Council.
7. THE DISTRIBUTION OF ROLES BETWEEN DISTRICT AND LOCAL MUNICIPALITIES
There has always been some confusion about the distribution of roles between Districts and Local
Municipalities (TLCs, TRCs) in the LDO/IDP process. Should the Districts go ahead with planning and establish a
framework plan as a basis for local level planning? Or should the local level go ahead first, leaving it to the
Districts to produce an amalgamated and consolidated plan on the basis of local plans?
The demarcation process has resulted in a fundamental change in the distribution of roles and relationships
between Districts and Local Municipalities. Previously, the roles of both levels were not strongly interrelated:
The Districts were mainly expected to cater for those areas not covered by Local Municipalities. Besides, they
did regional-scale planning and programme implementation. Now, there will be wall-to-wall municipalities. With
the exception of a few direct “District Management Areas”, Districts will be responsible for the same areas as
Local Municipalities. Sharing responsibilities for the same areas of jurisdiction requires cooperation, rather than
operating in isolation in different fields.
This has implications for the IDP process. According to the Municipal Structures Act and the Municipal Systems
Act, both tiers of local government have to elaborate IDPs as a crucial part and tool of their management and
delivery system. In order to avoid duplication of work, the two planning processes should be closely
interrelated. The design of this interrelation and distribution of responsibilities has to take four imperatives into
consideration:
18
• The analysis and prioritisation of needs and problems needs to be done through a participatory process,
involving local communities and stakeholders. The information on service gaps and on potentials needs to
be location-specific. Therefore, this has to be done by Local Municipalities, which are close to the
residents.
• Local Municipalities and District Municipalities need their own planning processes and their own planning
documents if IDP is to contribute to institutional transformation and if it is meant to inform municipal
budgets and business plans. Therefore, one district-level plan for all local government entities within the
district will not be sufficient to make IDP an effective tool for development local government.
• There are strategic planning and decision-making processes which are of similar nature for all local
municipalities, and which need high level facilitation and professional skills, as well as the involvement of
sector specialists from provincial level. Therefore, the elaboration of strategies may be better done jointly
by all Local Municipalities, together with Districts and provincial officers on District-level.
• Smooth coordination between adjacent (???) local municipalities and between local and district level.
Translating these three imperatives into the phasing of IDP processes may result in the following procedure:
• During Phase 1, the phase of analysis, assessment and participatory issues identification, the focus of the
planning process will be on the local level, while District Councils may do some analysis related to region-
wide issues (but without getting involved in an extensive participation process on its own).
• During Phase 2, the phase of strategising, the focus will, as a rule, be on District-level, while there may still
be some locally specific issues which need locally specific strategies. Local Municipalities should be invited
to strategy workshops on each of the priority issues, to jointly discuss the most appropriate problem-solving
strategies. Provincial and national specialists and competent resource-persons from civil society could be
invited to join this process, which will be facilitated by the staff of District-level PIMS-centres. This is the
arena where “people and places meet with sectors and subjects”.
• During Phase 3, the phase of project planning, each type of municipality will have to do its “homework”, i.e.
transforming strategies into concrete localised projects which will inform the budgets and business plans.
• The same applies to Phase 4 (“Integration”) during which local and district municipalities will check and
consolidate the project proposals in order to arrive at integrated plans and programmes as a basis for their
management systems.
• During Phase 5 (Approval), the Districts will have to play an important role in horizontal (cross-border issues)
and vertical coordination.
Local and District-level planning will therefore be done parallel, but inform each other mutually, rather than in a
one-sided bottom-up or top-down manner.
Diagram 7: Model for Integration of District- and Local-Level IDP
Phase 1: Phase 2: Phase 3: Phase 4: Phase 5:

Analysis Strategies Project Integration Approval
Regional Issues District Council Draft District Adoption
Projects IDP by District
Council
District
Horizontal
and
Vertical co-
ordination
Local
Local Council Adoption by

