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SUB - MANUAL
Field Guide
COMMUNITY EMPOWERMENT ACTIVITY CYCLE
Kapit-Bisig Laban sa Kahirapan
Comprehensive and Integrated Delivery of Social Services
KALAHI-CIDSS PROJECT
05 March 2012
INTRODUCTION
This document is a sub-manual to the Operations Manual of the Kapit-Bisig Laban sa
Kahirapan Comprehensive and Integrated Delivery of Social Services or KALAHI-CIDSS
(KC) Project. It is a field guide to help you facilitate Community-Driven Development
(CDD) through the enhanced KC Community Empowerment Activity Cycle (CEAC). Please
note that the operative word used here is facilitating and not implementing. The
choice is deliberate. This is due to the fact that the idea of development delivery does
not work, and that the role of so called development actors is not to bring development
to poor communities, but rather to facilitate this development from within, to creatively
craft opportunities for the people to realize their own potential for change, and to
nurture and build on this potential so that, in the end, the people will say, to paraphrase
a bit of ancient Chinese wisdom, We have done it ourselves!.
This field guide provides you with the broad overview of CDD as applied by the KALAHICIDSS Project through the CEAC, along with specific guidance that will help you, the
Area Coordinating Team (ACT, facilitate the many different components that go along
with implementing the CEACs many activities.
The use of the word guidance rather than instruction is also deliberate. These notes
are design to lay down the general, minimum requirements for each major activity in the
CEAC. It cannot and does not pretend to have precise applicability in all situations. You
are expected to develop implementation processes according to context-specific
conditions. This is a prime requirement of Community-Driven Development (CDD)
efforts. You should also bear in mind that while the Area Coordinating Team (ACT) acts
as lead facilitator of the KC processes outlined herein, facilitation of community
processes to bring about real, community-driven development is the task of all
stakeholders. Due to the specific contexts of municipalities covered by the project, the
CEAC is expected to evolve according to the specific conditions within each municipality,
barangay, and community. This document should serve to guide you through this
process of evolution in the course of the three-year KALAHI-CIDSS engagement in the
municipality and barangay in which you are assigned. Like all things involving change, it
would be very hard indeed to determine the exact final form. If this manual provides you
with at least a broad outline of how to plan and manage this evolution, then it would
have achieved its purpose.
Additional, more specific guidance on to implement specific activities along the
Community Empowerment Activity Cycle or the CEAC are contained in a separate
Toolkit, where you can find various instruments that you can use in the many activities
you will implement.
On a last note, while facilitating the CEAC is the task of all, the ACT performs a very
important conducting role. Bear in mind that while the conductor does not make the
individual sounds, he or she does guide how and when the sounds are played, and thus,
in a real sense, create the music.
Finally, please take the time to study other materials on CDD and facilitation of
participatory development processes from other agencies and/or sources. The Internet is
a resource for additional readings on development. You may also visit other government
agencies working in rural development, or on the internet, particularly the websites of
the World Bank (WB) and its Knowledge Development Centers (KDCs). There are a lot
of good materials there for further understanding rural poverty, and CDD.
Remember that learning needs effort and discipline. You must be motivated to discover
new things. This strong desire to learn is important in order to prepare you in meeting
the community members.
ii
LIST OF ACRONYMS
AC
ACT
AR
ARB
ARC
BA
BAP
BAWASA
BC
BDC
BDP
BRT
BSPMC
CAA / CAB
CBE
CBIS
CBL
CBMT
CBO
CDD
CDP
CEAC
CENRO
CF
CO
CSW
CV
DA
DAC
DAR
DBM
DepED
DILG
DOF
DOH
DRR
DSWD
FAP
FGD
GRS
ICC
IP
Area Coordinator
Area Coordinating Team
Accountability Review
Agrarian Reform Beneficiaries
Agrarian Reform Communities
Barangay Assembly
Barangay Action Plan
Barangay Water Users Association
Barangay Council
Barangay Development Council
Barangay Development Plan
Barangay Representation Team
Barangay Sub-Project Management Committee
Conflcit Affected Area / Conflict Affected Barangay
Community Based Monitoring
Capacity Building and Implementation Support
Constitution and By-Laws
Community-Based Monitoring Team
Community-Based Organization
Community -Driven Development
Comprehensive Development Plan
Community Empowerment Activity Cycle
Community Environment and Natural Resource Officer
Community Facilitator
Community Organizing
Criteria Setting Workshop
Community Volunteer
Department of Agriculture
Deputy Area Coordinator
Department of Agrarian Reform
Department of Budget and Management
Department of Education
Department of the Interior and Local Government
Department of Finance
Department of Health
Disaster Risk Reduction
Department of Social Welfare and Development
Foreign Assisted Project
Focused Group Discussion
Grievance Redress System
Indigenous Cultural Community
Indigenous People
iii
LIST OF ACRONYMS
KALAHI-CIDSS
KC
KCAF
KDC
KDP
KPI
KRA
LCC
LDC
LDIP
LET-CIDSS
LGC
LGU
LSB
M&E
MAC
MAO
MCT
MDAC
MDC
MFA
MHO
MIAC
MIBF
MIBF-EC
MLGOO
MLGU
MM
MOA
MPDC/O
MPIP
MSC
MSIT
MSWDO
MT
MTF
MTPDP
NAPC
NCIP
NEDA
NGA
NGO
iv
LIST OF ACRONYMS
NHTS-PR
NPMO
NPMT
NSC
NSCB
NTP
NTWG
O&M
PAD
PDC
PDP
PDR
PDW
PIAC
PIW
PO
PPT
PRSPS
PSA
PSWDO
PTA
PTCA
QA
QC
RCDS
RDC
RFR
RPM
RPMO
RPMT
RPS
SB
SDC
SET
SI
SLGR
SP
SPCR
SPI
TA
TAF
TWG
VMG
WB
vi
TABLE OF CONTENTS
INTRODUCTION
LIST OF ACRONYMS
CHAPTER 1: OVERVIEW OF THE KALAHI-CIDSS PROJECT
1.1
1.2
1.3
1.4
1.5
1.6
i
ii
3
3
4
5
6
7
11
23
45
4.1
4.2
4.3
4.4
4.5
What
What
What
What
What
CHAPTER 5: SUSTAINABILITY
5.1
5.2
5.3
5.4
5.5
What is sustainability?
How do we ensure sustainability of CDD interventions?
Institutionalization
Promoting Inter-Agency Convergence for Community-Driven Development
Organizational Formation, Development and Community-Based Organization
strengthening
5.6 Sustainability Evaluation for Completed Sub-Projects
5.7 Sustainability Planning
13
16
18
20
25
28
29
34
36
40
47
47
48
49
50
53
55
55
56
60
63
73
76
vii
81
83
83
83
83
86
87
87
TOOLKIT
Introduction
Facilitating Social Preparation Activities
Guide to facilitating the KALAHI-CIDSS Municipal Orientation
Guide to conducting Social Investigation
Guide to facilitating Barangay Assemblies in the KC Project
Guide to conducting the 1st Barangay Assembly
Guide to conducting Participatory Situation Analysis
Guide to facilitating Community-Based Monitoring and Evaluation in KC
87
89
95
103
115
121
129
165
LIST OF FIGURES
Figure
Figure
Figure
Figure
Figure
Figure
Figure
Figure
Figure
Figure
Figure
Figure
Figure
Figure
Figure
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
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KALAHI-CIDSS Logo
Project Management Structure
Community Empowerment Activity Cycle (CEAC)
CEAC 3 cycle progression
Social Preparation Activities
Project identification, selection, and planning activities
Project approval activities
Project implementation, operation, and maintenance
Transition activities
KC Institutionalization Framework
Inter-Agency Convergence Framework
Municipal Inter-agency Convergence Structure
Makamasang Tugon Framework
MT Key Features
Process for selecting MT MLGUs
3
13
25
26
29
30
31
33
33
57
60
61
83
85
87
LIST OF TABLES
Table
Table
Table
Table
Table
Table
Table
Table
viii
1
2
3
4
5
6
7
8
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7
8
17
26
36
40
64
LIST OF BOXES
Box
Box
Box
Box
Box
Box
Box
Box
Box
1
2
3
4
5
6
7
8
9
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3
4
5
6
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48
64
68
68
ix
CHAPTER 1
THE KALAHI-CIDSS PROJECT
What is the KALAHI-CIDSS Project?
Why KALAHI-CIDSS?
What are the over-all development objectives of the KALAHI-CIDSS Project?
What does the KALAHI-CIDSS aim to achieve by these strategies?
What are the core principles of the KALAHI-CIDSS Project?
SUMMARY
This chapter is divided into eight sections. The first part begins with a discussion of what
KALAHI-CIDSS Project is about. The second part talks about the importance of the
project in the governments effort to reduce poverty in the provinces. The third part
discusses the objectives of the project. The next part talks about the ways on how to
achieve the stated objectives.
The fifth part discusses the aims of the strategies. The succeeding parts talk about the
principles and structure of KALAHI-CIDSS Project. The last part discusses the roles
eand functions of Local Government Units (LGUs) in the success of the project.
IMPORTANT REMINDERS
Look at other documents. Some important information is found in the Project
Appraisal Document (PAD), Project Operations Manual and the Local Government Code.
Read them for complete information on the design of KALAHI-CIDSS Project.
Update yourself. For updates about KALAHI-CIDSS Project, please check the website of
the Department of Social Welfare and Development (DSWD) at www.dswd.gov.ph.
However, all official updates or strategic adjustments and innovations on the Project will
be duly communicated through written administrative or department memorandum.
Apply the concepts. Each member of the ACT should study how these concepts and
principles apply in the context of their specific tasks and duties in line with each others
specific function.
1.1
Fig. 1 KC Logo
The Medium-Term Philippine Development Plan (MTPDP) 2004-2010 identifies KALAHICIDSS as one of the main government programs on community empowerment and
poverty reduction (MTPDP Chapter 12). The most recent Philippine Development Plan
(PDP) for 2011 to 2016 further emphasizes the need to expand the community-driven
development strategy of the KALAHI-CIDSS (Chapter 8, Philippine Development Plan
2011-2016), where empowerment is promoted through active community participation
during the design, implementation, and management of development activities that aim
to reduce poverty and place control over resources in the hands of the community
especially the poor.
Participation in decision-making
Opportunities and access to basic services
Ownership of assets to allow sustained income
Resources to meet basic needs
Box 1 Who are the poor?
Low farm harvests, high farm inputs thereby producing less income
Unavailability of employment and the absence of facilities to help increase
current income levels
Absence and/or restricted ownership of lands.
As can be gleaned from above, the poors lack of participation and control in improving
their current state make the poor, poorer. This underscores the need to focus on
improving avenues and processes for direct participation of the poor in development
activities, and improving governance, as necessary requisites to sustained poverty
reduction.
of good governance as mandated by the Local Government Code or LGC (Republic Act
7160).
Reduce Poverty by providing funds for projects that the community itself identifies,
designs, and implements, based on priority needs identified by the communities
themselves. It is assumed that with empowered communities and improved local
governance, development projects implemented by communities will be relevant,
successful and sustainable.
guide
the
Project
in
the
Community Prioritization
The Project requires communities to participate in problem analysis, project
identification, development, implementation and monitoring. Community members
participate in deciding on which/what projects are to be prioritized for funding.
Inclusive and Multi-stakeholder
The Projects wants all stakeholders such as formal and traditional leaders, the different
sectors in the community and other individuals, groups or organizations to participate.
By expanding participation, the Project prevents or minimizes the emergence of a select
few elites who can appropriate and control the decision making process for their own
benefit, to the detriment of others. This is why traditionally marginalized groups, such as
women and indigenous people, are given priority in all project activities.
Demand-driven
The Project calls on community members to participate in prioritizing their own needs
and problems; designing their own projects and making decisions on how resources will
be used. It is believed that projects that are developed and implemented by the
community have better outcomes and are made more sustainable. Project ownership is
also achieved because the community members themselves identified, developed, and
implemented the project.
Simple
The Project underscores simplicity in all procedures and requirements to promote better
understanding and appreciation.
Sustainable
The Project ensures that community projects have viable plans for sustainability. With
reference to Kalahi-CIDSS, viability and sustainability reflect the capacity of community
projects to continue to deliver intended benefits over a long period beyond the life of the
project.
What is Community-Driven
Development?
CDD is a development approach that gives control of
decisions and resources to community groups. These
groups often work in partnership with demand-responsive
support organizations and service providers, including
elected local governments, the private sector, NGOs, and
central government agencies.
CDD is a way to provide social and infrastructure
services, organize economic activity and resource
management, empower poor people, improve governance,
and enhance security of the poorest.
World Bank
Improved core local poverty indicators in project municipalities, compared to withoutproject municipalities
Higher percentages of households that report an increase in knowledge, skills and
confidence to participate collectively in local governance activities in project municipalities,
Project Objectives:
Communities in targeted poor municipalities are empowered to achieve improved access to
sustainable basic public services, and to participate in more inclusive Local Government Unit
(LGU) planning and budgeting
Project Outcome Indicators
The Project shall be implemented with four (4) components, which include;
Component
Component
Component
Component
1:
2:
3:
4:
The following are the Projects Intermediate Outcome Indicators by Project Component.
Table 2 Intermediate Outcomes by component
Component
Component 1: Grants to
Barangays in Rural
Areas
Barangays of poor
municipalities have
increased capacity in
effective communitybased project
management,
implementation, and
operation
Component 2: CapacityBuilding and
Implementation
Support (CBIS)
Communities and LGUs of
poor municipalities
assisted to work more
collaboratively and to
exercise more
inclusiveness and good
governance in local KC
priority-setting, planning,
and implementation
Component
Component 3: Grants to
Barangays in Urban
Areas
Monitoring and evaluation procedures, approaches, and tools are described in greater
detail in the KALAHI-CIDSS Sub-manual on Monitoring and Evaluation.
Practice Notes:
1. Prepare a short description of the KALAHI-CIDSS Project, especially of the Project
principles, and the results framework. Translate this into the local dialect, and try
to explain them to your LGU and community contacts.
Get them to ask
questions.
2. As you go through the Field Guide, make a note of the activities that you will
need to conduct in relation to each component. List down what the expected
outputs of each activity should be in relation to the specific indicators in the
results framework.
3. Search for reading materials and case studies on Community-Driven Development
(CDD). There are many examples and excellent materials on the internet.
