A Manual on the Local Planning Process (Formulating the CDP and ELA in ARMM) by Local Governance Support Program in ARMM

A MANUAL ON THE LOCAL PLANNING PROCESS: Formulating the CDP and ELA in ARMM

A Manual on the Local Planning Process: Formulating the CDP and ELA in ARMM Copyright ÂŠ 2009 Local Governance Support Program in ARMM (LGSPA)

Technical Team

Technical Advisor Divina Luz Lopez

The Local Governance Support Program in ARMM (LGSPA) encourages the use, translation, adaptation and copying of this material for noncommercial use, with appropriate credit given to LGSPA. Although reasonable care has been taken in the preparation of this manual, neither the publisher nor contributor, nor writer can accept any liability for any consequences arising from the use thereof or from any information contained herein. ISBN 978-971-94065-1-8 Printed and bound in Davao City, Philippines Published by: The Local Governance Support Program in ARMM (LGSPA) Unit 72 Landco Corporate Centre J.P. Laurel Avenue, Bajada 8000 Davao City, Philippines Tel. No. 63 2 227 7980-81 www.lgspa.org.ph This project was undertaken with the ďŹ nancial support of the Government of Canada provided through the Canadian International Development Agency (CIDA). LGSPA was implemented by Agriteam Canada. www.agriteam.ca

Writer Julie Catherine Paran

Editorial and Creative Direction Myn Garcia Technical Review Team Al Madal, Assistant Regional Director, RPDO-ARMM Isa Romancap, Provincial Director, DILG- Maguindanao Eva K. Tan Divina Luz Lopez Merlinda Hussein Cecille Isubal Myn Garcia Contributor Rizal Barandino Technical Coordination Maya Vandenbroeck Art Direction, Cover Design and Layout Jet Hermida

A MANUAL ON THE LOCAL PLANNING PROCESS: Formulating the CDP and ELA in ARMM

Contents LIST OF TABLES LIST OF FIGURES LIST OF BOXES FOREWORD ACKNOWLEDGEMENTS PREFACE INTRODUCTION Some Implications of ARMM Autonomy Autonomy, Planning and Responsive Service Delivery Rationalized Planning System The Major LGU Plans and Implementing Mechanisms ABOUT THE MANUAL GETTING STARTED 1.1 Orienting the Local Chief Executive and the Sangguniang Bayan/Panlungsod 1.2 Organizing and Mobilizing the Planning Team 1.3 Training the Planning Team 1.4 Conducting Preliminary Work FORMULATING THE PLAN 2.1 The CDP and ELA 2.2 Legislation and Policy Issuances on CDP and ELA 2.3 The CDP and ELA Formulation Process 2.4 Integrating Plans 2.5 Updating the CDP and ELA 2.6 Formulating/Revisiting the LGU Vision and Mission Statements 2.7 Determining the Vision-Reality Gap 2.8 Formulating/Validating Goals and Objectives 2.9 Formulating Strategies 2.10 Identifying Programs and Projects 2.11 Determining CDP Legislative Requirements GEARING UP FOR PLAN IMPLEMENTATION 3.1 Formulating the Executive and Legislative Agenda 3.2 Integrating Lower Level Plans 3.3 The Local Development Investment Program 3.4 The Annual Investment Program 3.5 Translating the AIP into the Budget 3.6 Determining Capacity Development Needs for ELA Implementation ADVOCATING THE PLAN 4.1 The Communications Plan 4.2 Developing the Communications Plan 4.3 Implementing the Communications Plan

II III IV 1 3 5 7 7 8 9 10 13 15 15 17 23 23 27 27 29 30 32 33 34 37 50 57 59 61 65 65 71 71 91 97 101 107 107 108 112

MONITORING & EVALUATION 5.1 What is Monitoring and Evaluation (M & E)? 5.2 Developing the M & E Strategy 5.3 Effectively Communicating and Using M&E Results ANNEXES

115 115 119 121 125

LIST OF TABLES

Table 0.1 Table 1.1 Table 2.1 Table 2.2 Table 2.3 Table 2.4 Table 2.5 Table 2.6 Table 2.7 Table 2.8 Table 2.9 Table 2.10 Table 2.11 Table 2.12 Table 2.13 Table 2.14 Table 2.15 Table 2.16 Table 2.17 Table 2.18 Table 2.19 Table 2.20 Table 2.21 Table 3.1 Table 3.2 Table 3.3 Table 3.4 Table 3.5 Table 3.6 Table 3.7 Table 3.8 Table 3.9 Table 3.10 Table 3.11 Table 3.12 Table 3.13 Table 3.14 Table 3.15 Table 3.16 Table 4.1 Table 4.2 Table 5.1 Table 5.2 Table 5.3 Table 5.4 Table 5.5

Hierarchy and Relationship of LGU Plans Sphere of InďŹ&#x201A;uence and Potential Contribution Table The Six Development Sectors of ARMM The CDP and ELA Process Current Reality Rating Scale Example of Vision-Reality Gap Analysis LGPMS Performance Levels and Implications to Planning Using the LGPMS Single Year Report Interpreting the LGPMS Matrix Using LGPMS Comparative Performance Using LGPMS Performance Trends CBMS Scores, Municipality of Labo, Camarines Norte Local Development Indicators, Sta Elena Camarines Norte 2003 Differences between goals and objectives LGPMS Outcome Indicators for Social Services Core Local Poverty Indicators (CLPIs) Results and Success Indicators Results and Targets Setting Targets Based on LGPMS Comparative Performance Setting Targets Based on LGPMS Performance Trends Guide to Identifying Strategies Identifying Programs and Projects Using LGPMS CDP Legislative Requirements Steps in Developing the ELA Guide to Distinguish Projects from Non- Projects Sifting Projects from Non-Projects Sifting Projects for Ownership Time Series Record of Property Tax Revenue Time Series Record of Revenue Other than Property Tax Time Series Record of LGU Operating Expenditures Obligated Debt Service Expenditure Projection of Property Tax Revenue Projection of Total Revenue Projection of LGU Operating Expenditure Projection of New Investment Financing Potential Local Development Investment Program (LDIP) Project Summary Reference Code by Sector and Sub-Sector AIP Form Sample of a Capacity Development Plan for ELA Implementation Communication Plan Matrix IEC Implementation Plan Matrix Salient Features of Monitoring and Evaluation M&E Points in a Three-Year Term of Office M&E Strategy Local Governance Performance Management System Annual/End-Of-Term Accomplishment Report

12 20 28 31 44 44 45 46 46 47 47 48 49 51 52 53 54 55 57 57 59 61 62 68 75 76 77 79 80 81 81 82 83 83 84 85 95 96 103 109 112 116 118 120 121 123

LIST OF FIGURES Figure 1.1 Figure 1.2 Figure 2.1 Figure 2.2 Figure 2.3 Figure 2.4 Figure 3.1 Figure 3.2 Figure 3.3. Figure 3.4 Figure 3.5 Figure 3.6 Figure 3.7 Figure 3.8 Figure 3.9

Structure of the Planning Team Session Flow of the Training and Planning Workshop Simpliﬁed CDP and ELA Process GIS Map showing access of households to sanitary toilets Relationship Between Goals & Objectives: An Example Strategy Formulation using SWOT Link of CDP Legislative Requirements and LA Local Funds for Development LDIP Process as a Link between Development Planning and Budgeting LGU Financing Options Plan-Budget Flow Local Planning and Budgeting Linkage8 Timetable and Activity Flow of the AIP Preparation Process Budget Preparation Process Major Contents of the Executive Budget

21 24 32 49 50 58 70 72 73 86 91 92 94 99 100

LIST OF BOXES Box 1.2 PICT as Functional Committee of the LDC in ARMM Box 1.3 Multi-stakeholder Participation in CDP and ELA Formulation: The Buldon, Maguindanao Experience Box 1.4 Benefits of Training Elective Officials: The Case of Upi, Maguindanao Box 1.5 Formulating the CDP and ELA Box 2.1 Calanogas, Lanao del Sur’s Poverty Reduction Thrust: Working Hand-in-Hand with National Government Box 2.2 Formulating the Vision Box 2.3 Examples of LGU Visions Conflict Sensitive and Peace Promoting Vision Turtle Islands, Tawi Tawi Vision: Ambitious yet Well-grounded Basilan’s Shared Vision that Recognizes Diversity Box 2.7 Types of Vision Statements Box 2.6 Tips in Crafting the Vision Box 2.8 Conflict Sensitive and Peace Promoting Mission Sumisip, Basilan Mission: Achieving the Purpose through People Participation Box 2.11 Examples of ARMM Mission Statements Box 2.11 Examples of ARMM Mission Statements Box 2.12 SMART Criteria for Developing Goals and Objectives Box 2.13 Importance of Project Identification Phase Box 2.14 Adapting Good Practice: the Southwestern Liguasan Alliance of Municipalities (SLAM), Maguindanao Box 3.1 Converging on a Blueprint for Development: Acting in Concert in Upi, Maguindanao The ELA as Resource Mobilization Tool: The Kapatagan, Lanao del Norte Experience Prioritizing Peace and Human Security in Kapatagan, Lanao del Norte Box 3.4 Sample Format Of The Executive And Legislative Agenda Box 3.5 The LDIP Box 3.6 Preparing Project Briefs Box 3.7 Managing the Fiscal Gap in Barangay Sarmiento, Parang, Maguindanao Box 3.8 Example of a Financing Scheme for LGU Projects: Local Urban Water Supply Project of the Development Bank of the Philippines (DBP) Box 3.9 Example of Capacity Assessment for a Revenue Goal Box 4.1 Pre-testing Methods for Communication Strategies Box 5.1 Conducting Orientation Meeting for the Monitoring Team Box 5.2 The 120 Days Governor’s Report of Shariff Kabunsuan Box 5.3 The State of Local Governance Report of the Municipality of Wao, Lanao del Sur Measuring LGU Performance

17 18 18 23 25 33 34 35 35 35 35 36 36 37 37 37 38 39 52 59 60 67 67 67 69 71 78 88 90 90 104 112 117 119 122 122

III

Foreword Assalamo Alaikum Warahmatullahi Wabarakatuho! HE DEPARTMENT OF THE INTERIOR AND LOCAL Government-ARMM (DILG-ARMM) congratulates the Local Governance Support Program in ARMM (LGSPA) for publishing A Manual on the Local Planning Process: Formulating the CDP and ELA in ARMM. This manual is indeed a signiďŹ cant and timely contribution to the Departmentâ&#x20AC;&#x2122;s continuing efforts to enhance the quality of local governance in the Autonomous Region in Muslim Mindanao (ARMM). In a region like ARMM, the pursuit of peace and development through excellence in local governance is an important, albeit, challenging endeavour. And it begins with strong and effective leadership that sets a clear vision for the LGU, steering it to the right direction towards this vision and building multistakeholder ownership. Alongside strategic and effective leadership is the crucial process of local development planning, which is fundamental in equipping local chief executives in charting the future of their localities in ARMM. Good governance is about building partnerships and engaging the participation of various stakeholders in promoting shared ownership of plans and shared accountability of results. Convergence and participatory approaches in local development planning foster transparency, accountability, responsiveness and effectiveness in and of governance. DILG-ARMM would like to thank the LGSPA for taking the LGUs in ARMM through a productive process in formulating and implementing their Comprehensive Development Plans (CDPs) and the Executive and Legislative Agendas (ELAs) that reinforces efforts to make local autonomy more meaningful for the people of ARMM.

This manual is undeniably a useful reference for the leadership and technical staff of LGUs in ARMM. DILG will continue to promote its use to local governments as they continue to respond to the provisions of the Muslim Mindanao Autonomy Act No. 25 in strengthening local autonomy in ARMM, empowering communities and improving peopleâ&#x20AC;&#x2122;s lives. More power and Wassalam!

Hon. Ansaruddin A. Adiong Regional Vice Governor, Autonomous Region in Muslim Mindanao (ARMM) Regional Secretary, Department of the Interior and Local Government in ARMM

Acknowledgements HIS PUBLICATION WAS MADE POSSIBLE THROUGH THE dedication and collective efforts of individuals and teams who have willingly shared their ideas and valuable time in conceptualizing and developing this Manual. The Local Governance Support Program in ARMM (LGSPA) would like to thank … … the Local Chief Executives, Vice Local Chief Executives, Provincial Inter-Agency Coach Teams (PICTs), Local Planning and Development Coordinators, Local Legislative Councils, Local Government Operations Officers, Civil Society Organizations and community representatives and the rest of the technical staff of local governments in ARMM who formulated and implemented their CDPs and ELAs and provided the good experiences and content included in this Manual … Local Resource Partners and On-Site Coaches who helped local governments in formulating and implementing responsive and relevant CDPs and ELAs. Without their expertise, LGSPA would not have been able to successfully implement its initiative in strengthening local development planning process in ARMM … The Technical Team of this publication who were so committed to developing and seeing through the completion of the manual … LGSPA managers and staff who contributed in many ways to the completion of this Manual and in promoting an integrated local development planning process that is able to make a difference in promoting good governance in ARMM

Preface MANUAL ON THE LOCAL PLANNING PROCESS: Formulating the CDP and ELA in ARMM represents the collective experience of some 118 local governments that were supported by the Local Governance Support Program in ARMM (LGSPA) in crafting and implementing their Comprehensive Development Plans (CDPs) and their term based action plan, the Executive and Legislative Agendas (ELAs). This manual is a synthesis of the insights and lessons learned from these experiences. It is also another testament to the continuing commitment of LGSPA to knowledge building and sharing in the arena of local governance in ARMM. This publication is aligned with LGSPA’s efforts to promote meaningful local autonomy in ARMM leading to genuine and people-centered development, which can only happen if local governments are able to formulate and implement well thoughtout and consultative plans that recognize the political, economic, social and cultural uniqueness of ARMM. This manual is also in support of the Rationalized Planning System, being pursued by the Department of the Interior and Local Government (DILG), which aims among others to a) reduce the number of plans that LGUs must prepare, b) reconﬁgure the planning process to make it more participatory and consultative, c) underscore the importance of the legislative body as partners of the executive branch in planning for their jurisdictions and d) promote the development of a medium term CDP and its term-based action plan - the LGU’s 3 year ELA. As well, this manual reinforces and advocates the need for vertical and horizontal integration of local development planning including the interface between LGUs and regional government agencies and complementation between and among the different LGUs in planning and budgeting.

The CDP and the ELA have been shown to be powerful tools to guide local officials in ARMM to become better development managers to help communities in the region become self-reliant. This manual will assist them to sustain the changes they have begun to instill in their respective localities. It is our hope that this publication will help local officials, the Provincial Inter-agency Coach Teams (PICTs), local planners and other local government actors to engage in local development processes that will result in improved and responsive governance in ARMM.

Local Governance Support Program in ARMM (LGSPA)

Introduction SOME IMPLICATIONS OF ARMM AUTONOMY The 1987 Constitution explicitly bestows the granting of genuine autonomy to Muslim Mindanao. Among the powers promised the autonomous regions are the following: 1. 2. 3. 4. 5. 6. 7. 8. 9.

Administrative organization Creation of sources of revenues Ancestral domain and natural resources Personal, family, and property relations Regional urban and rural planning development Economic, social, and tourism development Educational policies Preservation and development of the cultural heritage and Such other matters as may be authorized by law for the promotion of the general welfare of the people of the region.

Prior to the Constitution of 1987, national policies were uniformly implemented in all regions of the country that did not allow for variances in approach. The Local Government Code of the Autonomous Region in Muslim Mindanao- Muslim Mindanao Autonomy Act No. 25 (MMA No. 25) allows ARMM jurisdictions ďŹ&#x201A;exibility and more power to accelerate their economic growth and upgrade the quality of life of the people of ARMM (Sec 5c MMA No. 25). This has opened up opportunities for local governments in ARMM to experiment on what works best for their areas. Likewise, the powers under the MMA No. 25 provide possibilities for the territorial and political subdivisions of the Autonomous Region in Muslim Mindanao (provinces, cities and municipalities) genuine and meaningful local autonomy to enable them to attain their fullest development as self reliant communities and make them more effective partners in the attainment of regional goals.

A strong argument that has been put forward in favor of local autonomy is its positive effects to the more efficient, effective and responsive delivery of services. It has been argued that government efforts are seen as too sluggish largely because decision-making is centralized in the national government (Tanggol, 1990). It has been surmised that autonomy would rid the wariness among the Muslims, increase their trust in the government and pave the way for the unhampered implementation of the development programs in the region (Ibid).

AUTONOMY, PLANNING AND RESPONSIVE SERVICE DELIVERY With all the arguments for autonomy, it is surmised that it is good. However, real autonomy does not necessarily lead to development. Real development for the people of ARMM can only happen if local governments improve their allocative efficiency (deﬁned as spending on the right things) through the formulation and implementation of well thought out plans that recognize the political, economic, social and cultural factors unique to ARMM. There is wide acceptance that local government units (LGUs) in ARMM need to formulate plans that ﬁt the region’s conditions without losing sight of the experiences and lessons learned of other local governments outside ARMM. 8

The Phase II of the Local Government Support Program’s (LGSP II) efforts to improve the allocative efficiency of ARMM LGUs started as early as 2002 when it assisted 23 LGUs in the ARMM develop their Executive Agenda. However, while the Executive Agenda assistance was successful and groundbreaking, the tool itself proved to be inadequate in managing an LGU since it did not engage the legislative branch as partners in the process. In 2004, 110 ARMM LGUs were assisted in coming up with their ExecutiveLegislative Agenda, which equally engaged both branches of government. In 2007, the Local Governance Support Program in ARMM (LGSPA) introduced the CDP-ELA to 118 LGUs to help local governments manage their respective jurisdictions in the medium and short term. While the ELA proved to be effective in guiding how LGUs spent their budgets during their term of office, it was not sufficient in ensuring continuity of funding for programs and projects that go beyond the term of office of elected local officials. Thus the need for the introduction of the CDP as the medium term plan of the LGU. The introduction of the CDP is in line with national government’s effort to improve the link between planning and budgeting being promoted by Department of the Interior and Local Government (DILG), National Economic and Development Authority (NEDA), the Department of Budget and Management (DBM) and the Department of Finance (DoF). The Comprehensive Development Plan (CDP) and its three year component, the Executive – Legislative Agenda (ELA) have been shown to be powerful tools for promoting ﬁscal responsibility in the region. Through the ELA, LGUs are able to link their spend-

ing decisions to the real needs and priorities of their respective jurisdictions. These plans can provide direction as well as the impetus for local officials to become effective managers of their resources in the service of their communities.

RATIONALIZED PLANNING SYSTEM Local planning in the Philippines has been characterized as irrational and chaotic, with LGUs developing as many as 27 plans. It is widely acknowledged that although LGUs develop plans, many of these plans are not implemented. Experts admit that many local plans are mainly done for compliance purposes and not really for guiding development in their respective jurisdictions. This is partly due to the fact that planning has been a highly technical undertaking with little or no participation from stakeholders. Moreover, plans between different levels of government suffer from isolation and weak integration that is inherent in the overall national planning process. The Rationalized Planning System (RPS), presently being pursued by the Department of the Interior and Local Government (DILG), is intended to put order to the disjointed state of local planning and rationalize local planning structures and processes in the country (RPS 2005). Among the recommendations being put forward in the RPS include the following points: 1.

reducing the number of plans that LGUs must prepare to the two comprehensive plans --- the Comprehensive Land Use Plan and the (CLUP) Comprehensive Development Plan (CDP) that are mandated in the Local Government Code. This has implication for national government agencies (NGAs) promoting the formulation of certain sectoral or thematic-based plans since in the RPS, it is recommended that these requirements be integrated into the CLUP or CDP, as the case may be; reconďŹ guring the planning process from its traditional technocratic form into one that accommodates the imperatives of multi-stakeholder participation and consultation. This entails simplifying the planning process so that even those who are not technically trained can participate meaningfully in determining public policies and actions that affect their lives; emphasizing the importance of strengthening the Local Development Councils (LDC) as the mandated structure to formulate development plans in the LGU. This would mean the organization of sectoral or functional committees to assist the LDC in the performance of its functions (e.g. SWM boards, GAD focal points, Local Housing Boards, Tourism Boards, among others); underscoring the importance of the legislative body as partners of the executive branch in advancing the general welfare of its constituents, thus both have important roles to play in planning for their jurisdictions promoting the development of a medium term CDP (6 years) to align with the MTPDP and MTPIP, and a term-based action plan of the CDP (3 years) which becomes the LGUâ&#x20AC;&#x2122;s Executive-Legislative Agenda (ELA).

To further facilitate the interface between LGUs and national government agencies and the complementation between and among the different levels of LGUs in planning and budgeting, the four oversight agencies namely the DILG, NEDA, DBM and DoF issued Joint Memorandum Circular 1, s 2007 (JMC 1 , s 2007) that provided guidelines on the harmonization of local planning and budgeting. The JMC is further discussed in Section 2.2.

THE MAJOR LGU PLANS AND IMPLEMENTING MECHANISMS Local governments are mandated to prepare two major plans --- the CLUP and the CDP. These plans, although distinct from each other, follow an integrated and iterative process of development. At the outset, it is important that LGUs be able to discern the relationship of the various plans and planning requirements and see how each one builds on the other. Ideally, the CLUP, which provides the long term guide to the management of the locality, is developed prior to the CDP which presents the sectoral directions for the LGU. However, the absence of a CLUP should not stop the LGU from developing a CDP. The CDP then becomes the starting point in the development of the ELA. Approved local development plans are, in turn, made operational through the local budgets (Sec. 305 (i), LGC).

The CDP and ELA are powerful tools that LGUs can use to manage and utilize resources efficiently (allocative efficiency). The ELA based LDIP and AIP are valuable instruments for ensuring that desired results or goals of the local governments are achieved. Allocative efficiency requires that LGUs establish and prioritise PPAs towards desired results. Prioritisation of programs and projects in the ELA is a good move towards better linkage of plan and budget. The LDIP is a major instrument for translating LGU priorities into action (i.e. the LDIP is supposed to contain LGU priority PPAs). It is a tool to help LGUs improve decisions on resource allocation. The mandated plans and their implementing mechanisms are discussed in more detail below:

Comprehensive Land Use Plan The CLUP has the following salient features: ƌɄ ƌɄ

ƌɄ

Long-term (10-15 years) management of local territory “Comprehensive” because it encompasses the entire territorial jurisdiction of the LGU such as determining the available supply of land resources, land requirements of the various sectoral plans of the CDP as well as the most appropriate uses of land and water resources within the entire LGU Provides the skeletal framework which deﬁnes the desired physical pattern of growth of the locality and identiﬁes areas where development can and cannot be located and directs public and private investments accordingly Has four policy areas – production, settlements, protection and infrastructure

ƌɄ ƌɄ

Is the local equivalent or counterpart of the physical framework plan at the national, regional and provincial levels Is legally enforceable through the zoning ordinance.

Comprehensive Development Plan The CDP has the following salient features: ƌɄ ƌɄ

ƌɄ

Medium-term (six years) to coincide with the Medium Term Philippine Development Plan (MTPDP) and the Medium Term Philippine Investment Program (MTPIP). Comprehensive refers to its multi-sectoral coverage. The CDP includes ﬁve development sectors prescribed by the DILG guidelines namely: social, economic, physical/ infrastructure, environmental and institutional. Particular to ARMM, another sector on culture is added to highlight its importance in the region. Provides a convergence mechanism to integrate all existing topical and thematic plans required by NGAs such as disaster management plan, Local Poverty Reduction Action Plan (LPRAP), Integrated Area Community Public Safety Plan (IACPSP) and the Local Council for the Protection of Children (LCPC 4 gifts for children).

7KH ([HFXWLYH /HJLVODWLYH $JHQGD The ELA is the plan that contains the three-year priorities of the executive and legislative departments of the LGU. The medium term CDP serves as a take off point in the development of the ELA with the ELA as the term based action plan of the CDP. The ELA contains the prioritized programs, projects and proposed legislations from the CDP based on an agreed set of criteria by the LGU. Being an agenda of elective officials, the ELA may also contain other thrusts and priorities of the executive and legislative departments which may not have been identiﬁed in the medium term CDP to address pressing concerns and new developments in the locality.

/RFDO 'HYHORSPHQW ,QYHVWPHQW 3URJUDP DQG $QQXDO ,QYHVWPHQW 3URJUDP The Local Development Investment Program (LDIP) is the principal instrument for implementing the CDP and to some extent, certain aspects of the CLUP. The LDIP links the plan to the budget, thus putting into effect the directive of the Code that “local budgets shall operationalize approved local development plans (sec. 305, RA 7160). The LDIP assumes a timeframe of 3 years consistent with the ELA. On the other hand, the annual investment program (AIP), taking off from the LDIP, is a prerequisite of the annual budget process. It contains a list of prioritized programs and projects proposed for inclusion in the annual local budget. The table below describes the hierarchy and relationship of plans that LGUs are expected to prepare in the context of the LGC and based on the guidelines issued by the DILG.

Table 0.1: Hierarchy and Relationship of LGU Plans Plans

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0DLQ &RQWHQWV

7LPH IUDPH

/HJDO %DVLV

CLUP

Policy guide for the regula tion of land uses embracing the LGUâ&#x20AC;&#x2122;s entire territorial jurisdiction

Policies on settlements, protected areas, production areas, and infrastructure

\HDUV

6HF RI /*&

CDP

0XOWL VHFWRUDO SODQ WR SUR mote the general welfare of the LGU.

Sectoral goals, objectives, strategies, programs, projects and legislative measures

6 years

Sec 476b (1) DQG RI /*&

ELA

7HUP EDVHG FRPSRQHQW RI WKH &'3

Priority sectoral goals, objec tives, strategies, programs and projects, legislative measures

3 years

6HF DQG

LDIP

Principal instrument for LPSOHPHQWLQJ WKH &'3 DQG ELA and to some extent, cer WDLQ DVSHFWV RI WKH &/83

Prioritized PPAs and program IRU SODQQHG ÂżQDQFLQJ

3 years

6HF

AIP

2QH \HDU VOLFH RI WKH /',3

Prioritized PPAs proposed for inclusion in the annual local budget.

1 year

6HF

About the Manual A

Manual on the Local Planning Process: Formulating the CDP and ELA in ARMM provides a useful guide to help LGUs in the Muslim region be in a better position to identify people’s needs, encourage people’s participation and ensure that appropriate programs and projects are prioritized for their constituents. The manual veers away from being prescriptive and encourages innovation on the part of ARMM LGUs on what works on the ground in the formulation and implementation of medium term (CDP) and term based (ELA) plans. This manual supports the DILG’s continuing effort to enhance and rationalize planning at the local level as well as strengthen the planning capacities of LGUs. It is an offshoot of an earlier manual on How to Formulate an Executive-Legislative Agenda (ELA) for Local Governance and Development, a project of the Department of the Interior and Local Government (DILG) and the Canadian International Development Agency funded program, Philippines-Canada Local Government Support Program -Phase II (CIDA-LGSP II). The earlier manual has been modiﬁed and updated to support the Rationalized Planning System (RPS) Project currently being undertaken by the DILG. The manual elucidates the relationship of CDP as the medium term plan of the LGU and the ELA as the term based plan of local elective officials. While the CDP and the ELA are two distinct documents, they are both the products of an integrated planning process. This integrated process is discussed in detail in the manual. This manual draws heavily on the positive experiences of local governments within ARMM who have successfully formulated and implemented their CDP and ELA. Further, it reﬂects the experiences of other LGUs in the country over the course of many years, and has been constantly updated and expanded to show best practice. This revised edition- has been exten-

sively rewritten in consideration of distinctive characteristics of the ARMM, including the use of formal and informal organizations in local planning. The manual has been prepared to assist ARMM LGUs to develop plans that are attuned to the distinctive historical and cultural heritage, and economic and social structures of the region. The manual is a simple step-by-step guide to formulating the six year CDP and the ELA as its three year counterpart. It includes tools, templates and practical tips in planning and provides cross-referencing with other related manuals for more advanced and detailed tools and techniques (detailed tools and techniques such as the NEDA Guidebook on Provincial and Local Planning and Expenditure Management Volume 4). In addition, the manual features guidelines and tools on how local plans can be made more poverty focused, conﬂict sensitive and peace promoting. These concerns are particularly relevant to ARMM LGUs. It also links existing LGU databases such as the Local Governance Performance Management System (LGPMS) and the Community-Based Monitoring System (CBMS) with the planning process and illustrates how these can be useful at each planning stage.

The manual is designed for LGUs, more speciﬁcally the Local Planning and Development Office, as technical secretariat of the Local Development Councils (LDCs), the main planning bodies of the LGUs at various levels. It is also intended for use by the Provincial Inter-Agency Coach Teams (PICT) that can act as functional committees to provide technical support and assistance to city and municipal local governments in developing their CDP and ELA. It could also be a valuable reference for developing orientation sessions for the LDCs including their sectoral committees, as well as the local sanggunian members, who have the mandate to approve local development plans and budgets. The manual is structured to reﬂect the sequential steps in the CDP and ELA formulation process covering getting started, formulating the plan, gearing up for plan implementation, advocating the plan, and monitoring and evaluation.

7KH IRUPDWLRQ RI 3,&7V LQ $500 KDYH EHHQ DQ LQQRYDWLYH ZD\ RI FDSLWDOL]LQJ RQ WKH WHFKQLFDO H[SHUWLVH RI WKH GLIIHUHQW OLQH agencies operating within the province.

Getting Started T

he recommended process of developing the CDP and the ELA diverts from a traditional expert-driven to a multi-stakeholder participatory approach. This requires preparations at the onset for meaningful participation to happen.

Developing the CDP and the ELA is a challenging task and this can not be done without the support of elective officials. The following steps are necessary to help ensure a more collaborative effort between the executive and legislative departments in the LGU as well as provide impetus for the active participation of different stakeholders in the LGU. In ARMM, both formal and informal groups and structures that recognize cultural and political diversities within the LGU and acknowledged by communities need to be included from the start to come up with a realistic plan that is implementable as well as build commitment and support. Care has to be taken to include inﬂuential groups such as Muslim religious scholars and leaders (ulama), elders, traditional leaders (datu), and Islamic jurists (mufti).

1.1 ORIENTING THE LOCAL CHIEF EXECUTIVE AND THE SANGGUNIANG BAYAN/PANLUNGSOD Regardless of whether the local government unit (LGU) is preparing its Comprehensive Development Plan (CDP) or the Executive and Legislative Agenda (ELA) for the ﬁrst time or embarking on a revision/updating of its CDP or ELA, an orientation of the Local Chief Executive (LCE) and Sangguniang Bayan/Panlungsod (SB/P) should be the ﬁrst order of the day.

Who will conduct the Orientation? The orientation activity may be conducted by the Local Planning and Development Coordinator (LPDC) and the Local Government Operations Officer (LGOO). Given the extensive experience of PICT members in assisting LGUs in developing their CDP and ELA in ARMM, it is recommend that they be brought in to provide support in orienting the LCE and the SP/SB.

What will the Orientation cover? The orientation will involve a discussion on the following:

Box 1.1 Additional Topics for ARMM )RU FRQĂ&#x20AC;LFW SURQH /*8V WKH RULHQ tation topics need to be expanded WR LQFOXGH VHVVLRQV RQ FRQĂ&#x20AC;LFW VHQVL tive and peace promoting planning particularly: Â&#x2021; 3HDFH YLROHQW FRQĂ&#x20AC;LFW VWUXF tural violence and its many faces at the local level, and Â&#x2021; +XPDQ VHFXULW\ DQG LWV UHTXLUH ments. (DUO\ RQ WKH /&( DQG WKH 6% 63 need to appreciate and understand key concepts in human security DQG FRQĂ&#x20AC;LFW VHQVLWLYLW\ DQG LWV DS plications in local governance and planning.

a. Overview of the Local Planning Process and the types of plans that LGUs are mandated to prepare b. The CDP and ELA as management tools c. The CDP and ELA formulation process within the context of the local budget cycle d. Preparedness Check to assist the Local Chief Executive (LCE) and the Sangunian Bayan/Panglungsod (SB/P) assess the LGUâ&#x20AC;&#x2122;s capacity in preparing the CDP and the ELA in terms of the availability of the following: Ć&#x152;É&#x201E; manpower with appropriate skills Ć&#x152;É&#x201E; ďŹ nancial resources Ć&#x152;É&#x201E; time to be devoted to the exercise and Ć&#x152;É&#x201E; data and other reference documents Additional topics, such as development perspectives to set the context for planning, may be included. For conďŹ&#x201A;ict-prone LGUs, it would be useful to have a session on conďŹ&#x201A;ict sensitive and peace promoting planning as this is a critical factor to any development effort in the area.

+RZ ORQJ ZLOO WKH 2ULHQWDWLRQ WDNH" A maximum of three hours should be enough to cover the salient points that the LCE and the SB/P should know about the CDP and ELA formulation process. Integration of special topics, such as conďŹ&#x201A;ict sensitivity and peace promotion for ARMM, may entail an additional two to four hours of orientation.