Local Issues Projects Draft Local IDPs Local Council
19
8. AN INDICATIVE TIME AND RESOURCE FRAME FOR THE IDP PROCESS
Time Special
Requirement Resource
Planning Activity (weeks) Type of Event Requirements
1/1 Compilation of existing information 2 Desk work –
1/2 Community/stakeholder workshops 4 (a) Rep Forum Meeting
(b) Local Meetings
1/3 Reconciling 1/1 and 1/2 (2)* Various interactive
processes
1/4 – 1/6 Municipality-wide analysis (1)* Rep Forum Facilitation
Spatial/Socio economic analysis Specialists
1/7 Identification of Priority Issues 1 Desk work Facilitation
Rep Forum Workshop
1/8 In-depth Analysis 4 Studies Specialists
Rep. Forum workshop
1/9
1/10 Consolidation of analysis/drafting 1 Desk work
Phase 1 12 4 Rep Forum workshops
2/1 – 2/2 Vision, Objectives 1 Rep Forum workshop Facilitator
2/3 Localised Strategic Guidelines 1 District workshops Specialists
Facilitator
(Districts)
2/4 Defining resource frames/financial strategy (2)* Rep Forum workshop Facilitator
2/5 – 2/6 Creating alternatives/conditions
for public debate (1)*
2/7 – 2/9 District Strategy workshops 4 District workshops Facilitator
(time frame for all strategy workshops) (Districts)
2/10 Translating into Local decision 2 Rep Forum workshop Facilitator
Desk work
Phase 2 8 3 Rep Forum workshops
2 District workshops
3/1 – 3/2 Forming Project Task Teams/ 2 Desk work Facilitator
setting budget frame Rep Forum
3/3 – 3/9 Designing project proposals 5 Task Teams
Phase 3 7 1 Rep Forum workshop
4/1 Screening of project proposals/integration 2 Desk work Facilitator
Rep Forum workshop
4/2 – 4/13 Revising and integrating projects 3 Desk work Facilitator
and programmes Rep Forum workshop
Phase 4 5 2 Rep Forum workshops Facilitator
Phase 5 5 1 Rep Forum workshop Facilitator
Specialists
TOTAL: 37 11 Rep Forum
Workshops
*To be done during other planning activities; no separate time requirements.

(1) Depending on the in-built staff capacities of a municipality, these resources may be provided by the municipality or they have
to be hired from PIMS-Centres or from consulting firms. The requirements relate to a range of very different skills and can,
therefore, by no means be covered by one single consultant. The quantity depends on the size of a municipality and on the
type of issues.
20
21
9. AN INDICATIVE LIST OF CONTENTS OF AN INTEGRATED DEVELOPMENT PLAN
Form and content of an IDP document are largely (with exception of those contents prescribed in the Municipal
Systems Act) subject to the discretion of each municipality. Therefore, a list of contents should not be
prescribed.
A list of contents is, however, quite a useful tool to provide an idea on how an IDP might look. The following
example may help to get an impression, but it should not prevent anyone from developing his/her own creative
ideas.
LIST OF CONTENTS
1. The Planning Process (3 – 6)

1.1 Institutional arrangements/roles and responsibilities (1 – 2)
1.2 Process overview: Steps and events (1 – 2)
1.3 Self-Assessment of the Planning Process (1 – 2)
2. The Situation (30 – 40)

2.1 Current Reality: Basic facts and figures (3 – 5)
2.2 Summary of community and stakeholder Priority Issues (1 – 2)
2.3 Priority Issues from a Municipal Perspective (1 – 2)
2.4 Spatial Analysis: Patterns and trends (2 – 4)
2.5 Social Analysis: Poverty situation and gender-specific issues (2 – 3)
2.6 Economic Analysis: Major patterns and trends (1 – 2)
2.7 Environmental Analysis: Major risks and trends (1 – 2)
2.8 Institutional Analysis: Strengths and weaknesses
of the municipal administration (1 – 2)
2.9 Priority Issues in Context: Summary reports on in-depth analysis (15 – 20)
3. Development Strategies (25 – 40)

3.1 The Municipal Vision (1)
3.2 Localised Strategy Guidelines (15 – 20)
3.3 Objectives and strategies for each Priority Issue
(including objectives, available resources, alternatives taken
into consideration, assessment and proposed strategy) (10 – 15)
3.4 Financial Strategy (1 – 2)
3.5 Summary list of identified projects (1 – 2)
4. Projects 1 page project format per project (see 3/3) (15 – 30)
5. Operational Strategies (16 – 25)

5.1 Operational 5-year Action Plan (1 – 2)
5.2 5-year Financial Plan (1 – 2)
5.3 Capital Investment Programme (1 – 2)
5.4 Integrated Spatial Development Framework (3 – 5)
5.5 – 5.8 Integrated Social, economic, environmental
and institutional programmes (6 – 10)
5.9 Disaster Management Plan (2 – 3)
5.10 Monitoring and information flow system (2 – 3)
(90 – 140)
22
PHASES OF THE IDP P ROCESS – O VERVIEW
Analysis
Compilation of existing infor mation Community and Stakeholder level