Assign ACT members to give a presentation on regional and/or global CDD best
practices, and integrate this as part of your regular team study sessions.
10
CHAPTER 2
OVERSIGHT, IMPLEMENTATION,
and COORDINATION STRUCTURES
What is the KALAHI-CIDSS Projects implementation
structure? Who are the members?
What is the Area Coordinating Team (ACT)?
What are the roles and functions of the LGU in the Project?
and
coordination
What are the roles and functions of the community in the KALAHI-CIDSS
Project?
11
SUMMARY
This chapter is divided into four sections. The first part begins with a discussion of the
policy and oversight structures of the Project. The second part talks about the project
management bodies at the national and regional levels. The third part discusses the
implementation and coordination structures of the Project, while the fourth section talks
about your team, the ACT.
IMPORTANT REMINDERS
Look at, and Learn from other documents. Important detailed information on the KC
structure can also be found in the Projects Operations Manual, while useful information
on the various LGU units can be found in the Local Government Code and its
Implementing Rules. Secure a copy of these materials, and use them in your teams
study sessions.
Update yourself. For news about KALAHI-CIDSS Project, please check the website of
the Department of Social Welfare and Development (DSWD) at www.dswd.gov.ph.
Apply the concepts. Each member of the ACT should study how these structures
operate, especially those directly relevant to your work. Each team members must also
be familiar with their individual roles, functions, and tasks. To effectively contribute to
your teams objectives, you must know your own role by heart.
12
National level
Municipal level
REGIONAL INTER-AGENCY
COMMITTEE SOCIAL
DEVELOPMENT COMMITTEE
REGIONAL PROJECT MANAGEMENT
TEAM (RPMT)
PROVINCIAL DEVELOPMENT
COUNCIL SUB-COMMITTEE (PDCSC)
MUNICIPAL INTER-AGENCY
COMMITTEE (MIAC)
MUNICIPAL COORDINATING
TEAM (MCT)
The Secretary of the Department of the Interior and Local Government (DILG)
The Secretary of the Department of Finance (DOF)
The Secretary of the Department of Budget and Management (DBM)
The Director General of the National Economic and Development Authority
(NEDA)
13
The NTWG is responsible for the provision of inter-agency technical support to the
project, facilitates coordination among various agencies; monitors and reviews project
implementation, and facilitates resolution of technical concerns. The NTWG is the
recommendatory body for policy directions to the NSC. Its members include
representatives from the NSC agency members (DSWD, DILG, NEDA, DBM, DoF), NGOs
and civil society groups, and other agency representatives (as needed). Other agency
members include the:
1.
2.
3.
4.
5.
6.
7.
Expansion of TWG members during the 27th March 2003 NSC meeting
14
15
Box 5
ESSENTIAL ELEMENTS OF A TEAM
1.
2.
3.
4.
That ACT members must be interdependent i.e. each member perceives he/she needs
one anothers experience, ability, and commitment to achieve project goals.
16
2.2.4 What are the specific roles and functions of members of the team?
The members of an ACT, and their general functions are as follows;
Table 3 Roles and Functions of ACT members
ACT members
Area Coordinator
(AC)
Deputy Area
Coordinator
(DAC)
The Community
Facilitators (CF)
Municipal Finance
Analyst (MFA)
17
2.3 What are the roles and functions of the LGU in the
KALAHI-CIDSS Project?
The provincial, municipal, and barangay local government units participate in the KC
project implementation in the following ways:
1. provide counterpart funding for
community sub-projects, and project
operations at the local level.
2. provide personnel to work full-time to
the project and other support
mechanisms
in
project
implementation
3. provide
technical
assistance
to
barangays
along
the fields of
expertise of the different units
4. acts as conveners of inter-barangay
forum, and inter-agency committee meetings
5. monitor and evaluate the over-all performance of the project
6. provide funding support for completed community projects, and
7. facilitate institutionalization of KC processes into the LGU development planning,
budgeting, and project implementation systems and processes.
2.3.1 What are the main mechanisms by which the Municipal and
Barangay LGUs engage with the Project?
The main mechanisms and structures by which the LGUs engage with the KC Project are;
1. the Municipal Inter-Agency Committee (MIAC), and;
2. the Municipal Coordinating team (MCT)
18
19
Municipal
Municipal
Municipal
Municipal
Municipal
Municipal
20
Using community organizing techniques, the ACT forms many community volunteer
committees are formed to undertake many tasks in the KC Project.
2.4.2 What community volunteer groups are formed in the course of the CEAC
Among the groups formed during the course of KC implementation include the following;
1.
2.
3.
4.
5.
Practice Notes:
1. Review your roles as discussed in this guide. How will you operationalize these
roles in your day-to-day work? What is being asked of you based on the
functions outlined?
2. Review the roles and functions of the LGU in the Project. With whom in the LGU
should you work closely with? Meet with this person and explain to him/her
youre the Project and you functions and tasks in it. Solicit his/her ideas about
how you can more effectively conduct these tasks.
3. Review what you know about the situation of the LGU in your assigned
municipality. What factors will hinder performance of the tasks assigned to
them? What factors will facilitate performance of these tasks?
4. Review your SI results. What organizations or associations can you tap to help in
the work? Come up with a plan for engaging these CBOs. Present it to your
team for discussion and critique.
21
22
CHAPTER 3
OVERVIEW OF THE COMMUNITY
EMPOWERMENT ACTIVITY CYCLE
(CEAC)
What is the Community Empowerment Activity Cycle?
What is the rationale behind the CEAC implementation process?
What are the objectives of CEAC implementation process?
How is the CEAC implemented in the KC project?
What are the elements of the CEAC implementation design?
What are the stages of the CEAC?
How does the role of various stakeholders evolve in the course of the
CEAC?
23
24
3.1 What is
Cycle?
Community-Based
Evaluation
Transition
Implemntn
of O&M Plan
Implemntn
of SP
& M&E
Accountability Review
and Reporting
Implmtn
SP & O&M
Plan & M&E
Municipal
Orientation
KALAHI-CIDSS: KKB
COMMUNITY
EMPOWERMENT ACTIVITY
CYCLE
Pre-Implemntn
Workshop
MIBF MDC
Engagements
Social
Preparation
Stage
Barangay
Orientation
(BA)
PSA
Community
Consultation
(BA)
Criteria Setting
Workshop MIBF)
MIBF-EC Review of
Pending Proposals
Community
Consultations (BA)
Project Approval
Stage
Prioritization and
approval of Proposals
(MIBF)
Community
Consultations
Project
Identification,
Selection, and
Planning
Stage
Project Development
Workshop
Preparation of
detailed Proposals
Community Consultations
(BA)
MIAC Technical
Review of Proposals
As a process, the CEAC is a series of activities where you create opportunities for local
people to collectively work together in a way that is purposively progressive. Through
the CEAC, you will guide communities through a real problem-solving process. The
process is comprehensive and systematic. It touches on the whole stream of the
problem solving process, from clarifying local situations to identifying issues, to
developing solutions to address these issues, to actually carrying out activities to
implement these solutions, and to monitoring whether these solutions actually contribute
to improving local conditions. The process is also methodical. Through the CEAC, you
will guide the community to walk through a process of socialization where learning is
experiential (like whole language learning), where the learning builds progressively upon
each other (through action-reflection or PRAXIS), and where learning is life building,
increasing awareness of rights, transparency, participation, and accountability
25
There are five (5) basic stages to the CEAC. These are (i) Social Preparation; (ii) Project
Identification, Selection, and Planning; (iii) Project Approval; (iv) Sub-Project
Implementation, Operation and Maintenance, and Monitoring and Evaluation, and; (v)
Transition.
These stages must be implemented in sequence. This means that a
community cannot proceed directly to project identification without having undergone
social preparation. In addition, specific activities are likewise conducted in sequence for
each stage. These are further explained in section 3.5 below.
Each community under the project undergoes the CEAC three times, one for each cycle
of the project. This must not, however, be interpreted as repetitive implementation of a
generic cycle.
Figure 4 CEAC 3 Cycle Progression
The CEAC is a dynamic process involving two levels. The first level involves all activities
that are built from previous activities along one specific cycle. This is further described in
the next chapter on the CEAC walkthrough.
The second level of progression occurs over the course of three cycles. This means that
implementation of each CEAC cycle changes over the course of three cycles, and that
while some activities remain the same in form, they are essentially different in
substance.
The table below describes how the objectives and roles of the ACT and MCT change in
the course of the three cycles of the CEAC. Bear in mind that this is a general
formulation of CEAC objectives and stakeholders role progression. Depending on the
level of conditions and readiness of LGUs and the attendant local governance conditions,
the specific objectives may change across municipalities. Use this as a guide in planning
Project implementation and managing ACT operations
Table 4 Progression of Objectives and ACT-LGU Roles across the 3 CEAC cycles
Cycle 1
Objectives
Build appreciation of
community-driven
development among
community stakeholders
through experiential
learning of CEAC
Provide beginning
26
Cycle 2
Build capability of
community volunteers
to undertake lead role
in selected CEAC
processes/activities
Cycle 3
Facilitate community
initiative to integrate
CDD elements into the
local development
planning and budgeting.
Cycle 1
Role sharing of
ACT
Demonstrate CDD to
stakeholders
Provide technical
assistance and preactivity preparation and
planning assistance,
coaching during actual
activities, and postactivity processing and
evaluation with
stakeholders.
Mobilize community
members to engage in
project activities;
Faciliate consensus
building and organized
decision-making
Outputs
Cycle 3
manage citizens
participation in
development
Facilitate CEAC
processes;
Role sharing of
LGUs thru the
MCT
Cycle 2
Trained community
volunteers on CDD;
Citizens other than
elected public officials
participate in
development activities
at the barangay-level;
Barangay Action Plans
(BAPs) informed by
citizens priorities;
Community projects
that address peoples
Transfer responsibility
for the conduct of
activities and
generation of outputs to
LGUs;
Establish standards for
participation,
transparency, and
accountability;
Enforce standards by
conducting quality
assurance and control
on participation,
transparency, and
accountability in LGU
facilitation of CDD;
Institute changes in
local governance
activities, processes and
structures that promote
PTA in governance.
Barangay Development
Plans and Annual
Investment Programs
Municipal Development
Plan address BAP
priorities in BDPs and
AIPs;
27
Cycle 1
needs;
Cycle 2
incorporate BAP
priorities;
Community projects
that address peoples
needs sustain operation
after one year;
Increase in no. of
community projects that
address peoples needs;
CBOs are engaged in
project activities;
New community groups
and associations are
formed;
Cycle 3
Community projects
that address peoples
needs sustain operation
after two years;
Increase in no. of
community projects that
address peoples needs;
CBOs are engaged in
project activities;
New community groups
and associations are
formed;
Community
organizations
consolidate for greater
engagement in MDCs;
MDC membership
expanded to include
more citizens
representatives;
From the above, the outputs of project interventions (as evidenced by concrete
indicators), are expected to increase progressively across cycles, with succeeding cycles
building on the outputs produced from previous cycles of implementation.
28
Mandated by both the Local Government Code of 1991 and the Social Reform and
Poverty Alleviation Act of 1997 to serve a frontline role in the fight against poverty, LGUs
are given the responsibility of formulating, implementing, monitoring, and evaluating
poverty reduction efforts within their respective areas. In order to fulfill this role, local
government units are expected to enhance governance systems in line with the
participatory and inclusive processes of development planning and resource allocation
prescribed by the Code.
The Makamasang Tugon or MT is a fourth cyle for municipalities which have
demonstrated adherence to the principles and processes that promote participation,
transparency, and accountability in implementing the first 3 cycles of the KC Project. It
is a performance-based incentive cycle that provides good performing LGUs of KC
municipalities additional grant to suport LGU efforts to integrate CDD approaches and
strategies in the preparation of local development plans and investment pograms, and
in the implementation of projects to address poverty. This LGU-facilitated CDD modality
is further described in Chapter 6.
3.3 What are the stages of the CEAC, and the activities in
each stage?
As mentioned in the introduction, each cycle of CEAC has five stages.
Social Preparation
Project identification and development of proposals
Prioritization of proposals
Implementation of community proposals
Cycle transition
The following section describes the major activities in facilitating the CEAC. It also
provides the key considerations in relation to local context/conditions that you need to
consider in the conduct of the activities.
Stage 1: Social Preparation
Municipal Orientation (MO) is a
public gathering of all stakeholders in
the municipality, to introduce the
Project,
dialogue on objectives,
outputs, and roles of various parties,
and formally sign the Memorandum of
Agreement (MOA) between the MLGU
and the DSWD.
The Municipal
Orientation signals the official start of
KC
implementation
in
the
municipality.
Figure 5
29
and challenges that the community faces through integration, analysis of existing
reports/data and interview of key informants, among others.
The team
develops its action plans for KC implementation based on the results of the SI.
Barangay Assemblies (BA) as defined in the local government code (LGC) is
a gathering of all residents in the barangay who are 15 years old and above. The
BA is the basic decision-making body of the project in the barangay-level, and is
also where community volunteers (CVs) are elected to undertake functions in the
project at the barangay level. The BA is conducted many times in the project. A
guide to the conduct of barangay assemblies is found in the toolkit section.
Participatory Situation Analysis (PSA) is a process in the project where
community volunteers elected by the BA undertake community research, identify
the key problems in the community that causes poverty, and identify the range of
possible solutions to address these problems. The PSA involves three steps; (i)
the Municipal PSA Planning Workshop, where the ACT, MCT, and selected
community volunteers plan for the conduct of PSA activities; (ii) the Barangay
PSA, where community volunteers undertake research and analysis of community
conditions, problems, and proposed solutions, and; (iii) Community Consultation
on the PSA results, undertaken through a Barangay Assembly, and which results
in the BA consensus regarding priority community problems and proposed
responses. The PSA results serve as the basis for many subsequent activities in
the CEAC cycle. Community organizations are also formed after the PSA to
address issues identified.
In addition, community volunteer committees, specifically the Barangay
Representation Teams (BRTs) and the Project Preparation Teams (PPTs) are
likewise elected during the Community Consultation BA for PSA validation. The
BRT and the PPT serve as the main community volunteer groups that lead in the
major activities of stage 2.