:KHQ VKRXOG WKH 2ULHQWDWLRQ WDNH SODFH" Ideally, the CDP and ELA preparation should be anchored on the local budget cycle so that the programs, projects and activities (PPAs) that are listed in the plan can be included in the Local Development Investment Plan (LDIP), the Annual Investment Program (AIP) and in the Budget or Appropriations Ordinance (AO). This is also consistent with the updated Local Budget Operations Manual recently issued by the DBM that emphasizes the link of budget to plan. The ELA rides on the term of the LCE. Therefore, the orientation for the CDP and ELA preparation should take place immediately after the LCE is sworn into office, preferably before the convening of the LDC (not later than the ďŹ rst week of July of election year) or not later than the third quarter of the year of his/her election. This is because planning should be harmonized with the Local Budget Cycle, so that the budgetary requirements for the implementation of the plan can be incorporated into the AIP and the Appropriations Ordinance (AO).

:KHUH VKRXOG WKH 2ULHQWDWLRQ WDNH SODFH" There are no hard and fast rules as to where the orientation should take place. The venue may be in the office of the LCE or in the session hall of the SB, or any other place convenient and agreed upon by the LCE and the SB.

1.2 ORGANIZING AND MOBILIZING THE PLANNING TEAM The Local Development Council (LDC) is the body that is given the task of preparing the multi-sectoral development plans. It is considered the â&#x20AC;&#x153;mother of all planning bodies.â&#x20AC;? It is therefore critical to ensure that the LDC as well as the functional and sectoral committees as providers of technical support and assistance are constituted and activated. Sectoral committee members are drawn from various sectors of the community â&#x20AC;&#x201C; the academe, religious, business, government, non-government organizations, peopleâ&#x20AC;&#x2122;s organizations and other civil society organizations. In conďŹ&#x201A;ict-sensitive and peace-promoting planning, traditional security sectors (AFP, PNP) that are present in the locality should be represented. To the extent possible, both formal and informal structures that recognize cultural and political diversities within the LGU and utilized by communities need to be included to build commitment

Box 1.2 PICT as Functional Committee of the LDC in ARMM ,Q $500 3URYLQFLDO ,QWHU $JHQF\ &RDFK 7HDPV 3,&7 ZHUH RUJD nized as functional committees to provide technical support and assistance to city and municipal governments in developing their &'3 DQG (/$ &UHDWHG WKURXJK Executive Orders issued by the gov HUQRUV WKH 3,&7V ZHUH FRPSRVHG of technical staff of the different line agencies operating within the prov LQFH (TXLSSHG ZLWK FRDFKLQJ VNLOOV WKH 3,&7 PHPEHUV DXJPHQWHG WKH capacity of the Provincial Planning DQG 'HYHORSPHQW 2IÂżFH 33'2 LQ facilitating planning activities with component LGUs. Each LGU was assigned a trained coach to provide handholding assistance in the formulation of WKHLU SODQV 3,&7V FRQYHQHG UHJXODU meetings to provide feedback and XSGDWHV RQ WKH SURJUHVV RI WKH &'3 and ELA

and support for the plan. Functional committees should likewise be multi-sectoral. However, the life of functional committees depends on the need for its continued existence. In preparing the CDP or ELA, a planning team may be drawn from the sectoral committees and organized as a functional committee for the duration of the CDP or ELA formulation. Said functional committee should be deâ&#x20AC;&#x201C;mobilized or de-commissioned once the CDP or ELA has been completed, endorsed by the LDC and approved by the SB/P. It may, however, be re-created as a support machinery of the LDC for advocating ELA, or of the LPDO for monitoring and evaluating ELA implementation.

What is the minimum composition of the SODQQLQJ WHDP"

While the LCE is in the best position to determine the size and composition of the planning team, it is highly recommended that this activity be done together with the vice mayor to build trust and establish close rapport early on in the process. The following is the suggested minimum composition:

Box 1.3 0XOWL VWDNHKROGHU 3DUWLFLSDWLRQ LQ CDP and ELA Formulation: 7KH %XOGRQ 0DJXLQGDQDR Experience â&#x20AC;&#x153;Working hand in hand and with the support of all stakeholders, I believe that we can effectively implement the programs and projects enunciated in WKLV &'3 (/$ Âľ was the message of Mayor Fatima Tomawis to her constituents. 7KH IRUPXODWLRQ RI WKH &'3 DQG (/$ RI %XOGRQ 0DJXLQGDQDR LQYROYHG WKH participation of various stakeholders of the municipality in the various stages of its development. Meetings and dialogues were under taken to come up with the various HOHPHQWV RI WKH SODQV 5HSUHVHQWD tives of civil society groups that participated included the Ulama &RXQFLO ZRPHQ DQG UHOLJLRXV groups.

a. b. c. d. e. f.

Mayor as the chairperson and the vice â&#x20AC;&#x201C;mayor as co - chairperson LPDC as the operations officer and secretariat head Department heads representing the six development sectors and/or agency heads SB committee chairs of major sectors Representatives of the majority and minority blocs of the SB Representatives of civil society (inďŹ&#x201A;uential Muslim religious scholars and leaders (ulama), elders, traditional leaders (datu), Islamic jurists (mufti), inďŹ&#x201A;uential business groups such as the Autonomous Basilan Islamic Chamber of Commerce and Industry (ABICCI) in Lamitan City) g. DILG LGOO as facilitator/coach.

:KDW DUH WKH IDFWRUV WR FRQVLGHU LQ VHOHFWLQJ SODQQLQJ WHDP PHPEHUV" The following criteria should be considered in the selection of the planning team members: a. Membership in formal and legally recognized LGU structures for planning such as the: Ć&#x152;É&#x201E; LDC, which is the main body responsible for local development planning, including its functional committees Ć&#x152;É&#x201E; SB/P, which has the mandate to approve local development plans and budgets, including the sectoral committees

ƌɄ key departments/ units within the LGU involved in program/project implementation ƌɄ Local Government Operations Officer (LGOO) for technical assistance ƌɄ LPDO for secretariat support and overall coordination of all related planning efforts of the LGU. b. Equitable representation from various stakeholder groups external to the LGU, and other civil society organizations c. Gender balance – This will not only promote and ensure the understanding of issues affecting women, men and other subgroups in the locality but also manifest the LGU’s adherence to and support for Gender and Development (GAD) mainstreaming efforts in the bureaucracy d. Capacity to absorb the plan formulation workload – Plan preparation can be tedious and pressure laden. Consideration for the existing assignments of the prospective member should be made to avoid conflict in workload and schedules particularly in the light of the ELA timeframe. This set of criteria can be looked upon as basic considerations for planning team selection. LGUs can, of course, add or substitute other criteria as they deem fit given their respective situations and priorities. A useful tool in selecting planning team members is the Sphere of Influence and Potential Contribution Analysis (see Table 1.1). Putting scores and weights for eventual ranking will certainly help but is not necessary. What is essential is that the analysis can serve as an input to the Preparedness Check.

:KDW DUH WKH TXDOLWLHV DQG TXDOL¿FDWLRQV RI WKH SODQQLQJ WHDP PHPEHUV" To be able to effectively respond to the challenges and demands of the CDP formulation process, the members of the team should possess: a. knowledge of: ƌɄ the planning process ƌɄ development and governance concepts and principles b. skills in: ƌɄ planning ƌɄ problem analysis ƌɄ technical writing, and ƌɄ communications and networking c. knowledge, understanding of and sensitivity to critical development themes such as poverty, environment, gender and peace which LGUs are mandated to incorporate in their local plans d. talent and proﬁciency in consultation processes e. willingness to work with others

Table 1.1 Sphere of InďŹ&#x201A;uence and Potential Contribution Table 3URVSHFWLYH 3ODQQLQJ 7HDP 0HPEHUV

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03'&

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Access to LGU databases, plans, and reports

Ulama

7DZL 7DZL

Knowledge of Koran teachings; assist the LGU efforts in com municating and disseminating LQIRUPDWLRQ RQ WKH &'3 DQG ELA

Key heads of various /*8 RIÂżFHV

9DULRXV VHFWRUDO DQG PXOWL sectoral committees set up to LPSOHPHQW QDWLRQDO UHJLRQDO programs in the locality

6HFWRU EDVHG GDWDKROGLQJV tools for analyzing and planning for their respective sectors

6SKHUH RI ,QĂ&#x20AC;XHQFH LQGLFDWHV WKH LQGLYLGXDOV JURXSV RU VHFWRUV ZKLFK D SURVSHFWLYH SODQQLQJ WHDP PHPEHU FDQ LQĂ&#x20AC;XHQFH RU FDWDO\]H WRZDUGV D SURGXFWLYH RU HYHQ DQ DIÂżUPDWLYH UHVSRQVH to an issue or an undertaking. 3RWHQWLDO &RQWULEXWLRQV â&#x20AC;&#x201C; the expertise or resources which prospective members can share towards the completion, approval and adoption of the Plan.

:KR ZLOO VHW GLUHFWLRQV IRU WKH SODQQLQJ WHDP" The LDC shall set the course for the planning team. The LCE as chair of the LDC necessarily takes the lead and guide the plan formulation effort. He/she may however, designate a focal person, like the LPDC, to act like an operations or executive officer who can take charge of the teamâ&#x20AC;&#x2122;s day-to-day operations until the plan is completed and approved by the SB/P. The SB/P, on its part may also designate a counterpart from among its own members or from its sectoral committees.

How will the planning team be organized? The planning team can be organized according to the structure as shown in Figure 1.1 below:

:KDW LV WKH UROH DQG IXQFWLRQ RI WKH &KDLU &R &KDLU" a. Review the Work Plan and Budget and recommend its approval b. Designate the members of the planning team and deďŹ ne their functions and assignments/tasks c. Monitor and oversee the conduct of team activities d. Clarify directions set by the Chair e. Resolve issues elevated by team f. Present, with the LCE, the Draft CDP or ELA to the SB/P and to other stakeholders g. Ensure adherence to the work plan h. Motivate the team

Figure 1.1 Structure of the Planning Team &KDLU &R &KDLU

Secretariat

Sectoral &RPPLWWHH

What is the role and function of the Secretariat? a. Prepare the materials in connection with the presentation of the Work Plan and Budget to the LCE and the SB/P; b. Monitor the implementation of the approved work plan and budget; c. Provide the LCE/LDC Chairperson the recommendations necessary for the effective management of the Planning Team and its activities; d. Elevate to the Chair/Vice Chair any unresolved problems and issues encountered by the Planning Team e. Ensure the proper documentation and management of the Planning Team’s activities, working papers and outputs

:KDW DUH WKH UROHV DQG IXQFWLRQV RI WKH SODQQLQJ WHDP" a. Prepare the CDP and ELA Work Plan and Budget b. Gather and review available plans and other secondary data sources required in the development of the CDP and ELA c. Plan, coordinate and facilitate the conduct of various multi-stakeholder consultation/ validation workshops d. Assist the LCE in public hearings and other consultation sessions with the various LGU stakeholders and affected sectors like the LGU offices, LDC, Sanggunian and other sectoral organizations e. Assist the LCE and the LDC in drafting and ﬁnalizing the ELA to include the 3-Year LDIP, the current year Executive Budget and the AIP f. Draft, package and ﬁnalize the CDP and ELA g. Prepare presentation materials for various audiences of the CDP and ELA h. Assist the LCE in his/her presentation of the Plan to various stakeholders i. Assist in organizing other planning sub-teams that may be required to carry out other planning activities such as communicating/popularizing the Plan, mobilizing resources, monitoring and evaluation

j. Develop the Performance Management System for plan implementation k. Perform such other functions as may be required by the Local Chief Executive towards the completion, adoption, popularizing, implementing and monitoring the ELA

What is the Role of the SB/P in the plan formulation process? The CDP and ELA embody the policies of the LGU. The Sanggunian, as the highest policy-making body in the LGU, needs to be involved more substantially in the planning process. Their involvement in the CDP or ELA will also result in the following beneﬁts: a. Firmer grasp of local development thrusts and priorities b. Better understanding of their role in steering the LGU into realizing its vision through appropriate legislative actions c. Harmonization of executive and legislative actions towards a uniﬁed set of goals and objectives for the LGU d. Shared responsibility and accountability for the CDP or ELA The SB needs to perform the following roles:

a. b. c. d.

Issue a Sanggunian resolution supporting the planning process; Review and approve the CDP and the ELA Review, prioritize and approve budget allocation for plan-based PPAs Identify and enact legislative measures to support and facilitate the implementation of the plan.

:KDW LV WKH UROH RI FLYLO VRFLHW\ RUJDQL]DWLRQV &62V " The CSOs in ARMM, both organized and informal groups such as the datus and ulama are very inﬂuencial and have very strong potentials for supplementing or augmenting LGU efforts in plan preparation process. They can: a. bridge information gaps during plan preparation b. serve as monitors for CDP or ELA implementation and provide LGU decision–makers unﬁltered information c. assist the LGU efforts in communicating and disseminating information on the CDP or ELA d. rally support for CDP or ELA implementation especially on programs which are heavily dependent on citizen participation and cooperation e. augment the various resources and expertise required in CDP or ELA preparation and implementation f. link the CDP or ELA implementation with various resource organizations.

1.3 TRAINING THE PLANNING TEAM Whether the planning team members have had previous experience or not, training should be undertaken prior to the start of plan preparation.

:K\ LV WKHUH D QHHG IRU WUDLQLQJ" a. For an LGU that will be doing a CDP or ELA for the ďŹ rst time, the training will enable the members to: Ć&#x152;É&#x201E; have an appreciation and clearer understanding of the simpliďŹ ed sectoral and ELA planning process, as well as the requirements for and implications of the plan preparation exercise Ć&#x152;É&#x201E; learn from some of the experiences in the past plan formulation exercises, so that they can adopt the good practices and avoid the pitfalls that others experienced Ć&#x152;É&#x201E; appreciate new development paradigms and frameworks that will provide the proper perspective in planning. This will include among others the following: sustainable development, conďŹ&#x201A;ict sensitive and peace promoting planning, poverty, gender and development b. For an LGU that had previously undertaken the CDP or ELA, the training is an opportunity for both old and new members to be introduced to the simpliďŹ ed sectoral plan and ELA preparation process as well as to gain updates on planning concepts and tools and new/emerging development issues and trends. There are two possible approaches in training the Planning Team, the choice of which will depend on whether the team has undergone a previous CDP or ELA formulation exercise or not. The session ďŹ&#x201A;ow for the training incorporating said approaches are contained in Figure 1.2. The indicative content of the Training and Planning Workshop for the Planning Team is attached as Annex 1.1.

Box 1.4 %HQHÂżWV RI 7UDLQLQJ (OHFWLYH 2IÂżFLDOV 7KH &DVH RI 8SL 0DJXLQGDQDR ,Q $XJXVW D PRQWK DIWHU newly elected local chief executives KDYH EHHQ VZRUQ LQWR RIÂżFH D WUDLQ LQJ SURJUDP RQ /RFDO &KLHI ([HFX WLYH 'HYHORSPHQW 0DQDJHPHQW 3URJUDP /'03 ZDV SURYLGHG E\ the LGSP for selected regions of the FRXQWU\ LQFOXGLQJ WKH $500 7KH program was essentially on new development paradigms, strategic thinking, planning, and target set WLQJ ,W LV LQ WKLV WUDLQLQJ The training proved very valuable for the newly elected mayor of 8SL 0DJXLQGDQDR 0D\RU 5DPRQ A. Piang, Sr. Looking back at the experience, he said â&#x20AC;&#x153;â&#x20AC;Śthe training provided me with tools that are necessary to manage my municipal ity effectively.â&#x20AC;? Going through the planning workshop from situation analysis, goal formulation, strategy LGHQWLÂżFDWLRQ WR WKH LGHQWLÂżFDWLRQ RI programs and projects proved to be effective in building the capacities of HOHFWLYH RIÂżFLDOV Three years on, the mayor was given several awards for effective management of his municipality, including the Local Government Leadership Award. Taking off from the gains of the /'03 /*63$ DOVR FRQGXFWHG /HDG HUVKLS 'HYHORSPHQW DQG 0DQDJH PHQW FRXUVHV IRU /&(V DQG /HJLVOD tors in the light of ELA formulation and implementation.

1.4 CONDUCTING PRELIMINARY WORK The planning team needs to undertake preliminary work prior to the start of plan formulation, to make the process run smoothly and efficiently. The teamâ&#x20AC;&#x2122;s action will be shaped by two major scenarios:

ƌɄ If the LGU does not have a a six-year CDP, the logical starting point for the team is to develop one. Once the CDP is developed, then the team can proceed with the preparation of the ELA. ƌɄ If the LGU has an existing CDP, the team needs to evaluate implementation (see Chapter 5 Monitoring and Evaluation) and update the plan before the team can proceed with ELA preparation.

Figure 1.2: Session Flow of the Training and Planning Workshop Leveling of Expectations

Team has previous &'3 (/$

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Organizing the Planning Team

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Work Planning

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Once the group has considered this critical aspect, they can proceed to the next stage of work planning. Depending on the LGU scenario, activities to be undertaken by the team will differ.

:RUN 3ODQQLQJ Developing a work plan as a team is crucial to meeting the deadlines for plan formulation. Planning is a tedious and time-consuming process and the group can be easily bogged down by other LGU concerns and tasks on hand, thus the necessity for a work plan. The work plan basically helps the group manage their time and resources properly. Early on they have to agree on the different activities that will be undertaken, timetable, responsibilities and resources needed. Once it is ﬁnalized, this should be presented to the LCE and the Vice-LCE for approval. Support from the LCE and the Vice-LCE is crucial so that planned activities are given due importance. A Work plan template is found in Annex 1.3.

Box 1.5 )RUPXODWLQJ WKH &'3 DQG (/$ ,W LV KLJKO\ EHQH¿FLDO IRU WKH /*8 WKDW D VL[ \HDU &'3 EH SUHSDUHG WR FRLQFLGH ZLWK WKH PHGLXP WHUP development plan of the national government and to ensure the continuity of programs and projects having timeframes longer WKDQ WKH WHUP RI RI¿FH RI ORFDO HOHFWLYH RI¿FLDOV 7KH PHGLXP WHUP &'3 WKHQ becomes the starting point for the GHYHORSPHQW RI WKH WHUP EDVHG ELA.

The timetable should be properly synchronized with the budget cycle in order for priority programs and projects to be integrated in the budget. 25

Formulating the Plan P

lans at the local level should be developed in an integrated manner so that they work towards the attainment of desired results. Ideally, the Comprehensive Land Use Plan (CLUP), which provides a long term guide to the management of the locality, is developed prior to the preparation of the CDP which presents the sectoral directions for the LGU. The CDP then becomes the starting point in the development of the ELA. Planning at the local level is a results-oriented process, which starts with the different stakeholders coming together to take part in the formulation of a vision for their LGU. The vision becomes the driving force that guides the formulation of the various local plans, from the CLUP to the CDP and the ELA. Chapter 2 of the manual discusses in detail the process of developing the CDP and the ELA.

2.1 THE CDP AND ELA The Comprehensive Development Plan (CDP) is one of two plans that LGUs are mandated to prepare to promote the general welfare of its constituents. It is a multi-sectoral plan that embraces six development sectors namely: social, culture and peace2, economic, physical, environmental and institutional. The six development sectors and their sub sectors are found in Table 2.1 below. The multi-sectoral character of the plan allows easy integration of all existing topical and thematic plans required by National $ VHFWRU RQ &XOWXUH DQG 3HDFH KDV EHHQ DGGHG WR WKH WUDGLWLRQDO 多YH GHYHORSPHQW VHFWRUV UHFRPPHQGHG E\ WKH ',/* LQ WKH 536 WR JLYH GXH UHFRJQLWLRQ WR WKH UROH RI WKH VHFWRU LQ $500

Government Agencies (NGAs) such as Disaster Management Plan, Local Poverty Reduction Action Plan (LPRAP), Integrated Area Community Public Safety Plan (IACPSP), Local Council for the Protection of Children (LCPC 4 gifts for children), among others. The Executive-Legislative Agenda (ELA) is the term-based component of the CDP. It contains the priorities of both the executive and legislative departments of the LGU during their term of office. Most of the priority programs, projects, and legislative measures in the ELA are already identiďŹ ed in the CDP. However, it does not limit the executive and the legislative officials from identifying new programs, projects and legislative requireTable 2.1: The Six Development Sectors of ARMM 6HFWRU

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ments that respond to new situations and take advantage of opportunities in its constantly changing environment. The recommended timeframe for the CDP is six years for two reasons, namely: (1) to coincide with the plan of the national government (i.e. Medium Term Philippine Development Plan) and (2) to ensure continuity of funding for programs and projects that go beyond the term of office of elected local officials. On the other hand, the ELAâ&#x20AC;&#x2122;s timeframe is necessarily three years to coincide with the term of office of elective officials.

2.2 LEGISLATION AND POLICY ISSUANCES ON CDP AND ELA Several important legislation and policy issuances support the development of the CDP and ELA. These are discussed below:

Local Government Code The LGC of 1991 mandates local governments to prepare two types of plans namely the comprehensive land use plans and the comprehensive multi-sectoral development plans. Under Section 106 of the Code, the Local Development Councils of the respective LGUs are tasked to initiate the formulation of said plans and approved by the sanggunian. Further, the Code mandates LCEs to: Ć&#x152;É&#x201E; â&#x20AC;&#x153;present the program of government and propose policies and projects for consideration of the sanggunian bayanâ&#x20AC;Śâ&#x20AC;?(Sec 444 1iii) Ć&#x152;É&#x201E; â&#x20AC;&#x153;Initiate and propose legislative measures to the sanggunianâ&#x20AC;Śâ&#x20AC;?(JMC 444 1iv) These provisions of the Code serve as legal basis for the development of the ExecutiveLegislative Agenda, which serves as the term-based plan of the LGU.

',/* 1('$ '%0 '2) -0& V The Joint Memorandum Circular (JMC 1-2007) jointly issued by four oversight agencies namely the DILG, NEDA, DBM and the DoF provided measures to strengthen the interface between LGUs and the national government agencies as well as the complementation between and among different levels of local governments from the provincial down to the barangay levels. Ito also provided guidelines to strengthen and synchronize planning and budgeting at the local level. Details of the JMC are further discussed in relevant sections of the manual.

2.3 THE CDP AND ELA FORMULATION PROCESS The formulation of the CDP and ELA is an iterative and integrated process that involves the performance of a series of steps. The sequence of steps identiﬁed in the process are all critical in coming up with plans that are results oriented, thus the need to treat all the steps with equal importance. Developing the CDP and ELA can be an overwhelming task and is not easy, but following the recommended process will help ensure that programs and projects identiﬁed have more chances at being funded and implemented. It is sensible for the team to be guided by the timetable in the work plan to ensure that all the steps are carried out with the same attention. Table 2.2 presents the holistic scene that LGUs may go through if they are to develop plans that are results oriented. It summarizes the necessary inputs needed in order to undertake the steps to produce the outputs (CDP and ELA). Inputs are the necessary data and information needed to undertake the steps. Steps are actions undertaken that make use of the inputs to produce the elements of the CDP and the ELA (Vision, Mission, Goals, etc). A template that can aid the planning team in developing and aligning the different elements of the plan is found in Annex 2.3.1. The CDP should be developed prior to the ELA for the following reasons: 30

ƌɄ to coincide with the medium-term development plan of the national government ƌɄ to ensure the continuity of programs and projects having timeframes longer than the term of office of local elective officials The process utilizes participatory and consultative approaches. While a planning team is formed by the LCE, mechanisms that facilitate collective planning and decision making among the different stakeholders need to be identified and harnessed. A simplified view of the CDP formulation process is shown in Figure 2.1. In developing the CDP and the ELA, proper timing is critical to maximize the likelihood of the plan being implemented. The recommended timetable for undertaking the different activities required for plan formulation as defined in DILG-NEDA-DBM-DOF JMC is: ƌɄ Updating of planning database (January-March of every year) ƌɄ Analysis of Planning Environment (April-May of every year) ƌɄ Formulation of Development Vision, Goals and Strategic Direction (First week of July 2007 and every 3-6 years thereafter) ƌɄ Identification and Prioritization of PPAs (July of every year) ƌɄ Identification of areas of complementation of PPAs (July of every year) ƌɄ Budget Preparation, Authorization and Review (July to December)

Table 2.2 The CDP and ELA Process ,13876 Vision element Element descriptors Success indicators

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2.4 INTEGRATING PLANS Developing the CDP is not an isolated and straightforward undertaking, but must consider other factors. In the Philippines, a complementary approach to planning that combines top-down and bottom-up methods is utilized. Higher level plans provide indicative guidelines for lower level plans in order to harmonize efforts towards common national goals. This means that the Comprehensive Development Plan of a municipality or component city must consider directions provided by provincial plans (e.g. Provincial

Development and Physical Framework Plan). Likewise, provincial plans must take into account regional plans (e.g. ARMM Regional Executive and Legislative Agenda, Halal Food Industry Masterplan). Similarly, lower level plans (barangay development plans) can also be aggregated at the municipal or city level to form the CDP. While this is ideal, this is difficult to do since this necessitates that all barangay plans are completed before integration is done at the municipal or city levels. Taking into account higher level plans can be very advantageous for the LGU since it can increase the likelihood of the projects being funded through other sources. Integrating lower level plans is further discussed in relevant sections of the manual.

2.5 UPDATING THE CDP AND ELA At the minimum updating the CDP and ELA should be done every three years as soon as the new set of LGU officials are sworn in and the LDC has been reconstituted. This is an appropriate time to re-examine the existing CDP and revisit the strategic directions (Vision, Mission, Goals, Objectives, Strategies) and take stock of what has been achieved by the previous administration. Evaluation reports (e.g. State of Local Governance Reports) prepared by the previous administration contain useful information that are beneďŹ cial in revising and updating the CDP and ELA. The information allows the planning team to identify the extent to which the objectives of the CDP and ELA have been achieved or whether the plan has effectively addressed the needs of the citizens.

Box 2.1 &DODQRJDV /DQDR GHO 6XUÂˇV Poverty Reduction Thrust: :RUNLQJ +DQG LQ +DQG ZLWK National Government Taking its cue from the poverty reduction thrust of the Philippine JRYHUQPHQW WKH &DODQRJDV /DQDR GHO 6XU &'3 DQG (/$ LGHQWLÂżHG DQG prioritized programs and projects that directly address the problem. The said plans have been for mulated in line with the Medium 7HUP 3KLOLSSLQH 'HYHORSPHQW 3ODQ 073'3 DV ZHOO DV LWÂˇV UHJLRQDO and provincial counterparts. ,Q &DODQRJDV /DQDR GHO 6XU of households live below the poverty line. Poverty is likewise compounded by the lack of access to basic social services like safe water supply and sanitary facilities. &RUROODU\ WKHUH LV KLJK LQFLGHQFH RI malnutrition among children. The plan recognizes that poverty reduction can only be achieved with the concerted efforts of the local and national government in partnership with all sectors of the community including foreign insti WXWLRQV 7KH &'3 DQG (/$ HQXQFL ate that to address the problem of poverty, development programs and projects should be initiated by the LGU in partnership with other development partners.

Basically, updating the CDP and ELA go through the same process as illustrated in Figure 2.1 above. Some useful questions and recommendations that can assist the team in updating the plans are enumerated: Ć&#x152;É&#x201E; What has been achieved by the previous administration? What are the signiďŹ cant changes in LGU situation? Ć&#x152;É&#x201E; What is the existing situation? Are there new issues/problems faced by the LGU? Integrate pressing issues into the new CDP. Ć&#x152;É&#x201E; Is the vision still relevant or is there a need to revise the statement?

ƌɄ Have any of the earlier goals and objectives been met? Are there new goals and objectives for the LGU? ƌɄ Have the strategies been effective in meeting the desired results? If not, is there a need to change strategies? ƌɄ What programs and projects identiﬁed in the previous CDP and ELA were not implemented? Why they were not implemented? ƌɄ What are the new priorities of the incumbent? It is prudent to incorporate programs and projects that have been part of the campaign platform of newly elected officials.

2.6 FORMULATING/REVISITING THE LGU VISION AND MISSION STATEMENTS What is a Vision?

The CDP process begins with the development of a vision statement. A vision is the driving force behind an organization. It is the stakeholders’ shared image of the LGUs future. As such, a vision serves as an inspiration and a guide to action. The vision keeps the LGU in its course despite changing demands of constituents and shifting political and economic forces.

Box 2.2 )RUPXODWLQJ WKH 9LVLRQ A vision should be as vivid as possible, so that it can serve as an inspiration as well as a challenge for all stakeholders.

It is a desired state or scenario of the LGU and its people. It describes what the LGU wants to become or where it wants to go. It answers the question: How do you see your LGU in the future?

:KDW LV D JRRG YLVLRQ IRU D ORFDO JRYHUQPHQW XQLW" A good vision statement of an LGU reﬂects its desired role or the best contribution it can make to the development of the nation. In short, the LGU vision should not deviate from, but rather, should be a local variation of the very aspiration of the national government that LGUs as political and territorial subdivisions attain their fullest development as selfreliant communities and become effective partners in the attainment of national goals (Sec. 2, a. RA 7160). A good vision statement should possess the following characteristics: a. Achievable. Though a vision is ambitious, it certainly must be achievable or well grounded on reality. b. Inspiring. It should encourage commitment and inspire enthusiasm. A good vision should be powerful and compelling. The people concerned can relate to it and work hard to achieve it. It should be a driving force even at trying times and should capture the imagination, engage the spirit and inspire performance. c. Easily understood. It uses simple language and presented in a manner that every member of the organization/community can recall.

Box 2.3 Examples of LGU Visions &RQĂ&#x20AC;LFW 6HQVLWLYH DQG 3HDFH 3URPRWLQJ 9LVLRQ On top of the many possible aspirations that an LGU may have for their locality, a peace promot LQJ DQG FRQĂ&#x20AC;LFW VHQVLWLYH YLVLRQ ZRXOG VKRZ DQ /*8ÂˇV DVSLUDWLRQV IRU JHQXLQH SHDFH DQG KXPDQ security, including the elimination of various forms of structural violence and cycles of violence in SHRSOHÂˇV OLYHV $Q H[DPSOH LV WKH YLVLRQ RI 7XOXQDQ 1RUWK &RWDEDWR Â´7KH /*8 RI 7XOXQDQ HQYLVLRQV WKH DWWDLQPHQW RI DQ LPSURYHG TXDOLW\ RI OLIH EDVHG RQ D YLDEOH HFRQRP\ EDODQFHG HFRORJ\ DQG VXVWDLQDEOH LQWHJUDWHG KXPDQ GHYHORSPHQW LQ WKH FXOWXUH RI SHDFH DQG XQLW\Âľ (Source: Tulunan, , North Cotabato). 7XUWOH ,VODQGV 7DZL 7DZL 9LVLRQ $PELWLRXV \HW :HOO JURXQGHG â&#x20AC;&#x153;We envision Turtle Islandsâ&#x20AC;&#x2122; Municipality as a model wildlife sanctuary and protected area, a world class HFR WRXULVP KDYHQ PDLQWDLQLQJ D ZHOO EDODQFHG HFRORJLFDO V\VWHP VXVWDLQDEO\ PDQDJHG E\ DFWLYH DQG HPSRZHUHG FRQVWLWXHQWV WKURXJK JRRG JRYHUQDQFH Âľ 7KH YLVLRQ LV GHÂżQLWHO\ JUDQG EXW DEVROXWHO\ EDVHG RQ WKH VWUHQJWKV RI WKH PXQLFLSDOLW\ 7KH PX QLFLSDOLW\ LV XQLTXH EHLQJ WKH RQO\ QHVWLQJ JURXQG RI WKH IDPRXV JUHHQ WXUWOH LQ WKH $6($1 UHJLRQ 3RVVHVVLQJ ULFK PDULQH OLIH DQG FRUDO UHHIV XQLTXH VFHQHU\ DQG H[TXLVLWH ZLOGOLIH FHUWDLQO\ PDNH LW an ideal place for ecotourism. %DVLODQÂˇV 6KDUHG 9LVLRQ WKDW 5HFRJQL]HV 'LYHUVLW\ Â´,I ZH GR QRW NQRZ ZKHUH WR JR ZH ZLOO QRW NQRZ KRZ WR JHW WKHUH Âľ so goes the message of the gover QRU RI %DVLODQ WR KHU FRQVWLWXHQWV 7KH YLVLRQ VWDWHPHQW RI WKH 3URYLQFH RI %DVLODQ UHYHDOV WKH FROOHFWLYH DVSLUDWLRQV RI LWV SHRSOH IRU a future that recognizes the diversity of cultural practices, values and behaviour and the need to preserve them. To wit: Â´$ SHDFHIXO DQG SURJUHVVLYH SURYLQFH D FHQWHU IRU FRPPHUFLDO FURSV ZLWK D GHYHORSHG DQG VXVWDLQHG PDULQH LQGXVWU\ LQ D VRXQG DQG HFRORJLFDOO\ EDODQFHG HQYLURQPHQW LPSURYHG TXDOLW\ RI OLIH GLYHUVLÂżHG DQG SUH served culture, empowered citizenry, steered by committed, transparent, accountable leaders and supported E\ D UHVSRQVLEOH EXUHDXFUDF\Âľ %DVLODQ &'3 (/$

d. Distinctive. It should build on the distinct character of the LGU, i.e., Marikina City as a river city so its vision highlights river resource for future development. e. Complementarity. Neighbouring LGUs should have complementary not competing visions, i.e., municipalities along the same zone do not all have to serve as ports. f. Shared. A widely shared vision is the most powerful engine that drives people to progress. It serves as the driving force that moves and guides the entire community toward the achievement of common development direction. More importantly, a widely-shared vision enables the LGU to present a picture and articulate the kind of future it prefers for its people as individual citizens and as a community, the economy, the natural and built environment, and the local leadership/governance (see Box 2.3 for an example of a widely shared vision).