(data-based analysis) analysis
– service gaps (sector specific) (participatory analysis)
Reconciliation – differentiated by location and social
– differentiated by area and social
category category
– available resources/potentials – cross-sectoral
Priority Municipality-wide Analysis

In-depth Analysis of Priority Issues
Issues – cross-sectoral
– understanding the exact nature of – overarching issues/problems
the issue
– dynamics/trends (Problem
Spatial Analysis
– causing factors Areas)
– resources/potentials Socio-economic Analysis
Gender/Poverty
Strategies
Vision for the municipality
Strategy Guidelines (localised)

Objectives for each Priority Issue – spatial
– poverty/gender
– environmental
Development Strategies – economic
for each Priority Issue – institutional
– Strategic discussion and decision-making
process on ways and means of dealing
with Priority Issues
– District-level workshops for each Priority Pr ojects identified
Issue
Projects
For mation of “Project Preliminar y budget allocations

Task T eams” per pr oject
Designing Project Pr oposals including: Drafting of

– by Project Task Terms – Indicators for objectives Sector Plans
– with involvement of: – Outputs/targets/locations
– target groups/public – Activities/responsible actors/timing
– sector departments/partners – Cost/budget/sources of finance
– based on discussion on technical
“micro strategies”
Integration Approval
Screening/r evision of projects with r egar d to:
– Discussion by the Council
– compliance with priorities/objectives/guidelines
– harmonisation between projects – Public Comments
– feasibility/viability – District Alignment
– Horizontal co-ordination
Compilation of integrated pr ogrammes/plans
– Provincial/National
– Sector Programmes – Institutional Plan
– 5 year Financial Plan – Disaster Management Plan Alignment
– 5 year Capital Investment Programme – Integrated HIV/AIDS – sector adjustment
Programme – legal compliance
– 5 year Action Programme – Development and Performance – professional feed-back
– Integrated Spatial Development Framework Management Indicators
– Final approval by Council
– Integrated LEDProgramme
– Integrated Environmental Programme
– Integrated Poverty alleviation/Gender equity Programme
Annual Business Budgets of Financing Land Use Institutional

Municipal Budgets Management Decisions
Plans Provincial and National Applications Transformation
Departments 23

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I D P G u i d e - P a c k

Department of Provincial and Local

Mr E Africa, Ms Esme Magwaza,

GTZ (German Agency for Technical

Mr Yusuf Patel (DPLG)

The revised IDP Manual was designed by

the Decentralised Development Planning

(DDP) Task Team on basis of the IDP

Assessment process (1998/99), and a

series of IDP-related policy research

Maria Coetzee (CSIR)

Marc Feldman (Development Work)

Katharina Huebner (GTZ)

Musa Majozi (DPLG/GTZ)

Yusuf Patel (DPLG)

Dr Theo Rauch (GTZ)

Editing and Layout

Simeka TWS Creative

Govenment Printers – Brian Brown

Better Service Local Economic Partnership Spatial

Major steps of this transformation process were:

• the re-demarcation process which resulted in more viable municipalities; and

FHOLISANI SYDNEY MUFAMADI

Guide II: Preparation

Guide III: Methodology

Guide IV: Toolbox

1.1 The new IDP guide-pack 3

2.1 What is Integrated Development Planning? 4

3. AN OVERVIEW OF THE GUIDES

4. OVERVIEW OF THE PLANNING PROCESS

5.1 Legal framework 21

Table 1: Benefits for different target groups 6

Diagram 1: Overview of the Guides 13

• Guide I – General IDP guidelines

• Guide II – Preparing for the IDP process

• Guide III – IDP methodology

• Guide IV – IDP Toolbox

• Guide V – Sectoral and cross-cutting policy issues

• Guide VI – Implementation and Monitoring.

✰ Why do it? (i.e. explaining the purpose of a planning activity)

✰ Who shall be in charge and be involved?

✰ How long should it take?

1.2 GENERAL OVERVIEW

Four main areas are covered in this document namely:

• The basics of IDPs;

• The overview of the Guides;

• The overview of the planning process; and

• The IDP support system.

Integrated Development Planning is a process through which municipalities prepare a strategic

ii. What is the legal status of an IDP?

iii. What is the lifespan of an IDP?

iv. How long does it take to complete the process?

v. What are the core components of the IDP?

The IDP is made up of the following core components:

2.2 WHY IS IT NECESSARY TO DO IDPS?

Here is why every municipality should have an IDP:

➺ It helps to make more effective use of scarce resources by:

– searching for more cost-effective solutions; and