Stage 2: Project identification and proposal development
Criteria Setting is a process,
undertaken at an activity called the
Criteria Setting Workshop or CSW,
where the BRTs elected during the
BA for PSA validation gather at the
municipality, and discuss
and
agree on the criteria that will be
used to select the proposals to be
funded from the KC project. The
procedure
for
selecting
the
proposals are likewise discussed
and approved by the BRTs in the
CSW.
Figure 6
30
and tools learned by community volunteers during the PDW can also help them in
developing proposals for other projects that can be proposed to other funding
groups.
Preparation of detailed proposals - is the process undertaken by the PPT in
their respective barangays after the conduct of the PDW. Here, the PPT lead in
mobilizing other community volunteers to undertake many activities that will help
them prepare detailed and complete community proposals for sub-projects.
Depending on the nature of the proposed project, PPT and other community
members undertake feasibility study, prepare project technical design, program
of works, and detailed budgeting of project costs. They also undertake numerous
consultations with different stakeholder groups, do cost-benefit and simple
economic analysis, risk analysis, stakeholders analysis, and many other studies to
ensure that their proposals will produce intended benefits for their fellow
community members.
Throughout this process, the ACT must ensure that community volunteers are
provided with the right technical assistance in a timely manner. You must be able
to mobilize the MCT and the MIAC to go down to the barangays and provide
technical support directly to the community volunteers. In addition, the ACT can
facilitate access to additional resources for technical assistance through the
Technical Assistance Fund (TAF), a facility available to KC barangays to enable
them to access technical support in the preparation of community project
proposals. The TAF is further described in the guide to the conduct of Project
Development Activities in the Toolkit.
Community consultations In the course of project development numerous
consultations are conducted to ensure that the community in general is kept
abreast of, and consulted on key aspects of the proposed sub-project design. By
facilitating conduct of continuous and frequent community consultations during
the project development phase, the CF ensures that elite capture defined as the
control over decision making being apportioned by a handful of local elites to
serve their personal interests- is prevented, and that the final proposal truly
reflects the will of the community, and guarantees that, one implemented, the
project will address their true needs.
MIAC Technical Review once proposals are finished by the barangays, these
are subjected to technical review and evaluation by the MIAC. The MIAC will look
for readiness, completeness, and soundness of the proposal, but will not decide
approving the project. That is a
Figure 7 Project Approval activities
function of the next stage.
Stage 3: Prioritization
Community consultations this
is the final barangay assembly
conducted after the PPT have
addressed issues raised during the
MIAC Technical Review, before the
project proposal is passed on to
the MIBF for prioritization.
Prioritization of community
proposals
is
undertaken
through a gathering of all BRTs at
the Municipal level in the form of a
31
Municipal Inter-barangay Forum for Participatory Resource Allocation (or MIBF for
PRA). Chaired by the Mayor and attended by a broad range of stakeholders, it is
during the MIBF for PRA that the BRTs use the criteria and procedure agreed
during the CSW in evaluating which proposal is funded through the KC process.
The MIBF for PRA results in an MIBF Resolution that lists the proposals in order of
priority, and is signed by the head of the BRT of all participating barangays,
attested to by the Municipal Mayor.
In some cases, there will be prioritized proposals that may lack additional
documents. In this situation, the MIBF-PRA forms an executive committee whose
task is review pending prioritized proposals at a time to be specified by the MIBF.
Community consultation in the form of a Barangay Assembly, is again
conducted in all barangays to provide feedback to the community on the results
of the prioritization in the MIBF for PRA. In barangays where the project proposal
is prioritized for funding, the ACT facilitates discussion and agreement to finalize
request for fund release (RFR) to DSWD, and prepare for project implementation,
including formation of Barangay Sub-Project Management Committees (BSPMC),
In barangays where the proposal was not prioritized, the ACT should facilitate
review by the community volunteers of the project proposal and plan for
alternative activities to source funds. In addition, agreements should also be
generated on community activities to begin work on other problems and activities
identified in the PSA results.
These should include formation of different
community volunteers groups to take charge of different community activities.
MIBE-Executive Committee (EC) review of pending proposals occurs
when a proposal prioritized for funding by KC is deemed pending during the
MIBF for PRA for a variety of valid reasons. This is an optional activity. The role
of the MIBF EC is to certify that the reasons for the pending status of the
proposal has been complied with, or was not complied within the time set by the
MIBF.
In the former case, the proposal is automatically approved for
implementation. In the later case, the proposal is now considered non-compliant,
and the order of prioritization to replace the proposal is followed. Remember that
the MIBF EC has no authority to decide on the prioritization, that is a role
exclusively reserved for the MIBF or the expanded MDC, in the case of succeeding
KC cycles. The EC is merely an executor of the MIBF decision on prioritization, as
agreed and contained in the MIBF resolution.
MIBF Municipal Development Council engagements These activities are
conducted after the MIBF to ensure that projects which failed to get funding from
the KC grant will be integrated into the Municipal Development Plans. Activities
along this line include MDC meetings participated in by community volunteers to
undertake (i) review of barangay PSA results and Barangay Action Plans (BAP),
and the list of prioritized but unfunded community; (ii) review of local
development plans and priorities, and; (iii) planning for inclusion of prioritized but
non-funded projects from the MIBF, and the other barangay priorities, into the
local municipal development plans.
Stage 4: Implementation of community sub-projects
Project implementation workshop are conducted in barangays who will
implement projects prioritized for funding by the MIBF. The ACT facilitates review
of project implementation plans, and begins to implement the initial preparatory
activities to commence implementation of the project.
32
Transition
Community-based evaluation
(CBE) is an activity conducted
near the end of the cycle. Here,
residents evaluate the changes
that have occurred in the
community
using
the
tools
developed earlier in the cycle
(during the CBME planning
workshop). The result give an
indication of the perception of
communities of their progress in
addressing poverty challenges.
Figure 9
Transition activities
33
Accountability Review and Reporting (AR) is the last activity in the cycle.
This is conducted on the 12th month of implementation, and at 2 levels. The first
is at the barangay level, where the community goes through an assessment of
their activities in KC.
Commitments are reviewed , and lessons and
recommendations are gathered that to prepare the community for the next cycle.
The results of the barangay AR are consolidated in the Municipal AR, where the
participation and engagement of the municipal LGU is assessed. Lessons from
these activities are then inputted into the preparation and conduct of activities in
the next cycle.
The activities described above only represent the key milestones in the CEAC cycle, and
do not represent the full range of activities that you will need to undertake to implement
the KC project.
3.4
How will Vulnerable Groups be engaged in the
CEAC?
There are groups in the community which are more marginalized than the rest and
would need special attention to ensure their participation in the CEAC. These include the
women and IPs. In addition, some communities are experiencing/have experienced
other vulnerabilities such as conflict or disaster which require adjustments of CEAC
implementation. The following section provides additional techniques to make CEAC
responsive or appropriate to the above-mentioned realities.
Engagement of women:
The ACT must ensure that the voices and opinions of women are effectively included in
decision making, and that women directly benefit from, and enjoy benefits stemming
from project activities. In BAs, for example, the team may need to conduct small group
discussions with women to gather their insights and suggestions about decisions to be
made.
Guidelines for the engagement of women (in the KALAHI-CIDSS Gender
Framework) in the project can be found in the toolkit.
Engagement of Indigenous People and Communities:
In communities where there are presence of indigenous groups, there is a high degree of
exclusion from mainstream development, both because of cultural differences between
IPs and non-IPs, but also because of physical separation due to remoteness of IP
communities. In the rush to accomplish project deadlines and the challenges posed by
difficulties in terrain and differences in culture, the possibility for exclusion of IPs in
project activities is high. In areas of mixed IP and non-IP populations, ACTs must
conduct the CEAC distinctly or separately among the IPs to ensure that they (i) are able
to actively participate in decision-making, and (ii) have equal opportunity to enjoy
benefits from project activities. Activities can include conduct of analysis to identify
factors that exclude IPs and ICCs from mainstream development, conduct of separate
assemblies in IP areas, and assignment of IP representatives in the various CV groups
formed in the course of implementation.
The ACT should coordinate, and work closely with the local representative of the National
Council for Indigenous People (NCIP) in the implementation of project activities in areas
with IP populations. CEAC activities should likewise be redesigned to suit the specific
conditions of indigenous groups. Some of these can include;
34
Organizing IPs separately from the rest of the barangay and/or organize them by
existing indigenous groupings (e.g.by sub-tribes), in the conduct of BAs and other
activities.
PSA action research to look into, and contribute to the preparation and
strengthening of Ancestral Domain Sustainable Development Protection Plans
(ADSDPP).
Considering social order of IPs in volunteer selection and organizing of
community-based groups and committees.
Other similar activities.
Additional guidelines in the engagement of IPs and ICCs can be found in the KALAHICIDSS IP Framework.
Conflict affected communities:
Armed conflict creates conditions that effectively exclude entire communities from
participating in development. In addition, conflict creates a level of distrust that can be
hard to overcome, and victims (whether individuals, households, or entire communities)
will need special intervention simply to overcome the trauma of violence.
In
municipalities where conflict affected areas or barangays (CAAs or CABs) are found,
conflict analysis should be conducted as an integral part of the SI activities of staff, and
as part of the PSA activities, to surface exclusions resulting from conflict.
Special activities may need to be conducted during social investigation in order to
prepare communities to come together and engage in the KC process. These can include
counseling and healing sessions, and even activities or projects that get people to begin
to work with each other and renew trust. The CF in particular must become familiar with
conflicting parties and be deliberate in ensuring that s/he does not take sides in the
conflict, nor be mis-construed as taking sides.
The ACT should also ensure special activities are conducted in conflict affected areas to
prepare the community to participate in the project, and link them to groups that
provide further assistance in addressing the trauma brought about by conflict. The ACT
should likewise ensure that representatives from are CAAs included as members of CV
teams. A tool on conflict analysis can be found in the toolkit section.
Communities and populations at risk due to climate change:
Experience in KALAHI-CIDSS implementation show that poor communities are also
characterized by high vulnerability to risks brought about by climate change. Additional
activities must be undertaken by the ACT to study and analyze community conditions
related to vulnerability to natural disasters. These include disaster risk analysis and
mapping of vulnerable sites and populations as part of the SI and PSA, analysis of
impact of past disasters to the community. Risk analysis must also be included as an
important element of project development. Guidelines on activities related to disaster
risks reduction (DRR) can be found in the Environmental Safeguards sub-manual.
35
36
Expected Outputs
At the end of each stage , the
following will have been
produced
Social Investigation Report
PSA documentation
Profile
Problem/Solutions Trees
BAPs
Community Volunteers;
PSA (3 per purok);
BRT (3 per barangay);
PPT (3 per barangay);
CBMT (3 per barangay);
CVs trained on;
Gender sensitivity
Community Research and
PSA tools and techniques;
Recording and
documentation;
CBME planning;
Preparing presentations;
Public speaking;
Others.
Women, IPs and ICCs,
Pantawid Pamilya
beneficiaries, communities in
conflict, and other
marginalized groups, and local
NGOs, CBOs, Private Sector
groups participate in the
project.
Coordination and convergence
plans and mechanisms
between Pantawid Pamilya and
SEA-K established.
BAPs prepared and adopted by
Requirements
To achieve the objectives and
produce the outputs, the ACT
will need to undertake the
following.
Participate in basic orientation
training on;
KC background, overview,
and key features;
KC design, framework, and
processes
KC Results Framework and
KPIs
CEAC
Social Safeguards
IP Framework
Gender Framework
Community organizing
Conduct and complete Social
Investigation
Integrate with communities,
the BLGU, and the MLGU
Conduct stakeholders mapping
and analysis
Conduct risks analysis
Conduct CEAC activities;
Municipal orientation.
Social Investigation
Barangay Assemblies
Municipal PSA Planning
Workshop
Barangay PSA
CBME Planning Workshop
Train, mentor, and coach CVs
on
Gender sensitivity
Community Research and
PSA tools and techniques;
Expected Outputs
At the end of each stage , the
following will have been
produced
needs.
BLGUs.
Facilitated formation of
groups/ad-hoc committees to
work on identified issues and
problems in the BAP;
Requirements
To achieve the objectives and
produce the outputs, the ACT
will need to undertake the
following.
Recording and
documentation;
CBME planning;
Preparing presentations;
Public speaking;
Others
Expected Outputs
At the end of each stage , the
following will have been
produced
Facilitated
development
of
criteria to guide prioritization.
Requirements
To achieve the objectives and
produce the outputs, the ACT
will need to undertake the
following.
Conduct of criteria setting
workshop
Conduct of CV training on
project development (PDW)
Conduct
of
project
development activities in the
barangay;
Community consultations
Preparation of feasibility
studies
Conduct of risk analysis
Engagement of technical
assistance service
providers
Preparation of technical
designs
Preparation of programs of
work, budgets and costs
Preparation of procurement
plans
Conduct community organizing
to form BSPMC and strengthen
ad-hoc groups formed to
address BAP issues.
37
Expected Outputs
At the end of each stage , the
following will have been
produced
development
Local NGOs, CBOs, Private
Sector groups participate
provide technical assistance
support
MIAC members conduct area
visits to assist CVs in
preparing project proposals
Requirements
To achieve the objectives and
produce the outputs, the ACT
will need to undertake the
following.
Preparing
program
of
works
Costing and budgeting
Community procurement
Community finance
management
Leadership and
Organization Formation
Others
Expected Outputs
At the end of each stage , the
following will have been
produced
Facilitated criteria-based
prioritization of community
proposals to address poverty.
Requirements
To achieve the objectives and
produce the outputs, the ACT
will need to undertake the
following.
Complete social mobilization
and project development
activities
Groundwork MPDO and MDC
on enhancing the MDP
Conduct MIBF for Participatory
Resource Allocation
Conduct post MIBF meeting
with the MPDO and the MDC
re: MDP enhancement
38
Expected Outputs
At the end of each stage , the
following will have been
produced
Requirements
To achieve the objectives and
produce the outputs, the ACT
will need to undertake the
following.
Expected Outputs
At the end of each stage , the
following will have been
produced
Facilitated implementation of
community projects funded
from the KC grant.
Facilitated
community
mobilization and action on (i)
prioritized but non KC-funded
projects, and; (ii) other issues
identified in the BAP.
Mobilized local NGOs, CBOs,
Private Sector groups, and
other local associations.
Mobilized
IP and ICCs,
women,
communities
in
conflict,
Pantawid
Pamilya
beneficiaries,
and
other
marginalized
sectors
to
participate
in
community
project implementation (subprojects) and monitoring.