How is a vision developed? There are no hard and fast rules in determining the process for crafting a vision statement. However, a rational and simpliďŹ ed way that could also facilitate the subsequent plan formulation steps is suggested below: a. Elaborating on each of the element by assigning adjectives or descriptors to describe the most desired end-state scenario for each sector b. Identifying the success indicators corresponding to the adjectives identiďŹ ed c. Formulating the vision statement using the chosen adjectives or descriptors. d. Crafting the ďŹ nal form taking into consideration the characteristics of a good vision statement.

Box 2.6 7LSV LQ &UDIWLQJ WKH 9LVLRQ ,Q FUDIWLQJ WKH ÂżQDO IRUP RI WKH vision statement, the LGU may consider between a style that is: Â&#x2021; FRPSUHKHQVLYH LQFOXGHV DOO WKH vision elements. Â&#x2021; VORJDQ W\SH D EULHI DWWHQWLRQ getting phrase that stakehold ers can easily recall and identify with. Â&#x2021; FRPELQDWLRQ FRQWDLQV D VKRUW attention getting phrase and an explanation of the vision ele ments.

To foster shared ownership of the vision, a visioning exercise may be undertaken through a workshop involving the participation of different stakeholders. A step-by-step guide to a visioning exercise is presented in Annexes 2.1.1 and 2.1.2. 36

:K\ LV WKHUH D QHHG WR DOLJQ YLVLRQ VWDWHPHQWV" For consistency and unity of direction, a barangay needs to align its vision to the municipality or city of which it is a part of. It is for this reason that a municipality/city needs to inform its component barangays about its vision. This provides some clue for the barangay as to its contribution to the development of the municipality. At a higher level, efforts should also be exerted to link the municipal visions to that of the province.

Box 2.7 Types of Vision Statements A Comprehensive Vision Statement :H HQYLVLRQ +DGML 0RKDPPDG $MXO 0XQLFLSDOLW\ WR EH D G\QDPLF VSRW LQ HDVWHUQ %DVLODQ IRU DJUR ÂżVK HU\ FRPPHUFH DQG WRXULVP LQGXVWU\ ZLWK WKH QHFHVVDU\ VRFLDO VHUYLFHV WKDW FDQ SURYLGH D KLJK TXDOLW\ RI OLIH IRU LWV FLWL]HQV OLYLQJ LQ D ZKROHVRPH HQYLURQPHQW ZLWK VXIÂżFLHQW LQIUDVWUXFWXUH DQG HIÂżFLHQW services led by a responsible and progressive government and administration 6RXUFH &'3 DQG (/$ RI 0XQLFLSDOLW\ RI +DGML 0RKDPPDG $MXO %DVLODQ $ 6ORJDQ W\SH 9LVLRQ VWDWHPHQW A Municipality whose citizenry collectively work for peace towards a progressive community (Source: 0XQLFLSDOLW\ RI %XOGRQ 0DJXLQGDQDR

What is a Mission? A mission is sometimes referred to as the â&#x20AC;&#x153;purpose.â&#x20AC;? It describes the general thrust of the LGU. It provides a clear view of WHAT the LGU is trying to accomplish for its constituents or clients and HOW it can be attained. It evolves out of the process of bringing the vision into focus. The mission for an LGU can be derived from its mandate which is deďŹ ned in the general welfare clause (Section 16 of the Local Government Code). Thus a mission statement: a. is anchored on its vision; b. reďŹ&#x201A;ects what the LGU seeks to do or accomplish c. communicates and identiďŹ es the purpose of the LGU to all it stakeholders.

Why is a Mission Statement Important? A mission statement is important because it can set the direction for the LGU, providing the focus and guidance needed. It can be used for evaluating the performance of the LGU.

Trigger Questions for Formulating a Mission Statement Ć&#x152;É&#x201E; Ć&#x152;É&#x201E; Ć&#x152;É&#x201E; Ć&#x152;É&#x201E;

What is the purpose of the LGU? What is the LGU trying to accomplish? Who are the constituents it aims to serve? How can it attain its purpose?

It is essential to have the vision and mission of the LGU widely known and understood by the public. They have to be cascaded down to the lowest member of the organization and communicated to as wide an audience as possible.

Box 2.8 &RQĂ&#x20AC;LFW 6HQVLWLYH DQG 3HDFH 3URPRWLQJ 0LVVLRQ $ FRQĂ&#x20AC;LFW VHQVLWLYH DQG SHDFH promoting mission would outline an LGUâ&#x20AC;&#x2122;s concrete role in forg ing peace and human security, reducing structural violence and ensuring that its strategies and programs do not become sources RI FRQĂ&#x20AC;LFW LQ WKHLU UHVSHFWLYH localities. Sumisip, Basilan Mission: $FKLHYLQJ WKH 3XUSRVH WKURXJK People Participation â&#x20AC;&#x153;To work together to develop DJUR ÂżVKHU\ UHVRXUFHV E\ SURYLGLQJ improving and strengthening vital infrastructures and support facilities through active participation of the people in the process of development and the promotion of Peace and 8QLW\ LPSOHPHQW YLDEOH HFRQRPLF and sound environmental programs, effective basic social services, and en hancing capacity towards an effective DQG HIÂżFLHQW JRYHUQDQFHÂľ 6RXUFH 6XPLVLS %DVLODQ The mission statement presents a clear and concise statement of LWV SXUSRVH DV DQ /*8 ,W FRPPX nicates what it intends to accom plish for its citizens and how it is going to do it.

'(7(50,1,1* 7+( 9,6,21 5($/,7< *$3 $QDO\]LQJ WKH /*8 6LWXDWLRQ Once the vision/mission statements have been formulated, the next step is to conduct an assessment of the local situation as a prerequisite to the vision-reality gap. Given that planning is a rational act that seeks to respond to the uncertainties of the future, the importance of information as well as the ensuing analysis and interpretation could not be overemphasized. Building up the LGU database is important for evidence-based

planning. Hence it requires giving attention to the wealth of information that is present in the LGUsâ&#x20AC;&#x2122; information base. The most common type of database is the socio-economic proďŹ le (SEP) and the ecological proďŹ le that are further processed to yield a situational analysis and a better understanding of the planning area.

Box 2.11 Examples of ARMM Mission Statements

7KH 6RFLR (FRQRPLF 3URÂżOH DQG (FRORJLFDO 3URÂżOH

Promote peaceful, united and coopera WLYH FRPPXQLW\ DQG SURYLGH HTXLWDEOH and integrated services for the LPSURYHPHQW RI WKH SHRSOHÂˇV TXDOLW\ RI OLIH XQGHU SDUWLFLSDWRU\ ,VODPLF JRYHU nance 6RXUFH /DPLWDQ &LW\

The Socio-economic ProďŹ le (SEP) serves as the most important information base for the CDP. It provides a snapshot or proďŹ le of the area at a given point in time. Data are presented with minimal analysis and interpretation that lends the SEP to analysis by various groups according to their own purpose,

To attain a sustainable economy through the implementation of an effective development plan, aimed at providing agricultural and indus trial stability, preservation of culture DQG KHULWDJH EDODQFHG HFR V\VWHP intensive services to the people, and advocate culture of peace (Source: 8QJND\D 3XNDQ %DVLODQ

The Ecological ProďŹ le, on the other hand, is an expansion of the SEP, which gives due recognition and proper space for the bio-physical and ecological features of the area. It covers the ďŹ ve development sectors, namely: social services, local economy, environmental or bio-physical base, infrastructure and institutional capacity of the LGU.

Eradicate poverty through balanced HFRQRP\ ZRUNLQJ ZLWK LWV *RG fearing populace mindful of their responsibilities towards environmental friendly and balance ecology, ensure KHDOWK\ DQG HSLGHPLF IUHH FRPPXQLW\ through effective mobilization of social services, and enhancing its indigenous FXOWXUDO KHULWDJH WKURXJK PXOWL sectoral partnership (Source: Sitangkai, 7DZL 7DZL

Ecological proďŹ ling and situational analysis are necessary in order to help the LGU determine the services needed by its constituents, the resources required, and the environmental factors in which policy is expected to bring about changes. Plan formulation can also beneďŹ t from the wealth of data that are already gathered by the LGU using any of the following tools: a. b. c. d.

Minimum Basic Needs (MBN) Community-Based Monitoring System (CBMS) Integrated Rural Accessibility Program (IRAP) Local Governance Performance Measurement Systems (LGPMS) and the State of Local Governance Report (SLGR)

These tools can provide a good database from which a situationer on the problems, issues, concerns and constraints facing the LGU can be drawn. If existing data are not sufficient to a give clear picture of the current situation of the LGU, the LPDO may have to gather additional primary data.

For LGUs with strong poverty focus, the CBMS can be very helpful and can be used by local government units in the formulation of their CDP and ELA. Additionally, the tool can also be used to track the effectiveness of interventions of the LGU. The CBMS covers 14 core local indicators that measure the different dimensions of poverty (See Annex 2.2.1 for the CBMS Indicators and their deďŹ nitions). In particular, CBMS intends to provide information showing the extent of poverty in an area and in determining the root causes. The CBMS generates household level data that are useful particularly in poverty diagnosis and planning. CBMS provides a proďŹ le of the poor families and communities in the locality such as who they are, what their needs are and where they are. By having adequate understanding of the localityâ&#x20AC;&#x2122;s poorest families, the local government can develop and implement policies, programs and projects that directly address the needs of the poor and undertake more focused targeting in delivering services. Similarly, CBMS can be a useful guide to higher level governments, i.e. provincial and national governments, in developing, locating and implementing pro-poor programs at the lowest geopolitical unit. If local plans are intended to address the problems of poverty, it is incumbent upon the LGU to undertake CBMS on a regular basis (every three years). The application of CBMS data is presented in relevant sections of the manual.

Box 2.11 Examples of ARMM Mission Statements Promote peaceful, united and cooperative community and SURYLGH HTXLWDEOH DQG LQWHJUDWHG services for the improvement of WKH SHRSOHÂˇV TXDOLW\ RI OLIH XQGHU SDUWLFLSDWRU\ ,VODPLF JRYHUQDQFH 6RXUFH /DPLWDQ &LW\ %DVLODQ To attain a sustainable economy through the implementation of an effective development plan, aimed at providing agricultural and industrial stability, preservation of culture and heritage, balanced HFR V\VWHP LQWHQVLYH VHUYLFHV WR the people, and advocate culture of peace 6RXUFH 8QJND\D 3XNDQ %DVLODQ Eradicate poverty through bal anced economy, working with LWV *RG IHDULQJ SRSXODFH PLQGIXO of their responsibilities towards environmental friendly and bal ance ecology, ensure healthy and HSLGHPLF IUHH FRPPXQLW\ WKURXJK effective mobilization of social services, and enhancing its indig enous cultural heritage through PXOWL VHFWRUDO SDUWQHUVKLS (Source: 6LWDQJNDL 7DZL 7DZL

:KR LV UHVSRQVLEOH IRU HFRORJLFDO SURÂżOLQJ DQG situational analysis? By virtue of its functions under the Local Government Code, the Local Planning and Development Coordinator is responsible for preparing the LGU ProďŹ le and for spearheading the analysis of data gathered. He/she, however, shall harness the support of all LGU departments/ offices/ units, including national government agencies operating within the locality, in providing data, information and statistics pertaining to their respective sectors. The planning team, once organized, should take off from the wealth of information that are being maintained in the LPDO.

+RZ FDQ WKH H[LVWLQJ GDWDEDVH EH PD[LPL]HG LQ DQDO\]LQJ WKH ORFDO VLWXDWLRQ" To make the existing information base more useful for more dynamic planning activities, an intermediate analytical tool can be applied, which will also lead to building the database for planning of LGUs. It is called the Local Development Indicator (LDI) system, a

table that organizes LGU information in three dimensions, i.e. temporal, spatial and sectoral. As such, the LDI facilitates analysis of data allowing the process of making further observations and projecting the implications of these observations in terms of issues. a. Temporal or time dimension This presentation of data allows an in-depth characterization of the area (municipality or city) being planned by tracking the changes in certain attributes over time. Analysis can be done for example, by looking into the growth trend in population for a number of years and the average growth rate for a speciﬁc period of time. b. Spatial or geographical dimension This set of data shows the differences between areas with respect to a given set of characteristics such as between the planning area and the larger areas within which it is located (i.e. municipality in relation to the province); and the planning area with its smaller component parts (i.e., municipality vis-à-vis its component barangays). For example, the extent of the area and population density (number of people over land area) are among the indicators by which spatial or geographical dimension can be applied in making decisions on extent of services/inputs to be provided by the LGU to particular areas. 40

c. Sectoral dimension This presents the database according to the five identified sectors, namely: social, economic, environment, physical/ infrastructure, and institutional. The sectoral presentation of data offers the following advantages: ƌɄ Information that are available are organized by sector and are translated into relevant set of indicators that are standardized to allow benchmarking and updating over a period of time ƌɄ The LDI matrix is very flexible as it can accommodate additional indicators that need to be considered in planning. Since it covers all six development sectors, it has the potential to cover all development concerns. The CBMS and LGPMS indicators for example, can be integrated into the LDI matrix and made more useful for planning purposes. In the same light, the indicators that have been identified by the 2005 Philippine Human Development Report (PHDR) that have significant impact on armed conflict can be included in the LDI matrix. ƌɄ NGAs can concretely assist LGUs in the collection, organization and analysis of the data that are of their particular concern. The range of their assistance to LGUs can include data disaggregation, processing and analysis. Indeed, the NGAs can help LGUs augment the LDI database by sharing with them indicators they have generated from their monitoring services and disseminating the results of special studies they have conducted that may be useful at the local level. As mentioned, the LDI table helps LGUs to classify and analyze information. Annex 2.2 illustrates how the indicators related to social and economic development sectors are organized using the LDI format.

How is the LDI different from the SEP? The LDI format generally adopts the same thematic or sectoral headings used in the SEP or the Ecological Profile. These headings include population and social services, local economy, environment and natural resources, physical infrastructures and local institutional capabilities. The LDI is an attempt to process data presented in the SEP or the Ecological Profile into useful information or indicators that are relevant to local planning. The LDI matrix is however by no means exhaustive. In fact, the different indicators that national agencies require LGUs to consider through the various programs such as the National Anti-Poverty Commission’s (NAPC) core local poverty indicators (derived through the CBMS), the MDGs, or the localization of PA 21 can be entered completely into the LDI matrix. Data that need to be plotted in the LDI table may require some basic techniques to objectively determine the issues and gaps by sector. Population projections and threshold analysis tools for example can be found in the DILG’s RPS, Chapter 3, pp. 53-70, and NEDA’s Provincial and Local Planning and Expenditure Management Manual, vol. 2. For LGUs that are confronted with poverty and armed conflict issues, the following inter-related set of indicator systems would be useful to incorporate in the LDIs. a. Vulnerability to Armed Conflict Indicators Indicators that have been found by the PHDR (2005) to have a significant impact on armed conflict such as adult illiteracy rate, disparity in access to convenient water source, access to electricity, minoritization and per capita income of the third quintile have to be closely monitored for local planning. b. Core Local Poverty Indicators (or CBMS indicators) As mentioned, the CBMS produces the core local poverty indicators that allow LGUs to assess the poverty situation in their locality. The CBMS indicators can be used to ensure that plans are pro-poor in the following ways: ƌɄ Status of Well-being of the Population. The CBMS adopts either output or outcome indicators such as child morbidity rates, malnutrition rates, educational attainment and participation rate. These indicators can provide a direct, more accurate and meaningful measure of well-being. CBMS-generated data can guide the LGUs in their decisions to address poverty by developing specific interventions for identifiable target beneficaries in particular locations. ƌɄ Disaggregated data on poverty at individual and household levels. CBMS data can be useful in making comparison of an LGU with other similarly-situated LGUs with respect to certain indicators or attributes, i.e., municipality with higher and/or lower level LGUs. These information can be useful target setting. ƌɄ Input to social clustering of population. The CBMS is useful in describing the population at the individual and household level particularly in terms of certain patterns

of poverty and the causes using a set of poverty indicators. The indicators related to income for example can contribute to the social clustering of the population based on household income. Households identified with very low incomes can thus be identified and its implication ascertained, in terms of the potential extreme polarization of the local space and society if left unaddressed. c. The Local Governance Performance Monitoring System The LGPMS is a self-assessment tool that helps LGUs manage its performance. This web-based database system provides both qualitative and quantitative information on an LGU in five performance areas, namely: governance, administration, social services, economic development and environmental management. Arranged by sector or service area, the LGPMS indicators present a straightforward picture of the condition in the locality which helps in the objective assessment of the LGU situation. A salient feature of the LGPMS is its ability to capture data across LGUs nationwide thus allowing them to quickly assess their performance relative to the others. The tool has the capability to process data inputs and generate tabular and graphical reports that provide useful information for local planning. The State of Local Governance Report of an LGU crystallizes the LGPMS results and analysis and is an import ant reference for planning. 42

A good understanding of the LGUs performance in these ﬁve areas can help the planning team identify interventions that need to be prioritized by the LGU. More importantly, LGPMS data can add qualitative dimension to the statistical data in the ecological proﬁle.

:KDW WRRO FDQ EH XVHG LQ DQDO\]LQJ VHFWRUDO FRQFHUQV DQG LVVXHV" Problem Analysis Problem analysis is a useful tool in further analyzing the issues and problems that need to be addressed in the locality. It utilizes the information derived from the database and the local development indicators (LDI) that have been aptly organized for planning purposes. A list of issues and concerns are identified and from these, key issues can be generated that are to be addressed in the CDP. The output of the problem analysis provides the basis in determining relevant programs, projects, policies or legislations that will respond to the identified key issues and concerns. The Problem Tree is a visual representation of how problems are linked and inter-related in a situation. It defines which appear to be cause and effects of an identified core problem and the other problems that appear to result therefrom. The depth of the analysis, however, depends on the availability of accurate data and information. The series of “problem trees” summarizes the issues and concerns, problems and constraints identified in the sectoral and inter-sectoral workshops. The problems are organized into cause-effect relationships with the lower boxes representing the causes (“roots”) and the boxes above are effects (“foliage”). All problems and issues are present-

ed from the perspective of the local government (institutional sector) making it easier to identify the appropriate intervention measures. The step-by-step guide to undertaking a problem analysis workshop is shown in Annex 2.3.

Poverty Diagnosis Poverty diagnosis is used as analytical tool to assess the poverty situation in an LGU. The process makes use of the problem tree. Problem trees are drawn up for each of the 14 local poverty indicators to identify the underlying causes of poverty and present alternative solutions to each of these causes. The same process in problem analysis may apply in understanding the cause and effect relationships of poverty issues.

&RQÀLFW $QDO\VLV To gain a better understanding of the local situation in conflict-prone areas, a conflict analysis needs to be conducted. Existing LGU data from the CBMS, LGPMS or other related data sets of the LGUs as well as local knowledge are tapped to get a comprehensive picture of conflict issues in the community, including the profile, causes, stakeholders and dynamics of the conflict. Conflict analysis establishes how various local stakeholders are contributing to violent conflict and structural violence. Additionally, it provides a snapshot of local initiatives that are addressing these conflicts. Some questions that can be asked include the following: a. Conflict and Stakeholders Profile ƌɄ What are the types of conflict and stages of the conflict being experienced in the area? (history, how it developed, where is the conflict, who are involved and what are their sources of power?) What are the causes of the conflict? its consequences? ƌɄ Is there competition over resources? what kind of resource, who are the groups interested to have control of resource, how is the allocation of resources being done? b. Opportunities and Mapping of Ongoing Initiatives ƌɄ Is there a conflict management and conflict resolution mechanism in place? ƌɄ What are other peace-building and conflict prevention initiatives and how is it affecting existing conflicts?

$QDO\]LQJ WKH YLVLRQ UHDOLW\ JDS What is vision – reality gap analysis? Vision-reality gap analysis (VRGA) is the process of determining the gap between the desired state of the area by sector, represented by the deﬁned performance indicators and the current situation of the sector/s. Gap analysis shows how large is the difference between the vision or ideal state of the LGU and the existing situation.

Having established where and what the gaps are, the next step is to identify the necessary actions to close the gap. Gap analysis equips local policy makers with needed information to make informed decisions, especially in identifying priority areas for intervention.

+RZ LV YLVLRQÂ˛UHDOLW\ JDS DQDO\VLV XQGHUWDNHQ" Vision-reality gap analysis takes off from the results of the visioning exercise and the data generated in the problem analysis portion. The qualitative and quantitative data gathered can be transformed into scales against which targets can be set as the example in Table 2.3 illustrates. Table 2.3. Current Reality Rating Scale 5DWLQJ

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Absolutely nothing has been done about the goal

1 3 4

Something is already being done to achieve the goal but the level of attainment is still on the low side

The goal is half accomplished

6 7 9

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The goal is completely attained

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From the vision desciptors and success indicators identiďŹ ed in the visioning exercise, ratings can be assigned to describe the degree of attainment or non-attainment of a particular vision element (see Table 2.4). Table 2.4. Example of Vision-Reality Gap Analysis 'HVFULSWRU +HDOWK\ citizens

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Mortality rate of children XQGHU

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Maternal mortality rate

Maternal mortality rate reduced by half from base line

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Annex 2.4 illustrates the workshop activities to generate the Vision-Reality Gap.

7KH /*306 DQG WKH YLVLRQ²UHDOLW\ JDS DQDO\VLV Data from the LGPMS can provide the planning team with a good starting point for the vision-reality gap analysis. Several reports can be generated from the LGPMS that can be useful in gap analysis, such as the Single-Year Indicator Report and the Comparative and Trend Reports. The procedure for generating these reports is found in the LGPMS User’s Manual which can be easily downloaded through the internet. A unique feature of the LGPMS is the application of performance standards for each indicator that are applicable and comparable across LGUs. LGPMS scale scores indicate the LGUs level of performance for each indicator. Scores range from one to ﬁve with ﬁve categorized as “very high” performance level and one as “very low” performance level. Each performance level is also supplied with a corresponding color to allow users to identify at a glance the high and low performance areas. Table 2.5 depicts the scale scores and corresponding color assignments. Table 2.5 LGPMS Performance Levels and Implications to Planning 'HYHORSPHQW ,QGLFDWRU DQG ,QGLFDWRU 3HUIRUPDQFH 5DQJH

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Each performance level has different implications to local planning. A four and a ﬁve indicates ‘high level development’ for a particular indicator. This means that LGU efforts need to be sustained to maintain the high level of performance. On the other hand, a one or a two signify that LGU efforts are inadequate, so that more interventions are needed to improve the situation. The LGPMS can be used in vision-reality gap analysis in a number of ways. These are discussed below:

1. Using the Single Year Report The Single-Year Report is the simplest use of the LGPMS in gap analysis. The following example illustrates how this is done. Table 2.6 below shows a single year LGPMS report for three selected development indicators. From this report, the planning team can determine which development indicator would be top priority for the LGU.

Table 2.6: Using the LGPMS Single Year Report 'HYHORSPHQW ,QGLFDWRU

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Percentage of malnourished children DJHG \HDUV ROG

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Percentage of households with sani tary toilets

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Percentage of households with elec tricity

Very Low

The planning team can conclude from the data that interventions for malnourished children have been effective; since it shows a score of four and that they must be sustained to totally eliminate the current level of 2.83% malnutrition rate. Similarly, at a glance, the color red in the table shows that the â&#x20AC;&#x153;percentage of households with electricityâ&#x20AC;? is a cause for concern at 27.73% and that LGU interventions are needed to improve performance. In the same way, the indicator â&#x20AC;&#x153;percentage of households with sanitary toiletsâ&#x20AC;? at 67.4% falls within the performance benchmark. Again, the planning team is guided on what course to take for this particular indicator.

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From the individual indicator report, the LGPMS has the capability of aggregating results from service area to performance area and performance index levels. This report allows LGUs to compare its performance level along the ďŹ ve performance areas and identify where performance gaps are highest which when addressed would improve the LGUs performance signiďŹ cantly. The aggregated report on performance area and service area is presented in graphical (in a wheel report) and in matrix form. Table 2.7 illustrates how individual LGPMS performance levels are averaged to get the service area performance report using the matrix format. Table 2.7: Interpreting the LGPMS Matrix ,QGLFDWRU +HDOWK DQG 1XWULWLRQ

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Mortality of children

Mortality rate

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3.6

This report shows that malnutrition and mortality rates needs to be improved in order for the LGU to enhance its performance in health and nutrition. If the same process is applied to the other set of indicators, one can see, at a glance, service areas needing the most attention.

8VLQJ &RPSDUDWLYH 7UHQG 3HUIRUPDQFH The planning team can further extend the analysis of vision-reality gap by generating the LGPMS comparative and trend report for both the individual indicator and service area performances. This feature allows the LGU to benchmark with other LGUs. As an example, in table 2.8 below, the LGU can compare its performance (or its reality) for three selected indicators under the service area of housing and basic utilities to the averages of municipalities within its province and to other LGUs belonging to the same class. Table 2.8 Using LGPMS Comparative Performance

Percentage of households with sustainable potable water supply

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Percentage of households with sanitary toilets

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Percentage of households with electricity

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In this example, the planning team can conclude that its LGU is way above in the development condition for the indicator on potable water supply and sanitary toilets compared to the averages of its province and class. On the other hand, the indicator on household with electricity shows the LGU lagging at 27.73%. However, the same concern is also felt with the rest of the province and the class of LGU. Simply put, electricity is a problem area not only for the LGU but for the entire province and region as well. With the annual LGU data entry for its performance, the LGPMS database is built-up. The yearly data report in LGPMS can serve as basis for analyzing performance trends, as shown in Table 2.9 below. Table 2.9 Using LGPMS Performance Trends ,QGLFDWRU Percentage of households with sus tainable potable water supply

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7KH &RPPXQLW\ %DVHG 0RQLWRULQJ 6\VWHP DQG WKH YLVLRQÂ˛UHDOLW\ JDS DQDO\VLV The CBMS provides a useful database for the planning team to consider in identifying priority areas for intervention and in undertaking the vision-reality gap analysis. To illustrate, Table 2.10 shows an example of CBMS results for the Municipality of Labo. Survey data clearly reveals areas where the municipality is faring well (i.e. housing) and lagging behind (i.e. water and sanitation). Looking at this data, one could already pinpoint priority areas (i.e. water and sanitation) for the current planning period. An edge of the CBMS is the presence of comparable data across the smaller spatial units (e.g. barangay) compared to the municipal average. With this information, the planning team can easily identify areas where interventions are most needed. Table 2.10: CBMS Scores, Municipality of Labo, Camarines Norte3 +HDOWK

Proportion of child deaths

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Proportion of households who are formal settlers

Proportion of households with access to safe water supply

Proportion of households with access to sanitary toilet facilities

Elementary school participation rate

79.6

Secondary school participation rate

Literacy rate

Proportion of households that eat at least 3 meals a day

97.6

Proportion of households with income above poverty threshold

Proportion of households with income above food threshold

Employment

Employment rate

Peace and order

Proportion of persons who are victims of crimes

0.6

Water and Sanitation

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An integral part of the CBMS is the use of GIS (Geographic Information System) maps that are easily understood and appreciated by the local officials and decision makers as well as non-technical members of the planning team. The maps provide a glimpse of the poverty situation of barangays in the municipality thereby making goal setting and targeting more straightforward. To illustrate, with the use of the map (see Figure 2.2), one can easily single out barangays with very low access to sanitary toilet facilities (i.e. Kabatuhan, Pagasa, Dumagmang, Maot, etc).

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%XLOGLQJ XS WKH /', 'DWDEDVH Building up the database is one of the most important activity in planning. Data from the various systems that have been discussed earlier can be entered into the recommended LDI matrix to make it more useful for planning. For example, the poverty indicators of the CBMS can be entered completely into the LDI template as shown in Table 2.11 below. The planning offices need to continually build up the LDI matrix as data becomes available. The importance of developing the spatial and temporal dimensions of data is useful in developing plans that are needs based. Table 2.11: Local Development Indicators, Sta Elena Camarines Norte 2003 *(2*5$3+,&$/ $5($6 '$7$ ,1)250$7,21 ,1',&$725

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:KDW QHHGV WR EH FRQVLGHUHG LQ FRQGXFWLQJ D 9LVLRQ 5HDOLW\ *DS $QDO\VLV" Ć&#x152;É&#x201E;É&#x201E; # É&#x201E;+-* ..É&#x201E;- ,0$- .É&#x201E;0+ / É&#x201E;. /*- 'É&#x201E;.$/0 /$*) -.É&#x201E;.0++'$ É&#x201E; 4É&#x201E;/# É&#x201E; É&#x201E; ) É&#x201E; .Ć&#x2020;É&#x201E; Ć&#x152;É&#x201E;É&#x201E;É&#x201E; #$.É&#x201E;+-* ..É&#x201E; )É&#x201E; *( É&#x201E;#$"#'4É&#x201E;.0 % /$1 É&#x201E; ) É&#x201E;$)/0$/$1 Ć&#x2021;É&#x201E; .+ $ ''4É&#x201E;2# )É&#x201E;$/É&#x201E;$.É&#x201E; *) É&#x201E; through a participatory workshop. To lend a degree of objectivity to the process, LPDO and NGA representatives can help reďŹ ne the process by making available their data holdings and thus allow a more ďŹ ne-grained determination of the vision-reality gap for the sectors. The presence of a good LGU Ecological ProďŹ le and LDI that incorporates or closely linked to the aforementioned indicator systems would certainly help make the analysis more fact-based and objective. The VRGA leads to the formulation of sectoral goals and objectives and setting of targets.

2.8 FORMULATING/VALIDATING GOALS AND OBJECTIVES :KDW DUH JRDOV DQG REMHFWLYHV"

Goals and objectives translate an organizationâ&#x20AC;&#x2122;s vision into more concrete and measurable terms. They are clear statements of visions that specify the actual accomplishments that need to be achieved if the vision is to become a reality. Goals and objectives are both desired results, but they differ in terms of timeframe and impact. Goals are longer-term results that bring the LGU closer to the vision. An objective is a more speciďŹ c statement of a short or medium-range desired outcome or result. LGUs are directly accountable for the achievement of objectives. Goals and objectives are so inextricably interrelated that the attainment of objectives will in fact lead to the achievement of a goal (see Figure 2.3). Figure 2.3 Relationship Between Goals & Objectives: An Example GOAL Increased Farm Income

OBJECTIVE 1 ,PSURYHG IDUPHUVÂˇ DF cess to market

OBJECTIVE 2 Enhanced access to credit

OBJECTIVE 3 ,QFUHDVHG IDUP yield

Goals and objectives of local governments may be differentiated in three dimensions as shown in Table 2.12: Table 2.12: Differences between goals and objectives 5HVXOW *RDO 2EMHFWLYH

Level

Timeframe

Accountability of results

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Partial accountability of the LGU

Lower level

Short to medium term

Full accountability of the LGU

+RZ DUH JRDOV DQG REMHFWLYHV VHW" Based on the results of the VRGA, speciﬁc goals and objectives are formulated. In developing goals and objectives, the LGU should be mindful of national, regional and provincial goals. As partners of the national government, LGUs are also expected to play a big role in helping meet the country’s international commitments such as the MDGs, which to a great extent, are basic services that are devolved functions of LGUs. The MDGs are as follows: a. b. c. d. e. f. g. h.

Eradicate extreme poverty and hunger Achieve universal primary education Promote gender equality Reduce child mortality Improve maternal health Reduce maternal mortality rate Combat against HIV/AIDs, malaria and other diseases Ensure environmental sustainability

For poverty reduction goals, the CLPI (derived through the CBMS) and the MDGs provide a sound basis for establishing gaps and where critical gaps exist. The CBMS indicates the state of well-being of households in the community while the MDGs serve as benchmarks on similar well-being indicators. These two sets of information combined can assist LGUs in setting poverty reduction goals and targets. Conflict-affected LGUs need to consciously develop goals to address issues on armed conflict and structural violence. The conflict analysis tools discussed in the previous section should be able to indicate key result areas around which goals and objective could be formulated. The LGPMS is likewise a good material for goal and objective setting. As a measure of LGU performance in five areas, the LGPMS assists LGUs in focusing their plans along development areas where they are lagging and need to make significant improvements if they are to exhibit a good performance.

As a general rule, LGUs should be guided by the SMART criteria in developing goals and objectives (see Box 2.12). What tools can be used in the development of goals and objectives?