Facilitated
formation
of
community organizations (for
O&M and other BAP issues)
Mobilized the MIAC to assist in
SPI.
Communities
volunteers
trained on;
Project implementation
Construction management
(for CVs working on small
rural infra. projects)
Negotiation
Community organizing
Organization formation
Community mobilization
Women, IPs, Pantawid Pamilya
beneficiaries,
and
other
members of HHs from poor
sectors
benefit
from
employment in paid labor
activities related to project
implementation.
Requirements
To achieve the objectives and
produce the outputs, the ACT
will need to undertake the
following.
Train, mentor, and coach CVs
on
Project implementation
Construction management
(for CVs working on small
rural infra. projects)
Negotiation
Community organizing
Organization formation
Community mobilization
Continuous groundwork
close monitoring
and
Expected Outputs
At the end of each stage , the
following will have been
produced
Requirements
To achieve the objectives and
produce the outputs, the ACT
will need to undertake the
following.
39
Community-based Monitoring
and Evaluation (CBME) report
Facilitated review ad
assessment of commitments
made and delivered by
stakeholders.
Facilitate identification of
lessons in cycle 1
implementation in the
barangay and municipality,
and recommendations for
cycle 2.
Expected Outputs
At the end of each stage , the
following will have been
produced
Requirements
To achieve the objectives and
produce the outputs, the ACT
will need to undertake the
following.
Conduct of CBME workshop
Conduct of barangay
accountability review and
assessment
Conduct of Municipal
Accountability Review
Recommendations for
implementation of succeeding
cycle.
The table above will help you in formulating your action plans for each stage. Take
careful note of the objectives and expected results.
These will be where your
performance will be measured against. Also, note that some of the requirements will
need to be undertaken before conducting activities in the stage. Some of them are
requirements for specific activities, others are general activities that should be
undertaken before the stage begins. Factor these into our plans as well.
Social
Preparation
40
Cycle 1
Cycle 2
Social preparation
activities are adjusted
based on lessons from first
cycle.
Ad-hoc Community
volunteer committees are
formed and conduct
community research and
PSA, and prepare
barangay action plans to
address poverty problems
identified.
Cycle 3
Stage
Cycle 1
BDC or BC.
Barangay Assemblies are
called to serve as the main
venue for decision-making.
BLGU begin formulation of
Barangay Development
Plans (BDPs)
Barangay Assemblies
continue to serve as the
main venue for decisionmaking.
Project
Development
Cycle 2
Ad-hoc
inter-barangay
community
volunteer
group (MIBF) are formed
to
set
criteria
for
prioritization of barangay
proposals;
More community
volunteers are trained in
project development.
BSPMCs are
prepare
proposals.
formed to
community
Cycle 3
MDC is expended to
include new CVs and
representatives form
NGOs, CSO, and
community associations.
MDC with expanded
membership review criteria
from cycle 2. New criteria
or enhancements of cycle
2 criteria are made at the
MIBF for CSW.
More community
volunteers are trained in
project development.
BSPMCs are formed to
prepare
community
proposals, supported by
the BDC and community
associations
formed
to
manage,
operate,
and
maintain projects in cycle
1 and 2.
MCT and the MIAC lead in
facilitation of project
development activities,
and in the provision of TA
to barangays.
The ACT coach members
of the MCT in project
development activities,
and undertakes quality
assurance and control
activities.
41
Stage
Project
Prioritization
Cycle 1
Cycle 2
Cycle 3
Ad-hoc
inter-barangay
community
volunteer
group (MIBF) are formed
to
prioritize
barangay
proposals
and
allocate
grant funds;
MIBF
undertake
prioritization
in
close
coordination with the MDC;
ACTs
lead
preparation.
MIBF participated in by
representatives
from
community organizations
and other sectoral groups.
Prioritization
made
by
expanded
Municipal
Development
Council
(MDC), which include more
community
volunteers
from the barangays who
are not elected public
officials, and; (ii) more
representatives from the
basic
sectors
and
NGOs/CBOs.
in
MIBF
ACT
share
preparation
responsibilities to the MCT.
MCTs
lead
MIBF/MDC
preparation activities.
More
organizations
participate in and inludedin
the MDC for prioritization.
The ACT coach members
of the MCT in project
development
activities,
and undertakes quality
assurance
and
control
activities.
Project
Implementation
BSPMCs
implement
projects.
formed
to
community
Community organizations
are formed to operate and
maintain projects.
ACT
conduct
technical
assistance
provision,
monitoring, and quality
assurance and control of
(i)
CVs
implementing
projects,
and;
(ii)
community organizations
implementing activities to
address BAP concerns.
MCT and MIAC assist the
ACT in technical assistance
provision and monitoring.
BSPMCs
formed
to
implement
community
projects,
supported
by
organizations from cycle
doing management, and
O&M of similar project
types.
BSPMCs
formed
to
implement
community
projects,
supported
by
organizations from cycle
doing management, and
O&M of similar project
types.
Community organizations
are formed to operate and
maintain projects.
Community organizations
are formed to operate and
maintain projects.
MCT
conduct
technical
assistance provision, with
close support of the ACT.
Community organizations
formed in Cycles 1 and 2
are consolidated.
ACT
conducts
close
monitoring and
quality
control, assisted by the
MCT.
MCTs
lead
MIBF/MDC
preparation activities.
42
Stage
Cycle 1
Cycle 2
Cycle 3
Community
volunteers
report to each other on
experiences in the Project
through community-based
assessment
and
evaluation.
Community
volunteers
report to each other on
experiences in the Project
through community based
assessment
and
evaluation.
Practice Notes:
The CEAC is the concrete translation of the CDD strategy in the KALAHI-CIDSS Project.
It is important that all ACTs learn this by heart. Try the following exercises to deepen
your understanding of the CEAC.
1. Try to translate the CEAC stages and steps in the local dialect.
2. Discuss each step thoroughly with your fellow CFs. Break down each step into its
objectives and outputs.
3. For each stage, try to write down the activities you need to do before and after the
step. See if your other team members understand the preparatory and post activity
follow-through in the same way as you do.
4. Draw a process map of the entire cycle, and of a specific step. If you are the AC,
assign a CF to do the process map of each stage. Discuss this as a team by way of a
study session.
5. Explain the CEAC to one of your quality contacts. Get him/her to ask questions, and
try to answer as detailed as you can.
43
44
CHAPTER 4
The GRIEVANCE REDRESS SYSTEM
What
What
What
What
What
45
46
47
5. Simple and accessible Procedures to file complaints and seek redress are made
simple and easy to understand.
6. Quick and proportional action Response to grievance and comments is ensured
within an acceptable timeline. The system ensures that all grievances are acted upon
within five (5) working days upon receipt of the complaint. At the same time the
system guarantees that the right solution is given to the problem.
7. Objective and independent The system guarantees fairness in solving problems
thus enhancing the Projects contribution to good governance. In all instances,
conflict of interest or perceptions of conflict of interest will be looked into and
avoided.
8. Anonymity and security To remain accessible, open and trusted, the grievance
system ensures that the identities of those complaining are kept confidential. This
encourages people to openly participate and file complaints or comments.
9. Due process the system assures that all parties are heard by a body assigned or
formed to hear, settle, mediate or conciliate complaints or grievance.
Box 6
Is Technical Assistance a violation
of community decision making?
Provision of technical assistance by
Project staff to the community is not
considered
a
violation
against
intervention on community decisions. A
sound technical assistance is necessary
to guide the community in coming up
with the most appropriate, effective, and
efficient, solutions to their problems.
48
49
initiation;
processing and action;
feedback; and
follow-up.
(Please refer to the Grievance Manual for more details about specific aspects of the
grievance handling process)
50
Practice Notes:
The GRS is a powerful and effective instrument in building transparency and
accountability in the KC Project. It is important that all ACTs learn this system by heart.
Try the following exercises to deepen your understanding of the GRS.
5. Read the GRS Sub-manual. Conduct a study session on in order to level-off on its
concepts and steps.
1. Try to translate the GRS concepts, principles, types, and steps into the local
dialect.
2. Draw a process map on the resolution of each type of grievance. Break it s=down
into steps and sub-steps.
3. Explain the CEAC to one of your quality contacts. Get him/her to ask questions,
and try to answer as detailed as you can.
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52
CHAPTER 5
SUSTAINABILITY
What is Sustainability?
How do we ensure sustainability of CDD interventions?
Institutionalization
Inter-agency convergence
Organization Formation
Sustainability Evaluation
Sustainability Planning
53
54
5.2 How do
interventions?
we
ensure
sustainability
of
CDD
World Bank in its Poverty Reduction Strategy Papers Sourcebook2 (PRSPS)lists the
following key principles for ensuring sustainable and effective CDD interventions;
1. Establish an enabling environment through relevant institutional and policy
reform.
2. Make investments responsive to informed demand.
3. Build participatory mechanisms for community control and stakeholder
involvement.
4. Ensure social and gender inclusion.
5. Invest in capacity building of Community-Based Organizations.
6. Facilitate community access to information.
7. Develop simple rules and strong incentives, supported by monitoring and
evaluation.
8. Maintain flexibility in design of arrangements.
9. Design for scaling up.
10. Invest in an exit strategy.
A number of these principles are already built into the KC Projects implementation and
facilitation design. In addition, these principles are operationalized through the following
strategies;
For a detailed discussion on these principles, please refer to Chapter 9 of the Poverty Reduction Strategy
Papers Sourcebook, World Bank. An electronic version is available for download at the World Bank website at
http://www.worldbank.org/poverty/strategies/index.htm
55
4
5
5.3 Institutionalization
5.3.1 What is Institutionalization in the context of the KC Project?
Because of its highly participatory and decentralized nature, many CDD initiatives
naturally create tensions in highly centralized and bureaucratic structures and
processes of LGUs.
LGU officials are not used to having communities participate in the choice and design of
development interventions. They are not used to, as well, in the allocation of funds and
resources. Hence, it can be expected that LGU officials can feel threatened by the CDD
approach.
To address these, the KC project builds the capacity of LGUS on CDD to adopt CDD
through its institutionalization framework. Institutionalization is defined here as the
process of mainstreaming CDD principles and process, and sustaining the application of
the same, in local development planning processes, as well as in the implementation of
interventions to address development challenges.
56
INSTITUTIONALIZATION FRAMEWORK
INSTITUTIONALIZATION
1. Mainstreaming
KC Principles
and Processes
and
2. Sustaining its
Application
in:
LGU DEVELOPMENT
PROCESSES/ PLANNING
BODIES
BAs
SB
s
B/MLGU
OLCE LSBs
Legislation integrating
CDD in regular programs.
Adoption of participatory
development processes.
Barangay-based
mechanisms to address
BAP priorities.
Consistency of budget
allocation with BAP
priorities.
Legislation integrating
CDD in regular programs.
Adoption of participatory
development processes.
Consistency of MLGU
budget with barangay
priorities.
57
58
annual
59
5.4
Promoting
Inter-agency
Community-Driven Development
Convergence
for
Convergence Framework
National Agencies
(DSWD, DILG, DLR, DA, DENR, NCIP, etc.)
Provide Technical Assistance and
Resource Augmentation
to:
Communities or Barangays
With
inadequate
funds,
efficiency
in
povertyalleviation activities can only
be met by complementation of resources. While the communities are assisted to
organize themselves, it is also necessary that the various stakeholders at the municipal
level coordinate their initiatives.
60
Mun. Treasurer
DepED Officer
Representatives from NGO, religious sector, media, and the academe
61
f.
62
Formation,
Development
and
CBO
63
Ensuring that CBOs are formed out of the KALAHI-CIDSS CDD Process, and that they
continue to grow and develop in the course of the three cycles of the CEAC, is a key task
of the KC community facilitator. While it may sound easy, getting people to work
together can be a difficult process. The goal of this section is to provide you with some
ideas about how to do this process.
5.5.3 What community volunteer groups are formed in the course of the
CEAC cycle?
There are many community volunteer groups formed in the course of implementation of
a CEAC cycle. Among these include;
Table 7 Community Volunteer groups formed along the CEAC
CV Group and Purpose
Community research
through Participatory
Situation Analysis (PSA)
Barangay-based
Monitoring Team
64
Project Preparation
Team (PPT)
Barangay Sub-Project
Management
Committees (BSPMC)
a.
b.
c.
d.
e.
f.
Procurement Teams
Project Implementation Teams
Audit and Inventory Teams
Membership Teams
Finance Teams
Operation
and
Maintenance
Teams
65
66
67
different volunteer groups during the course of project implementation, you will have laid
down the foundation for the eventual formation of a strong local organization.
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investing on too much detail can be dispensed with. In truth, this is a formula for
disaster. Plans with inadequate detailed work are usually those that change often, and
not because of the plan but rather, because inadequate work was given to ironing out
the plans detailed requirements. The rule of thumb in planning is that you can never
have too much detail in it.
3. The Organizational Structure
Aside from being clear about what it wants to do and what it wants to achieve, well
functioning groups are also clear on how to achieve its objectives. A big part of this is to
know who should be doing what. Having a clear structure helps in this regard. All
organizational structures have four basic elements;
3.1 Membership - often individuals who believe in what the group stands for, shares in
its purpose (or its Vision, Mission, and Goal or VMG), and has a stake (gains or looses) in
what the organization does, and does not do. Good organizations know how to make
effective use of its members, dividing them into small groups (often called a committee)
and assigning tasks and activities the group plans to undertake.
3.2 Leadership - An organization without a clear leader is like a boat without a rudder.
The leadership is a group of members that are (a) selected by the members, and; (b)
given responsibilities and powers, to; (c) perform key functions for the benefit of the
group. Leaders are;
a. Selected by members, and often through a formal process of selection, like an
election;
b. Are given specific tasks to perform, as well as powers to enable them to perform
these tasks, and;
c. These powers are to be used for the good of the membership, and not for the
leaders own benefit.
The number of leaders depends on the functions that need to be performed in the
organization. In new groups, such as the community volunteer groups that are formed
in the KC Project, leadership can be very informal, and the leadership function can be
shared among a few individuals. As the group acquires more experience, leaders also
slowly develop. It is the task of the CF to guide this process.
3.3 Levels of authority (decision-making) - Most community-based organizations
delegate decision-making powers on leaders. The scope of these powers depends on the
function a leader is expected to perform. For example, because some leaders (often
called an executive committee or execom) are often tasked to implement (or execute)
the organizations plans, members of this committee often have more decision-making
authority than a member of, say, the finance committee. This is because the finance
committee exists as an extension of the work of the executive committee.
There are often three types of decisions that need to be made in a CBO. These are a)
decisions that relate to either creating or abolishing a rule or policy; b) decisions that
relate to operationalizing the policy, and c) decisions that relate to actually executing the
policy. In a barangay water users association (BAWASA) for example, the decision to
exact a PhP 20/cubic meter of tariff for all water users is a policy decision. The decision
to create a collectors unit under the committee on finance to undertake collection of
tariffs is an operations decision. The decision for collectors to remit to the cashier
within the same day moneys collected from tariff payments is an execution decision.
In small, newly formed organizations, these decisions can often be made by roughly the
same individuals sitting together as a collective. However, as the organization grows
and its work becomes more complex, the specific levels of the organization in which
these decisions are made begin to take shape. In a traditional organizational chart, the
69
levels of authority are often portrayed as steps of a hierarchy. In the example above,
policy decisions (type a) are often made by the General Assembly. The more
operationalization decisions are made by the execom, while the execution decisions can
be made at the level of the executive committee or, for the really specific ones, by the
concerned task committee.
Because of the top-bottom orientation of these types of organizational charts, others
prefer different ways of showing decision-making levels that are more flat, to show a
more collegial arrangement between leaders. Whatever the formulation, it is important
to bear in mind that the hierarchy is more imagined than real. Because leaders are
chosen primarily to perform a function, the hierarchy should be understood in this light.
3.4 Lines of accountability (control) - Because of the different types and complexity
of decisions organizations must make, good CBOs are very clear on the lines of
accountability that are involved in decision making.
In our BAWASA example above, the collectors of the finance committee are directly
accountable to the head of that committee, who, in turn, is accountable to the members
of the execom. The leaders of the executive committee are then ultimately accountable
to all members, and to the General Assembly.
In traditional organizational charts, lines of accountability are shown as vertical lines
connecting different levels of the organization to each other.
4. Operational Policies
Well functioning organizations are guided by rules about how to function. These rules,
or operational policies, help in how parts of the organization work with each other, what
the key responsibilities and accountabilities are, and so on. This is to be differentiated
from organizational policies, and the organizational plan of action.
In established organizations, the most basic policies is often a document called a
Constitution and By-Laws or CBL. Here the organization states the reasons why the
organization was formed, and the goals and objectives (VMG) of the organization. The
CBL often contains the following;
1. The CBOs Vision, Mission, and Goals
2. Policies on membership - who can be members of the organization, how, and
their powers, duties and responsibilities
3. Policies on leadership - what the important leadership positions are, and the
rights and powers, and duties and responsibilities of leaders, how and how often
leaders are chosen, and so on.
4. The organizational structure who decides on what, how decisions are made and
approved, and what the lines of authority and accountabilities are
5. The process of selecting leaders of the organization
6. General policies on the duties and obligations of all, including policies relating to
ethics and discipline or decorum
An organization can also come up with policies that guide how activities, projects, or
programs are run and implemented. For example, a BAWASA can have policies for water
distribution, maintaining the system and assigning the process for responding to reports
of damage to the system, and/or how funds are used. A Barangay Health Association in
charge of maintaining a health station may develop policies to guide when and how
members of the association can use the center, and what the members responsibilities
are in terms of maintaining the services of the center.
70
In small committees that are starting to begin work, it will be enough for the CF to
clarify the expectations from each member in the work that needs to be done. Allow the
organization to develop ad hoc rules, but make sure these are reviewed, and lessons are
generated that will aid the organization to improve its policies.
71
Functional CBOs understand its role as a vehicle for poor people to engage in active
citizenship. They understand, for example, that local governments will never develop
the habit of social accountability without citizens demanding for them to account for their
actions. This means that members of functional CBOs appreciate their role in building
good government, and do not leave governance in the hands of politicians and elected
officials. Functional CBOs claim, and demand recognition of their right to actively
participate in government.
Functional CBOs establish links with the formal barangay and municipal local government
leadership. They claim their space in governance by actively participating in barangay
development councils, municipal development councils, and other local special bodies.
In places where these avenues for direct democracy are non-existent or non functional,
CBOs act to make these functional. The need to establish this link is also driven by the
purpose and objectives of the CBO. For example, a local health organization of poor
72
mothers working to improve the health conditions of children in their barangays know
that (i) they will not be able to do this alone, (ii) that they need other groups to assist
them, and (iii) that the barangay and municipal government need to deliver services.
The second point will drive this organization to work with other CBOs. The third point
will drive this organization to engage its barangays and municipal local government.
They will need to seek out avenues within the LGU which they can use to express this
agenda, and work out a possible solution. If the LGU is unwilling, then the responsibility
of exposing and opposing comes into play. If the LGU is unable, then the CBO has
the responsibility to propose a solution, and even serve as a convergence point for
composing a solution in partnership with the LGU and other support groups.
4. A CBO that continually builds capacities
Functional CBOs understand the need to constantly learn from their experience. They
use these lessons in improving the capability of leaders and members to engage in
activities in pursuit of organizational objectives, as well as in activities to manage how
the organization functions. The organization takes the time to plan for developing
capacity and capability, as well as invest resources in activities that actually build
capacity. This often involves the following activities;
1. Assessing the work that needs to be undertaken, and the competencies required
to satisfactorily accomplish the work;
2. Assessing the current level of competencies of leaders and members to do the
work required;
3. Determining the gap between what competencies are required, and what are
available;
4. Developing an action plan for addressing the competency gaps, and;
5. Linking with other groups and possible support organizations;
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74
5.
6.
7.
8.
9.
SB Rep.
1
Barangay Chairman
1
Rep. of Association/BSPMC
1
Rep. from another barangay
1
(NPMT) and RPMT representative (if available)
The MSIT shall designate a secretariat composed of two or more members5 for the
conduct of SP Sustainability Evaluation. The secretariat shall perform the following
functions:
1. Preparation of official communication to MSIT members, O&M groups and
other stakeholders
2. Prepares logistics and coordination of activity
3. Ensure reports preparation and transmittal
4. Conduct or assist in the process documentation
5. Other related secretariat functions
Members of SET secretariat can come from the MIAC and ACT
75
understand technical conditions. Ideally, a maximum half of a day shall be spent for one
sub-project.
In filling up the form, for the ratings, two options can be made. One is the consensus
method. This method requires the group to deliberate the observations then agree on
what appropriate rating would correspond to the indicator/s. The other one is the
individual method. Each member is required to have his/her own rating, after which,
consolidate the results (taking the average) to come up with the final rating for each
indicator.
The final activity will be the exit conference and action planning. The MSIT shall present
the findings, observations and recommendation to the organization - O&M groups.
Lessons learned and challenges should be provided with reflection-analysis and proper
guidance.
Observed gaps and action points shall be translated into an Action Plan. Action plan
should provide details of activities, materials, resources and time schedules address the
need or gaps.
The MSIT should be properly oriented on the procedures and objectives of the SET, prior
to the actual evaluation. Municipal representatives will be the permanent inspectorate
members in all sub-project evaluation in the Barangays.
It is envisioned that the conduct of Sustainability Evaluation and O&M monitoring shall
be replicated and continuously done by the Multi-Inspectorate Team, even after phaseout of KALAHI-CIDSS. KALAHI-CIDSS Project shall continue to assist the communities
and LGUs during the 2nd and 3rd cycle. This period provides adequate time to orient and
capacitate the MSITs.
Rating system and procedure guidelines are provided. Indicators shall be rated based on
the actual condition of O&M implementation during evaluation.
Findings and consequent recommendations will be discussed during the exit conference
to guide the community in the action planning.
Process Documentation
Action Plan
Consolidated/summary SET result
Duly accomplished and signed (by MSIT members) SET Form per Sub-Project
A maximum of one week after the conduct of sub-project sustainability evaluation, above
reports, except no. 4, should be submitted to the NPMO.
76
is
the
Municipal
Post-Pilot
Sustainability
Planning
The Municipal Post-Plot Sustainability Planning Workshop is a venue for the local
government units under both the regular and MT modality to assess extent of integration
of CDD processes and practices in the Local Planning Process (LPP) of LGUs, identify and
define their present system for participatory, transparency and accountability as they
demonstrate through the three KC cycles and the MT, and develop a plan for sustaining
Participation, Transparency, and Accountability (PTA) in the LGUs governance systems.
This workshop also aims to provide guidance to the Regional Project Management Office
(RPMO) to identify the areas for monitoring as far as sustaining and enhancing the local
planning process of the local government units.
77
5.7.6 When should the workshop be conducted and how long should it
take to run it?
The municipal level workshop should run for two days, and be rolled-out anywhere
during the first month of the last quarter of the last implementation cycle-year. Process
documentation of this activity is expected to be submitted within two weeks after the
workshop.
78
communities and LGUs in integrating PTA into their local development and governance
systems. Hence, it is important for the sustainability planning process to be properly and
meticulously documented. For this reason, either the AC, MAC, or the MM (in the case of
MT municipalities) should be in-charge with documenting the sustainability planning
workshop.
Aside from the narrative report, photo documentation should also be undertaken. The
final report should be subject to review by the RCDS, and approval by the Regional
Project Manager (RPM). Documentation report of the workshop should be submitted to
the NPMO not later than 5 working days after the conduct of the activity, and should
include all relevant attachments, as indicated in the Sustainability Planning Guide.
Practice Notes:
1. Assign each section of this chapter to a member of the ACT. Ask each one to prepare
a presentation to explain their assigned section to the entire team. Do this as part of
your regular study sessions. Better yet, ask the ACT members to make the
presentation in the local dialect.
2. Think about how the concepts in this chapter can be applied in your assigned
municipality. What would facilitate application of these strategies in your
municipality? What would make their application difficult?
3. Draw a process map of how you plan to integrate these strategies into your day to
day work along the CEAC? What preparatory activities will you need to undertake
before the each CEAC milestone to apply these strategies? What do you need to do
after each milestone activity?
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80
CHAPTER 6
HARMONIZING CDD WITH THE LGU
PLANNING PROCESS THROUGH THE
MAKAMASANG TUGON
What is Makamasang Tugon
What are the goals and objectives of MT?
Who are eligible for MT?
What are the features and components of MT?
How are municipalities enrolled into MT?
How is MT implemented?
What is the role of the Municipal Monitor in MT?
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82
Figure 13
Accountability
Reporting
KC CEAC Process
Elements
Proposal
Preparation
CBE
O&M
Local
development
planning
Budget
Performance
formulation
assessment
Submission of
proposals for
funding
Budget
execution
IBF Sub--project
Selection
Project
M&E
KALAHI-CIDSS
municipalities
which have completed and
Project Implementation
demonstrated
good
performance
in
local
governance and implementing
three cycles of the CEAC based on the following criteria and indicators
CDD-LPP
Convergence Nexus
Governance Areas
I. Policy and Legislation (Rule of
Law)
II. Transparency
III. Participation
IV. Responsiveness
V. Effectiveness and Efficiency
Indicators
Presence of relevant ordinances or resolutions in support of
participatory social development, economic development, and
environmental management;
Accessibility of information on LGU plans, programs, records (specially
those relating to budget allocation and use), and events;
Frequency of conduct of LGU-led efforts towards disclosure of financial
transactions;
Functioning government organizations private sector dialogue and
engagement mechanisms;
Institutionalized peoples participation in development planning through
basic sectoral representation in appropriate development planning
bodies;
Representation of CSOs and NGOs in Local Special Bodies
implementing / managing local development projects and programs;
Percentage of LGU projects funded out of the 20% development fund
that are implemented in partnership with local CSOs and CBOs;
Percentage of the 20% development fund spent for the population-inneed (the poorest 20%);
Governance Areas
1. Administration
2. Resource Allocation and
Utilization
3. Financial Accountability
4. Customer Service (Demand
Responsiveness)
5. Human Resource
Management and
Devt.
Indicators
Adequacy of database to support local development planning;
Frequency of LGU-led barangay consultations;
Percentage of total budget expended on development programs,
projects, and social services delivery;
Percentage of total budget provided in support of operation and
maintenance of KC-implemented projects;
Availability of publicly displayed information on LGU financial
transacting procedures;
Availability of audited financial statements;
Alignment of development projects with community needs
(Development Projects identified through criteria-based prioritization
process);
Percentage of KC projects integrated into municipal development plans;
Turn-around time for public requests;
Effectiveness of human resource selection;
Percentage of plantilla staff directly engaged in development activities;
84
85
86
2. LGU
Forum
on
Conditions Precedents
MT MLGU Filtering / Selection Process
KC municipalities
who have passed the
LGPMS-based ranking
eligibility
check,
Eligibility check
of LGUs
review of performance
Review
of
performance
in
KC
Regional assessment
in
KC,
and
the
using eligibility tool
(and MT)
potential
problem
analysis are invited to
Consultations
an LGU Forum on
Potential problem
i) Willingness to engage;
analysis (PPA)
ii) Capacity to meet
Conditions
requirements;
Precedents.
Here,
List of eligible pilot
municipalities
are
municipalities
Orientation of eligible LGUs
oriented on the MT
Municipal Pilot
modality
and
the
Impltn. Proposals /
requirements
for
Plans
entry
into
the
Review of Municipal Pilot
Approved MPIPs
Implementation Plans
program. LGUs who
remain committed to
entry into MT are then
asked to prepare their Municipal Project Implementation Proposal (MPIP) and their
Start-up plan.
3. Conduct of start-up activities - which include the following activities;
a. Preparation and approval of MPIPs Municipal LGUs prepare their MPIPs and
conduct numerous consultations with community members and other
municipal stakeholders. Completed MPIPs are then forwarded to the RPMO,
who conduct a review of the same. If gaps are identified, the MPIP along with
the comments of the RPMO are returned to the MLGU, who then revise the
document along the lines indicated in the RPMO comments. Once the MPIP is
deemed responsive, the RPMO forwards the same to the NPMO, along with
recommendations for NPMO concurrence on the findings. Once the NPMO,
upon review, also find the MPIP in order, the NPMO issues its concurrence to
the region, along with a recommendation for the region to issue a Notice to
Proceed (NTP) to the MLGU.
b. Preparation of the LCC Delivery Plan Municipal LGUs are asked to prepare a
plan for how their LCC will be delivered, and the schedule of delivery. These
are approved by the Municipal Mayor.
c. Conduct of consultations MLGUs are asked to conduct consultations with
Barangay LGUs, CSOs and CBOs, the private sector, and other stakeholders in
the municipality to gather their vews about the project, and incorporate these
into the preparation of their MPIPs.
d. Opening of Municipal Trust Funds where the Municipal LCC will be deposited.
e. Formation of oversight and implementation structures including the
Municipal Steering Committee (MSC) and the Municipal Inter-Agency
Committee (MIAC), and;
87
f.