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Progress is measurable through indicators

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Annex 2.5 illustrates the step-by-step guide to developing goals and objectives using objectives analysis.

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Objectives analysis is a tool in which the hierarchy of problems (see Annex 2.3) is transformed into a hierarchy of objectives (objectives tree). It utilizes a diagram called objectives tree (see Annex 2.5). It identiďŹ es means-ends relationships between and among the objectives. The objectives tree describes the scenario after solving the problems.

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Success indicators measure the extent of achievement of desired results. They are needed for both goals and objectives and can be expressed either quantitatively or qualitatively. Indicators deďŹ ne how performance will be measured qualitatively or quantitatively. Table 2.13 shows examples of success indicators for outcome of social service interventions. Table 2.13 LGPMS Outcome Indicators for Social Services 6HUYLFH DUHD +HDOWK 1XWULWLRQ

Education

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3HDFH 6HFXULW\ 'LVDVWHU Preparedness

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How is the achievement of desired results measured? Measuring results starts with the selection of suitable indicators that can correctly show success of interventions. There are already existing indicators that can be readily used by LGUs. Among the sources of success indicators that LGUs can use are the following: D /RFDO 'HYHORSPHQW ,QGLFDWRUV 6\VWHP /',6

The RPS has introduced the LDIS which attempts to consolidate indicators that are relevant to local planning. The LGU may opt to use this as a guide in the selection of performance indicators that it ﬁnds relevant as a measure of its performance at the goal, objective and output levels. A sample LDI Table is found in Annex 3 of the RPS. The LGU however is not limited to this list and is encouraged to develop indicators that are more relevant to its goals and objectives. The LDI generally adopts the same sectoral headings in the EP (see section 3.2.1). E &RUH /RFDO 3RYHUW\ ,QGLFDWRUV &/3,

The Core Local Poverty Indicators (CLPIs) as shown in Table 2.14 are selected human development and income-based indicators from the different local poverty monitoring systems existing at the local level and are deemed the minimum set that the LGUs should use for assessing the extent of socio-economic development in their locality (DILG Localizing the MDG). Most of the MDGs correspond to the CLPIs that are generated through the CBMS. Table 2.14 Core Local Poverty Indicators (CLPIs) MDG Goal 1: Eradicate extreme poverty and hunger

,QGLFDWRUV Proportion of households with income less than the poverty thresh old Proportion of households with income less than the food threshold 3URSRUWLRQ RI SHUVRQV DJHG \HDUV ROG DQG DERYH ZKR DUH QRW working but are actively seeking work 3URSRUWLRQ RI FKLOGUHQ \HDUV ROG ZKR DUH PRGHUDWHO\ DQG VHYHUHO\ XQGHUZHLJKW EHORZ QRUPDO ORZ DQG EHORZ QRUPDO YHU\ low) Proportion of households who eat less than three full meals a day Proportion of household members victimized by crime

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Proportion of women who died due to pregnancy related causes

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Proportion of households without access to safe water

Goal 7: Ensure environmental sustain ability

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Proportion of households without sanitary toilets

Proportion of households with makeshift housing

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The LGPMS contains a total of 107 indicators classiďŹ ed into 17 service areas for ďŹ ve performance areas of local governments, namely: governance, administration, social services, economic development and environmental management. LGUs may select indicators from the long list that are applicable to their context. The success of interventions are measured by comparing an initial baseline ďŹ gure with the situation when performance measurement is scheduled to be taken. The recommended schedule for monitoring and evaluating performance is discussed in Chapter 5. Table 2.15 illustrates examples of results (goals and outputs) and their corresponding success indicators. 54

Table 2.15: Results and Success Indicators *RDO 2XWFRPH 5HGXFH FKLOG PRUWDOLW\ 0'* *RDO

6XFFHVV ,QGLFDWRUV 0RUWDOLW\ 5DWH RI FKLOGUHQ DJHG (LGPMS outcome indicator)

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6XFFHVV ,QGLFDWRUV Percentage of children immunized (LGPMS output indicator)

:K\ DUH VXFFHVV LQGLFDWRUV LPSRUWDQW" Success indicators are important because they: a. b. c. d.

DeďŹ ne the criteria for success of a plan; Provide information about progress towards the achievement of desired results; Identify problem areas in plan implementation and direct interventions appropriately Provide a basis for monitoring and evaluation of the Plan.

:KDW DUH WKH TXDOLWLHV RI JRRG VXFFHVV LQGLFDWRUV" Good success indicators must be: a. Relevant â&#x20AC;&#x201C; they focus on what is important in the objective or goal; b. Reliable â&#x20AC;&#x201C; they are capable of yielding the same results even if gathered by two different observers;

c. Practical – they make use of available data which are not costly to generate d. Independent – they cannot be used for two levels of objectives, i.e., an indicator for a goal cannot be used as an indicator for an objective.

6HWWLQJ 7DUJHWV What is a target? A target is a speciﬁc and concrete statement of a desired outcome or result. It embodies commitments about the level of achievement as well as the timing of results to be achieved. It represents improvements to existing conditions. Targets can either be quantitative or qualitative. Targets for quantitative indicators are numerical, while targets for qualitative indicators are descriptive. The Table 2.16 below illustrates examples of results (goals and outputs), their corresponding success indicators and the targets. Table 2.16: Results and Targets *RDO 2XWFRPH 5HGXFH FKLOG PRUWDOLW\ 0'* *RDO

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Percentage of children immunized (LGPMS output indicator)

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Why are targets important? Targets are important because they: a. identify how much of a change is expected during the planning period; b. help raise the expectations of all those involved in program and project implementation; c. provide useful benchmarks against which implementors can measure their performance d. permit implementors to evaluate both the adequacy of actions being taken and the progress made in implementing action plans.

How are target set? Targets are set for each performance indicator selected for every result (goals, objectives, outcome). More than one target maybe needed for a particular objective. A good target must be: a. based on trends b. expressed in terms of increases and decreases in values such as growth rates, percentages or absolute values in gross or real terms c. prioritized according to their degree of attainability and order of signiﬁcance

6HWWLQJ 7DUJHWV XVLQJ WKH &%06 DQG WKH 0'*V The CBMS is particularly useful in identifying targets for the LGU’s pro-poor programs. As CBMS data locates and characterizes the poor in the LGU, it would be wise for the LGU to focus or prioritize its poverty programs to the identiﬁed poorest households and/or barangays as a more effective approach to meeting its overall poverty reduction agenda.

Guided by CBMS information, the planning team can set more realistic targets based on existing data. GIS maps generated through CBMS are very useful for setting targets especially for decision makers who are not technically inclined because of its graphical nature of conveying informations. With GIS maps, one can easily pinpoint areas where intervention is most needed. To illustrate, in Figure 2.2 above, it is easy for non-technical members of the planning team to see which areas are in dire need of sanitary toilet facilities (i.e. barangays in red show lowest access). In the case of the MDGs, LGUs may be guided by the national targets set by government.

6HWWLQJ 7DUJHWV 8VLQJ /*306 'DWD LGPMS can be a valuable tool for setting LGU targets. Guided by LGPMS information, the planning team can set more realistic and conservative targets based on past performance or can choose to surpass past performance by using better performing LGUs as benchmarks for higher targets. Targeting using LGPMS can be done in several ways: 1. Setting targets based on comparative performance The results of comparative performance can serve as a good motivator for an LGU to surpass conservative targets. To illustrate, using the comparative performance in Table 2.17 below, the planning team can suggest a higher level target for malnutrition to match the performance of other LGUs belonging to the same class. Raising the level of LGU performance could also contribute to a higher provincial level average.

Table 2.17 Setting Targets Based on LGPMS Comparative Performance 'HYHORSPHQW ,QGLFDWRU DQG ,QGLFDWRU 3HUIRUPDQFH 5DQJH

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Percentage of malnourish children PRQWKV ROG

In setting the target, the planning team can set performance target based on the actual performance of the LGU class at 3% (see Table 2.17) or based the target on the lowest ďŹ gure in the performance range for the indicator. In the malnutrition rate example, the performance rate for â&#x20AC;&#x153;high level performanceâ&#x20AC;? is between 2%-4% (see Table 2.5 above). The planning team can therefore set target at 4% and still get a â&#x20AC;&#x153;high level performance if the target is accomplished. 2. Setting targets based on performance trends The LGU can also base its target on its three year performance trend. To illustrate, Table 2.18 shows an LGUs performance in the provision of water supply. From the table, we can see a rising trend from 64% in 2004 to 89% in 2006. Using simple graphical projections, we can calculate the increase in 2007. Table 2.18 Setting Targets Based on LGPMS Performance Trends ,QGLFDWRU Percentage of households with potable water supply

<HDU

3HUIRUPDQFH /HYHO

<HDU

3HUIRUPDQFH /HYHO

3. Setting performance based on the LGPMS performance scheme Using the LGPMS performance scheme, the planning team can propose sustaining and stabilizing strategies for indicators with high level performance while it can prioritize development interventions for indicators with low and very low levels of performance.

2.9 FORMULATING STRATEGIES The previous sections have discussed the formulation of result statements (vision, goals, and objectives). The next step in the process is to identify the means by which the desired results are achieved.

:KDW DUH VWUDWHJLHV" Strategies are the means by which objectives will be achieved. Strategy answers the question â&#x20AC;&#x153;What needs to be done to reach the objectives?â&#x20AC;? Strategies must capitalize

upon the LGUs strengths, reduce weaknesses, take advantage of external opportunities, and avert external threats (David 1989). Failure to make satisfactory progress towards accomplishing objectives signals a need for corrective actions (David 1989), thus a review of the strategies. Developing strategies entails analysis, intuition and creativity. It builds on the wealth of data already generated by the LGU such as the ecological proﬁle, situation analysis, LDI, LGPMS, etc. A very useful tool to help in strategy formulation is SWOT analysis. This is discussed in more detail below.

:KDW WRRO FDQ EH XVHG IRU VWUDWHJ\ IRUPXODWLRQ" Strengths-Weaknesses-Opportunities-Threats (SWOT) Analysis (SWOT) can be used in various stages of the planning cycle. However, it has been widely used for strategy formulation. SWOT results can be used by combining strengths and weaknesses of the LGU with the opportunities and threats in its environment.

As an example, if the LGUs objective is “Increased private sector investments by 10% by 2010” and one of the strengths identiﬁed is “presence of unique ecotourism assets,” then a strategy that can be formulated to take advantage of the opportunity offered by “Increased interest in ecotourism worldwide” is “Develop ecotourism as a priority industry in the LGU” (see Figure 2.4). Figure 2.4: Strategy Formulation using SWOT

Goal ,QFUHDVHG SULYDWH VHFWRU LQYHVWPHQWV E\ E\

2EMHFWLYH ,PSURYHG SROLF\ UHJXODWRU\ HQYLURQ ment for private sector participation LQ HFR WRXULVP 6WUHQJWK 8QLTXH HFRWRXULVP DVVHWV

+ Opportunity ,QFUHDVHG LQWHUHVW LQ ecotourism worldwide

STRATEGY 'HYHORS HFRWRXULVP DV D SULRULW\ industry in the LGU

The guide questions below (Table 2.19 may be useful in identifying strategic interventions in the plan. Table 2.19 Guide to Identifying Strategies 6WUDWHJLHV

*XLGH 4XHVWLRQV

6WUHQJWK 2SSRUWXQLWLHV

+RZ FDQ VWUHQJWKV EH HPSOR\HG WR WDNH DGYDQWDJH RI GHYHORSPHQW RSSRUWXQL ties?

6WUHQJWKV 7KUHDWV

+RZ FDQ VWUHQJWKV EH XVHG WR FRXQWHUDFW WKUHDWV WKDW WHQG WR KLQGHU DFKLHYH ment of objectives and pursuit of opportunities?

:HDNQHVVHV 2SSRUWXQLWLHV

+RZ FDQ ZHDNQHVVHV EH RYHUFRPH WR WDNH DGYDQWDJH RI RU LPSOHPHQW GHYHO opment opportunities?

:HDNQHVVHV 7KUHDWV

+RZ FDQ ZHDNQHVVHV EH RYHUFRPH WR FRXQWHUDFW WKUHDWV WKDW WHQG WR KLQGHU achievement of objectives and pursuit of opportunities?

Guide questions that can assist the planning team in identifying strengths, weaknesses, opportunities and threats is found in Annex 2.6. Another tool that can be used in developing strategies is Streams Analysis. This tool is discussed in detail in Chapter III of “A Guidebook on Local Poverty Diagnosis and Planning.” 59

2.10 IDENTIFYING PROGRAMS AND PROJECTS :KDW DUH SURJUDPV DQG SURMHFWV" Programs and projects are the building blocks of both the CDP and the ELA. They are the means to operationalize a plan and translate chosen strategies into implementable activities to achieve the goals and objectives of the LGU. A project may be deﬁned as any undertaking that involves the use of scarce resources undertaken during a deﬁned time with a given purpose. The term project refers to a great variety of endeavors. A project may be as simple as a single activity or may be composed of a set of activities. Projects range from actions with a single-purpose, such as small infrastructure projects (e.g. construction of an irrigation facility, delivery of a training course, etc.) to complex, multi-component systems such as a capacity building program for the local government. A program is a package of interrelated projects that conforms to the direction set by the stated strategy.

Box 2.13 ,PSRUWDQFH RI 3URMHFW ,GHQWL¿FDWLRQ 3KDVH 7KH SURMHFW LGHQWL¿FDWLRQ SKDVH is very important, because it is during this time that the relevance of project ideas are systematically established. This step of the plan formulation process facilitates the local development investment programming process. The list of programs and projects can provide a ready basis and a good headstart IRU WKH /'& LQ GUDZLQJ XS WKH /',3 DQG WKH $,3

+RZ DUH SURJUDPV DQG SURMHFWV LGHQWLÂżHG" Project ideas originate from a multiplicity of sources, among which are the following: a. Development plans at higher levels (regional, and national) b. International commitments that the Philippine government has been signatory to, such as the Millenium Development Goals 4 c. Sectors within the LGU that experience the particular problem situation d. Campaign platform and thrust of the LCE e. Local development indicators, including the LGPMS, LPIS/CBMS, ConďŹ&#x201A;ict Analysis, etc. f. Good practice and award winning projects.

Project identiďŹ cation can take off from the analysis of the problem situation discussed in section 2.7. Analyzing the problem situation further will lead to the identiďŹ cation of underlying causes which in turn will guide the identiďŹ cation of possible programs and projects. This analysis allows for a more in depth and systematic way of identifying solutions to problem situations.

Box 2.14 $GDSWLQJ *RRG 3UDFWLFH WKH 6RXWKZHVWHUQ /LJXDVDQ $OOLDQFH RI 0XQLFLSDOLWLHV 6/$0 0DJXLQGDQDR ,W ZDV GXULQJ D 6KDULQJ 6HVVLRQ LQ DQ /*63$ /HDGHUVKLS &RXUVH WKDW Mayor Abdulkarim Langkuno of Paglat, Maguindanao realized how local governments can cooper ate and pool resources to solve common problems within their jurisdictions. Taking cue from the 3$/0$ $OOLDQFH LQ &RWDEDWR he rallied his neighboring munici palities to form the Southwestern Liguasan Alliance of Municipali ties6 (SLAM). This undertaking has been included as one of the priority projects in the LGUs ELA. Through united work, the alliance envisiones to improve governance and service delivery in their juris dictions. More importantly, the Alliance seeks to promote active campaigns to support a culture of SHDFH LQ WKH DUHD &ROOHFWLYHO\ WKH\ see their efforts as being more viable in terms of delivering basic services and in promoting a more vibrant economy.

For pro-poor programs, the results of the CBMS can be a good source of project ideas given that the process beneďŹ ts substantially from community inputs. CBMS data can further assist the LGUs in facilitating a more integrated delivery of services of government and non-government institutions to identiďŹ ed poverty groups. The CBMS process also allows identiďŹ cation of speciďŹ c poverty issues in speciďŹ c areas for speciďŹ c beneďŹ ciaries, thus, providing clear basis for more needs-based interventions. In identifying programs and projects that promote conďŹ&#x201A;ict sensitivity and peace, LGUs can refer to Annex 2.9 which provides a set of guide questions for this purpose. In similar manner, reports generated from the LGPMS provides a good source of ideas for program/project interventions for the LGU. The LGPMS can help the planning team in identifying interventions to improve the performance of the LGU. The critical aspect in the matrix is deďŹ ning the factors that hindered/contributed to the LGU performance (see Table 2.20).

',/* 0& QR Â´*XLGH WR /*8V LQ WKH /RFDOL]DWLRQ RI WKH 0'*VÂľ GDWHG 1RYHPEHU SURYLGHV D PHQX RI 33$V SHU 0'* JRDO and target to guide LGUs in responding to the targets.

Table 2.20 Identifying Programs and Projects Using LGPMS 3HUIRUPDQFH $QDO\VLV

,QGLFDWRU

3HUIRUPDQFH 5HVXOWV 5HVXOW 3HUIRUPDQFH /HYHO

Malnutri tion rate of children DJHG years old

9DULDQFH FRPSDUHG DJDLQVW SURYLQFH /*8 FODVV RU /*8 WDUJHW

+LJKHU WKDQ provincial average performance Lower than LGU class performance

3HUIRUPDQFH DWWULEXWLRQ IDFWRUV IDFLOLWDWLQJ KLQGHULQJ

3HUIRUPDQFH 7UHQG

,QFUHDVLQJ E\ ,QFUHDVLQJ LQ WKH ODVW unemployment 3 years Lower agricultural productivity

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3URJUDP SURMHFW

Enrollment GURSSHG RXW may increase

Short term: School feeding program

Poor health and nutrition of children

Tapping 1*2V IRU feeding program

Poor access to health facilities

3ROLF\ 'HYHORS PHQW

Provision of funding for school feeding program

Long Term: Employment generation and local economic development program

:KR LV DUH UHVSRQVLEOH IRU LGHQWLI\LQJ SURJUDPV DQG SURMHFWV" As a vital step in the planning cycle, project identiďŹ cation should involve the participation of critical stakeholders, particularly the LDC which is the mandated body tasked to undertake appraisal and prioritization of programs and projects. SpeciďŹ cally, the various sectoral committees in the LDC can start the process of identifying programs and projects. Involving stakeholders in program/project identiďŹ cation enhances the appropriateness of interventions, fosters ownership and sustained support for their implementation. Stakeholder inputs to program/project identiďŹ cation may be elicited in a multi-stakeholder consultation session, or through separate discussions and validations conducted with critical members of the community.

2.11 DETERMINING CDP LEGISLATIVE REQUIREMENTS :KDW DUH OHJLVODWLYH UHTXLUHPHQWV LQ WKH &'3" Legislative requirements are the package of legislative measures that are needed to achieve the development goals and objectives identiďŹ ed in the CDP. These may include 3$/0$ LV DQ DFURQ\P IRU ÂżYH PXQLFLSDOLWLHV LQ WKH 3URYLQFH RI &RWDEDWR QDPHO\ 3LJFDZD\DQ $ODPDGD /LEXQJDQ 0LGVD\DS DQG $OHRVDQ 0HPEHU /*8V RI WKH 3$/0$ DOOLDQFH SRROHG WKHLU LQIUDVWUXFWXUH HTXLSPHQW PDFKLQHU\ SHUVRQQHO DQG H[SHUWLVH WR FROOHFWLYHO\ ZRUN RQ URDG building projects in the member towns. 7KH 6/$0 LV FRPSRVHG RI WKH PXQLFLSDOLWLHV RI 3DJODW *HQ 6. 3HQGDWXQ 'DWX 3DJODV DQG 6XOWDQ VD %DURQJLV

new legislation as well as amendments and updates to existing legislation. For example, if the LGU is undertaking an Investment Promotion Program, there may be a need for a legislation to amend its existing Investment Code.

+RZ DUH OHJLVODWLYH UHTXLUHPHQWV LGHQWLÂżHG" The process of identifying legislative requirements logically takes off after relevant programs and projects have been identiďŹ ed. However, while this can be the starting point for the identiďŹ cation of appropriations ordinances for PPAs, the planning team should continue on and identify other legislative measures that will sufficiently contribute to the attainment of goals and objectives. To illustrate, using Table 2.21 below, one can see that for the environment sector, several legislations are needed in order to attain the objective of expanding forest cover by 25% by 2013. Merely appropriating funds for the Mangrove Rehabilitation Program will not be sufficient to attain the objective by 2013. Additional legislation need to be identiďŹ ed to support the identiďŹ ed program so that desired objectives are achieved. As a rule, identiďŹ ed legislative requirements together with identiďŹ ed programs and projects should be adequate to achieve an objective. Table 2.21 provides a template in identifying relevant legislative requirements that are supportive of the development goals and priorities of the local government. The CDP should devote a section on legislative requirements that include new legislation, as well as those that need amending or updating (Serote 2005). This can serve as the initial source of information for the Sanggunian in identifying priority legislations to be included in their legislative agenda during their term of office.

Table 2.21 CDP Legislative Requirements 6HFWRU

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2EMHFWLYH

Economic

,PSURYHG OR cal economy

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,QVWLWXWLRQDO

Environment

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/HJLVODWLYH 5HTXLUHPHQWV

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Amendment of ,QYHVWPHQW &RGH

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5HYHQXH Enhancement Program

Updating of the 5HYHQXH &RGH

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Mangrove 5HKDELOLWD WLRQ Program

An ordinance declaring man grove forests as protected areas

Environment

Expand man grove forest by E\

An Ordinance Ap propriating funds for mangrove rehabilitation

The Problem Tree and the Objectives Tree found in Annex 2.3 and 2.5 respectively are useful tools in the analysis of problems and in identifying appropriate legislation and other legislative requirements in the CDP.

:KR DUH UHVSRQVLEOH IRU GHWHUPLQLQJ OHJLVODWLYH UHTXLUHPHQWV LQ WKH &'3" The local sanggunian members, who are selected to be part of the planning team, are mainly responsible for determining legislative requirements. This does not however preclude other members of the team to recommend legislation to support the development thrusts of the CDP. The members of the planning team are also encouraged to adopt appropriate participatory tools and techniques to involve more local legislative officials as well as other stakeholders to participate in identifying legislative measures in support of the CDP.

Gearing Up For Plan Implementation 3.1 FORMULATING THE EXECUTIVE AND LEGISLATIVE AGENDA :KDW LV DQ ([HFXWLYH DQG /HJLVODWLYH $JHQGD The Executive and Legislative Agenda (ELA) is a term-based plan of the LGU. It is the joint program of elected officials of the LGU. It contains the major development thrusts and priorities of both the executive and legislative branches for their three year term of office consistent with the development vision, goals and objectives in the CDP. Essentially, the ELA is a slice of the CDP (RPS 2005), but may also contain other thrusts and priorities of the executive and legislative departments which may not have been identiﬁed in the medium term CDP to address pressing concerns and new developments in the locality. The ELA is a tool for: a. Planning and budgeting, as it ƌɄ provides a development roadmap for the LGU within the threeyear term of the LCE and the Local Sanggunian ƌɄ helps identify results that will contribute to the LGU’s longterm vision ƌɄ identiﬁes priority programs and projects to be implemented within the three-year term of the LCE and the Local Sanggunian that will help accomplish desired results

e. 66

ƌɄ organizes and allocates local resources in a rational and results-oriented manner Transparency and accountability, since it ƌɄ informs the constituents of the LGU’s term-based priorities within the context of the medium- and long-term plans, for which the LCE and the other elected officials make themselves accountable ƌɄ facilitates consultation processes between the LCE and the various stakeholders. Social mobilization, because it ƌɄ promotes active and quality participation of the community in local development planning ƌɄ helps rally support from stakeholders ƌɄ helps mobilize resources to implement priority programs and projects ƌɄ helps unite the broader LGU community Performance management, because it ƌɄ provides a basis for ensuring that LGU plans for the three-year term of the LCE and other elective officials are implemented and are producing the desired impact ƌɄ helps set performance targets to the various departments of the LGU, thus encouraging greater accountability for results, at least for the three-year term of office of elective officials Communication, since it ƌɄ allows elected officials to present and articulate their political agenda within their three-year term and seeks their integration in the medium- and long-term development plans ƌɄ creates opportunities for the community to give feedback and voice out their issues and concerns to the LGU, and the LCE in particular ƌɄ encourages closer interface between the executive and legislative officials and ƌɄ allows for elected officials to report back their accomplishments and achievements after their three-year term Convergence, because it ƌɄ Encourages collaboration between the executive and legislative departments, at least within their three-year term in office ƌɄ Provides avenues for consensus among diverse stakeholders in pursuing a set of uniﬁed actions designed to bring about the desired changes in the local community

What are the uses of an ELA? The ELA, as a term-based plan can: a. lead the executive and legislative branches to a uniﬁed vision, mission, goals and objectives b. enable the executive and legislative branches to agree on the priority problems and issues that need to be addressed within their three-year term c. help the LGU focus on a set of interventions towards the attainment of a common set of objectives and goals

d. increase the chances of implementation of priority programs of the executive department within the three-year term of the LCE, if the legislative branch formulates ordinances in support of the LCE program of government for the same period e. speed up the implementation of priority projects within the three-year term of the LCE and local sanggunian

Box 3.1 &RQYHUJLQJ RQ D %OXHSULQW IRU 'HYHORSPHQW $FWLQJ LQ &RQFHUW LQ 8SL 0DJXLQGDQDR The executive and legislative departments of an LGU need to be united in the results and actions that they are going to pursue to maximize the impact of development interventions in their jurisdictions. ,Q 8SL 0DJXLQGDQDR ERWK GHSDUWPHQWV VDZ WKH (/$ DV D WRRO LQ V\QFKURQL]LQJ WKHLU HIIRUWV WRZDUGV their common vision. The formulation of the ELA has encouraged strong collaboration between the WZR RIÂ¿FHV DV ZHOO DV SURYLGHG D PHDQV IRU FRQVHQVXV DPRQJ WKH WUL SHRSOH 7HGXUD\ 0RURV DQG RWKHU HWKQLF JURXSV FRQVWLWXHQWV RI 83, 7KH (/$ DOORZHG IRU FLYLO VRFLHW\ WKURXJK WKH LQYROYHPHQW RI WKH 8SL 3HRSOHÂ·V &RXQFLO WR EH LQYROYHG LQ WKH ZKROH SURFHVV RI IRUPXODWLQJ WKH SODQ The ELA became the blueprint for development in the municipality, with all stakeholders contributing to its effective implementation. 7KH (/$ DV 5HVRXUFH 0RELOL]DWLRQ 7RRO 7KH .DSDWDJDQ /DQDR GHO 1RUWH ([SHULHQFH 7KH (/$ KDV SURYHQ WR EH D KDQG\ WRRO IRU WKH ORFDO FKLHI H[HFXWLYH RI .DSDWDJDQ /DQDR GHO 1RUWH LQ PRELOL]LQJ WKH PXFK QHHGHG UHVRXUFHV IRU KHU SULRULW\ SURJUDPV DQG SURMHFWV )RU KHU WKH ,5$ SURYHG LQVXIÂ¿FLHQW WR IXQG WKH UHTXLUHPHQWV RI WKH FLWL]HQV With a clear roadmap and strong commitment to achieve the LGUs goals, the mayor ably rallied sup port from donors to fund projects, to wit: Â&#x2021; Â&#x2021; Â&#x2021; Â&#x2021; Â&#x2021; Â&#x2021;

)DUP WR 0DUNHW 5RDG 3KDVH , '$5 $'% $5&3 Â² /*8 3RWDEOH ZDWHU VXSSO\ 3KDVH ,, '$5 $'% $5&3 Â² /*8 %RWLFD QJ %DUDQJD\ $FFLRQ &RQWUD HO +DPEUH 6KHOWHU 'HYHORSPHQW /*63$ *DZDG .DOLQJD 3URYLQFLDO *RYHUQPHQW RI /DQDR 'HO 6XU /LYHOLKRRG 3URMHFWV DQG 6KHOWHU &DSDELOLW\ EXLOGLQJ 08&$$5' 5HSURGXFWLYH +HDOWK DQG *HQGHU 3RSXODWLRQ DQG 'HYHORSPHQW 6WUDWHJLHV FRPSRQHQW JHQGHU FRPSRQHQW ,3+2 Â&#x2021; 81)3$ Â² +RXVLQJ &RQVWUXFWLRQ Â² 1+$ SURMHFW '6:' *23 81'3 WK ,% 3$ /*8 Â&#x2021; 6FKRRO EXLOGLQJ FRQVWUXFWLRQ 'HS(G 3ULRULWL]LQJ 3HDFH DQG +XPDQ 6HFXULW\ LQ .DSDWDJDQ /DQDR GHO 1RUWH 7KH YLVLRQ RI .DSDWDJDQ /DQDR GHO 1RUWH KDV DOZD\V JXLGHG WKH H[HFXWLYH DQG OHJLVODWLYH EUDQFKHV WR prioritize peace and human security programs and projects in their ELA. .DSDWDJDQ ZDV GHVLJQDWHG D Â´SHDFH ]RQHÂµ LQ ZKHQ WKH ORFDO JRYHUQPHQW PLOLWDU\ 0,/) WUDGLWLRQDO OHDGHUV VLJQHG D SHDFH FRYHQDQW 7KH ORFDO FKLHI H[HFXWLYH KDV SXUVXHG D WZR SURQJHG VWUDWHJ\ WRZDUGV SHDFH DQG KXPDQ VHFXULW\ SHDFH SURPRWLQJ SURJUDPV DQG WKH GHOLYHU\ RI PXFK QHHGHG EDVLF VHUYLFHV 0XQLFLSDO DQG %DUDQJD\ 3HDFH DQG 2UGHU &RPPLWWHHV 032& %32& ZHUH set up to resolve ridos. 7KH /*8Â·V HIIRUWV SDLG RII UHVXOWLQJ LQ QR PDMRU FODVKHV KDSSHQLQJ VLQFH

How is the ELA formulated? The ELA, as a joint program of local government should be mutually developed and agreed upon by the executive and legislative departments of the LGU in consultation with other stakeholders. Once the CDP has been developed, the LGU can, for the most part, derive the elements of the ELA from the CDP. The following steps can be undertaken: Table 3.1: Steps in Developing the ELA 67(36

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Step 1

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Priority Goals, Objectives, and Strate gies

Step 3

5HYLHZ DQG SULRULWL]H &'3 SURJUDPV DQG SURMHFWV

ELA Priority Programs and Projects

Step 4

5HYLHZ DQG SULRULWL]H &'3 OHJLVODWLYH UHTXLUH ments based on the priorities agreed upon with the executive

(/$ /HJLVODWLYH 5HTXLUHPHQWV

Step 5

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:KDW PDNHV D JRRG (/$" A good ELA possesses the following qualities: a. Objective â&#x20AC;&#x201C; It is grounded on a solid and objective research and sound analysis of the local situation. It cannot be based merely on the limited perceptions and biases of a handful of decisionâ&#x20AC;&#x201C;makers. b. Needsâ&#x20AC;&#x201C;based â&#x20AC;&#x201C; It is anchored on real needs of the community by making use of participatory approaches and tools, such as the results of Minimum Basic Needs (MBN) survey and CBMS c. Focused â&#x20AC;&#x201C; It channels LGU efforts and resources towards critical interventions which are anticipated to contribute signiďŹ cantly to the realization of long-term development goals while bringing immediate beneďŹ ts to its constituency.

d. Widely-shared and Participatory â&#x20AC;&#x201C; It is widely shared, crossing party lines and sectors. It reï¬&#x201A;ects the values, views and development priorities shared by its constituents.

BOX 3.4 SAMPLE FORMAT OF THE EXECUTIVE AND LEGISLATIVE AGENDA 0HVVDJH IURP WKH /RFDO &KLHI ([HFXWLYH 0HVVDJH IURP WKH 9LFH /&( /'& 5HVROXWLRQ (QGRUVLQJ WKH (/$ 6DQJJXQLDQ 5HVROXWLRQ $GRSWLQJ WKH (/$ Location Map LGU Vision and Mission Statement %ULHI 3URÂ¿OH RI WKH /*8 D +LVWRULFDO %DFNJURXQG E 3K\VLFDO DQG 'HPRJUDSKLF &KDUDFWHULVWLFV 6HFWRU 6LWXDWLRQ D 6RFLDO 'HYHORSPHQW 6HFWRU E (FRQRPLF 'HYHORSPHQW 6HFWRU F (QYLURQPHQW DQG 1DWXUDO 5HVRXUFHV G ,QIUDVWUXFWXUH 6HFWRU e. Governance and Administration I &XOWXUH DQG 3HDFH 6/*5 6HFWRUDO *RDOV 2EMHFWLYHV 6WUDWHJLHV DQG 'HYHORSPHQW ,QWHUYHQWLRQV a. Sectoral Goals, Objectives and Strategies b. Priority Programs and Projects by Sector F 3ULRULW\ /HJLVODWLYH 5HTXLUHPHQWV 7KH /RFDO 'HYHORSPHQW ,QYHVWPHQW 3URJUDP a. List of ranked prioritized projects, with cost estimates E 3URMHFWHG )LVFDO 5HTXLUHPHQWV YLV j YLV 3URMHFWHG 5HYHQXHV F 5HVRXUFH 0RELOL]DWLRQ 6WUDWHJLHV 3ULRULW\ &DSDFLW\ 'HYHORSPHQW 1HHGV DQG 5HTXLUHPHQWV &RPPXQLFDWLRQV 3ODQ 7. Monitoring and Evaluation

$UH WKH OHJLVODWLYH UHTXLUHPHQWV RI WKH &'3 WKH VDPH DV WKH /HJLVODWLYH $JHQGD" The Legislative Agenda (LA) is the primary tool of the Sanggunian in performing its role as the legislative body of the LGU. It provides a roadmap to guide them in the enactment of ordinances during their term of office. Necessarily, the LA should have a timeframe of three years consistent with their term of office. The legislative requirements of the CDP are the priority legislations that need to be enacted by the Sanggunian to support development priorities of the LGU in the medium term. Some of the identiﬁed CDP legislative requirements are subsequently integrated in the three year LA of the Sanggunian and the ELA. Figure 3.1 shows the link between the CDP legislative requirements and the three year LA which bears part of the ELA. The ﬁgure shows that only a portion of CDP legislative requirements can be picked-up by the Sanggunian for their three year LA that becomes part of the ELA priority legislative requirements.”