88
Practice Notes:
1. Try to translate the MT concepts, principles, types, and steps into the local dialect.
2. Explain the CEAC and the MT to one of your quality contacts who is a member of the
municipal LGU. Get him/her to ask questions, and try to answer as detailed as you
can.
3. Study the Municipal Development Plans (MDP) of the LGU. Determine what problems
are identified and think about how the MT can be used to address these problems.
89
TOOLKIT
to the
Field Guide
COMMUNITY EMPOWERMENT ACTIVITY CYCLE
Kapit-Bisig Laban sa Kahirapan
Comprehensive and Integrated Delivery of Social Services
KALAHI-CIDSS PROJECT
15 March 2012
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91
INTRODUCTION
What is this toolkit about?
This toolkit is about facilitating key processes and activities along the Community
Empowerment Activity Cycle (CEAC) of the Kapit-Bisig Laban sa Kahirapan
Comprehensive and Integrated Delivery of Social Services or KALAHI-CIDSS (or KC)
Project of the Department of Social Welfare and Development (DSWD). This is a
companion volume to the General Manual on the CEAC Field Guide for Area Coordinating
Teams (ACT). Many of the tools and guides that will help you facilitate CommunityDriven Development (CDD) along the CEAC mentioned in the general manual are
contained within this volume.
92
Lastly, the general manual provides the background to these notes. Make sure you have
read the general manual completely before using any of the guidance notes in this
toolkit.
93
FACILITATING SOCIAL
PREPARATION ACTIVITIES
Municipal Orientation
Social Investigation
Barangay Assembly
Participatory Situation Analysis
Community-Based Monitoring and Evaluation
94
95
What are the activities within the activities in the social preparation
stage?
The general CEAC activities in the social preparation stage of the CEAC cycle include the
following;
Municipal Orientation
Social Investigation
Barangay Assemblies
Participatory Situation Analysis and BA validation, and
Community-Based Monitoring and Evaluation (CBME) planning
Each of these activities, and the many other preparatory and follow-through subactivities, are further described in the guidance notes.
96
The entire social preparation stage lasts from 6 to 7 months after the conduct of the
Municipal Orientation.
What is required from the team to achieve the objectives and deliver the
outputs?
1. To achieve the objectives and produce the outputs, the ACT will need to
undertake the following;
2. Participate in basic orientation training on;
KC background, overview, and key features;
KC design, framework, and processes
KC Results Framework and KPIs
CEAC
Social Safeguards
IP Framework
Gender Framework
Community organizing
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IMPORTANT REMINDERS
Read this chapter carefully. This chapter DOES NOT provides instructions on how
each activity and process should be facilitated. What it does provide are broad
descriptions of how each activity can and should flow, and specific guidance to the staff
on how to conduct the activity and its sub-steps. However, what these activities
eventually look like in the field will depend on the specific contexts of each KC area and
the creativity of the ACT in developing methods, tools, and techniques that are (i)
appropriate for their areas and audiences, but which will (ii) effectively facilitate
achievement of the objectives and outputs of each activity without sacrificing the
standards of quality.
Imagine your context, draw and picture your working environment. As you read
through the activities, picture out how this will look like in the community with you
conducting the activity. Try to imagine what the possible problems and obstacles will be
as you (i) prepare for the activity, and; (ii) facilitate the activity. Also, try to imagine
98
what the follow-through activities will be to connect one activity to the next activity.
This way, the descriptions of the steps and procedures will be more concrete and
relevant to you as you begin your work on the CEAC.
Refer to other project sub-manuals. As pointed out earlier, so many simple, easy to
use guides for facilitating activities described in this chapter have already been written.
Read through other materials, use them, and adapt them to your specific context. Some
important information can also be found in the other project sub-manuals manuals. Read
them if a certain part tells you to check other project manuals.
Be tenacious, never give up. As you get deeper into the details of implementing the
CEAC, avoid the tendency to be mechanical by focusing on our goal, to empower people
and reduce poverty. Understand the causes of poverty in your assigned area. The CEAC
is your tool, your instrument. Think of creative and effective ways of using the CEAC to
solve poverty conditions of your assigned area.
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MCT, and the specific CFs assigned to barangays; the draft agenda and program,
and list of recommended participants, and; invitation letters.
5. Roll-play or practice presentation of program brief, making sure that they are
easily understood in the language and context of the municipality, With the rest
of the ACT members, list down potential questions from the various stakeholders
and formulate best possible answers. Consult your CPS or RPMO regarding the
list of anticipated questions and corresponding answers.
6. Discuss with the ACT and MCT CFs their community entry and social investigation
plans, and make sure that these will be firmed-up with the barangay captains/
representatives after the municipal orientation.
7. Ensure that preparatory activities are properly documented, and that reports,
minutes of meetings, and other documents are on file.
4.2 Conducting the Municipal Orientation
Bear in mind that the Municipal Orientation signals the official start of KALAHI-CIDSS
implementation in the municipality. It is an important event that should generate
energy, enthusiasm, and support from the municipal and barangay stakeholders.
Undertaking the preparatory activities above will help to make sure that excitement
among municipal leaders and community members is built well in advance. To further
ensure that this excitement is sustained in the actual MO, the ACT and MCT should
ensure the following;
1. Be at the venue early. All ACT and MCT members are at the venue early to
ensure that all is set for the orientation, and unforeseen problems / issues are
addressed.
2. Open the forum with a flair. The forum should open in a way that generates
excitement. In order to accomplish this, the opening preliminaries should be
programmed and facilitated carefully. Be creative in designing the orientation.
Here are some suggestions, but feel free to design your own;
(a) Open with a community prayer that is prepared, which suits, and is tailor
fitted for the occasion, rather than using a common prayer. In some areas where
there are various faiths, such as in Mindanao, some KC municipalities request the
local religious leaders to pray together, one at a time, on the stage, to signify the
need for unity to address poverty. In other areas, interpretative dancing even
accompanies the prayer, which is sung by a choir.
(b) Have a group of children, Older Persons, the local Choir, a group of
community members representing all sectors, or some other combination sing the
National Anthem, rather than use a recording. Enjoin everyone to join in on the
singing. What is important is that people are engaged, rather than just join in the
singing, as more than just singing together, but working together, is what
participation is all about in the KC Project.
(c) Have the Mayor, as the elected Local Chief Executive, formally open the
forum with a prepared speech. The Mayors first speech about the Project will be
important in setting the tone of implementation for the first cycle. If he talks of
fears, the people will be cautious; if he talks of reform and hope, the people will
be hopeful. It is important that the Mayor clearly expresses his/her full support
for the Project through this speech. This is what people will remember going into
the implementation.
103
(d) Acknowledge everyone present. Recognize not just the prominent guests but
also the Municipal LGU staff, the MCT, the MIAC, the Barangay Captains, the
community members, and others. Also make sure to recognize sectors present,
such as farmers, fisherfolk, indigenous communities, women, youth, mothers,
etc. In one KC area, the facilitator, who happened to be the AC, asked everyone
to stand up as their name, sector, group, was called. People had to stand up
more than once but this had the effect of energizing the crowd, and making the
introduction of participants fun.
(d) Explain the objective of the orientation clearly.
Use the vernacular if
necessary.
The specific objectives need not be explained in great detail.
However, it is important to emphasize that transparency is a key principle of the
KC Project and, as a start, we will explain the project to everyone in the MO.
Therefore, everyone is going to be free to ask any question they may want to ask
to get to know the project better.
3. Explain the key features of the KC Project. Every key aspect of the Project must
be explained clearly, and in a way that people will understand. It is suggested
that the KC AC be tasked to orient the participants on the Project. The content
should include the following;
104
4.
The process will ensure that the most marginalized groups in the
community, particularly women, indigenous people and communities,
the poorest of the poor, and communities in conflict, are given
preferential attention to ensure that they are included in development.
The three cycles are progressive; that each cycle builds on the results
and outputs of the previous cycle, towards sustained development.
Grievance Redress - Discuss the rationale and objectives of the GRS; types
of grievance; organizational structure and mode of resolving complaints.
Explain the grievance redress system as a means of ensuring transparency
and accountability as well as the empowerment of beneficiary-communities.
Emphasize that this special feature of KALAHI-CIDSS implementation is a
mechanism whereby queries about the Project are responded to, problems
that arise out of implementation are solved and complaints are addressed
expeditiously.
105
internalized what the KALAHI CIDSS Project is all about. Make sure that
everyone is given a chance to ask or provide inputs. Look out for people who
dominate the discussion. Make sure also that specific sectors are called to express
their insight or opinions, such as women, IPs, communities in conflict, and
Pantawid Pamilya beneficiaries, if the program is present in the municipality.
5. Designate a point in the program for key stakeholders, particularly the Mayor, the
Provincial LGU,the Barangay Captains, CSO groups, and other sectors to (i) share
their thoughts about the Project, and; (ii) officially express willingness to
participate and support the project activities. The Mayor in particular should be
given a designated time to express official acceptance and support of the MLGU
for the project, announce MLGU provision of counterpart contributions, announce
the creation or re-activation of the MIAC, announce plans for engaging NGOs, the
media, basic sectors, and other stakeholders in the project, and officially
recognize and introduce the members of the ACT assigned to the municipality,
and the MCT who will work alongside them.
6. Make the signing of the MOA the highlight of the activity. Have copies of the MOA
prepared beforehand, and prepare a spot in the venue where everyone will see
the Mayor and all signatories signing the MOA.
7. End the program on a positive and hopeful note, where people are energized.
The ending is just as important as the beginning. It would be helpful if the salient
points of the forum is summarized. It would also be useful if a closing speech is
prepared beforehand that sustains the momentum created in the forum itself.
Make sure everyone who participated are thanked for their contribution. Request
the barangay representatives to stay for a while for a brief meeting to discuss the
entry plans of the community facilitators to the barangay.
4.3 Post Orientation Activities
After the forum, make sure each CF is introduced to the barangay captains of their
covered barangays, so that they can plan the dates for the succeeding activities,
particularly the Social Investigation and schedule of the first barangay assemblies. The
AC can instruct the CF to meet with the barangay representatives and discuss their entry
plans to the community. The CF may also get suggestions from the barangay
representatives on where they can stay and other arrangements.
The ACT is likewise advised to conduct an assessment of the MO with members of the
MCT and MLGU. An ACT-MCT reflection session can also be conducted in order to
surface insights and lessons, and deepen appreciation of the event in creating a positive
start for the Project, identify gaps, and generate recommendations for the conduct of
future municipal-level meetings.
Finally, the AC must accomplish the Municipal Orientation form, and submit the same to
the Regional CD Specialist and the Regional M&E Officer for review.
PRACTICE NOTES:
1. Review the objectives and key messages of the MO. Translate these into the
local dialect. As you prepare your presentation materials for the MO, try to
translate these into the local dialect as well. Have one of your local contacts
106
review your translations, or better yet, explain the MO to them in the vernacular.
Make corrections as necessary.
2. Role play the MO with your team and the MCT. Ask members of your team and
the MCT to act out the part of specific stakeholders, and come up with questions
that the stakeholders might ask.
Annexes:
1.
2.
3.
4.
5.
MO Checklist
Pro-forma of the KALAHI-CIDSS MOA with the MLGU
Guide to the conduct of activity assessment session
Guide to the Conduct of Group Reflection Session
Municipal Activity Report Form
107
Guide to conducting
Social Investigation
2.
SI helps you to identify factors that can either hinder or facilitate the conduct of CEAC.
SI will also help you identify stakeholders and potential contacts that you can mobilize to
assist you in CEAC activities, as well as identify people or groups who may potentially
oppose these activities.
SI results will also establish the baseline where project
outcomes and impacts can measured against
108
2. A Community Profile and Social Assessment Report, along with an area map. The
community profile is a narrative of the situation in the community, based on the
data/information gathered. The community profile must
a. Describe the demographic, social, political, economic, and socio-cultural
dimensions of day-to-day life in the community;
b. Present an analysis of the systems (including resources, socio-cultural
interactions, norms, values, and beliefs) that help create and sustain
community life;
c. Present, in the form of a problem tree,
an analysis of how these
dimensions of community life interact to create poverty in the community;
3. A one-year general action plan and a six-month detailed action plan covering the
social preparation, project identification and development, and project
prioritization stages. The plan should;
a. Outline and discuss the opportunities as well as the challenges and
obstacles in implementing the KC Project in general, and the CEAC
particular, in the community;
b. Outline the strategies you will adopt to maximize the opportunities and
address the challenges and obstacles described above, and;
c. Outline the specific activities and steps you will undertake to operationalize
these strategies, and the timeframe, responsibilities, and resources you will
need.
4. A list of potential contacts in the barangay / municipality, along with a simple
profile of these contacts.
Activities conducted
1.
Output produced
1.
2.
Documents about
the barangay from
secondary sources
(CBMS, NHTS,
Barangay Profile,
BDPs and AIPs,
basic area maps,
etc.)
SI plan for each
barangay to be
coved
109
Stage and
Objectives
Social
Investigation
(SI) to
validate
secondary
information and
expand and
deepen data
gathering from
primary sources.
Continuing SI
(CSI) to
continually
refine, sharpen,
and expand
information
gathered from SI
to aid in conduct
of subsequent
activities.
Activities conducted
1. Field visit and community
walk;
2. Interviews with key
contacts (BLGU officials,
CBO and other community
leaders, respected informal
leaders and members of
the community;
3. House visits and small talk
with community residents.
4. Preparation of reports (SI
Form, Community Profile
and Social Assessment,
and Action Plan)
5. Identification of Quality
Contacts.
1.
2.
3.
4.
5.
6.
Output produced
1.
2.
3.
4.
1.
2.
3.
Accomplished SI
Form.
Community Profile
and Social
Assessment
Action Plan
List and Profile of
quality contacts
1 month after MO
PSA reports
Updated SI Form
and Community
Profile
Enhanced and
expanded
community
volunteer profiles.