Figure 3.1 Link of CDP Legislative Requirements and LA

70 &'3 OHJLVODWLYH UHTXLUHPHQWV ELA Priority legislative UHTXLUHPHQWV

Legislative Agenda

+RZ DUH SULRULW\ OHJLVODWLYH UHTXLUHPHQWV IRU WKH (/$ LGHQWL¿HG" The process of identifying legislative requirements in the ELA takes off after relevant programs and projects have been prioritized. Table 2.21 discussed in the preceding section can be used for this purpose. The output generated from this step is useful in terms of: ƌɄ Highlighting and advocating the importance of harmonizing legislative and executive actions ƌɄ Generating needed support for implementation of ELA activities ƌɄ Providing focus to the legislative work of the Sanggunian

3.2 INTEGRATING LOWER LEVEL PLANS There is no one way of integrating lower level plans with their higher level counterparts. Lower level plans are incorporated into their higher level counterparts in several ways. Specific to municipal and city CDPs, integration of Barangay Development Plans (BDP) is done at different levels namely: ƌɄ Elevating highly critical issues identified in the BDPs (e.g. high incidence of waterborne diseases) to MDPs/CDPs ƌɄ Including priority programs and projects of barangays that reflect the priority thrusts of the municipality/city that barangays are not able to fund and are part of the municipal/city mandate (e.g. construction of farm-to-market roads) As has been discussed earlier, integrating barangay plans is only possible if all barangays in the city/municipality develop their BDPs simultaneously.

3.3 THE LOCAL DEVELOPMENT INVESTMENT PROGRAM Sec. 107 of the LGC requires LGUs to prepare an investment program, referred to as the Local Development Investment Program (LDIP) and the Annual Investment Program (AIP), to operationalize the local development plan. The LDIP and the AIP are the principal instruments for implementing the CDP and ELA and link the plan to the budget. The LDIP should have a three years timeframe to coincide with the term of office of local officials, subject to annual review.

Box 3.5 The LDIP 7KH /',3 LV QRW VLPSO\ D OLVW RI SULRULW\ programs and projects that the LGU ZDQWV WR FDUU\ RXW ,W DOVR FRQWDLQV D SURJUDP IRU SODQQHG ¿QDQFLQJ RU IRU using the investible portion of the local EXGJHW WR ¿QDQFH WKH LPSOHPHQWDWLRQ RI WKRVH SURJUDPV DQG SURMHFWV DQG or raising additional funds utilizing the /*8·V ¿VFDO PDQDJHPHQW SRZHUV DQG authority.

The LDIP consists of programs and projects that are local or within the mandate of LGUs. It considers only programs and projects that are to be financed by LGU funds, including national programs that are prioritized for LGU implementation and for which local LGU counterpart is required. Unlike the CDP which presents a long list of programs and projects that are envisioned to meet sectoral goals, investment programming entails the prioritization of identified sectoral projects, ranking the priority programs and projects vis-à-vis a set of criteria, matching the ranked programs and projects with available financial resources, and formulating a financing plan to support the implementation of priority projects that cannot otherwise be funded out of LGU funds.

What is the LGU Development Fund? It is a common perception that the LGU development fund or that portion of the local budget used to ﬁnance investment programs and projects of the LGU is equivalent to 20% of its IRA share. In reality, LGUs spend more than 20% of the IRA for development.

Portions of the Maintenance and other Operating Expenses (MOOE) and capital outlay budget that are spent directly for basic service delivery, e.g. travel allowance of rural health doctors to barangays and medical supplies used, form part of the LGU development fund and should be reﬂected in the LDIP. The 20% of the IRA is intended as the minimum, not the ceiling, in determining the LGU’s development fund. Figure 3.2 shows the potential sources of local funds that LGUs can mobilize to ﬁnance development programs and projects.

Figure 3.2 Local Funds for Development

7KH 6LPSOL¿HG /',3 3URFHVV The LDIP process is made up of three streams of activities: a. Producing a ranked list of programs and projects with individual cost estimates b. Determining available future funds for investment c. Matching the fund requirements with projected funds available and deciding on ﬁnancing options should the funds available be insufficient Figure 3.3 illustrates the steps involved in preparing the LDIP.

Figure 3.3. LDIP Process as a Link between Development Planning and Budgeting

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6WUHDP 3URGXFLQJ D 5DQNHG /LVW RI 3URJUDPV DQG 3URMHFWV 1. The ďŹ rst step is to derive the list of priority programs and projects and rank them according to a set of criteria. The output is a ranked list of programs and projects that will be presented to the LDC for approval, and the corresponding project briefs for each project in the shortlist. 2. The next step is to determine or validate estimates of costs of each of the priority program/projects. This is important to allow matching of investment requirements with the estimate of available funds.

The prioritization exercise involves a rigorous process described below. Prioritizing Programs and Projects Why is program/project prioritization important? Project prioritization plays an important role in the budget process. They help the LGU focus scarce resources on relevant programs and projects that contribute to the achievement of their goals and objectives. The list of priority programs and projects can become the starting point of the LDC in drawing up the LDIP and the AIP. How are programs and projects prioritized? Choosing programs and projects through well-thought out criteria makes the decisionmaking process rational and less arbitrary. The criteria for prioritization will vary depending on who formulates them since these reﬂect the values of people and the speciﬁc situation of the LGUs. In ARMM, a criteria for elevating programs and projects of the province to the region has been agreed upon by the different stakeholders (see Annex 3.0). Proper reference to and alignment with the following should be made in the process of setting the criteria: 74

a. LGU mandates as speciﬁed in Section 16 of the 1991 Local Government Code b. National government functions devolved to LGUs under the Local Government Code of 1991 (Sec. 17) c. Crafted vision/mission, goals and objectives d. Targets e. Issues and problems that require priority focus The prioritization activity should be results-oriented and viewed not simply as a means to ﬁnance activities and materials; rather, prioritized programs and projects are approved as the best means to attain objectives. Program/ project prioritization involves the following steps: a. Project Screening: a.1 Initial project screening. For the initial project screening activity, simultaneous sectoral workshops participated in by the members of the Local Development Council (LDC), all department heads, and members of the expanded Local Finance Committee (LFC) can be conducted. This project screening shall be done to: ƌɄ consolidate repetitive and redundant proposals ƌɄ reject obviously impractical or undesirable project proposals ƌɄ sift “non projects” from “projects”

Projects are development interventions that have deďŹ nite time frames, require deďŹ nite resource inputs like additional staff, equipment and space separate from the existing office and with speciďŹ c outputs. Below are the more speciďŹ c distinguishing features of â&#x20AC;&#x153;projectsâ&#x20AC;? and â&#x20AC;&#x153;non-projectsâ&#x20AC;?. Routine transactions, activities and services that are part of the regular functions of the LGU office and performed by the regular staff with existing facilities and budget are non-projects and need not be included in the LDIP (e.g. issuance of business permits by the Business Permit and Licensing Office and the mayors office, collection of real property taxes by the Treasurerâ&#x20AC;&#x2122;s Office, the issuance of quarry permit by the Engineering and Environment Office, or the enforcement of an ordinance by the mayors office). Differentiating projects from non-projects are further discussed in Table 3.2 below. Table 3.2 Guide to Distinguish Projects from Non- Projects 352-(&7

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Table 3.3 gives an example of how projects are â&#x20AC;&#x153;siftedâ&#x20AC;? for inclusion in the LDIP. As mentioned above, routine transactions and service delivery functions that are regularly done by the LGU should be ďŹ ltered out.

Table 3.3 Sifting Projects from Non-Projects Sectoral Goal: To raise average income of farming households 1R 1.0

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a.2 Sift programs and projects for ownership (see Table 3.4 for example) For purposes of maximizing limited LGU resources and to guide the subsequent efforts of the LGU in integrating PPAs to higher level plans, identified programs and projects are further sifted or categorized according to ownership, whether it is a mandate for national, local or would be done better by the private sector. Screening PPAs for ownership entails the following: ƌɄ screen out projects that are more appropriately implemented by other agencies/organizations ƌɄ determine projects that fall under the responsibility of the LGU ƌɄ For programs and projects identified as “locally-owned, these can be further categorized based on defined administrative responsibility (provincial, city, municipal or barangay) as provided in Sec. 17 provisions of the 1991 LGC.”

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a.3 Once programs and projects are identified as “locally-owned” by the municipality, city or province, further screening is done to surface conflict, compatibility or complementarity. This should lead to the exclusion or redesign of conflicting projects. The relationship between projects is one of conflict when the expected benefits tend to nullify each other, or the implementation of one obstructs the implementation of another. The PCIA Tool can be used to re-design or remove projects in the list that potentially contribute to conflict in the community and prioritize those that promote peace. b. Project Ranking After project screening, the selected projects will be subjected to a ranking process. A tool that can prove useful in prioritization of programs and projects is the Goal Achievement Matrix (GAM). This process will assure a high degree of participation by the members of the Local Development Council (LDC), expanded Local Finance Committee (LFC) and the Local Council (Sangguniang Panlungsod/Bayan). The Goal-Achievement Matrix (GAM) is a popular planning tool used to evaluate alternatives. Essentially, the tool evaluates options in terms of how well they contribute to the goals and objectives of the plan. As applied in program/project prioritization, GAM can be used to examine the alignment of proposed programs/projects with the goals and objectives. The GAM tool as used in prioritizing programs and projects is explained in Annex 2.7. while its use for project ranking is found in Annex 2.9. In ranking programs and projects, the planning team should consider equity as a criteria. Given competing needs of LGU stakeholders, stakeholder analysis (SA) can be an additional tool to help focus on sectors or groups that are most in need of assistance.

For projects in the priority shortlist, the team should prepare individual project briefs containing more basic information that LDC members can use in reviewing and approving projects using GAM or similar tools. Relevant information can be captured in a one page project brief. Box 3.6 provides a sample outline of a project brief.

Stream 2: Determining Investible Funds This stream runs parallel with the prioritization of programs and projects. The focus is on determining the ﬁscal capacity of the LGU or the level of resources available to ﬁnance its priority programs and projects (also referred to as the LGU’s investible funds). Who are involved in determining the LGU investible funds?

Box 3.6 3UHSDULQJ 3URMHFW %ULHIV Prioritized programs and projects need to be translated into project briefs that give more detailed LQIRUPDWLRQ RQ WKH SURMHFW ,W LV recommended that the brief should be not more than one page and should contain information listed EHORZ 6HURWH Project briefs are to be prepared by the concerned sectoral and func tional committees with support IURP WKH VHFUHWDULDW RI WKH /'& The recommended contents of a project brief include the following: a. the name and type of project (generally, “soft” or “hard”) b. activity components c. the proponent or originator of the project idea G WKH MXVWL¿FDWLRQ IRU WKH SURMHFW GHULYHG IURP WKH &/83 RU &'3

H WKH LQWHQGHG EHQH¿FLDULHV (population sectors or geograph ical areas) f. estimated cost or resource inputs (broken down by activity component) g. target outputs or success indica tors

The Local Finance Committee (LFC), composed of the Local Planning and Development Coordinator, the Budget Officer and the Treasurer, is charged under the LGC with the “setting of the level of annual expenditures and the ceilings of spending for economic, social and general services based on the approved local development plans.” As such, they should undertake the required ﬁnancial plan development in close coordination with the Local Development Council (LDC) for consideration and 6RXUFH $GDSWHG IURP 6HURWH approval of the Sanggunian. The LFC could be expanded to include the Sanggunian appropriations committee chair, the Assessor, the LGU accountant, a private sector representative and a representative from civil society. How is the LGU investible fund determined? The LGU’s investible funds is determined by the following: ƌɄ Revenue level of the LGU ƌɄ Level of recurring local government operating expenditures ƌɄ Current public debt level ƌɄ Statutory obligations/expenditures ƌɄ Potential sources of additional revenue available for project ﬁnancing

The process of determining the investible funds involves the following general steps: a. Data collection on key ďŹ nancial statements (revenue and expense) covering several years b. Trend analysis, as well as analysis of the impact of policy, legislative and system/procedural changes on revenues and expenses c. Projection of revenue and expense d. Determination of new capital ďŹ nancing options 6WHS 'DWD FROOHFWLRQ RQ NH\ ÂżQDQFLDO VWDWHPHQWV UHYHQXH DQG H[SHQVH FRYHULQJ VHYHUDO years Collect appropriate revenue data and determine the historical trends. Revenue is deďŹ ned as any inďŹ&#x201A;ow of funds to the LGU regardless of whether the source is repayable or not. It is suggested that data on revenue and expenditures be collected for the past three to ďŹ ve years and determine the historical trend is determined by computing for the average annual rate of growth. Historical analysis must be done for the major revenue sources: real property tax, business fees and licenses, other taxes, service and operations income, IRA and others. Tables 3.5 and 3.6 provide sample forms for time series computation of property tax revenue and other revenue sources, respectively.

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Ć&#x152;É&#x201E; Distinguish between (a) recurring and (b) non-recurring ones. This is because the LDIP needs a stable source of ďŹ nancial resources that depend on revenue sources which are assured for being collected every year. Thus, only projections of recurring revenue sources are relevant for investment planning purposes Ć&#x152;É&#x201E; Distinguish between the impact on revenue volume of (a) changes in the tax base such as increases in number of taxable structures or businesses, and (b) changes in tax rates Analysis of historical trend must also examine occurrence of any unusually large increase in a revenue source for a particular year which cannot be expected to continue in the future. The impact on revenue of systems and procedural changes in billing and collection systems, enactment of new tax laws and ordinances, granting of tax amnesties, etc will have to be segregated in the analysis. 6WHS 7UHQG DQDO\VLV DV ZHOO DV DQDO\VLV RI WKH LPSDFW RI SROLF\ OHJLVODWLYH DQG V\VWHP SURFHGXUDO FKDQJHV RQ UHYHQXHV DQG H[SHQVHV Collect appropriate operating expenditure data including existing debt service and determine historical trends. LGU expenditure patterns must be analyzed using available historical data. The period of analysis should match the number of years used in the revenue analysis. Historical analysis needs to be done on the following expenditure items: general public services, social services, economic services, and others. The amount of debt service payments for existing and other anticipated LGU obligations must be established, and compared to the statutory debt service ceilings.

It should be noted that election years usually result in abnormally high expenditures Thus, historical analysis of expenditures should remove such â&#x20AC;&#x153;abnormal years.â&#x20AC;? Tables 3.7 and 3.8 show sample formats of historical time series for LGU operating expenditures and debt servicing, respectively. Table 3.7 Time Series Record of LGU Operating Expenditures <HDU

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6WHS 3URMHFWLRQ RI UHYHQXH DQG H[SHQVH Establish relationships of revenue and expenditure items to population and economic development. After establishing the historical trend, it is also important to examine the behavior of revenue and expenditure to changes in population and economic development activities in the LGU, the overall national and regional economic development trends, demographic shifts, and changes in the labor market. One of the ways to establish such relationships is through the use of per capita analysis.

6WHS 'HWHUPLQDWLRQ RI QHZ FDSLWDO ÂżQDQFLQJ RSWLRQV Project future recurring LGU revenue and operating expenditure levels. In projecting future recurring revenue and expenditures, a careful assessment of the probable factors that affect each revenue source should be considered. Separate projections should be made for each major revenue item. Real property tax collection, being the largest source of revenue and the main beneďŹ ciary of LGU investments, should be projected separately. For expenditures, future normal recurring expenditures can be projected using (a) historical three to ďŹ ve years average annual expenditure increase or (2) historical average expenditure per unit of output in the case of LGU business enterprises. Expenditure projections should also consider the effects of any expansionary or organizational development/improvement plans within the LGU. Tables 3.9, 3.10 and 3.11 provide templates for revenue and expense projections with detailed instructions. Table 3.9 Projection of Property Tax Revenue

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Table 3.10 Projection of Total Revenue

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Table 3.11 Projection of LGU Operating Expenditure

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How is the appropriate future growth rate for each revenue and expenditure set? The historical trend analysis and assessment of the overall operating environment prospects determine which growth rate assumption is most appropriate for the locality. Four alternative future growth rate scenarios can be used in coming up with the required ﬁnancial projections. a. No change. This assumes that the present level of revenue or expense item will continue in the future. Thus, either a constant absolute amount based on a recent year or on the average over a certain number of years is used in the projection. This method may be used if historical trend indicates little or no change, and provides a conservative estimate of an uncertain revenue source. b. Change by constant amounts. This technique assumes yearly changes based on constant amount. It makes use of the average yearly change over the historical period of analysis as the amount to be added to the current year’s value to obtain future year value.

c. Change at a constant rate. This technique assumes annual changes at a constant rate based on the historical annual average percentage change estimate. The percentage change estimate, or the growth rate, is multiplied by the current year value to derive the next amount that should be added to the current year value to arrive at next yearâ&#x20AC;&#x2122;s value. d. Correlation with demographic or economic variables. This method assumes a constant relationship between revenue and expense item and a demographic or economic variable. As discussed in Step 1, either the result of per capita analysis or an elasticity analysis adjusted to reďŹ&#x201A;ect anticipated special developments in the LGUâ&#x20AC;&#x2122;s socio-economic and political environment can be used for this purpose.

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The steps involved are as follows: 6WHS 'HWHUPLQH KRZ PDQ\ RI WKH DSSURYHG SURMHFWV FDQ EH IXQGHG IURP UHJXODU VRXUFHV IRU WKH WKUHH \HDU SHULRG DQG KRZ PDQ\ KDYH WR EH ÂżQDQFHG IURP RWKHU VRXUFHV 7KH SURFHGXUH LQ XQGHUWDNLQJ WKLV H[HUFLVH LV DV IROORZV a. Using the ranked list of projects derived from the previous stream, take the cumulative total of the project costs from the top of the list downwards. Stop at the project that gives the cumulative total equal to or nearly equal to the estimated available funds for the next three years. b. Take the total cost of the remaining projects that cannot be funded out of recurring sources. This amount should be transmitted to the Local Finance Committee for consideration in looking for other ďŹ nancing options.

6WHS /'& DSSURYHV WKH UDQNHG OLVW RI SURMHFWV 7KH /'& WKURXJK D YRWH RU UHVROXWLRQ DSSURYHV WKH UDQNHG OLVW RI SURMHFWV ZLWK WKHLU FRUUHVSRQGLQJ LQGLYLGXDO DQG DJJUHJDWH FRVW estimates. 6WHS 7KH /'& GHOLEHUDWHV RQ DQG GHFLGHV ZKDW ¿QDQFLQJ DSSURDFK WR WDNH 7KUHH ¿QDQFLQJ DSSURDFKHV DUH DYDLODEOH WR ORFDO JRYHUQPHQWV Option 1. Conservative approach where only projects that can be funded from regular sources will be implemented. Option 2. Developmental approach wherein the LGU will tap all revenue sources possible to raise the needed funds to implement the priority programs and projects Option 3. Pragmatic approach which uses a combination of the two options. The relevant general steps to be taken under any of the options are as follows: 1. Generate the final list of projects. In option 1, the LDC further trims down the project list. Under option 2, the ranked list of projects is taken as the final package of projects to be implemented and the LGU will secure the needed funds from all possible sources. 2. Under option 3, the LCE directs the LFC to make further studies on how to raise the needed funds. Among the measures to be taken are as follows: a. Cut down on the number of projects. If the LGU chooses to reduce the number of projects to be funded from the local budget, the question to ask is, which projects will be excluded? The second option requires a good assessment of expenditure items and determining which of these needs to be cut down. b. Augment available resources through improved fiscal arrangements, i.e. intensified revenue collections and judicious expenditure management. c. Augment available funds by public borrowing and other financing options 3. LPDO prepares the three-year investment program and submits the draft to the LCE who in turn endorses it to the Sanggunian for adoption. 4. Sanggunian adopts the LDIP. After receiving the draft LDIP, the Sanggunian deliberates on and through a resolution, adopts the three-year investment program. Table 3.13 Local Development Investment Program (LDIP) Project Summary

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For more advanced and detailed techniques in investment programming, the RPS reader and the NEDA Guidebook on Provincial and Local Planning and Expenditure Management Volume 4 are recommended. LGU Financing Plan Development The ﬁnal step in investment programming is the preparation of the LGU Financing Plan that will have at the minimum the same timeframe as the LDIP. Ideally, the LGU Financing Plan should be prepared in consultation with critical stakeholders as the ﬁnancing options are likely to have implications on them in terms of additional taxes or fees and the quality of future service delivery. :KDW ¿QDQFLQJ RSWLRQV DUH DYDLODEOH WR WKH /*8"

LGU financing options have become extensive due to the corporate powers vested to LGUs by the Local Government Code. Apart from their taxing powers that enable them to generate local revenues, LGUs can now borrow funds to finance the implementation of development projects. Credit financing as a financing option should be resorted to with caution and careful analysis particularly in terms of its financial soundness and long term impact on the LGU’s financing standing and service delivery capacity. LGUs should also ensure that any undertaking to be entered into with the private sector shall promote and safeguard the interest of the local constituents. Figure 3.4 illustrates the different options that may be employed by the LGUs to augment its locally generated resources. Figure 3.4 LGU Financing Options ARMM LGU FINANCING OPTIONS

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Sources of Revenue The major sources of revenues for LGUs are explained below. ,QWHUQDO 5HYHQXH $OORWPHQW ,5$ A major source of funds for LGU programs and projects is the IRA. Section 284 of the LGC specifies that the IRA is the local government’s share of revenues from the national government. It is common notion that 20% of the IRA should be channeled to the provision of basic services and facilities needed in the LGU. However, the intent of the LGC is for LGUs to give utmost priority in the utilization of their IRA for development projects (Section 17g of LGC). /RFDO 5HYHQXHV Taxes, Fees and Charges – Section 18 and 129 of the LGC of 1991 clearly stipulates that each LGU has the power to create its own sources of revenue and to levy taxes, fees, charges which shall accrue exclusively for their use and disposition and which shall be retained by them subject to the provisions of RA 7160. Pursuant to this provision, LGUs can increase its local revenues by either implementing measures to efficiently collect taxes, fees and charges based on existing ordinances or impose increases on the tax base or creating new sources of revenue. Special Levy – The special levy is another LGU source of income waiting to be tapped. The special levy is an assessment on lands that are specially benefited by public works projects, whether new construction or improvements on existing ones funded by the LGUs. The Code, however, provides that: a. the special levy shall not exceed sixty percent (60%) of the actual cost of such projects and improvements, including the cost of acquiring land and such other real property in connection therewith b. the special levy shall not apply to all lands exempt from basic real property tax and the remainder of the land portions of which have been donated to the local government unit for concerned for the construction of such projects or improvements (Section 240, RA 7160) 2I¿FLDO 'HYHORSPHQW $VVLVWDQFH Official development assistance (ODA) is defined as those flows to developing countries which are provided by official agencies, including state and local governments, or by their executive agencies. It can be bilateral or multilateral technical assistance and loans. Bilateral transactions are those undertaken by a donor country directly with an aid recipient. Multilateral contributions are those made to a recipient institution which is an international agency, institution or organisation whose members are governments, or a fund managed autonomously by such an agency.

The ODA is administered with the promotion of the economic development and welfare of developing countries as its main objective. ODA ďŹ&#x201A;ows are either loan or grant. ODA loans are concessional in character (low interest rate if loans) and sometimes, contain a grant element of at least 25%. The Local Government Code empowers the local chief executives, as authorized by the local Sanggunian, to negotiate and secure ďŹ nancial grants or donations in kind in support of basic services and facilities from local and foreign assistance or agencies without the necessity of securing clearance or approval from any department, agency or office of the National Government or from any higher LGU.

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ODA funds coordinated and managed at the regional level either by PMOs or Regional agencies like RPDO, DA, ODA offices, TMS-ORG like UNICEF, KSFP, MRDP, USPL, ARCP, UNMDP, LGSPA-CIDA, INFRCS, and others were also allocated funds for LGUs PIP. (EO 7 ODA Coordination and Oversight Committee – May 2008 – Regional Government) ,QYHVWPHQW 3URJUDPPLQJ DQG 5HVRXUFH 0RE 6HFWLRQ ,QWHJUDWLRQ ,QWHUSKDVH RI /RFDO WR 5HJLRQDO

3ULYDWH )LQDQFLQJ Private financing comes in varied forms such as: ƌɄ build-operate and transfer agreement ƌɄ bond flotation ƌɄ other long-term securities. Section 302 of the Local Government Code sets the basic guidelines in employing BOT scheme and the Philippine BOT Law and its implementing rules and regulations provide the details. In particular, Section 3 (Private Initiative in Infrastructure) of the BOT Law stipulates that all government infrastructure agencies, including government-owned and-controlled corporations (GOCC) and local government units (LGUs) are authorized to enter into contract with any duly pre-qualified project proponent for the financing, construction, operation and maintenance of any financially viable infrastructure or development facility through any of the projects authorized in the BOT Law. Said agencies, when entering into such contracts, are enjoined to solicit the expertise of individuals, groups, or corporations in the private sector who have extensive experience in undertaking infrastructure or development projects. %RQG )ORWDWLRQ DQG 2WKHU /RQJ 7HUP 6HFXULWLHV Section 299 of the Code also authorizes the provinces, cities and municipalities to issue bonds, debentures, securities, collaterals, notes and other obligations to finance its self-liquidating, income producing development or livelihood projects pursuant to the priorities established in the approved local development plan and subject to the rules and regulations set by the Central Bank and Securities and Exchange Commission. %RUURZLQJ &UHGLW )LQDQFLQJ Title IV of the Local Government Code provides the legal basis for the LGUs to create indebtedness and avail of credit facilities with any government or domestic private bank and other lending institutions to finance infrastructure and other socio-economic development projects in accordance with the approved local development plan and public investment program.

For loans from funds sourced by the national government from foreign services, the President of the Philippines or his/her duly authorized representative may through any government ďŹ nancial or other lending institutions re-lend to any province, city or municipality. An example of this scheme is the Local Urban Water Supply Project of the Development Bank of the Philippines (DBP) with funds from the World Bank. ,QWHU ORFDO JRYHUQPHQW ORDQV JUDQWV DQG VXEVLGLHV Concerned LGUs may extend loans, grants or other subsidies to other LGUs under such terms and conditions as may be agreed upon by the contracting parties. These may be agreed upon by provinces, cities and municipalities, upon the approval of the majority of the local sanggunian concerned in amount not exceeding their surplus funds. A compilation of information on non-traditional sources of funds may be found in the Resource Finder, a publication of the DILG with assistance from the Local Government Support Program Phase II (LGSP II). An e-copy of the publication is available and downloadable from www.lgspa.org.ph.

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7KLV 3URMHFW LV D VHULHV RI WKUHH %DQN VXSSRUWHG LQYHVWPHQWV WR DVVLVW WKH *RYHUQPHQW RI WKH 3KLOLS pines in: a. clarifying the role of local government units (LGUs) in the provision of water supply services; b. providing guidance to the LGUs in the development and implementation of viable and sustainable water supply projects; c. managing water as an economic good and promoting greater private sector participation in service delivery, G LGHQWLI\LQJ LQVWLWXWLRQDO VWUHQJWKHQLQJ QHHGV RI /*8V WR GHYHORS WKHLU FDSDFLW\ WR SHUIRUP ÂżQDQF ing, planning and service provision functions. ,QVWLWXWLRQDO 5HVSRQVLELOLWLHV '%3 %RUURZHU RI WKH ORDQ RQ OHQGV WKH VDPH WR /*8V 5HVSRQVLEOH IRU FRQVWUXFWLRQ VXSHUYLVLRQ WKURXJK WKH &6& IXQG PDQDJHPHQW DQG FUHGLW HYDOXDWLRQ ',/* 0DUNHWV WKH 3URMHFW WR /*8V HQVXULQJ D UROOLQJ SLSHOLQH RI /*8 DSSOLFDQWV DQG DVVLVWV LQ SURM HFW SUHSDUDWLRQ SDUWLFXODUO\ WKH VXEPLVVLRQ RI (&& 5'& HQGRUVHPHQW DQG RWKHU JRYHUQPHQW clearances and approvals. '2) 0RQLWRUV OHVVRQV OHDUQHG DV LQSXW WR IXWXUH SROLF\ IRUPXODWLRQ LQ WKH VHFWRU

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3.4 THE ANNUAL INVESTMENT PROGRAM The tool by which an LGU administers and provides budgetary support to its ELA and LDIP is the AIP. For planning & investment programming purposes, the AIP constitutes the annual slice of the LDIP, referring to the indicative yearly expenditure requirements of the LGUâ&#x20AC;&#x2122;s PPAs to be integrated in the annual budget (JMC No. 001 Series of 2007). For budgeting purposes, the AIP constitutes the total resource requirements for the budget year, including the detailed annual allocation of each PPA in the annual slice of the LDIP and the regular operational budget items broken down into Personal Services (PS), Maintenance and Other Operating Expenses and Capital Outlay (JMC No. 001 Series of 2007). The Plan â&#x20AC;&#x201C; Budget Flow as described in the Updated Budget Operations Manual for Local Government Units (UBOM)7 and the JMC No. 1, series of 2007 is shown in Figure 3.5. Figure 3.5 Plan-Budget Flow &2035(+(16,9( '(9(/230(17 3/$1 &'3

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The link between planning and budgeting takes place when the AIP, after having been reviewed and endorsed by the Sanggunian, is used by the LFC in the preparation of sectoral ceilings. This planning and budgeting linkage at the local level is illustrated in Figure 3.6.

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The New AIP The new AIP, as enunciated in the JMC constitutes the annual slice of the LDIP and refers to the indicative yearly expenditure requirements of priority programs, projects and activities to be integrated into the annual budget. It comprises the total resource requirements for the budget year, including the detailed annual allocation for each PPA and the regular operational budget items broken down into Personal Services (PS), Maintenance and Other Operating Expenses (MOOE) and Capital Outlay (CO). As presented in the JMC, the AIP should contain the following: a. b. c. d. e. f.

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The new format of the AIP is shown in Table 3.15. The sectoral groupings in the new AIP are slightly different from that used in the CDPELA. These are the following: a. Economic Services, which cover all activities directed to the promotion, enhancement and attainment of the desired economic growth (Endriga, Pulumbarit-Elum, Yap & Alcalde, p. 61) b. Social Services, which embrace expenditures for education, health, social security, labor and employment, housing and community development and other social services (Endriga, Pulumbarit-Elum, Yap & Alcalde, p. 202) c. General Services, which include executive and legislative services; overall fiscal and financial services; planning and conduct of foreign affairs; general research; public order and safety and centralized services (Endriga, Pulumbarit-Elum, Yap & Alcalde, p. 92) A sector for “Others” is also provided to indicate all other services which cannot be clustered with the three major sectors. In the context of the UBOM, the following definitions are offered: a. Program – an aggregation of government projects/activities that share a common set of objectives. It is a major operation composed of projects and activities designed to accomplish or implement a mandate, function or objectives of an organization. (UBOM, p.42) Example: Agriculture and Environment Program b. Project – a special undertaking within a program composed of activities, which are carried out within a definite time frame and result in the accomplishment of an identified output. (Ibid). Example: Establishment of a Municipal Nursery c. Activity – a work process which contributes to the accomplishment of a program or project. A sequence of actions done to implement the project. (Ibid). Example: Maintenance of Municipal Nursery

Timetable for AIP Preparation The AIP for the Budget Year is prepared within the ﬁrst 6 months of the current year (January to June) to catch up with the issuance of the Budget Call by the end of June of the current year. For example, if the budget to be prepared is for 2008, the AIP should be prepared in January to June 2007. This is called the Pre – Budget Preparation Stage. The issuance of the Budget Call anytime between June 16 – 30 marks the beginning of the Budget Preparation period (Figure 3.7).

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$FFRPSOLVKLQJ WKH $,3 )RUP Once you have prepared your CDP, ELA and LDIP, it will now be easy to ďŹ ll out the AIP form. The AIP should be prepared using the prescribed form in JMC No. 1 Series of 2007. The forms are prepared by the LPDO and the Budget Office based on the approved ELA of the LGU as approved by the local sanggunian. The annual component of the Capital

Expenditure (Capex) shall be inputted by the Planning Coordinator and shall be integrated by the Budget officer together with the Personal Services (PS), Maintenance and Other Operating Expenses (MOOE) and other Capital Outlay (CO). The completed AIP Form is attested by the Local Chief Executive (LCE). The AIP is approved by both the Local Development Council (LDC) and the Sanggunian through a resolution. The following discussion can serve as guide in ďŹ lling out the AIP form: Column 1 â&#x20AC;&#x201C; Indicate the reference code for the sector/sub-sector as per UBOM in order to facilitate consolidation of requirements. Reference Codes are used in the AIP to indicate the sector or sub-sector to which the PPAs belong. They are vital in the linkage process. The sectoral code classiďŹ cation, which should be consistent and applied in all plan and budget documents, consists of the following: Ć&#x152;É&#x201E; Sector â&#x20AC;&#x201C; symbolized by two digits, from 10 to 90 (See Table 3.15) Ć&#x152;É&#x201E; Program â&#x20AC;&#x201C; represented by a third digit Ć&#x152;É&#x201E; Activity â&#x20AC;&#x201C; signiďŹ ed by a fourth digit Table 3.14 Reference Code by Sector and Sub-Sector 6HFWRU 6XE 6HFWRU

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Prepared by: ______________________________________________ 3ODQQLQJ 2IÂ¿FHU 'DWH BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB

Social Services (30)

Economic Services

General Public Services (10)

AIP REFERENCE CODE

67$57 ING '$7(

COMPLE 7,21 '$7(

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SCHEDULE OF IMPLE 0(17$7,21 EX 3(&7(' 2873876

PER SONAL SERVICES 36

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FUNDING SOURCE

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BY PROGRAM/PROJECT/ACTIVITY BY SECTOR AS OF __________________

PROVINCE/CITY/MUNICIPALITY/BARANGAY: ______________________

Table 3.15 AIP Form

96 727$/

Column 2 – Describe brieﬂy the project/ activity to be implemented. This information can be derived from the project briefs. Column 3 – Identify the implementing office/department for the program/project/ activity. Column 4 & 5 – The target start and completion dates of the proposed program, project or activity within the plan period must be clearly stated, e.g., August 2007 to December 2007. Column 6 – Outputs can be derived from the project briefs. Outputs are the deliverables of the program, project or activity. Examples of these outputs are: ƌɄ 3 kilometers of concrete road in Barangay X, from Y Avenue to Z Street ƌɄ 200 cavans per hectare ƌɄ 10 hectares of reforested area ƌɄ 400 functionally literate children ƌɄ 5% reduction in infant mortality rate. Column 7 – The source of fund may be from the General Fund of the LGU, or other sources discussed in Section 3.1 above. Column 8, 9, 10 – Indicate the estimated cost of the project or activity in thousand pesos broken down into PS, MOOE and CO. 97

3.5 TRANSLATING THE AIP INTO THE BUDGET The completed AIP is submitted by the LCE to the Local Finance Committee (LFC) for appropriate action. The LFC will: a. conduct a review of the projected revenue or projected income projected during the budget year b. recommend appropriate tax and other revenue measures or borrowings to support the budget c. recommend resource allocation measures and spending ceilings for the economic, social and general services sector. The LFC may also elevate to the higher LGU or to the regional offices of national government agencies certain PPAs that cannot be supported by local revenues. Then LDC and the Local Sanggunian endorses measures as embodied in the AIP. Once the LGU receives its initial IRA from the DBM, the spending ceiling by sector/ office is ﬁnalized by the LFC. This is followed by a forum or workshop on the budget to be conducted by the LFC. To the extent possible, multi-stakeholder participation shall be encouraged to develop a sense of ownership of the policy decisions, PPAs, targets and the strategic framework by which performance and accountability shall be lodged (UBOM, p.30).

Subsequently, department heads prepare and submit their proposals to the LFC which shall conduct technical budget hearings on these proposals. These proposals will later be consolidated by the LFC into a Local Expenditure Program (LEP). A companion document called the Budget of Expenditure and Sources of Financing (BESF), which shall support the LEP will likewise be prepared. Both documents will be submitted to the Sanggunian together with the Budget Message prepared by the LCE.

%XGJHW 3UHSDUDWLRQ Budget preparation entails the integration of PPAs embodied in the AIP in the Budget. The process is illustrated in Figure 3.8. It involves three major steps: a. Issuance of the Budget Call b. Preparation of the Executive Budget c. Consultation with Multi-stakeholders

7KH %XGJHW &DOO

The endorsed and approved AIP serves as the basis for preparing an executive directive known as the Budget Call. The Budget Call is important because it provides a venue for aligning the budget with the approved AIP (UBOM, p. 50). The Budget Call signals the start of the budget preparation process. It contains the following: a. General objectives, specific sectoral objectives, policy decisions, strategies and prioritized PPAs by sector/ office as reflected in the AIP b. Specific guidelines in the preparation of individual project proposals by department heads, including the following details: ƌɄ Expenditure ceiling by office / sector ƌɄ Allocation scheme by major final output and PPA ƌɄ Budget calendar and budget preparation forms ƌɄ Other administrative guidelines

7KH ([HFXWLYH %XGJHW The Executive Budget consists of the Budget Message, the Local Expenditure Program (LEP) and the Budget of Expenditure and Sources of Financing (BESF). The major contents of the Executive Budget are shown in Figure 3.9.

&RQVXOWDWLRQ ZLWK 0XOWL VWDNHKROGHUV Consultation with various stakeholders – civil society organizations, private sector and non – governmental organizations in the community – is a new approach in budget making. This is another mechanism to ensure that the needs of affected sectors are integrated in the ﬁscal policies and PPAs approved and adopted by the LDC during the AIP preparation process (UBOM, p. 59).

Figure 3.8 Budget Preparation Process

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Figure 3.9 Major Contents of the Executive Budget BUDGET MESSAGE

LOCAL EXPENDITURE PROGRAM

BUDGET OF EXPENDITURE & SOURCES OF FINANCING

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100

5HÃ&#x20AC;HFWV LQFRPH estimates, sources of IXQGV WKDW ZLOO Â¿QDQFH WKH EXGJHW KRZ VXFK income is allocated.

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Estimates of Income Â&#x2021; %HJLQQLQJ EDODQFH Â&#x2021; ,QFRPH VRXUFHV WD[ UHYHQXHV RSHUDWLQJ PLVFHOODQHRXV UHYHQXH FDSLWDO UHYHQXH JUDQWV DLGV H[WUDRUGLQDU\ receipts, borrowings Â&#x2021; Other sources of revenue Â&#x2021; Proposed measures to increase income of the LGU

&RQWDLQV GHWDLOHG JUDSKLFDO SUHVHQWDWLRQ RI the expenditure program of the LGU.

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,QFOXGHV D \HDU FRPSDUDWLYH WUHQG DQDO\VLV RI WKH H[SHQGLWXUH SURJUDP E\ VHFWRU RIÂ¿FH department, covering the following: Â&#x2021; Actual obligations for the past year Â&#x2021; $FWXDO HVWLPDWHG H[SHQGLWXUH IRU WKH FXUUHQW year Â&#x2021; Proposed budget program for the ensuing year Â&#x2021; 0HDQV VRXUFHV RI Â¿QDQFLQJ IRU WKH \HDU period

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*XLGHOLQHV RQ WKH 6XPPDU\ RI WKH )LVFDO <HDU 1HZ $SSURSULDWLRQ â&#x20AC;&#x201C; a summary of the QHZ DSSURSULDWLRQ E\ 2IÂ¿FH 'HSDUWPHQW 6SHFLDO 3XUSRVHV $SSURSULDWLRQ UHÃ&#x20AC;HFWLQJ WKH total proposed budget for the budget year

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3.6 DETERMINING CAPACITY DEVELOPMENT NEEDS FOR ELA IMPLEMENTATION The ELA, to be implemented effectively, requires a set of competencies and institutional arrangements that should be present in the LGU. This set of competencies and institutional arrangements comprise an organization’s capacity. Assessing organizational competencies is a crucial aspect in the process of formulating an LGU short term plan such as the ELA. Thus, information about the level of competencies of LGUs can be included in and build up the relevant section of the planning database in addition to the information that are generated from other sources. Inputs on LGU capacity will be valuable in the subsequent ELA process of deﬁning the LGU’s Capacity Development Agenda along with the necessary capacity requirements for effective and efficient implementation of the LGU’s priority programs and projects.

What is capacity? The CIDA-LGSP defines capacity as “the abilities, skills, understandings, attitudes, values, relationships, behaviors, motivations, resources and conditions that enable individuals, organizations, networks/sectors and broader social systems to carry out functions and achieve their development objectives over time .” This definition classifies capacity into three levels: individual capacity which refers to the knowledge, skills, attitudes and values of individual employees; institutional capacity which pertains to the organizational structure, systems and processes, motivation system, leadership, technologies, physical facilities and other organizational components that help make the system operate; and, systems/sector capacity which pertains to policies, societal values or attitudes, development frameworks, institutional arrangements and other elements that affect the enabling environment.

What is capacity development? Further using CIDA definition, capacity development refers to “the approaches, strategies and methodologies used to improve performance at the individual, organizational, network/sector or broader system level. ” Among its key objectives are to: a) enhance or more effectively utilize skills, abilities and resources; b) strengthen understandings and relationships; and c) address issues of values, attitudes, motivations and conditions in order to support development goals. A capacity development plan is a document that seeks to rationalize and strategically focus the capability building efforts of LGUs. A capacity development plan outlines the capability building interventions or programs that need to be undertaken to address an identified capability deficiency. The benefits derived from capacity development planning are not only confined to Plan implementation but can last even beyond the plan period.

101

If the capacity development plan focuses only on human resource development, then it is referred to as Human Resource Development (HRD) Plan. The HRD plan is a component of the broader capacity development plan, the latter encompassing other elements comprising the organization. At the individual or HRD level, capability enhancement is not only conﬁned to training. There are other modes to enhance the skills and knowledge of people in an organization. These include coaching, mentoring, exposure trips/exchange program, etc. At the organizational level, capacity development interventions may include the installation or mainstreaming of systems and structures, improvement of work processes, introduction of new technologies, enforcement of rules. What are the steps in formulating a capacity development plan? There is no “one way” to capacity development planning. Nonetheless, following are some suggested steps:

102

a. Establish the organizational and individual competencies that are needed to implement the CDP. (What capacities should be present in the LGU to support the implementation of priority programs and projects? b. Examine existing capacity vis-à-vis desired competencies. (Does the LGU have adequate leadership, management, technical skills, organization arrangement, motivation, technology and equipment, systems and procedures, regulations, ordinances, and funds to accomplish the goals of the CDP) c. Identify capacity gaps. (Where are gaps in capacities? Which capacity areas need to be prioritized?) Available local government performance management systems such as the LGPMS of the DILG and the SCALOG should be able to provide useful information on the organizational capacity of the LGU. d. Identify priority strategies or actions that need to be taken to improve capacities. (What should be done to improve or develop capacities?) e. Prepare a capacity development plan and budget. (How much time, effort and budget would be required to make improvements in the present capacity of the LGU and is it worth it?) f. Assign roles and responsibilities to achieve the goal and the capacity objectives. g. Monitor the plan and make adjustments as required. h. Should goals and objectives be adjusted given present capacity? Table 3.16 provides a sample for a Capacity Development Plan or capdev plan.

Table 3.16 Sample of a Capacity Development Plan for ELA Implementation

6HFWRUDO *RDO

Example 1: ,QFUHDVHG RZQ source revenue

3ULRULW\ +5' &DSDFLW\ 'HYHORSPHQW ,QWHUYHQWLRQ &RPSXWHUL]DWLRQ RI real property tax

([DPSOH Training of rural ,PSURYH DFFHVV RI health workers WKH SRRU WR TXDOLW\ primary health care services

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'HVLUHG RXWFRPH

,PSOHPHQWDWLRQ 'HWDLOV WLPHIUDPH ZKR DUH LQYROYHG

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Upgraded knowl edge and skills of rural health work ers on primary health care

ZHHNV DOO UXUDO health workers in the LGU

Is there a need to prepare a separate capacity development or human resource development plan? While the preparation of capacity development or human resource development plan may require a separate process, the activities and budget related to making capacity improvements should be part of the CDP goal and objectives. Key interventions to develop the required capacities for Plan implementation may either be integrated in the design and budget of sectoral programs and projects or be all placed under the Institutional Development cluster. If capacity improvement measures are integrated in the design and budget of sectoral programs and projects, the budget and operational plan for capacity development, e.g. training, should be part of the overall plan, annual budget and the three-year investment plan for the particular program goal. This keeps all the program activities that need to be carried out, as well as the budgets, together and makes implementation and accountability clearer. This also reduces the vulnerability of capacity development or HRD budget from being totally slashed should there be budgetary constraints within the LGU. At the same time, there may be good reasons for wanting to see capacity improvement interventions in one place. For example, many training interventions may be proposed, and rather than having them scattered and uncoordinated, it may be more efficient to bring them together under the responsibility of the HRD person or to integrate them into the LGUâ&#x20AC;&#x2122;s HRD plan or Development Administration/Institutional Development section of the CDP. This strategy however puts the plan at high risk of being the ďŹ rst to go, as has been the practice of many LGUs as it is given the least priority.

103

Some tips in capacity development planning Ć&#x152;É&#x201E; Proper grounding on capacity development concepts and tools would be useful in implementing the activity. A separate orientation on the topic may have to be conducted for the Planning Team, and other LGU department heads who will be closely involved in the activity. Ć&#x152;É&#x201E; A LGU capacity proďŹ le is usually not readily available. Generating accurate information on the LGUâ&#x20AC;&#x2122;s administrative and operational capacity may require substantial data gathering work, and therefore, take sometime. The Planning Team may utilize a combination of techniques in generating the required information. Ć&#x152;É&#x201E; By its very nature, capacity assessment may appear threatening to some LGU staff and constrain them from giving accurate information. It is therefore important that LGU department heads are thoroughly oriented on and understand the process as they are the key informants. Ć&#x152;É&#x201E; The Planning Team may need the help of an external facilitator/advisor in assessing capacity and developing a Comprehensive Capacity Development or HRD Plan.

Box 3.9 Example of Capacity Assessment for a Revenue Goal

104

7KH /&( WRJHWKHU ZLWK RWKHU VWDNHKROGHUV VHWV D JRDO WR GRXEOH WKH DPRXQW RI UHDO SURSHUW\ WD[HV FRO OHFWHG RYHU WKH QH[W \HDUV ,Q WKH SURFHVV RI VHWWLQJ WKH JRDO VHYHUDO LVVXHV ZHUH LGHQWLÂżHG Â&#x2021; Â&#x2021; Â&#x2021; Â&#x2021; Â&#x2021;

There is no computer or software available in the LGU There are staff available but they lack computer skills The treasurer will retire at the end of this year The revenue code is out of date Many people are behind in their tax payments

&OHDUO\ PRUH GHWDLOHG ZRUN ZLOO KDYH WR EH GRQH 7KHUH ZLOO EH D QHHG IRU EXGJHW HVWLPDWHV FRVW RI FRPSXWHU VRIWZDUH DQG WUDLQLQJ 2WKHU LQIRUPDWLRQ +RZ FDQ ZH ÂżQG RXW DERXW EHWWHU WD[ DVVHVV ment methods? Why are people behind in paying their taxes?) will be needed. One of the managers will have to be assigned responsibility for developing an operational plan over the coming months. Perhaps a small task force will be needed to gather more information and to follow up on this work. ,Q SUHSDULQJ WKH RSHUDWLRQDO SODQ IRU WKLV UHVXOW DUHD WKH IROORZLQJ LVVXHV PD\ KDYH WR EH DGGUHVVHG LQ WKH DUHD RI EXLOGLQJ VSHFLÂżF FDSDFLWLHV Â&#x2021; Â&#x2021; Â&#x2021; Â&#x2021; Â&#x2021; Â&#x2021; Â&#x2021;

:KDW SURIHVVLRQDO DQG SHUVRQDO TXDOLWLHV D QHZ WUHDVXUHU VKRXOG KDYH" +RZ VKRXOG MRE GHVFULSWLRQV RI ORZHU OHYHO VWDII EH LPSURYHG" What kind of staff skills and experience are necessary? 'R ZH KDYH WKH ULJKW NLQG RI RUJDQL]DWLRQDO DUUDQJHPHQWV" Are changes in existing procedures, regulations and ordinances needed? +RZ DUH ZH JRLQJ WR PDLQWDLQ WKH HTXLSPHQW" +RZ GR ZH PRWLYDWH FLWL]HQV WR SD\ WD[HV"

7KH 6\VWHP RQ &RPSHWHQF\ $VVHVVPHQW IRU /RFDO *RYHUQPHQW 6&$/2* A tool that was more recently developed in aid of the LGU capacity assessment and capacity development planning is the System on Competency Assessment for Local Government (SCALOG). Using this tool enables the LGUs to evaluate their organizational competencies. The SCALOG allows the LGUs to systematically conduct a selfassessment process and analyze strengths and weaknesses of LGUs work processes, structures, systems and technologies in order to sustain or further improve performance and organizational or institutional capacity. Information gathered from using this tool can be utilized for an in-depth analysis of an LGU’s state of local governance, its development administration program and institutional capacity. Conversely, SCALOG-generated information enriches the LGU database, speciﬁcally providing more qualitative information for the Institutional Development Sector in the LDI section of the LGU’s CDP.

8VH RI /*306 DQG 6&$/2* LQ &DSDFLW\ 'HYHORSPHQW 3ODQQLQJ DQG &DSDFLW\ Development (CD) Agenda Formulation The SCALOG, together with the LGPMS, are excellent tools and sources of information to LGUs in assessing the capacity requirements of the plan and whether these are present in the LGU. The LGPMS provides a good starting point for gauging the capacity level and identifying the capacity needs of the LGU. Specifically, the LGPMS results for input indicators provide a relatively comprehensive picture of the capacity level of LGUs. LGPMS input indicators gauge the capacity of the LGU in terms of structures, policies, administrative systems, managerial and technical competencies, tools, facilities, equipment and financial resources. By examining the results for the input indicators related to a particular development sub-sector in the CDP, it can provide an idea on whether or not the LGU has capacity deficiency in that sub-sector. Further examination of the sub-indicators assigned to particular indicator and the rating scheme would illustrate more on the nature of the deficiency and how it might be addressed. The strategies and actions identified to address the deficiency/ies would form part of the LGU’s Capacity Development Plan. Not all capacity development issues may be adequately reflected by the LGPMS indicators alone. Thus, capacity assessment should go beyond what the LGPMS indicates and CD needs analysis should be guided by other tools such as the SCALOG. The use of SCALOG on the other hand takes off from a strategic plan of an LGU such as a Comprehensive Development Plan (CDP) or an Executive and Legislative Agenda (ELA). It presupposes that any effort to improve LGU capacity should be geared towards contributing to the attainment of development objectives and goals outlined in these LGU plans.

105

The Capacity Development Agenda outlines the capacity development strategies, programs and initiatives that need to be undertaken to address identiﬁed organizational competency gaps, indicating the target groups, speciﬁc approaches that are recommended, resources required and the timeline. It is worth noting that in undertaking the process of capacity development planning and in formulating the LGU capacity development agenda, the Guidebook on the use of SCALOG promotes the utilization of appropriate performance management and institutional competency assessment tools such as LGPMS, the integration of participatory processes such as dialogues, consultations and consensus-building in identifying organizational strengths and weaknesses of LGUs and the inclusion of all 5 LGPMS Performance Areas and 14 Service Areas in capacity development planning. In addition, it requires the CD Agenda to serve the three years, aligned with the LGU’s short term plan such as the ELA and also be the basis in setting the annual priorities of the LGU as articulated in the annual investment plan.

106

All these premises promote no less the integration and convergence as important in Capacity Development Planning. Integration is key in the process of developing meaningful and relevant Capacity Development Agenda for improved performance of an LGU. It supports the advocacy of a rationalized planning system that disjointed plans will most likely lead to waste of resources and problematic governance and development results. The ultimate objective of using SCALOG as a tool is to ensure that the Capacity Development Agenda will help deﬁne the necessary capacity requirements for effective and efficient implementation of the LGU’s priority programs and projects. Useful references are the publications of LGA namely the SCALOG Manual of Administration and Managing Knowledge for Improved Local Governance Performance: A Guidebook on Capacity Development Agenda Formulation.

Advocating the Plan T

he Comprehensive Development Plan and the Executive and Legislative Agenda, that is widely communicated and understood by all possible stakeholders not only helps enlist support for the plan but also promotes transparent and accountable governance. It is likewise a means to encourage meaningful participation of stakeholders in local development. It is therefore important that an accompanying Communications Plan (ComPlan) be formulated and implemented to guarantee the success of the CDP and ELA. In formulating the ComPlan, it is important to choose cost effective channels and vehicles to ensure that it can be implemented.

4.1 THE COMMUNICATIONS PLAN What Is a ComPlan? A ComPlan is a written document that describes how the CDP and ELA will be promoted to its stakeholders to seek their acceptance, support and participation in its preparation and implementation. A ComPlan contains the following elements: a. Objectives of the Local Development Plan, or what it intends to accomplish b. List of intended audience c. Key/Core messages to meet objectives d. Methodology for getting the message across or delivered to the target audience in a cost effective manner to achieve desired results

107

e. A feedback mechanism to determine how the target audience responded to the message.

Why is ComPlan important? A ComPlan is important because it can: a. guide and coordinate all communications, both internally and externally b. develop and maintain mutually beneďŹ cial relations with key audiences by ensuring that the right message is aimed at the right audience at the right time and at the right place c. effectively sustain the momentum to popularize the ELA and gain broad-based support for the plan from key stakeholders.

:KR DUH UHVSRQVLEOH IRU GHYHORSLQJ LPSOHPHQWLQJ DQG PRQLWRULQJ DQG HYDOXDWLQJ WKH &RP3ODQ" An information-education campaign (IEC) working group from the planning team or from among the sectoral/functional committees of the LDC may be formed to draft the ComPlan and recommend its approval to the LCE.

108

Implementation, monitoring and evaluation of the ComPlan may be integrated into the regular work program and activities of the LGU offices and departments. This means that each department/office will be expected to implement sections of the ComPlan that pertain to or concerned with the functions of their respective department/office according to the approved ComPlan design. The preparation, production and dissemination of the information materials shall be a shared responsibility of these departments and offices and coordinated by the Local Public Information Office, if there is any. Otherwise, promotions team may be organized under the Office of the LCE.

:KHQ VKRXOG WKH &RPPXQLFDWLRQV 3ODQ EH SUHSDUHG" When the CDP and ELA have been approved by the LDC and adopted by the SB/P, the IEC working group shall be mobilized. A communications planning workshop should be conducted to signal the beginning of the ComPlan preparation. An IEC plan shall be needed to implement the communications plan. Its preparation shall follow immediately after the completion of the communications plan. It is important that the draft communications strategy and IEC plans and budget be submitted to the LCE for his endorsement. ModiďŹ cations, when circumstances so require, shall be made accordingly.

4.2 DEVELOPING THE COMMUNICATIONS PLAN Here are suggested steps in creating a ComPlan that would aim to popularize the Local Development Plan:

a. Conduct a Stakeholdersâ&#x20AC;&#x2122; Communication Audit A communications audit assesses current information needs and communications practices of each of the stakeholders. The results will serve as a guide in drafting a communications plan (Please refer to Table 4.1 - Communication Plan Matrix below). Table 4.1: Communication Plan Matrix 2YHU DOO ,(& 2EMHFWLYH .H\ $XGLHQFHV (SAMPLE) &RPPXQLW\

&RPPXQLFDWLRQ 2EMHFWLYHV Make the public aware of the ELA and its merits.

.H\ 0HVVDJHV 7KH /RFDO 'H velopment Plan promotes trans parency, good governance and meaningful peopleâ&#x20AC;&#x2122;s partici pation in the lo cal development process.

&KDQQHOV 9HKLFOHV Stickers, -LQJOH Pulong sa %DUDQJD\ Performance updates (ulat sa bayan) 5DGLR VSRWV

)HHGEDFN 0HFKDQLVP &RPPXQLW\ consultations ,QWHUYLHZV

6XFFHVV ,QGLFDWRUV ,QFUHDVLQJ QXP EHU RI 1*2V POs participat ing in LGU activi WLHV SURMHFWV Ordinary citizens talk positively about the ELA

&62V 1*2V POs 5HOLJLRXV Groups Academe /RFDO %XVL QHVV PHQ Local and ,QWHUQD WLRQDO )XQGLQJ GR nor agencies

E 'HÂżQH WKH &RP3ODQ REMHFWLYHV Communication objectives should be able to describe the desired results of the information, education and communication (IEC). These may include the following: Ć&#x152;É&#x201E; Making the public aware of the plan Ć&#x152;É&#x201E; Building publicâ&#x20AC;&#x2122;s conďŹ dence in the plan Ć&#x152;É&#x201E; Fostering better relations with stakeholders to get their support and active participation in the implementation of the plan Ć&#x152;É&#x201E; Generating funding or logistical support for the plan from the local business sector, national or international funding agencies, etc.

109

F ,GHQWLI\ 7DUJHW $XGLHQFHV List all possible audiences that the team will need to contact, attempt to inﬂuence, or serve in relation to the achievement of the objectives. They may include the following: ƌɄ ƌɄ ƌɄ ƌɄ ƌɄ ƌɄ ƌɄ ƌɄ

Local development Council members Local Sanggunian members Constituents/community Local CSOs, NGOs and POs, including religious groups Academe Local businessmen Senators and Congressmen National and international funding agencies

G 'H¿QH WKH .H\ 0HVVDJHV Key messages are the concepts that the audiences should remember or react to in relation to the achievement of the objectives. These messages will be woven through all of the communications materials produced as well as any speeches given. Key messages may include the following: 110

ƌɄ ELA is responsive to the needs of the community. ƌɄ ELA preparation process involves multi-stakeholder consultation and participation ƌɄ ELA allows meaningful citizen participation in decision-making and implementation of programs and projects ƌɄ ELA promotes transparency and good governance ƌɄ The successful implementation of the plan needs the support and active participation of its broad stakeholders. The message has to be meaningful and appealing to the target audience. It should motivate the audience to think about and discuss. The message should be based on facts and tied to the present, not the distant future. H ,GHQWLI\ PHGLXP IRU FRPPXQLFDWLQJ WKH NH\ PHVVDJHV Choose the best strategies to reach target audiences and achieve the objectives of the ComPlan. It is important to bear in mind that communication strategies vary depending on the audience. It is therefore necessary that strategies adopted are appealing, appropriate and effective. The results of the communications audit can serve as a guide in selecting the suitable communication strategies. Here are suggested media for promoting and marketing the Plan:

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Communications include all written, spoken, face-to-face and electronic interaction with audiences, such as the following: &HUWLÂżFDWHV DQG DZDUGV

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I 3UH WHVW FRPPXQLFDWLRQ VWUDWHJLHV DQG WRROV In order to maximize the beneďŹ ts of the communication strategy chosen, it is recommended that the materials be pre-tested. If funding is available, professionals can be hired to pre-test the communication tools. Otherwise, the faculty of a local university or the services of community volunteers may be tapped. Materials should also be reviewed by key people in the community. Pre-testing assesses the audienceâ&#x20AC;&#x2122;s response to the campaign. It measures recall, comprehension, response â&#x20AC;&#x201C; is the message believable? Is it relevant? Is it acceptable? What are its strong and points? Box 3.1 presents some of the pre-testing methods that can be used by the LGU.

111

Box 4.1 3UH WHVWLQJ 0HWKRGV IRU &RPPXQLFDWLRQ 6WUDWHJLHV Â&#x2021; )RFXV JURXSV Â˛ 7KLV LV ZKHUH VPDOO JURXSV RI WR SHRSOH PHHW ZLWK D PRGHUDWRU WR GLVFXVV ideas and materials. Focus groups are especially helpful in the early stages of materials develop ment to test themes, images, and general issues. Â&#x2021; ,QWHUYLHZV Â˛ ,Q GHSWK LQWHUYLHZV FDQ EH XVHG WR JDXJH DQ LQGLYLGXDOÂˇV UHDFWLRQV WR D VHQVLWLYH LVVXH DQG RU VSHFLÂżF PDWHULDOV Â&#x2021; &HQWUDO ORFDWLRQ LQWHUFHSW LQWHUYLHZV Â˛ 7KHVH LQWHUYLHZV DUH KHOG LQ SXEOLF DUHDV ZKHUH PHPEHUV of the target population congregate, such as markets, parks, shopping malls, movie theaters, VFKRROV DQG FKXUFKHV 4XHVWLRQV DUH GHVLJQHG IRU TXLFN DQVZHUV WKDW DUH HDVLO\ WDEXODWHG Â&#x2021; 6HOI DGPLQLVWHUHG TXHVWLRQQDLUHV Â˛ 7KLV PHWKRG SURYLGHV DFFHVV WR SHRSOH LQ UXUDO DUHDV RU WKRVH ZKR DUH QRW OLNHO\ WR DWWHQG IRFXV JURXSV RU WR EH LQ DUHDV IRU FHQWUDO ORFDWLRQ LQWHUFHSW LQWHU views. Â&#x2021; 5HDGDELOLW\ WHVWLQJ Â˛ 7KLV LV XVHG WR JDXJH WKH UHDGLQJ OHYHOV RI PDWHULDOV 2QH ZLGHO\ XVHG IRUPXOD uses both sentence length and syllable counts to estimate reading levels.

4.3 IMPLEMENTING THE COMMUNICATIONS PLAN Once objectives, goals, audiences, and tools have been identiďŹ ed, quantify the results in a calendar grid that outlines roughly what and when activities will be accomplished (Please refer to Table 4.2). 112

Table 4.2: IEC Implementation Plan Matrix &RPPXQLFDWLRQ 2EMHFWLYHV Example: Make the public aware of the merits of Local 'HYHORSPHQW 3ODQ Fostering better relations with stakeholders to get their support and active participation in Plan formulation DQG LPSOHPHQW tation.

.H\ 0HVVDJH ([DPSOH The ELA promotes transparency, good governance and meaningful peopleâ&#x20AC;&#x2122;s participation in the local development process.

A successful LPSOHPHQW WDWLRQ of the ELA needs the support and active participation of its stakeholders.

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The promotions and marketing of the plan can now be started by: a. distributing communication materials through all channels chosen b. reviewing activities and tracking audience reactions 0RQLWRULQJ DQG (YDOXDWLQJ 5HVXOWV RI WKH &RP3ODQ Evaluating the ComPlan entails the following: a. determining what worked well based on the goals and objectives established at the beginning of the IEC implementation b. assessing how the IEC affected the beliefs, attitudes, and behaviors of the target audience The evaluation might take the form of: ƌɄ ƌɄ ƌɄ ƌɄ

a monthly report on work in progress formalized department reports periodic brieﬁngs of the department heads a year-end summary for the annual report

It also involves gathering feedback to reﬁne the ComPlan or IEC Plan by talking to community members and asking them how the campaign changed what they thought or believed about the Local Development Plan – its process, policies, programs and projects. The same techniques as in pre- testing the ComPlan may be used.

113

Monitoring & Evaluation :+$7 ,6 021,725,1* $1' (9$/8$7,21 0 ( " M&E functions as a performance measurement mechanism to give indications on how future efforts in the LGU might be improved. Monitoring and evaluation differ yet are closely related (UNDP 1997). While they are both necessary management tools to inform decision-making, they produce different kinds of information. Monitoring can provide both qualitative and quantitative data that can serve as inputs to evaluation. Systematically generated monitoring data is essential for successful evaluations. Table 5.1 shows the salient features differentiating monitoring from evaluation:

Who will conduct M & E? The plan monitoring team (MT) needs to be identiďŹ ed by the planning team early on. The main function of the MT is to provide regular updates and advisory services to the LCE and the SB in relation to plan implementation. The MT need not be a new structure in the LGU. It is more advisable that existing structures and mechanisms that are already in place in the LGU be used to monitor plan implementation. Below are some of the existing structures that can be activated for M & E.

115

D 6HFWRUDO RU )XQFWLRQDO &RPPLWWHHV DQG WKH /RFDO 3ODQQLQJ DQG 'HYHORSPHQW 2IÂżFH With the passage of the Local Government Code of 1991, monitoring of projects has been devolved to the LGUs. M & E is a built-in function of sectoral and functional committees. The respective committees perform their respective M & E functions while the LPDO monitors and evaluates the overall implementation of the different programs, projects, and activities in accordance with the development plan of the LGU (Rule XXIII, Art. 182 (g) (3) VI IRR of RA 7160; Sec. 476 (b) (4) of the LGC). The LPDO with the assistance of the sectoral committees of the LDC should be responsible for impact evaluation, that is, the effects or outcomes of implemented projects, both by the government (national and local) and the private sector (Serote 2005). Table 5.1 Salient Features of Monitoring and Evaluation 'LIIHUHQWLDWLQJ )DFWRUV RI 0 (

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Â&#x2021; Tracks progress (or lack thereof) of plan implementation and determines whether priority programs and proj ects outlined in the plan are actually implemented; Â&#x2021; Ensures that programs and projects are implemented and managed ef ÂżFLHQWO\ DQG HIIHFWLYHO\ Â&#x2021; ,GHQWLÂżHV SUREOHPV LQ SODQ LPSOHPHQ tation in its early stage and allows decision and policy makers to address the problems or make appropriate adjustments; Â&#x2021; Alerts managers to problems and pro vides options for corrective actions Â&#x2021; Provides recommendations for reme dial actions.