After completion of SI
reports, and continuing
for the duration of the
cycle.
The Pre-SI and SI stages begin prior to the Municipal Orientation with a review of
Municipal documents collected by the RPMO as part of the Municipal Enrollment process.
The SI stage should be concluded within 30 working days after the conduct of the
Municipal Orientation.
Scope of SI Tasks
110
Outputs / Results
At the end of the SI period, the AC
will have;
a. Become accepted as a regular
feature of the municipal LGU
landscape;
b. Established him/herself as the
point of contact of the KC
Project in the municipality;
c. Integrated with the different
leaders and officers of the
different LGU and NGA offices
in the MLGU, and with civil
ACT member
Scope of SI Tasks
Community
Facilitator
Deputy Area
Coordinator
Outputs / Results
society,
basic
sector,
and
private sector and other groups
within the municipality;
d. Consolidated the baramgay SI
reports
and
prepared
a
Municipal Profile.
e. Prepared an action plan for
engaging the MLGU.
f. Prepare
a list
of
quality
contacts at the Municipal Level,
including a simple profile.
111
ACT member
Scope of SI Tasks
Outputs / Results
quality
contacts
engineering.
Municipal
Finance
Analyst
for
112
Barangay AAA
Municipality BBB
Area of
Information
study
needed
Questions to
ask
Target
respondents
When
a. Familiarize yourself with the area and its residents. Conduct community walks
and familiarize yourself with the physical features of the community. Take note
where important community activities take place (farming, water sources,
informal gathering areas, and so
Things to Remember in Social Investigation
on). Directly observe community
& Assessment
activities and look for clues on the
patterns and systems governing
1. Familiarize yourself with the community, and
plan your social investigation in advance.
community life. Many events and
2.
Integrate with community residents. The
activities happen early in the
quality of your SI will depend on it. Dress
morning or near late afternoon.
simply and behave even more humbly.
b. Integrate
c. Interview key people, such as M/BLGU officials, formal and informal leaders,
Grasshopper Contact Building
One of the most difficult things to a newcomer in
a community doing SI and contact building is how
to introduce yourself to a new community
member. One of the best ways to do this is to
hop like a grasshopper.
Before ending your dialogue with your first
contact, ask him or her if he/she can refer you to
somebody she knows from another part of the
barangay. Then ask your contact if you can say
that he or she referred you. Do this often and
you will have met a lot of interesting people in no
time!
and
other
stakeholders.
However,
do
not
limit
yourself to just the leaders
and well known people.
Engage in small talk with
ordinary
community
residents. Ask open-ended
questions e.g. hows and
whys but also be prepared
to improvise to keep the
discussions flowing smoothly.
The
manner
of
asking
questions and the actual
113
questions you ask are critical, hence, it is necessary to prepare and review
questions beforehand. The best social investigation session is a conversation over
coffee. People, especially marginalized groups, can feel threatened by a formal
interview. Keep the conversations informal and relaxed. It is best to frame social
investigation as an informal, casual dialogue between persons.
d. CFs must get acquainted with at least 25% of HHs in each of their covered
barangays. This means that you should be able to get a deeper understanding of
the personal stories of these households. Their story will reflect the story of the
community, so it will be important for you to make sure that these HHs represent
a cross section of the sitios and the basic sectors in the community (i.e. women,
IPs and ICCs, members of conflict affected areas, poorest households, fisherfolk
HHs, farmers, etc.).
f.
Keep notes, but try to avoid writing down notes in front of people. They will feel
threatened and may resort to giving you answers they think you want to hear
rather than what they really want to say. Be sensitive to the mood and tone of
the person you are talking with, and to non-verbal cues, and take note of these
as well. Keep a daily log (a logbook) of your experiences and the information
you have gathered.
g. Continually
undertake
analysis. Keep going back to
your preliminary analysis and
enhance, change, sharpen,
update, and broaden it as
new information becomes
available. Be sensitive to new
leads and directions that
might open up in the course
of
investigation.
Keep
updating your problem tree.
It is never perfect at the
beginning.
h. Start
preparing
your
report at day 1. Dont wait
until the end of the SI period
to begin to fill up the SI form
or write the Community
Profile and SI report. Make it
a work in progress.
This
way, you will know what
information
you
already
have, and what else you
need to gather, and what
needs to be further validated.
Once you are comfortable
about your analysis, finalize
your
SI
report
and
community profile. Review it
with your team, get their
feedback, and revise and
114
finalize as necessary.
i.
7.3
Complete your SI report form, and make sure you have completed
information for each data requirement in the form. Make sure that
validated the information collected.
Once you have completed
information and have filled-up the form, proceed to the next step on
the data.
collecting
you have
gathering
analyzing
Analyzing SI results
a. Review your completed SI report form.
b. Prepare a problem tree using data in your SI report form. The problem tree is an
analytical tool in the form of a diagram, that links problems in a cause-effect
relationship. Make use of the 13+1 Core Local Poverty Indicators (CLPI) (box __)
in organizing your problem tree. Your SI report form is organized following the
CLPIs so you should be able to generate data for each of the CLPI. These are
included in the SI form, and you should have generated data along these
indicators during your SI activities.
Formulating problem statements
Existing, not theoretical or imagined. Based on factual information that can be verified.
Good: Many working age people are not working.
Bad: People are lazy.
An existing negative state, occurring and observable NOW, not a future condition.
Good: No. / Percent ng kabataan hindi nakakapag-aral..
Bad: Maraming kabataan ang hindi makakapag-aral.
Not the absence of a desired solution.
Good: Hindi nakakatanggap ng serbisyong pangkalusugan ang mga may sakit.
Bad: Walang ospital o health center.
Do not mix cause and effect on the same card.
Avoid this: Nasisira ang pananim dahil sa madalas ng pag-baha.
Split the card instead into: Madalas na nasisira ang mga pananim. and Madalas umaapaw sa bukid
ang tubig sa ilog tuwing tag-ulan.
c. Prepare metacards, or use a clean sheet of paper. On the topmost card, write
down the following: _____ (number or percentage) of the population are poor.
These can be gathered from the NEDA SAE of poverty of the municipality.
d. On a second card, write the following: ____ (number or percentage of the
population in barangay (name of the barangay) is poor. Place this card
immediately below the first card.
e. On separate metacards, write down problem statements that describe the
situation for each of the eight (8) areas of the CLPI (these include (i) health; (ii)
nutrition; (iii) shelter; (iv) water and sanitation; (v) basic education; (vi) income;
(vii) employment, and; (viii) peace and order), along the fourteen (14) indicators
described in box ___ above. Put these on metacards, with one card per CLPI
area description. Spread these underneath the second card.
115
f.
Hindi makahanap ng
trabahong mataas ang kita
Kaya?
SAMPLE PROBLEM TREE USING THE CORE LOCAL POVERTY INDICATORS (CLPIs)
Municipal
Poverty
Incidence
Barangay
Poverty
Incidence
Health
problem
statement
Proporti
on of
children
0-5 y/o
who get
sick
and/or
died
Cause
Proportion
of women
who die
from
childbirth
Cause
Shelter
problem
statement
Proportion
of HHs
living in
makeshift
dwellings
Cause
Water and
Sanitation
problem
statement
Proportion
of HHs
who are
squatters
Proportion
of HHs
with no
access to
safe water
supply
Cause
Proporti
on of
HHs
with no
sanitary
toilet
facilities
Cause
Cause
Cause
Proportion of
malnourished
children 0-5 y/o
Basic
Education
problem
statement
Proportio
n of
children 612 y/o not
in elem.
sch.
Cause
Proportio
n of
children
13-16 y/o
not in
high sch.
Cause
Proportion
of HHs
with
income
below
poverty
threshold
Cause
Proportion
of HHs
below
subsistenc
e threshold
Cause
Proportion of
HHs who are
victims of
crime and/or
affected by
armed conflict
Cause
Cause
Cause
Cause
Proportion of
HHs who are
unemployed
Income
problem
statement
Proportio
n of HHs
experienc
ing food
shortage
Cause
Cause
Cause
Cause
Cause
Cause
cause
Cause
Cause
Cause
Cause
cause
Cause
h. Take care to ensure that the observations made at the lower-levels are
triangulated from field discussions with residents, and can be validated
independently by external observers. This means that they must be supported
either by observation, or by verifiable information.
i.
116
117
These are contained in a detailed action plan that I have presented to, and which
have been reviewed, commented on, and refined by my supervisor and my team.
If you confidently answered yes to all these questions, then you are most likely ready
to proceed with succeeding activities.
PRACTICE NOTES:
Annex:
SI Report Outline
118
119
Guide to facilitating
Barangay Assemblies in the KC Project
120
6. When are the BAs conducted, and what are the objectives and
expected outputs of each?
BA
1st BA
When
conducted
After the
Municipal
Orientation
2nd BA
Objectives
Outputs
Barangay Resolution
supporting KC
implementation in the
barangay;
Barangay Resolution
forming the PSA Team,
and naming the
volunteers elected to
form the PSA team (3
CVs per sitio);
Barangay Resolution
forming the Barangay
Grievance Committee,
and naming the CV
members of the
committee.
Minutes of the BA;
Attendance sheets;
Barangay Resolution
approving the PSA
results, and the
Barangay Action Plan;
Barangay Resolution
proposing criteria for the
121
BA
When
conducted
Objectives
Outputs
CSW;
Barangay Resolution
forming the BRT and
PPT, and naming the CVs
to compose both teams
(3 CVs each);
Minutes of the BA;
Attendance sheets;
3rd BA
To
feed
back
to
the
community the results of the
CSW and PDW, and plan for
the
preparation
of
the
community project proposal
for the MIBF.
Barangay project
proposal development
plan;
Barangay Resolution
forming the BSPMC;
Barangay Resolution
requesting for Technical
Assistance Fund (TAF)
and opening of TAF bank
account.
Minutes of the BA;
Attendance sheets;
BAs
(number
is
variable)
In the course of
project proposal
development
Agreements on the
design or key features of
the project proposal
Minutes of the BA;
Attendance sheets;
4th BA
5th BA
122
BA
When
conducted
Objectives
barangay and the municipal
LGU.
To update the community on
the progress of sub-projects
and BAPs, and resolve issues
and problems, if any.
Outputs
BAs
(number
is
variable)
In the course of
sub-project
implementation
Resolutions requesting
for 2nd or third RFRs;
Minutes of the BA;
Attendance sheets;
BAs
(number
is
variable)
As part of the
accountability
review process
Documentation of CBME
results;
Resolution on lessons in
KC implementation and
recommendations for the
next cycle, for sharing in
the Municipal AR.
Minutes of the BA;
Attendance sheets;
Special
BAs
When
Grievances arise
Resolution on findings
and agreements made to
address grievances.
Minutes of the BA;
Attendance sheets;
123
PRACTICE NOTES:
124
125
126
Conduct community integration and social investigation. Understand the local sociopolitical dynamics and condition of the
Proper scheduling is important!
community.
Prepare a report that
summarizes the salient facts gathered
Ensure that the schedule of the BA is not in
through the SI and Integration stage.
conflict with other community schedules such as
Using the report above, prepare a plan
of action outlining the strategies you
will use for mobilizing the community
for the Project. This will help you plan
for the first and subsequent BAs.
Meet with the Barangay LGU officials and, together with your MCT CF counterpart,
plan for the BA. The preparatory meeting should cover, among others, (1) the date,
time, and venue for the BA; (2) the agenda; (3) tasks and logistical requirements
such as food, sound system, reservation of venue, invitations, materials to be used,
community mobilization, facilitation, and other preparations.
Remember: Pay attention to detail!!
Many good meetings fail because facilitators do not pay
enough attention to detail. Follow your common sense.
Visit the venue a day before the assembly.
Make
sure your venue can accommodate the expected
number of attendees.
How you arrange the chairs communicate your
intent. If you arrange it like a classroom with a head
table, your cutting yourself off from people, making
yourself more important than they are.
If you
arrange it in a circle, you are saying everyone is
important.
If food will be served, discuss with those concerned
how this can be done without disrupting the session.
If your visuals need to be posted, make sure there
are walls where you can post them.
If you need
electricity, make sure this is available.
Use
different
strategies
to
mobilize community members to
attend the BA. Enjoin the help of
the Barangay LGU in informing
the different sitios. Mobilize your
quality contacts to go around the
communities and discuss the BA
with their neighbors and friends.
You can also conduct house-tohouse
visits,
send
out
invitations/leaflets,
post
information on community boards
or other public places, and use
other
indigenous
means
of
spreading information.
127
b.
Orient the assembly on the KC Project. Include information on (i) the project
background; (ii) project goals and objectives; (iii) project principles; (iv)
implementation structure and the role of the barangay LGU, the community
volunteers, the CFs, and
In any meeting, a good facilitator
other stakeholders in
the barangay; (v) the
1. Maintains the conversation within the group so that
the participants can share information and decide
CEAC stages, activities,
together.
and cyles, and (vi) the
2. Breaks-up the group into smaller groups to give
Grievance
Redress
special emphasis and capture the opinion and
Sytem.
participation of vulnerable groups such as the women,
3.
4.
5.
128
c.
Pamilya beneficiaries).
3. Form the PSA volunteer group: After clarifying all questions raised, explain the
next step in the CEAC - The Participatory Situation Analysis (PSA). Emphasize the
need to conduct community research to identify community needs, and that this is
the first and most important step in the CEAC. Emphasize as well that the PSA will
be led by community volunteers.
a.
Explain that the PSA (i) is an opportunity for the community to collectively
assess and analyze their present socio-economic status, problems, and needs;
(ii) enable the community to make informed decisions and formulate
appropriate interventions; (iii) the results will be used as basis for community
planning and in the preparation of sub-project concepts and proposals; (iv) will
only be successful and reflective of the local condition if it can generate full
cooperation from the community since they are the ones in the best position to
assess their situation and identify problems and needs, and; (v) will need the
active participation of community volunteers.
b.
Present the tasks of the community volunteers, such as (i) gathering data and
information about the community; (ii) analyzing the data gathered to identify
problems and solutions; (iii) making a draft Barangay Action Plan (BAP) based
on the results of the PSA; (iv) participating in meetings and trainings, and; (vi)
assisting the CF in mobilizing the community and preparing for the barangay
assembly to validate the PSA results
and the BAP.