Â&#x2021; Generates information and provides lessons that would guide the LGU in XSGDWLQJ WKH &RPSUHKHQVLYH 'HYHORS ment Plan; Â&#x2021; (QVXUHV LQIRUPHG GHFLVLRQ PDNLQJ Â&#x2021; ,GHQWLÂżHV WKH H[WHQW WR ZKLFK WKH REMHFWLYHV RI WKH /RFDO 'HYHORSPHQW Plan are achieved or whether the /RFDO 'HYHORSPHQW 3ODQ DGGUHVVHV effectively the needs of the citizens Â&#x2021; Ensures that resources are strategi cally managed and put to the best possible use. Â&#x2021; Gives the LGU the opportunity to communicate how they are doing in terms of plan implementation

116

E 7KH 3URMHFW 0RQLWRULQJ &RPPLWWHH 30&

The Project Monitoring Committee (PMC) at the provincial, city and municipal levels are tasked to monitor government projects funded from foreign and national funds including development projects funded from the IRA and projects funded from locally-generated resources (EO 93, 1993).

The composition of the PMC is left to the discretion of the LDC subject to the inclusion of the following as mandatory members: ƌɄ DILG representative or Local Government Operations Ofﬁcer assigned in the area ƌɄ One representative of NGO/PO ƌɄ One representative of NGO members in the LDC ƌɄ Four PMC members appointed by the LCE from among the nominees of the LDC The Chair of the PMC will be appointed by the LCE from among three nominees nominated out of the seven PMC members. F 7KH /HJLVODWLYH 2YHUVLJKW &RPPLWWHH

Box 5.1 &RQGXFWLQJ 2ULHQWDWLRQ 0HHWLQJ IRU WKH 0RQLWRULQJ 7HDP &RLQFLGLQJ ZLWK WKH ¿UVW RUJDQL]D tional meeting of the MT, an orienta WLRQ EULH¿QJ ZLOO EH FRQGXFWHG WR VHW WKH WHDP LQ PRWLRQ 7KH /3'2 together with the LGOO shall jointly undertake this activity. 7KH RUJDQL]DWLRQDO RULHQWDWLRQ PHHW ing shall cover the following: a. %DVLF LQIRUPDWLRQ RQ 0 ( b. Tools, instruments and method RORJ\ IRU 0 ( c. Functions, duties and responsi bilities of the MT d. +LJKOLJKWV DQG VDOLHQW SRLQWV RI the plan e. 0 ( &DOHQGDU

Legislative oversight is an integral part of the legislative process. Legislative oversight refers to the legislature’s review and evaluation of activities of the executive branch. The sanggunian has a duty to ensure that plans, programs and projects are implemented and administered efficiently, effectively and in a manner consistent with legislative intent. Oversight is the focus of work of special committees but can be part of the hearings and work of standing committees in the sanggunian. During committee hearings and meetings, the sanggunian may invite their counterparts in the executive department to brief its members on the status of a particular program that it wants to evaluate. To illustrate, the Committee on Trade and Industry may invite the members of the local tourism board to present a report on the implementation of its tourism program. Meetings of this type can be scheduled on a monthly or quarterly basis (Villaluz 2004). d. Implementing Office of Programs/Projects - For short-term monitoring of project implementation, the responsibility should remain with the implementing office. Project monitoring results may be discussed during executive meetings of the LGU.

+RZ FDQ RWKHU VWDNHKROGHUV EH LQYROYHG LQ 0 (" Participation of local constituents in monitoring should be encouraged. This can be achieved by including a CSO/private sector representative in the monitoring team. Another approach is to establish regular feedback mechanisms that can be either formal or informal. Among the feedback mechanisms that are now being done by some LGUs include the following:

117

a. Suggestion box b. Sending short message service (SMS) or text to local officials c. Report Card Survey

How often is M & E conducted? It is recommended that at the minimum, monitoring be done annually and at the end of three years. The recommended schedule for monitoring is shown in Table 4.2 below. The outcomes and impacts of the CDP or ELA implementation can usually be felt or seen only after a longer period of time, A three year evaluation cycle, therefore, is necessary to elicit adequate information for revision of the CDP. Evaluation of the plan is done at the end of the third year of local elected officials and every three years thereafter. At this point outcomes and impact of development projects implemented by the local government are evaluated. This is illustrated in the Table 5.2 below. Table 5.2 M&E Points in a Three-Year Term of Office <($5

,PSOHPHQWDWLRQ RI /DVW <HDU %XGJHW DQG $,3 RI SUHYLRXV DGPLQLVWUDWLRQ (QG RI 7HUP 5HSRUW 6WDWH Election 0 ( 2XWSXW 2XWFRPH RI /RFDO *RYHUQDQFH 5HSRUW DQG ,PSDFW RI 2XWJRLQJ ,QDXJXUDO RI 1HZ 7HUP Administrationâ&#x20AC;&#x2122;s ELA) 3UHSDUDWLRQ RI /',3 (/$ 3UHSDUDWLRQ RI <U %XGJHW DQG VW $,3

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5.2 DEVELOPING THE M & E STRATEGY +RZ LV DQ 0 ( VWUDWHJ\ GHYHORSHG" The M & E Strategy Template is a straightforward form that can be completed by the monitoring team. The purpose of the tool is to develop an approach to M & E that will yield good information to be used in the next planning period and for other decision making purposes The development of the M & E strategy should be seen as an integral component of the planning process and its development done during the planning phase. The following are the key elements of an M & E Strategy: a. b. c. d. e. f. g.

Clear and expected results (goals, objectives, outputs); Explicit targets per result; Indicators to measure progress towards results; Data source to assess performance; Collection methods; Frequency at which measurements will be made Roles and responsibilities 119

An M & E Strategy template has also been devised to aid the Monitoring Team in its preparation (See Table 5.3).

:KDW WRROV FDQ EH XVHG IRU 0 (" There are already a variety of tools that are being used to monitor and evaluate the achievement of results at the local level. Some of these tools are discussed below: a. Annual/End-of-Term Accomplishment Report - At the minimum, LCEs need to prepare an annual as well as an end-ofterm accomplishment report. A simple yet informative form that shows accomplishments of the LGU vis-Ă -vis what was planned is shown in Table 5.5. It also shows who the beneďŹ ciaries are, the area coverage as well as the costs of the programs and projects implemented. b. Community Based Monitoring System (CBMS) â&#x20AC;&#x201C; The CBMS can be used in monitoring and tracking progress of LGUs towards the attainment of their poverty reduction goals including the MDGs. The Core Local Poverty Indicators (CLPIs) discussed in Chapter 2 contain indicators on

Box 5.2 7KH 'D\V *RYHUQRUÂˇV 5HSRUW RI 6KDULII .DEXQVXDQ 'HYHORSLQJ D JRRG SODQ LV RQH WKLQJ implementing it is another. An impor WDQW HOHPHQW RI WKH 0 ( 6WUDWHJ\ DUH explicit targets per result. This makes reporting back to constituents easier to do. ,Q 6KDULII .DEXQVXDQ WKH /*8 SUH SDUHG D 'D\V *RYHUQRUÂˇV 5HSRUW that presents accomplishment of the /*8 YLV j YLV WKH SODQ XVLQJ SKRWR documentation. The report has been presented to the different stakeholders of the province. The report concretely showed pro grams and projects that have been delivered to the citizens presenting actual outputs (e.g. infrastructure facilities), their locations as well as the TXDQWLW\ SURGXFHG

human development and are recommended as the minimum set that the LGUs should use for assessing the extent of socio-economic development in their locality. c. Peace and Conflict Impact Assessment (PCIA) – The PCIA is a tool developed to assist LGUs to anticipate, monitor and evaluate the impact of their interventions on peace and conflict. The tool identifies five impact areas that LGUs should closely look into: ƌɄ conflict management capacities ƌɄ Militariziation/armed and human security ƌɄ Political structure and processes ƌɄ Economic structure and processes ƌɄ Social empowerment A set of key questions per impact area is provided to guide LGUs in assessing impact of interventions along the five areas. These are shown in Annex 2.9.

120

d. Local Governance Performance Management System (LGPMS) - The LGPMS is an LGU self-assessment tool that enables provincial, city and municipal governments to monitor and evaluate their performance at three levels of results: input, output and outcome levels. It looks at local government in ﬁve performance areas and 17 service areas using 107 indicators. Table 5.4 shows the ﬁve performance areas and the distribution of indicators per service area. Table 5.3 M&E Strategy 5HVXOWV *RDO ,PSDFW (Long term) 5HGXFH LQIDQW PRUWDOLW\ 0'* no. 4)

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5.3 EFFECTIVELY COMMUNICATING AND USING M&E RESULTS Communicating the results of the monitoring and evaluation process to different stakeholders of the LGU provides them with useful information that can be used in decision making. Once M&E results are available, it is best to communicate results to the potential users of the information the soonest possible time. The effective use of information depends on the timeliness of the information. Communicating results might take the form of: Ć&#x152;É&#x201E; Ć&#x152;É&#x201E; Ć&#x152;É&#x201E; Ć&#x152;É&#x201E;

a monthly report on work in progress formalized department reports periodic brieďŹ ngs of the department heads annual report or State of the Municipality Address

8VLQJ 0RQLWRULQJ 5HVXOWV Realistically, implementation problems can happen even with the best thought out plans. Monitoring alerts LGU managers on particular issues/concerns that would in turn aid

121

them in coming up with appropriate adjustments to mitigate the effects of the problem or with solutions to address them. Some useful questions that you can ask during monitoring include: Ć&#x152;É&#x201E; Are we implementing the identiďŹ ed programs and projects in the plan? What are not being implemented? Ć&#x152;É&#x201E; Are we on schedule? Are priority programs and projects identiďŹ ed in the plan being implemented on time? If not, what are causing the delay? Ć&#x152;É&#x201E; Are we spending within the projected budget? Ć&#x152;É&#x201E; Are we delivering the identiďŹ ed outputs or deliverables (e.g. km of roads, training program)? If any of the questions above are answered in the negative, corrective actions need to be taken. Sometimes decisions can only be done by the mayor. If this is the case, it is important for the monitoring team to inform the mayor at the earliest possible time so that timely decisions are made.

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122

For elective officials, M&E results provide inputs for the next planning stage. The information allow them to identify the extent to which the objectives of the CDP and ELA have been achieved or whether the plan has effectively addressed the needs of the citizens. The information generated can provide lessons and inputs that can guide the LGU in updating the plan in the next planning cycle. Some useful questions that you can ask during evaluation are: Ć&#x152;É&#x201E; Have the objectives been met? Ć&#x152;É&#x201E; Who beneďŹ ted from the programs and projects? How many beneďŹ ted from the interventions? Ć&#x152;É&#x201E; What priority programs and projects identiďŹ ed in the ELA were not implemented? Why they were not implemented? For the citizens, they can be informed about how public funds are spent by the local government.

Box 5.3 The State of Local Governance Report of the Municipality of Wao, Lanao del Sur 0HDVXULQJ /*8 3HUIRUPDQFH ,Q WKH 0XQLFLSDOLW\ RI :DR FDPH RXW ZLWK LWV WKUHH \HDU 6/*5 7KH UHSRUW JDYH WKH LGU the opportunity to communi cate how they were doing in terms RI SODQ LPSOHPHQWDWLRQ LQ ÂżYH SHU formance areas namely governance, administration, social services, economic development and envi ronmental management. Moreover, it provided relevant information that JXLGHG WKH QH[W SODQQLQJ SHULRG 5H sults showed areas where the LGU performed impressively and helped the LGU focus itâ&#x20AC;&#x2122;s interventions to service areas where it faired poorly.

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123

Actual 'LVEXUVHPHQW

Annexes INDICATIVE CONTENT OF THE TRAINING AND PLANNING WORKSHOP The participants will be oriented on the CDP and the ELA formulation process and trained on how to use various tools and instruments, as well as the methodology for each step of the process. The training program will contain ﬁve modules, listed as follows:

MODULE 1: INTRODUCTION Session 1: Session 2: Session 3: Session 4:

Surfacing and Leveling of Expectations Understanding the Planning Team’s Functions and Structure Revisiting Past Planning Experiences The Rationalized Planning System

MODULE 2: DEVELOPMENT PARADIGMS Session 1: Session 2: Session 3:

Sustainable Development Poverty Conﬂict Sensitive and Peace Promoting Planning

MODULE 3: THE COMPREHENSIVE DEVELOPMENT PLAN AND

125

THE EXECUTIVE LEGISLATIVE AGENDA Session 5: Session 6: Session 7: Session 6: Session 7: Session 8:

Overview of the CDP-ELA Process Visioning Process, Situational Analysis and Determination of Vision – Reality Gap; Goal and Objective Formulation and Target Setting Identifying Solutions: Developing Strategies, Programs, Projects and Activities Determining Capacity Development Needs for Plan Implementation Preparing the Term-based Plan or Executive and Legislative Agenda (ELA)

MODULE 4: ADVOCATING THE PLAN Session 9: The Communications Plan Session 10: Developing the Com Plan Session 11: Implementing the ComPlan

MODULE 5: IMPLEMENTING THE PLAN

126

Session 12: Session 13: Session 14: Session 15:

The Local Development Investment Program (LDIP) Process The LGU Development Fund LGU Financing Plan Capacity Development Plan

MODULE 6: MONITORING AND EVALUATION The culminating activity of the training program is the conduct of an LCE – Sanggunian Hour where major potential problems that may be encountered during the planning exercise not identiﬁed earlier can be discussed and addressed.

Annex 1.2 ADDITIONAL SESSIONS FOR ARMM AND OTHER CONFLICT PRONE LGUS Additional sessions may be incorporated and enhanced for the Orientation Workshop to deepen the planning team’s understanding of conﬂict sensitive and peace promoting planning. These sessions can be interwoven into the original design (Annex 1.1) or can be given as a separate module. Sessions can include the following: Session 1:

Why conﬂict sensitive and peace promoting planning? (Appreciating beneﬁts and advantages)

Session 2: Sharpening our peace lens: Mainstreaming Human Security and Conflict Sensitivity in Local Governance Processes particularly in Local Development Planning Session 3: Overview of the CDP-ELA Process with peace promoting and conflict sensitive tools Session 4: Information data-base for peace planning: CBMS, LGPMS and HS Indicators Session 5: Conflict analysis and Peace and Conflict Impact Analysis as additional tools in Relevant Planning Steps

127

Annex 1.3 WORK PLAN TEMPLATE $FWLYLWLHV

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Annex 2.1.1 WORKSHOP A: VISIONING EXERCISE PURPOSE The purpose of this workshop is for the LGU to come up with a vision statement with the participation of major stakeholders.

6WHS E\ 6WHS *XLGH WR D 9LVLRQLQJ :RUNVKRS

STEP 1

7KH SURFHVV XVXDOO\ EHJLQV ZLWK D WULJJHU VLWXDWLRQ RU TXHVWLRQ ([DPSOHV DUH Five or ten years from now, what would you like to hear people say about your LGU? Today is year __, your LGU is an awardee in a prestigious international local gover nance event. What is the award for? Questions are extremely useful in bringing out initial ideas from people.

STEP 2

'LYLGH WKH SDUWLFLSDQWV LQWR JURXSV SUHIHUDEO\ Â¿YH WR FRUUHVSRQG WR WKH NH\ YLVLRQ HOH PHQWV RU VHFWRUDO JURXSLQJV DQG JLYH WKHP WLPH WR LQGLYLGXDOO\ UHÃ&#x20AC;HFW RQ WKH WULJJHU TXHVWLRQ 7KHQ DVN WKH PHPEHUV RI HDFK JURXS WR VKDUH WKHLU LPDJHV RI WKH SDUWLFXODU sector or element assigned with their group mates.

STEP 3

,QVWUXFW WKH JURXS WR LGHQWLI\ GHVFULSWRUV RU DGMHFWLYHV WKDW LV ZRUGV DQG SKUDVHV WKDW signify the desired the state for the sector or vision element assigned to the group. Fur WKHU DVN WKHP WR PRUH FRQFUHWHO\ GHVFULEH WKH GHVLUHG VWDWH RI WKH DVVLJQHG VHFWRU vision element by enumerating as many success indicators.

STEP 4

Ask each group to present their outputs of the desired future state (descriptors and VXFFHVV LQGLFDWRUV RI WKH DVVLJQHG VHFWRU YLVLRQ HOHPHQW WR WKH SOHQDU\

STEP 5

$VN WKH JURXS WR IRUP D VW\OH FRPPLWWHH YLVLRQ WHDP DPRQJ WKH SDUWLFLSDQWV WR SXW WKH YLVLRQ VWDWHPHQW LQWR LWV Â¿QDO IRUP XWLOL]LQJ WKH GHVFULSWRUV RU DGMHFWLYHV VXSSOLHG LQ the group brainstorming. 1RWH WKH VXFFHVV LQGLFDWRUV DUH VDYHG IRU XVH LQ WKH YLVLRQ UHDOLW\ JDS DQDO\VLV ZKLFK OHDGV WRZDUGV WKH SUHSDUDWLRQ RI WKH &'3

STEP 6

Ask the vision team to present the vision statement to the group for comment and YDOLGDWLRQ 7KH YLVLRQ WHDP Â¿QDOL]HV WKH YLVLRQ VWDWHPHQW WDNLQJ LQWR FRQVLGHUDWLRQ WKH groupâ&#x20AC;&#x2122;s comments and suggestions.

131

Annex 2.1.2 WORKSHOP A: VISIONING EXERCISE FOR CONFLICT SENSITIVE AND PEACE PROMOTING PLANNING PURPOSE The purpose of this workshop is for the LGU to come up with a vision statement that is conï¬&#x201A;ict sensitive and peace promoting with the participation of major stakeholders.

132

6WHS E\ 6WHS *XLGH WR D 9LVLRQLQJ :RUNVKRS

STEP 1

'LVFXVV ZLWK SDUWLFLSDQWV WKH UROH RI /*8V LQ SHDFHEXLOGLQJ DQG FRQÃ&#x20AC;LFW SUHYHQWLRQ DQG UHTXLUHPHQWV RI PDLQVWUHDPLQJ KXPDQ VHFXULW\ LQ ORFDO JRYHUQDQFH 8VH DV UHIHU HQFH 23$33 3,'2 675,'(6 *XLGHERRN HQWLWOHG &RQÃ&#x20AC;LFW 6HQVLWLYH DQG 3HDFH 3URPRWLQJ /RFDO 'HYHORSPHQW 3ODQQLQJ DV UHIHUHQFH IRU LQSXWV

STEP 2

$VN D WULJJHU TXHVWLRQ ([DPSOHV DUH Five or ten years from now, what would you like to hear people say about your LGU? Today is year ____, your LGU is an awardee in a prestigious international local governance event. What is the award for? Questions are extremely useful in bringing out initial ideas from people.

STEP 3

STEP 4

,QVWUXFW WKH JURXS WR LGHQWLI\ GHVFULSWRUV RU DGMHFWLYHV WKDW LV ZRUGV DQG SKUDVHV WKDW signify the desired the state for the sector or vision element assigned to the group. )XUWKHU DVN WKHP WR PRUH FRQFUHWHO\ GHVFULEH WKH GHVLUHG VWDWH RI WKH DVVLJQHG VHFWRU vision element by enumerating as many success indicators.

STEP 5

Ask each group to present their outputs of the desired future state (descriptors and suc FHVV LQGLFDWRUV RI WKH DVVLJQHG VHFWRU YLVLRQ HOHPHQW WR WKH SOHQDU\

STEP 6

$VN VSHFLÂ¿F TXHVWLRQV RQ SHDFH $Q H[DPSOH LV 'RHV WKH WKH SLFWXUH /*8 RU \HDUV IURP QRZ \RX KDYH SDLQWHG VKRZ \RXU DVSLUDWLRQV IRU SHDFH DQG KXPDQ VHFXULW\ LQ \RXU PXQLFLSDOLW\" ,GHQWLI\ FRQFUHWH GHVFULSWRUV DQG success indicators for your peace and human security?

STEP 7

$VN WKH JURXS WR IRUP D VW\OH FRPPLWWHH YLVLRQ WHDP DPRQJ WKH SDUWLFLSDQWV WR SXW WKH YLVLRQ VWDWHPHQW LQWR LWV Â¿QDO IRUP XWLOL]LQJ WKH GHVFULSWRUV RU DGMHFWLYHV VXSSOLHG LQ WKH group brainstorming. 1RWH WKH VXFFHVV LQGLFDWRUV DUH VDYHG IRU XVH LQ WKH YLVLRQ UHDOLW\ JDS DQDO\VLV ZKLFK OHDGV WRZDUGV WKH SUHSDUDWLRQ RI WKH &'3

STEP 8

Annex 2.2.1 CBMS INDICATORS ,QGLFDWRUV

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Proportion of women who died due to pregnancy related causes.

3UHJQDQF\ UHODWHG GHDWK LV GHÂ¿QHG DV WKH GHDWK RI D ZRPDQ ZKLOH SUHJQDQW RU ZLWKLQ GD\V RI WHUPLQDWLRQ of pregnancy, irrespective of the cause of death.

3URSRUWLRQ RI FKLOGUHQ DJHG \HDUV ROG ZKR DUH malnourished

7RWDO QXPEHU RI FKLOGUHQ DJHG \HDUV ROG ZKR DUH PDOQRXULVKHG RYHU WRWDO QXPEHU RI FKLOGUHQ DJHG years old

Proportion of households living in makeshift housing.

&RQVLGHUHG DV PDNHVKLIW KRXVLQJ DV WKRVH KRXVLQJ VWUXFWXUH ZLWK PDNHVKLIW VDOYDJHG PDWHULDOV LQ ZDOOV DQG or roof.

3URSRUWLRQ RI KRXVHKROGV WKDW DUH VTXDWWHUV

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Proportion of households without access to safe water supply.

&RQVLGHUHG DV VDQLWDU\ WRLOHW IDFLOLW\ DUH ZDWHU VHDOHG Ã&#x20AC;XVK WR VHZHUDJH V\VWHP RU VHSWLF WDQN DQG FORVHG SLW whether own use or shared with other households.

Proportion of households without access to sanitary toilet facilities.

&RQVLGHUHG DV VDQLWDU\ WRLOHW IDFLOLW\ DUH ZDWHU VHDOHG Ã&#x20AC;XVK WR VHZHUDJH V\VWHP RU VHSWLF WDQN DQG FORVHG SLW whether own use or shared with other households.

3URSRUWLRQ RI FKLOGUHQ DJHG \HDUV ROG ZKR DUH QRW attending elementary school.

7RWDO QXPEHU RI FKLOGUHQ DJHG \HDUV ROG ZKR DUH not attending elementary school over total number of FKLOGUHQ DJHG \HDUV ROG

3URSRUWLRQ RI FKLOGUHQ DJHG \HDUV ROG ZKR DUH QRW attending secondary school.

7RWDO QXPEHU RI FKLOGUHQ DJHG \HDUV ROG ZKR DUH not attending secondary school over total number of FKLOGUHQ DJHG \HDUV ROG

Proportion of households with income below the pov erty threshold.

3RYHUW\ WKUHVKROG LV HVWLPDWHG E\ LQÃ&#x20AC;DWLQJ WKH RIÂ¿FLDOO\ UH OHDVHG SRYHUW\ WKUHVKROG RI 16&% IRU 5HJLRQ RU 3URYLQFH XVLQJ SUHYDLOLQJ PRQWKO\ FRQVXPHU SULFH LQGLFHV &3, IURP 162 IRU WKH UHIHUHQFH SHULRG RI WKH VXUYH\

Proportion of households with income below the food (subsistence) threshold.

)RRG VXEVLVWHQFH WKUHVKROG LV HVWLPDWHG E\ LQÃ&#x20AC;DWLQJ WKH RIÂ¿FLDOO\ UHOHDVHG IRRG VXEVLVWHQFH WKUHVKROG RI 16&% XVLQJ SUHYDLOLQJ PRQWKO\ FRQVXPHU SULFH LQGLFHV &3, IURP 162 IRU WKH UHIHUHQFH SHULRG RI WKH VXUYH\

Proportion of households that experienced food short age.

Total number of households that experienced food short age over total number of households.

Proportion of persons who are unemployed.

&RQVLGHUHG DV PHPEHUV RI WKH ODERU IRUFH DUH \HDUV old above who are employed and those who are unem ployed but actively seeking for work.

Proportion of persons who were victims of crimes.

+RXVHKROG PHPEHU EHFDPH D YLFWLP RI PXUGHU WKHIW rape, abuse or physical injury regardless of place of occur rence of the crime.

6RXUFH 3KLOLSSLQH ,QVWLWXWH IRU 'HYHORSPHQW 6WXGLHV

133

Annex 2.2.2 SAMPLE MATRIX: THE LOCAL DEVELOPMENT INDICATORS *(2*5$3+,&$/ $5($6 '$7$ ,1)250$7,21 ,1',&$725 3RSXODWLRQ ,QGLFDWRUV D 3RSXODWLRQ VL]H RU FHQVXV years including latest) E *URZWK UDWH

c. Gross population density (1970;

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134

F 3HUFHQW RI ++ EHORZ SRYHUW\ OLQH UHIHUHQFH \HDUV

G &KLOG 0RUWDOLW\ 5DWH (FRQRPLF ,QGLFDWRUV a. Percent of labor force employed, UHIHUHQFH \HDUV E 'HSHQGHQF\ UDWLRV UHIHUHQFH \HDUV F 3HUFHQW RI ZRUNHUV LQ QRQ DJULFXO tural occupation, UHIHUHQFH \HDUV G 5DWLR RI DUHD RI ODQG LQ DJULFXOWXUDO SURGXFWLRQ WR WRWDO $ ' UHIHUHQFH \HDUV e. Total number of commercial establishments, UHIHUHQFH \HDUV

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Annex 2.3.1 CDP AND ELA PLANNING MATRIX &LW\ 0XQLFLSDO 9LVLRQ Sector

Sectoral Goal

Objectives and Targets

Strategies

Programs, Projects and Activities

135

Annex 2.3.2 WORKSHOP: PROBLEM ANALYSIS +2: 72 81'(57$.( 352%/(0 $1$/<6,6 ,GHQWLI\ WKH SUREOHPV

STEP1

Using â&#x20AC;&#x153;metacards,â&#x20AC;? list all the problems. One card per problem. Formulate each problem as a QHJDWLYH FRQGLWLRQ 3UREOHPV FDQ EH FOXVWHUHG DFFRUGLQJ WR VHFWRUV LQ WKH &'3 QDPHO\ VRFLDO HFRQRPLF SK\VLFDO LQIUDVWUXFWXUH HQYLURQPHQW DQG GHYHORSPHQW DGPLQLVWUDWLRQ ([DPSOH )UHTXHQW Ă&#x20AC;RRGLQJ Erosion of vast tracts of land STEP 2

(VWDEOLVK WKH FDXVH D HIIHFW UHODWLRQVKLS DPRQJ WKH SUREOHPV LGHQWLÂżHG From among the listed problems, try and agree on which is the cause and which is the effect. Example: damaged crops is caused by deteriorating forest condition

STEP 3

Establish a convergence point (or points) 7KH FRQYHUJHQFH SRLQW IRU DOO WKH SUREOHPV LGHQWLÂżHG LV UHIHUUHG WR DV WKH Â´FRUH SUREOHPÂľ DQG EHFRPHV WKH RYHU ULGLQJ FRQFHUQLQJ WKDW ZLOO KDYH WR EH DGGUHVVHG

STEP 4

136

5HYLHZ WKH GLDJUDP DV D ZKROH 9HULI\ WKH FDXVH DQG HIIHFW UHODWLRQVKLS DQG DJUHH RQ WKH VRXQG ness and completeness of the problem tree.

SAMPLE PROBLEM TREE OF DETERIORATING FOREST CONDITION '$0$*(' &5236

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DETERIORATING FOREST CONDITION

CORE PROBLEM C A U S E S

29(5)/2: 2) 5,9(56

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'LYLGH WKH SDUWLFLSDQWV LQWR JURXSV HDFK WR FRUUHVSRQG WR WKH GHYHORSPHQW VHFWRUV

STEP 2

(DFK JURXS ZLOO EH DVNHG WR UHYLHZ WKH GHVFULSWRUV DQG WKH VHW RI LQGLFDWRUV LGHQWLÂżHG for the element of the vision statement assigned from the previous visioning exercise.

STEP 3

Group members to recall the characterization of the sector as presented in the updated (FRORJLFDO 3URÂżOH DQG WKHLU VWRFN NQRZOHGJH RI WKH DUHD VHFWRU DVVLJQHG DV D UHVXOW RI the situational analysis conducted.

STEP 4

Using these data, rate the position of the area at present (current reality) with respect to each success indicator.

STEP 5

For any indicator that was rated other than â&#x20AC;&#x153;0â&#x20AC;?, list down the things that need to be done in order to close the gap. List down possible interventions such as programs, projects and policies that will respond to the gaps.

STEP 6

Share the outputs in the plenary session

137

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&KLOG PRUWDOLW\ UDWH LV LQFUHDVLQJ GXULQJ D VL[ year period

Maternal mortality rate

UHGXFWLRQ LQ PDWHUQDO PRUWDOLW\ UDWH

B. Economic Goals 'HVFULSWRU Vibrant economy

6XFFHVV ,QGLFDWRU 1XPEHU RI QHZ LQYHVW ments

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Annex 2.5 WORKSHOP: OBJECTIVES ANALYSIS 'HYHORSLQJ *RDOV DQG 2EMHFWLYHV 8VLQJ 2EMHFWLYHV $QDO\VLV 7KH SURFHVV WDNHV RII IURP WKH SUREOHP DQDO\VLV XQGHUWDNHQ HDUOLHU VHH $QQH[ 8VLQJ WKH VDPH grouping in the problem analysis exercise, instruct the groups to go through the following steps:

138

STEP 1

5HIRUPXODWH DOO QHJDWLYH VWDWHPHQWV LQ WKH SUREOHP WUHH LQWR SRVLWLYH VWDWHPHQWV VHH VDPSOH 2EMHFWLYH 7UHH RI 'HWHULRUDWLQJ )RUHVW &RQGLWLRQ EHORZ

STEP 2

)RUP D GLDJUDP VKRZLQJ PHDQV HQGV UHODWLRQVKLSV LQ WKH IRUP RI DQ REMHFWLYHV WUHH

STEP 3

5HYLHZ WKH GLDJUDP DV D ZKROH DQG YHULI\ LWV YDOLGLW\ DQG FRPSOHWHQHVV

STEP 4

5HIRUPXODWH 0($16 VWDWHPHQWV LQWR DSSURSULDWH VWUDWHJLHV DQG (1' VWDWHPHQWV LQWR appropriate goals .

STEP 5

Add or do away with strategies as appropriate.

SAMPLE OBJECTIVE TREE OF DETERIORATING FOREST CONDITION 5('8&(' '$0$*(' 72 &5236

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Annex 2.6 SWOT ANALYSIS 6:27 $QDO\VLV *XLGH 4XHVWLRQV

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Lack of competitive strength? 5HSXWDWLRQ SUHVHQFH DQG reach?

863 V XQLTXH VHOOLQJ SRLQWV " 5HVRXUFHV $VVHWV 3HRSOH"

Own known vulnerabilities? Staff specialization, Experience, knowledge, data?

5HOLDELOLW\ RI GDWD GDWD JDSV" Morale, commitment, leadership?

,QQRYDWLYH DVSHFWV" Location and geographical characteristics?

Accreditations, etc?

(TXLSPHQWV"

Processes and systems, etc?

139

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Legislative effects?

Market developments?

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Environmental effects?

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,7 GHYHORSPHQWV"

Technology development and innovation?

Market demand?

*OREDO LQÃ&#x20AC;XHQFHV"

1HZ WHFKQRORJLHV VHUYLFHV ideas?

1HZ PDUNHWV YHUWLFDO KRUL]RQWDO" Vital contracts and partners? 1LFKH WDUJHW PDUNHWV" Geographical, export, import? 1HZ 863 V" ,QIRUPDWLRQ DQG UHVHDUFK" Partnerships $GDSWHG IURP &KDSPDQ $

Loss of key staff? Economy

Annex 2.7 WORKSHOP: PRIORITIZING PROGRAMS AND PROJECTS USING *2$/ $&+,(9(0(17 0$75,; *$0

A step-by-step guide to prioritizing programs and projects using the GAM is provided below. To elucidate on the steps, the process of Dagupan City in prioritizing programs and projects for its LDIP (2003-2005) was used. A total of 28 projects were evaluated. 3ULRULWL]LQJ 3URJUDPV DQG 3URMHFWV 8VLQJ WKH *$0 2UJDQL]H D ZRUNVKRS IRU SULRULWL]LQJ OLVW RI SURMHFWV ,QYLWH SDUWLFLSDQWV IURP WKH GLIIHUHQW VHFWRUV RI WKH FRPPXQLW\ H J IDUPHUV Â¿VKHUIRON HQYLURQPHQWDOLVWV KHDOWK ZRUNHUV \RXWK ZRPHQ HOGHUO\ GLVDEOHG FLYLF JURXSV EXVLQHVVPHQ DQG LQGXVWULDOLVWV HOHFWLYH DQG DSSRLQWLYH RIÂ¿FLDOV PHGLD HWF STEP 1

*URXS WKH SDUWLFLSDQWV E\ VHFWRU ,Q WKH IROORZLQJ H[DPSOH QLQH JURXSV ZHUH IRUPHG QXP EHUV LQ 7DEOH D EHORZ

STEP 2

List down all sectoral goals. For the workshop example, the nine welfare goals of Sec. 16 *HQHUDO :HOIDUH FODXVH RI WKH /*& ZHUH XVHG DV WKH UHIHUHQFH SRLQW IRU WKH JRDOV

STEP 3

%DVHG RQ WKH SHUFHLYHG LPSRUWDQFH RI HDFK JRDO WR WKH LQWHUHVWV RI WKH VHFWRU HDFK JURXS ZLOO DVVLJQ ZHLJKWV WR HDFK JRDO 7KH QXPHULFDO WRWDO RI WKH ZHLJKWV VKRXOG EH RU

STEP 4

Each proposed project will be rated by the groups using the following scale:

140

1 3URMHFW FRQWULEXWHV VOLJKWO\ WR WKH IXOÂ¿OOPHQW RI JRDO 3URMHFW FRQWULEXWHV PRGHUDWHO\ WR WKH IXOÂ¿OOPHQW RI JRDO 3 3URMHFW FRQWULEXWHV JUHDWO\ WR WKH IXOÂ¿OOPHQW RI JRDO 0 3URMHFW GRHV QRW FRQWULEXWH WR WKH IXOÂ¿OOPHQW RI WKH JRDO 3URMHFW VOLJKWO\ LQFRQVLVWHQW ZLWK WKH IXOÂ¿OOPHQW RI WKH JRDO 3URMHFW PRGHUDWHO\ LQFRQVLVWHQW ZLWK WKH IXOÂ¿OOPHQW RI WKH JRDO 3URMHFW JUHDWO\ LQFRQVLVWHQW RU FRQWUDGLFWV WKH IXOÂ¿OOPHQW RI WKH JRDO ,Q RXU H[DPSOH WKH RXWSXW RI WZR RI WKH JURXSV LV VKRZQ 7DEOH E DQG E STEP 5

The rating is multiplied by the corresponding weight of the goal and the product (score) HQWHUHG LQ WKH DSSURSULDWH FHOO VHH 7DEOH E DQG E 7KH VFRUHV DUH VXPPHG XS IRU each project proposal. Then all sectoral group scores are added as presented in the example LQ 7DEOH D 6XPPDU\ RI 6RFLHWDO 6HFWRUVÂ· 5DWLQJV

STEP 6

7KH SURMHFWV DUH Â¿QDOO\ DUUDQJHG DFFRUGLQJ WR WKHLU WRWDO VFRUHV 7KH SURMHFW ZLWK WKH KLJKHVW WRWDO VFRUH LV UDQNHG DV QXPEHU RQH WKH QH[W QXPEHU WZR DQG VR RQ DV VKRZQ LQ 7DEOH F below. Two columns for estimated costs are displayed. One column shows the individual FRVW RI HDFK SURMHFW DQG WKH RWKHU UHÃ&#x20AC;HFWV WKH FXPXODWLYH RU UXQQLQJ WRWDO

SAMPLE: PRIORITIZING PROGRAMS AND PROJECTS USING GAM 7DEOH D ([DPSOH RI 6XPPDU\ RI 6RFLHWDO 6HFWRUVÂ· 5DWLQJV 1R

352-(&7

*URXS 5DWLQJV

%XOLOLW .R 3DQ $UDOHQ .R $ 3UH 6FKRRO (GXFD tion Access Program

1.77

'DJXSDQ &LW\ (FRORJLFDO :DVWH 0DQDJHPHQW Plan

1.33

Upgrading of Water Transport Facilities

Modern Slaughterhouse

3DQDQJLGDXQJD\ %DQJXV 'DJXSDQ &LW\ :KROHVDOH )LVK 7UDGLQJ &HQWHU

,QIRUPDWLRQ DQG (GXFDWLRQ &DPSDLJQ RQ WKH &/83 =RQLQJ 2UGLQDQFH

5HGHYHORSPHQW RI 7RQGDOLJDQ 3HRSOH V 3DUN

'URJD (G 3DQWDO $JNR *DED\

0,6 IRU =RQLQJ DQG 7D[ 0DSSLQJ 3URMHFW

7RWDO 6FRUH

5DQN

1.36

1.91

1.36

1.63

1.49

1.34

1.09

1.96

1.13

1.31

1.13

1.03

1.66

1.01

1.46

1.69

1.74

1.3

1.76

1.66

1.36

1.9

1.11

1.97

1.79

1.64

1.1

1.64

1.17

1.31

0.96

0.44

0.93

10.76

Skills Training for Trading, Services and Liveli hood Opportunities

1.74

1.61

1.47

13.63

0DOLPJDV 7DQ 0DUDNHS <D ,ORJ 3DQWDO 5LYHU VLGH 5HGHYHORSPHQW

1.33

1.66

1.49

7UDQVSRUWDWLRQ DQG 7UDIÂ¿F 0DQDJHPHQW 3ODQ IRU 'DJXSDQ &LW\

1.43

1.44

1.73

17.39

Market Expansion Project

1.67

1.13

1.11

PHUJHG ZLWK

.DWLSXQDQ .DNDVLODQ 1D 7RR (G 'DJXSDQ

1.71

19.11

'DJXSDQ %DQJXV 3URFHVVLQJ 3ODQW

1.99

1.77

17.49

&RQVWUXFWLRQ DQG 5HKDELOLWDWLRQ RI 'UDLQDJH 6\VWHP DORQJ 'RQ -RVH &DOLPOLP 6WUHHW 3RJR &KLFR

1.16

0.43

1.39

1.07

1.46

'DJXSDQ &LW\ 7RXULVP 0DVWHU 'HYHORSPHQW Plan and Promotion

1.79

1.4

1.37

17.44

merged with 10

'HYHORSPHQW RI DQ ,QIRUPDWLRQ 6\VWHP RQ Establishments

0.63

1.07

1.3

&%' 6LGHZDON 5HFRYHU\ DQG ,PSURYHPHQW

1.13

1.37

1.69

0.43

1.33

0RUDO 5HQHZDO &DSDELOLW\ %XLOGLQJ 3URJUDP

1.91

1.13

&RPSUHKHQVLYH 8UEDQ 'LVDVWHU 3UHSDUHGQHVV and Management Plan

1.34

14.94

5LYHU 6WXG\ 3URMHFW

1.67

1.4

Water Quality Monitoring and Assessment

1.31

1.73

13.4

8UEDQ *UHHQ 6SDFH (QKDQFHPHQW 5HKDELOL WDWLRQ RI 'DJXSDQ &LW\

1.44

1.66

1.41

$ERQJ .R /XVHN .R 0\ +RPH 0\ 3LOODU $ &RPSUHKHQVLYH &RQFUHWH 9DOXHV 7UDLQLQJ Program

1.46

6RFLDOL]HG +RXVLQJ DQG 5HVHWWOHPHQW 3URJUDP

1.9

19.44

6RXUFH 'DJXSDQ &LW\ /',3

141

*2$/

1.00

0.10

0.12

0.11

0.10

0.11

0.12

:(,*+7

1.68

0.10

0.12

0.11

0.22

0.33

0.10

0.22

0.24

1.33

0.20

0.00

0.11

0.10

0.22

0.36

0.12

1.34

0.20

0.12

0.11

0.22

0.00

0.10

0.11

0.24

1.31

0.20

0.12

0.22

0.00

0.20

0.11

0.24

0.00

0.12

0.22

0.33

0.11

0.20

0.22

0.24

0.36

0.20 1.76

0.20

0.22

0.11

0.22

0.11

0.20

0.22

0.24

1.9

0.20

0.24

0.22

0.10

0.22

0.24

2.25

0.20

0.36

0.22

0.33

0.10

0.22

0.36

0.24

0.22

0.33

0.11

0.20

0.22

0.24

0.20 1.22

0.10

0.12

0.22

0.11

0.10

0.11

0.12

2.03

0.20

0.24

0.22

0.11

0.10

0.22

0.36

2.21

0.30

0.24

0.22

0.20

0.33

0.24

1.67

0.20

0.24

0.22

0.33

0.00

0.10

0.22

0.24

0.12

2.04

0.10

0.24

0.22

0.33

0.10

0.11

0.36

1.99

0.20

0.12

0.33

0.11

0.20

0.22

0.24

1.21

0.20

0.12

0.22

0.11

0.00

0.10

0.22

0.24

0.00

1.79

0.10

0.24

0.11

0.30

0.22

0.24

0.36

0.81

0.00

0.12

-0.11

0.22

0.00

0.11

0.24

0.12

1.13

0.20

0.24

0.00

0.11

0.00

0.22

0.24

0.12

1.91

0.20

0.24

0.11

0.22

0.33

0.10

0.11

0.24

0.36

1.45

0.20

0.12

0.11

0.22

0.00

0.10

0.22

0.24

1.67

0.20

0.12

0.22

0.11

0.10

0.22

0.24

1.31

0.20

0.00

0.11

0.20

0.22

0.24

0.12

1.44

0.20

0.00

0.22

0.11

0.10

0.22

0.24

1.46

0.10

0.12

0.11

0.22

0.10

0.11

0.24

7DEOH E *URXS 2XWSXW

352-(&7 180%(5

Total

0.48

0.21

0.48

0.14

0.48

0.00

0.32

0.21

0.16

0.07

0.32

0.00

0.16

0.07

0.48

0.14

0.48

0.07

0.48

0.00

0.48

0.14

0.48

0.21

0.32

0.07

7DEOH E *URXS 2XWSXW :(,*+7

0.16

0.07

352-(&7 180%(5 *2$/

0.14

0.24

0.32

0.36

0.07

0.36

0.48

0.24

0.32

0.36

0.07

0.12

0.16

0.12

0.57

0.06

0.07

0.24

0.18

0.14

0.12

0.57

0.48

0.24

0.12

0.16

0.12

0.38

0.21

0.12

0.19

0.06

0.32

0.36

0.19

0.06

0.07

0.12

0.21

0.12

0.19

0.32

0.24

0.57

0.06

0.48

0.12

0.00

0.12

0.00

-0.16

0.12

0.19

0.06

-0.07

0.24

0.12

0.07

0.36

0.38

0.48 0.12

0.19

0.06

0.16 0.12

0.12

0.07

-0.12

0.19

0.16 0.36

0.18

0.07

0.24

0.57

0.12

0.19

0.06

2 3

0.38

0.54

0.06

0.54

0.19

0.36

0.06

0.36

0.12

0.54

0.19

0.54

0.06

0.54

0.00

0.38

0.57

0.18

0.06

0.36

0.00

0.18

0.00

0.54

0.45

0.04

0.12

0.54

0.45

0.08

0.19

0.36

0.15

0.04

0.12

0.36

0.15

0.04

0.00

0.54

0.15

0.04

0.19

0.54

0.15

0.04

0.06

0.54

0.00

0.19

0.36

0.00

0.06

0.18

0.30

0.04

0.18

0.36

0.15

0.04

0.57

0.54

0.30

0.08

0.12

0.36

0.04

0.57 0.18

0.00

0.19 0.54

0.12

0.06

0.18

0.00

5 0.18

0.45

0.08

0.15

0.04

0.09

0.30

0.09

2.38

0.08

0.09

2.96

0.15

0.03

2.12

0.04

0.06

1.55

0.12

0.06

1.95

0.00

0.03

1.84

0.15

0.09

1.55

0.04

0.03

1.37

0.12

0.06

0.45

0.09

2.07

0.15

0.06

1.16

0.08

0.09

1.77

0.15

0.06

2.96

0.00

0.60

1.21

0.08

0.09

2.36

0.00

0.06

1.86

0.04

0.03

1.54

0.00

0.03

1.17

0.04

0.09

2.33

0.00

0.09

1.11

0.12

0.03

1.66

0.30

0.06

1.42

0.30

0.03

1.31

0.04

0.09

0.15

0.15 0.09

2.71

0.04

0.03 1.77

9 1.00

Total

142

7DEOH F ([DPSOH RI 5DQNHG /LVW RI 3URMHFWV ZLWK &RVW (VWLPDWHV 5DQN

3URMHFW 7LWOH

7\SH

6HFWRU

&RVW (VWLPDWH 3HVRV

,QGLYLGXDO

&XPXODWLYH

6RFLDOL]HG +RXVLQJ DQG 5HVHWWOHPHQW 3URJUDP

+DUG

Social

.DWLSXQDQ .DNDVLODQ 1D 7RR (G 'DJXSDQ

Soft

Social

763,900,000

'DJXSDQ %DQJXV 3URFHVVLQJ 3ODQW

+DUG

Economic

913,900,000

'DJXSDQ &LW\ 7RXULVP 0DVWHU 'HYHORSPHQW 3ODQ and Promotion

Soft

Economic

4,000,000

917,900,000

7UDQVSRUWDWLRQ DQG 7UDIÂ¿F 0DQDJHPHQW 3ODQ IRU 'DJXSDQ &LW\

Soft

/DQG 8VH ,QIUDVWUXFWXUH

940,000

5LYHU 6WXG\ 3URMHFW

+DUG

Environment

0DOLPJDV 7DQ 0DUDNHS <D ,ORJ 3DQWDO 5LYHUVLGH 5HGHYHORSPHQW

+DUG

/DQG 8VH ,QIUDVWUXFWXUH

8UEDQ *UHHQ 6SDFH (QKDQFHPHQW 5HKDELOLWDWLRQ RI 'DJXSDQ &LW\

+DUG

Environment

934,746,000

'DJXSDQ &LW\ (FRORJLFDO :DVWH 0DQDJHPHQW 3ODQ

Soft

Environment

961,446,000

0RUDO 5HQHZDO DQG &DSDELOLW\ %XLOGLQJ 3URJUDP

Soft

,QVWLWXWLRQDO

963,066,000

'URJD (G 3DQWDO $JNR *DED\

Soft

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393,000

3DQDQJLGDXQJD\ %DQJXV 'DJXSDQ &LW\ :KROHVDOH )LVK 7UDGLQJ &HQWHU

+DUG

/DQG 8VH ,QIUDVWUXFWXUH

,QIRUPDWLRQ (GXFDWLRQ &DPSDLJQ RQ WKH &/83 =RQLQJ 2UGLQDQFH

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,QVWLWXWLRQDO

5HGHYHORSPHQW RI 7RQGDOLJDQ 3HRSOH V 3DUN

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/DQG 8VH ,QIUDVWUXFWXUH

17,900,000

$ERQJ .R /XVHN .R 0\ +RPH 0\ 3LOODU $ &RP SUHKHQVLYH &RQFUHWH 9DOXHV 7UDLQLQJ 3URJUDP

Soft

Social

1,700,000

&RPSUHKHQVLYH 8UEDQ 'LVDVWHU 3UHSDUHGQHVV DQG Management Plan

Soft

Environment

1,094,639,000

&%' 6LGHZDON 5HFRYHU\ DQG ,PSURYHPHQW

+DUG

/DQG 8VH ,QIUDVWUXFWXUH

1,103,339,000

Skills Training for Trading, Services and Livelihood Opportunities

Soft

Economic

Water Quality Monitoring and Assessment in 'DJXSDQ &LW\

Soft

Environment

Market Expansion Project

+DUG

,QVWLWXWLRQDO

Upgrading of Water Transport Facilities

+DUG

/DQG 8VH ,QIUDVWUXFWXUH

1,613,939,000

&RQVWUXFWLRQ DQG 5HKDELOLWDWLRQ RI 'UDLQDJH 6\V WHP DORQJ 'RQ -RVH &DOLPOLP 6WUHHW 3RJR &KLFR

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Modern Slaughterhouse

+DUG

,QVWLWXWLRQDO

1,639,139,000

%XOLOLW .R 3DQ $UDOHQ .R $ 3UH 6FKRRO (GXFDWLRQ Access Program

Soft

Social

'HYHORSPHQW RI DQ ,QIRUPDWLRQ 6\VWHP RQ (VWDE lishments

Soft

Economic

0,6 IRU =RQLQJ DQG 7D[ 0DSSLQJ 3URMHFW

Soft

,QVWLWXWLRQDO

6RXUFH 'DJXSDQ &LW\ /',3

143

6DPSOH 3ULRULWL]LQJ 3URJUDPV DQG 3URMHFWV 8VLQJ *$0 7DEOH D ([DPSOH RI 6XPPDU\ RI 6RFLHWDO 6HFWRUVÂ· 5DWLQJV *URXS 5DWLQJV 1R

352-(&7

7RWDO 6FRUH

5DQN

%XOLOLW .R 3DQ $UDOHQ .R $ 3UH 6FKRRO (GXFD tion Access Program

1.77

1.36

'DJXSDQ &LW\ (FRORJLFDO :DVWH 0DQDJHPHQW Plan

1.33

1.91

1.36

1.63

1.49

Upgrading of Water Transport Facilities

1.34

1.09

1.96

1.13

Modern Slaughterhouse

1.31

1.13

1.03

1.66

1.01

1.46

3DQDQJLGDXQJD\ %DQJXV 'DJXSDQ &LW\ :KROHVDOH )LVK 7UDGLQJ &HQWHU

1.69

1.74

1.3

,QIRUPDWLRQ DQG (GXFDWLRQ &DPSDLJQ RQ WKH &/83 =RQLQJ 2UGLQDQFH

1.76

1.66

1.36

5HGHYHORSPHQW RI 7RQGDOLJDQ 3HRSOH V 3DUN

1.9

1.11

1.97

1.79

'URJD (G 3DQWDO $JNR *DED\

1.64

1.1

1.64

0,6 IRU =RQLQJ DQG 7D[ 0DSSLQJ 3URMHFW

1.17

1.31

0.96

0.44

0.93

10.76

Skills Training for Trading, Services and Liveli hood Opportunities

1.74

1.61

1.47

13.63

0DOLPJDV 7DQ 0DUDNHS <D ,ORJ 3DQWDO 5LYHU VLGH 5HGHYHORSPHQW

1.33

1.66

1.49

7UDQVSRUWDWLRQ DQG 7UDIÂ¿F 0DQDJHPHQW 3ODQ IRU 'DJXSDQ &LW\

1.43

1.44

1.73

17.39

Market Expansion Project

1.67

1.13

1.11

PHUJHG ZLWK

.DWLSXQDQ .DNDVLODQ 1D 7RR (G 'DJXSDQ

1.71

19.11

'DJXSDQ %DQJXV 3URFHVVLQJ 3ODQW

1.99

1.77

17.49

&RQVWUXFWLRQ DQG 5HKDELOLWDWLRQ RI 'UDLQDJH 6\VWHP DORQJ 'RQ -RVH &DOLPOLP 6WUHHW 3RJR &KLFR

1.16

0.43

1.39

1.07

1.46

'DJXSDQ &LW\ 7RXULVP 0DVWHU 'HYHORSPHQW Plan and Promotion

1.79

1.4

1.37

17.44

merged with 10

'HYHORSPHQW RI DQ ,QIRUPDWLRQ 6\VWHP RQ Establishments

0.63

1.07

1.3

&%' 6LGHZDON 5HFRYHU\ DQG ,PSURYHPHQW

1.13

1.37

1.69

0.43

1.33

0RUDO 5HQHZDO &DSDELOLW\ %XLOGLQJ 3URJUDP

1.91

1.13

&RPSUHKHQVLYH 8UEDQ 'LVDVWHU 3UHSDUHGQHVV and Management Plan

1.34

14.94

5LYHU 6WXG\ 3URMHFW

1.67

1.4

Water Quality Monitoring and Assessment

1.31

1.73

13.4

8UEDQ *UHHQ 6SDFH (QKDQFHPHQW 5HKDELOL WDWLRQ RI 'DJXSDQ &LW\

1.44

1.66

1.41

$ERQJ .R /XVHN .R 0\ +RPH 0\ 3LOODU $ &RPSUHKHQVLYH &RQFUHWH 9DOXHV 7UDLQLQJ Program

1.46

6RFLDOL]HG +RXVLQJ DQG 5HVHWWOHPHQW 3URJUDP

1.9

19.44

144

6RXUFH 'DJXSDQ &LW\ /',3

*2$/

1.00

0.10

0.12

0.11

0.10

0.11

0.12

:(,*+7

1.68

0.10

0.12

0.11

0.22

0.33

0.10

0.22

0.24

1.33

0.20

0.00

0.11

0.10

0.22

0.36

0.12

1.34

0.20

0.12

0.11

0.22

0.00

0.10

0.11

0.24

1.31

0.20

0.12

0.22

0.00

0.20

0.11

0.24

0.00

0.20

0.12

0.22

0.33

0.11

0.20

0.22

0.24

0.36

1.76

0.20

0.22

0.11

0.22

0.11

0.20

0.22

0.24

1.9

0.20

0.24

0.22

0.10

0.22

0.24

2.25

0.20

0.36

0.22

0.33

0.10

0.22

0.36

0.24

0.20

0.24

0.22

0.33

0.11

0.20

0.22

0.24

1.22

0.10

0.12

0.22

0.11

0.10

0.11

0.12

7DEOH E *URXS 2XWSXW

Total

0.20

0.24

0.22

0.11

0.10

0.22

0.36

2.21

0.30

0.24

0.22

0.20

0.33

0.24

1.67

0.20

0.24

0.22

0.33

0.00

0.10

0.22

0.24

0.12

2.04

0.10

0.24

0.22

0.33

0.10

0.11

0.36

1.99

0.20

0.12

0.33

0.11

0.20

0.22

0.24

1.21

0.20

0.12

0.22

0.11

0.00

0.10

0.22

0.24

0.00

1.79

0.10

0.24

0.11

0.30

0.22

0.24

0.36

0.81

0.00

0.12

-0.11

0.22

0.00

0.11

0.24

0.12

1.13

0.20

0.24

0.00

0.11

0.00

0.22

0.24

0.12

1.91

0.20

0.24

0.11

0.22

0.33

0.10

0.11

0.24

0.36

1.45

0.20

0.12

0.11

0.22

0.00

0.10

0.22

0.24

1.67

0.20

0.12

0.22

0.11

0.10

0.22

0.24

1.31

0.20

0.00

0.11

0.20

0.22

0.24

0.12

1.44

0.20

0.00

0.22

0.11

0.10

0.22

0.24

1.46

0.10

0.12

0.11

0.22

0.10

0.11

0.24

352-(&7 180%(5

2.03

*2$/

1.00

0.03

0.04

0.19

0.06

0.16

0.07

:(,*+7

1.77

0.09

0.30

0.04

0.18

0.57

0.12

0.24

0.16

0.07

2.71

0.09

0.30

0.12

0.54

0.57

0.18

0.36

0.48

0.07

0.15

0.03

0.00

0.04

0.18

0.19

0.06

-0.12

-0.16

-0.07

1.31

0.06

0.00

0.04

0.36

0.19

0.06

0.12

0.48

0.00

1.42

0.03

0.00

0.08

0.54

0.00

0.12

0.32

0.21

1.66

0.09

0.15

0.00

0.36

0.19

0.12

0.36

0.32

0.07

1.11

0.09

0.15

0.08

0.18

0.00

0.24

0.16

0.21

2.33

0.03

0.45

0.12

0.36

0.57

0.06

0.12

0.48

0.14

1.17

0.03

0.15

0.04

0.54

0.00

0.06

0.12

0.16

0.07

1.54

0.06

0.00

0.12

0.54

0.19

0.12

0.32

0.07

1.86

0.09

0.15

0.04

0.54

0.19

0.06

0.24

0.48

0.07

2.36

0.60

0.30

0.08

0.36

0.38

0.06

0.12

0.32

0.14

1.21

0.06

0.15

0.04

0.36

0.19

0.06

0.12

0.16

0.07

2.96

0.09

0.45

0.08

0.54

0.57

0.18

0.36

0.48

0.21

1.77

0.06

0.00

0.12

0.54

0.19

0.12

0.48

0.14

1.16

0.09

0.00

0.04

0.18

0.19

0.06

0.12

0.48

0.00

2.07

0.06

0.30

0.08

0.36

0.38

0.12

0.24

0.32

0.21

0.03

0.15

0.04

0.18

0.19

0.06

0.12

0.16

0.07

1.37

0.09

0.30

0.04

0.38

0.00

0.24

0.32

0.00

1.55

0.03

0.00

0.54

0.57

0.06

0.12

0.16

0.07

1.84

0.06

0.15

0.04

0.54

0.19

0.12

0.48

0.14

1.95

0.06

0.15

0.04

0.54

0.19

0.06

0.36

0.48

0.07

1.55

0.03

0.15

0.04

0.36

0.19

0.06

0.24

0.48

0.00

2.12

0.09

0.15

0.04

0.36

0.38

0.12

0.36

0.48

0.14

2.96

0.09

0.45

0.08

0.54

0.57

0.18

0.36

0.48

0.21

2.38

0.09

0.45

0.04

0.54

0.57

0.06

0.24

0.32

0.07

352-(&7 180%(5

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Annex 2.8 SAMPLE RESOLUTION ADOPTING THE EXECUTIVE LEGISLATIVE AGENDA RESOLUTION NO. ____, Series of ___ ADOPTING THE EXECUTIVE AND LEGISLATIVE AGENDA OF THE CITY / MUNICIPALITY OF ___________, PROVINCE OF ____________________ WHEREAS, the Executive and Legislative Agenda (ELA) sets the local government’s strategic directions for the next three years and provides an explicit expression of the present administration’s goals, objectives, strategic priorities and programs that are consistent with the LGU vision and missions; WHEREAS, the formulation of the ELA involved the participation of various stakeholders in the community in its various stages, from needs identiﬁcation to plan implementation, monitoring and evaluation; WHEREAS, the ELA represents the collective aspiration, needs and priorities of the local community and therefore enjoys broad-based support; WHEREAS, the ELA is this administration’s sincere invitation to all its constituents and resource institutions to be its pro-active partners in progress; NOW THEREFORE, this body in session assembled, RESOLVED, to adopt as it hereby adopts the Executive and Legislative Agenda of the Municipality/City of ________________________, Province of ____________________. I hereby certify to the correctness of the foregoing resolution which was duly adopted by the Sanggunian Bayan/Panglungsod during its Regular Session on _____________________. _______________________________________________ Secretary to the Sangguniang Bayan/Panglungsod ATTESTED: _________________________ Presiding Officer

SB/ P Member

APPROVED: __________________________________ Municipal/ City Mayor

147

Annex 2.9 MAINSTREAMING PEACE AND CONFLICT IMPACT ASSESSMENT ,1 /2&$/ '(9(/230(17 3/$11,1* /'3 $1' %8'*(7 35(3$5$7,21 %3

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148

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pacts of the location on the proposed projects? Timing +RZ PLJKW WKH WLPLQJ RI WKH proposed project affect its chances of success? Political Factors +RZ PLJKW WKH FKDQJLQJ political context affect the proposed projects? 0LOLWDUL]HG 9LROHQFH +XPDQ Security :KDW LV WKH SRVVLEOH LPSDFW RI PLOLWDUL]HG FRQÀLFW RQ WKH PP? :KDW VRFLR HFRQRPLF IDFWRUV might affect the PP? ,V WKH SURMHFW DSSURSULDWH in terms of structure, objectives, process and etc.? $UH WKHUH RWKHU IDFWRUV WKDW might affect the PP (eg. national disaster, environment fragility)

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0LOLWDUL]DWLRQ DUPHG KXPDQ security: :LOO WKH 33 DIIHFW WKH SHRSOHÂ·V sense of security positively or negatively? how? :LOO WKH 33 DIIHFW WKH PLOL WDU\ SDUDPLOLWDU\ FULPLQDO HQ YLURQPHQW GLUHFWO\ LQGLUHFWO\ SRVLWLYHO\ QHJDWLYHO\" +RZ" :LOO WKHUH EH UHDO LPSURYH ments in the political, eco nomic, physical, food security among men and women? +RZ FDQ EHQHÂ¿WV EH PRUH broadly or fairly distributed? 3ROLWLFDO VWUXFWXUH SURFHVVHV :LOO WKH 33 KHOS RU KLQGHU WKH strengthening of the relation ship among stakeholders in WKH PXQLFLSDOLW\" +RZ" :LOO WKH 33 KDYH SRVLWLYH RU negative impact on the politi cal structures and processes? :KDW ZLOO EH WKH LPSDFW RI WKH 33 RQ WKH +5 FRQGLWLRQV within the municipality? (FRQRPLF VWUXFWXUH 3URFHVVHV :LOO WKH 33 FRQWULEXWH WR RU distract from efforts to recon struct damaged economic and social infra? :LOO WKH 33 DGGUHVV WKH XQ HTXDO GLVWULEXWLRQ RI ZHDOWK" Social Empowerment :LOO WKH 33 FUHDWH RU VXSSRUW HTXLW\ DQG MXVWLFH" :LOO WKH 33 EH VKDUHG HTXLWD bly by both genders? :LOO WKH 33 FRQWULEXWH WR positive communication or interaction?

149

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Legend &KRRVH RQO\ RQH DQVZHU $QVZHU DOO LWPHV 3RYHUW\ LQFLGHQFH WKH KLJKHU WKH SRYHUW\ LQFLGHQFH RI WKH SURYLQFH WKH KLJKHU WKH VFRUH 0'* 6WDWXV Â² WKH ORZHU WKH DFKLHYHPHQW OHYHO WKH KLJKHU WKH VFRUH RPFP Strategies 0DLQODQG Â² /LQHDU FRUULGRU 'HYHORSPHQW 6WUDWHJ\ (VWDEOLVKPHQW RI 5HJLRQDO $JUL ,QGXVWULDO &HQWHU DW 3ROORF 6KDULII .DEXQVXDQ DQG 3URYLQFLOD ,QYHVWPHQW (VWDWHV DW 0DODEDQJ /DQDR 6XU 6 $JXDN 0DJ DQG '26 6. ,VODQG 3URYLQFHV Â²7UL SRODU VWUDWHJ\ 3,(V DW -ROR 6XOX /DPLWDQ %DVLODQ DQG %RQJDR 7DZL 7DZL RDP Spatial Framework 0DJXLQGDQDR 6 .DE Â² 6KRZFDVH RI 'LYHUVLÂ¿HG $JULFXOWXUH /DQDR 6XU Â² +RPH RI WKH /DNH K\GUR SRZHU LQ 0LQGDQDR 6XOX ([RWLF FURSV FDSLWDO RI $500 7DZL 7DZL Â² $6($1Â·V %HVW *DWHZD\ WR ($*$ %DVLODQ /DPLWDQ &LW\ Â² &HQWHU RI &RPPHUFLDO FURSV 0DUDZL &LW\ FLW\ E\ WKH ODNH &HQWHU RI ,VODPLF (GXFDWLRQ &XOWXUH DQG $UWV 3URMHFW SUHSDUHGQHVV OHYHOV 3URMHFW FRQFHSW 3URMHFW SURSRVDO 1('$ )RUP DQG 3URMHFW )HDVLELOLW\ 6WXG\ LGU readiness â&#x20AC;&#x201C;the presence of functional performance management system such as LGPMS gets higher score Annual infra projects â&#x20AC;&#x201C; good performance entails higher score 2'$ SURMHFWV LPSOHPHQWDWLRQ JRRG SHUIRUPDQFH HQWDLOV KLJKHU VFRUH

References ARMM Regional Executive Agenda and Development Investment program (2006-2008), Regional Planning and Development Office Rationalized Planning System, Sourcebook for Local Government Units, DILG-Bureau of Local Government Development, 2006 The Evolving Roles of CBMS in the Philippines Amidst New Challenges, Various Paper Presentations during the 3rd National Conference on CBMS, September 28-30, 2005 Recommendations for Using LGPMS in the Rationalized Planning System for LGUs, Paper Submission to LGSP and DILG by Eric Libre, Consultant, 2006 Managing Knowledge for Improved Local Governance Performance: A Guidebook on Capacity Development Agenda Formulation, LGA Pabalan, M, Paran J, & Caluen, I (2004). How to Formulate an Executive and Legislative Agenda for Local Governance and Development: Facilitatorâ&#x20AC;&#x2122;s Guide, Philippines-Canada Local Government Support Program, Manila, Philippines Tanggol S (1990). Regional Autonomy and Social Development: Some Notes on the Case of Muslim Mindanao in Local Government in the Philippines: A Book of Readings (Volume II). Eds Proserpina Tapales, et al. Center for Local and Regional Governance

151