Common Criteria used in Selecting PSA
c.
d.
Solicit ideas on criteria that can be used to select the volunteers. Criteria that
have been used extensively in the KC project include credibility, commitment,
sensitivity, experience, inclusiveness, willingness, and availability. Have the
assembly agree on the criteria.
Volunteers
129
e.
Open the floor for questions and discussion on the PSA and volunteer selection.
Emphasize that the selection of volunteers should give opportunity to barangay
residents other than elected or appointed officials. Those interested to serve as
volunteers may nominate themselves subject to confirmation by the BA. Explain
also that volunteers will be trained and recognized by KALAHI-CIDSS but they
will not receive monetary incentives.
f.
the assembly the KC Grievance Redress System. Emphasize that the community will
need to play an important role in addressing and resolving grievances that arise in
the Project, and that special BAs can be called from time to time to hear and resolve
grievances. To help in this process, a Grievance Committee and Fact Finding Group
will need to be formed,
a. Explain the following guidelines in forming the Special BA and the Grievance
Committee and Fact-Finding Group;
The Special BA is a special body established by the BA to act on grievance,
comments or queries in the KC Project brought to the attention of the
Barangay Assembly for resolution.
The Special BA will be assisted by a Grievance Committee and Fact-Finding
Group that will undertake data gathering and verification activities to generate
sufficient information to enable the Special BA to decide on the proper
disposition of grievance cases brought to its attention.
The volunteers will be elected by purok/sitio and must pass the minimum
criteria of willingness to take on the task and be trained. In addition,
members must enjoy credibility in the community, posses good judgment,
and make themselves available for purposes of hearing and acting on
grievances.
Each sitio/purok should be represented in the Special BA by three (3) elected
volunteers.
If a grievance is received by the BA, five members will be chosen from the
Special BA to form the Grievance Committee and Fact-Finding Group. They
will be constituted by drawing of lots and will serve for a period of at least one
month, or until such time as the grievance will have been resolved.
b. After clarifying all questions raised, the CF requests the Assembly to nominate
and confirm the volunteers for the Special BA. Explain that there will be
community training to be given for the volunteer who will participate in the
grievance redress system. Once the community volunteers have been selected,
request for a motion to confirm and approve the selected volunteers.
5. Discuss the need for participation in the BA: As the last agenda, discuss the
need to continually work for the participation of the most number of people in the
barangay assemblies. Emphasize that the KC Project gives premium in peoples
participation and empowerment.
As such, it is imperative to generate popular
support and majority participation in the project.
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6. Close the program: Thank the assembly for their cooperation. Ask volunteers to
share their insights on the BA, and suggestions for how to conduct the next
assembly. Summarize the resolutions and agreements made, and then call on the
barangay captain for his closing remark.
PRACTICE NOTES
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132
133
Guide to conducting
Participatory Situation Analysis
134
In addition, the results of the PSA process, especially the communitys priority problems,
will be integrated into the local development planning process of LGUs in the course of
the three cycles of the CEAC. You should be able to make the barangay and municipal
LGUs benefit from the PSA process by engaging the MIAC, and especially the Municipal
Development Planning Officer (MPDO) to align local development priorities and agendas
with those priorities identified by the communities themselves. The extent of this
integration is a measure of how well local government units buy into the CDD strategy,
and how well they appreciate how CDD can be mainstreamed into their governance
systems.
4. What are the expected outputs and learning outcomes of the PSA?
At the end of the KC PSA, the community volunteers from each barangay will have;
1. Prepared a profile of different aspects of their community using visual tools (such
as resource and social maps, seasonal calendars and timelines, and other charts
and diagrams that;
1.1. Describes physical and demographic features that have important
economic, political, and socio-cultural relevance to community members;
1.2. Show annual seasonal patterns of community life, such as (i) seasons; (ii)
economic activities, such as planting and harvests; (iii) relevant socio
socio-cultural patters, such as occurrence of illness, social celebrations; (iv)
and others.
1.3. Show important past events in the life of the community, such as (i) the
founding of the barangay; (ii) the occurrence of major calamities or natural
disasters; (iii) the occurrence of an armed conflict; (iv) other similar
events.
1.4. Show information on the community along the 14 core local poverty
indicators.
1.5. Reveal important sectoral information on (i) gender and the situation of
women (such as household economy charts); (ii) the situation of IPs and
ICCs, and ancestral domains; (iii) the situation of farmers relative to access
to land and production assets; (iv) the situation of fisherfolk communities;
(v) the situation of poorest households, and; (vi) the situation of
communities in conflict.
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6. When is the PSA conducted, for how long, and what are the stages?
In the context of the KALAHI-CIDSS CEAC, the PSA begins after the first BA has been
conducted in all barangays, and after all PSA volunteers are selected. Each CF spends a
total of 45 working days to conduct the PSA in 5 barangays. The entire process involves
the following three (3) stages;
1. Municipal PSA Planning Workshop 5 working days
2. Barangay PSA proper 25 working days for 5 barangays
3. Community Validation through Barangay Assemblies 15 working days for 5
barangays
7. What are the objectives, expected outputs, and who are the key
participants in each stage of the PSA?
The specific objectives, outputs, and key participants of each stage are described in the
matrix below;
Stage
Municipal
PSA
Planning
Workshop
1.
2.
3.
Barangay PSA
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1.
Objectives
To build common understanding
of the PSA objectives, process,
and outputs among MIAC, MCT,
and selected CVs who will be
involved in the barangay PSA.
To review existing data on the
barangays that are available at
the MLGU and other sources,
such as NHTS, CBMS, data from
DAR and DA, and others.
To plan for the conduct of PSA
activities in the barangays.
To identify community strengths
and opportunities for, as well as
Expected Outputs
Barangay PSA Plan
and
Schedule
of
conduct
of
PSA
activities
Participants
ACT
MCT
MIAC members
Community
Volunteer
representative per
barangay
Stage
2.
3.
Barangay
Assembly for PSA
Validation
1.
2.
3.
Objectives
problems and
challenges to
development, and identify the
key
poverty
problems
and
challenges
that
must
be
addressed;
To identify the range of possible
solutions to address development
challenges in the community, and
develop a Barangay Action Plan
(BAP)
to
implement
these
solutions;
To develop a simple communitybased monitoring and evaluation
system that will aid communities
in tracking their progress in
achieving objectives.
Expected Outputs
presented
in
the
form of visual tools
(a community map,
timelines
and
seasonal calendars,
and charts);
Problems
and
Solutions Tree;
Barangay
Action
Plan
Community
monitoring plan;
Barangay resolution
(i)
adopting
the
results of the PSA,
and
(ii)
incorporating
the
proposed
solutions
into the barangay
development plans
and invest plans and
programs;
Barangay resolution
naming
the
members of the PPT
and the BRT;
Other
resolutions
related to project
development,
if
needed (such as for
TAF);
Participants
Volunteers
Community
residents
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4. Brief the PSA volunteers, talk to leaders of existing CBOs, barangay officials and
MIAC members about their participation in the PSA, and discuss their respective roles
in the collection and review of existing data as well as those to be generated from
the process.
5. Plan for the conduct of a pilot run of the PSA workshop in one barangay, and use the
results of the pilot activity to further refine the plan for the barangay PSA activities
Understand the principles first
Before you go into the specifics of conducting the PSA, it is important for you to understand the following by
heart. These are the key principles to conducting the PSA in the KALAHI-CIDSS Project.
1.
Apply Optimum Ignorance (no monopoly of information). No one, and most especially you, has a
monopoly of information. No one knows everything but everyone knows something. Therefore all relevant
data and information must be known and freely shared and discussed, so that understanding is collectively
build, and knowledge is collectively owned. Be watchful of people who want to monopolize information.
This applies to you as well.
2.
Reverse learning, or learn lessons from the peoples experiences. Remember that this is about the
people learning and studying their own conditions, so information is viewed from their own perspectives
and experiences. As a facilitator, you guide the flow of process, but in a way that allow people to make
their own interpretations. This becomes a good source of new learning for the facilitators about how the
community views itself.
3.
Cultivate learning by doing or activity-oriented learning. People learn better if they share
experiences, and experience things for themselves. Get them out in the field to observe, record, and report
to each other about their observations and findings. This is the best way to make them deeply appreciate
and understand conditions and problems and how they can be addressed.
4.
Focus learning on limited but important data. Go for quality rather than quantity. In PSA, it is
crucial to know the most important data and where to gather them. Constant analysis is imperative to
know what data are important and what are not. Try to look into as many secondary information as
possible, and share these with the volunteers, but allow them to decide which is relevant for them.
5.
Be self critical and responsible. Always check your words and actions, for consistency with the goals
and principles of PSA. As a facilitator, you are responsible in making the entire process people-centered
and participatory. Show to community volunteers how to be self-critical by example. Triangulate or
cross-check data, make sure that your data is correct by comparing it to other sources from other
individuals or groups in the community. Constantly consult volunteers. Be prepared to improvise if and
when the people are not comfortable with the activities, tools, and processes used.
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9.2 What are the expected outputs of the Municipal PSA Planning Workshop?
At the end of the activity, the ACT will have:
1. Explained in depth the PSA Process
2. Generated data from the NHTS, CBMS, and other secondary sources, and agreed
on the general areas of study, following the 13+1 core local poverty indicators
3. Agreed on the basic set of intended outputs of the PSA, which shall include (i) the
community areas of study; (ii) the community profile presented through visual
tools such as the resource and social map, and others; (iii) the community vision;
(iv) the community problem and solutions tree; (v) the Barangay Action Plan,
and; (vi) the simple community-based monitoring and evaluation plan;
4. Prepared a barangay PSA schedule of activities
5. Formed PSA teams per barangay composed on CFs from the ACT and MCT, and
clarified the roles of the team members and the MIAC in the conduct of PSA
activities at the barangay.
9.3 Who are the participants to the Municipal PSA Planning Workshop?
The following are the participants to the Municipal PSA Planning Workshop;
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available at the municipality. Use this to guide the discussion on the areas of
study during the workshop.
b. Review the problems and solutions trees made by the CFs. Pay special
attention to the depth of analysis of cause and effect (for the problem tree)
and inputs and results (for the solutions tree). If the CFs did good SI and
analysis, their problems tree will show how the economic, political, and sociocultural systems in the community work to create poverty. Related to this,
the CFs solutions tree should not reflect projects but rather interventions to
address the socio-political dimensions (interventions for empowerment and
good governance). These insights will guide you in the discussions on cause
and effect during the PSA process.
c. Make an inventory of the participants, and the logistics and other preparation
requirements. Break down the details (such as venue, food, lodging
arrangements for volunteers from far-off barangays, budgets and cost
sharing, equipment, invitation letters and how to send them, and so on). Pay
close attention to the details. If you dont, they can seriously affect the
outcome of the workshop.
d. Farm out the preparation and facilitation work for the workshop. Identify the
specific person/s who will undertake tasks related to preparation, facilitation,
giving inputs, and so on. Make sure to include the MCT, MIAC, and other
members of the MLGU in the activity by assigning them to do specific tasks.
e. Prepare all the necessary documents, manuals, and guides or worksheets that
you will need. The key element here is the Session Plan. This should show
the objectives, expected outputs, the activity that will produce the output, the
process and method that will be used for the activity, the time needed for the
activity, the needed equipment and/or supplies, and the person responsible
for the session. The plan will look something like this;
Session
Objectives
Outputs
Activity/
Process/
Method
Duration
Equipment /
Supplies
needed
Person
Responsible
2. Meet with as many of the target participants as possible prior to the workshop.
Get to know them personally, especially the MCT, MIAC, and CVs. This way you
will have some idea of their personalities prior to the meeting. If this cannot be
done days before the meeting, then make sure you have ample time to do small
talk by going around and meeting the participants on the day of the meeting as
they are gathering.
3. Meet with the Mayor and other leaders at the MLGU. Tell them about the
workshop, its goals and objectives, the expected results, and how you will go
about it. You dont need to be overly detailed, but do keep your discussion about
the event exciting. Invite the Mayor to come and give a welcome remark. That
way, his presence will lend legitimacy to the workshop and whatever the results
will be.
4. For CFs, make sure you have oriented the CV representative carefully about the
activity. That way, the CV will come into th workshop fully prepared, and in the
right frame of mind. Make sure that the needs of the CV will be taken cared of
during the workshop so that they focus fully on the activity.
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5. Do a roleplay (some call this a dry run) with your team together with the MCT at
least two days before the activity. Go through the sessions fully, and pay special
attention to gaps and other potential problems in the process. Make a note of
these and correct your workshop design accordingly. At least one day prior to the
activity, go around and visit the venue to make sure everything is prepared,
check the materials and supplies, and other preparations made. After this, make
sure to get some rest so you are fully prepared for the workshop proper.
9.6.2 Conducting the Municipal PSA Planning Workshop proper:
The Municipal PSA Planning Workshop has five parts;
Part 1: The opening session;
1. Begin with the preliminaries and opening program. Open with a short prayer and
a singing of the National Anthem. If the Mayor is present, call on the Mayor to
give a short opening remark. Otherwise, call on the most senior municipal officer
in the room to give the welcome remarks. Under no circumstances should you or
a member of your team give the first opening remark. This means that you
should have discussed the purpose of the workshop with the Mayor or the staff
concerned prior to the workshop, and has oriented him/her on the significance of
the event to the KC Project.
2. As a first activity, lead the group through a simple group self introduction
exercise that ties neatly to the overall purpose of the workshop. One good
structured learning exercise (SLE) for this is patterned after the childrens game
called The Boat is Sinking (see the Toolkit section). Afterwards, gather insights
from the participants about the exercise, following the Five steps to processing
Structured Learning Exercises in the toolkit section of this guide.
Part 2: Sharing and discussion on planning data;
1. Call on the Municipal Planning and Development Officer (MPDO) to share and
discuss the data used by the MLGU for development planning. Share also the
data from the NHTS and other secondary sources gathered by the CFs in the
course of the SI. Explain that having a good and reliable set of information to
inform plans is important. Emphasize further that in CDD, the principle of
informed demand requires that people have the right information to allow them
to make the right decisions about development options.
2. Using the data shared, identify the data gaps, by using the 13+1 Core Local
Poverty Indicators (CLPIs) as the organizing framework. This can be found in the
toolkit section. Explain the CLPI to the group. For each area of the CLPI, identify
(i) what information on the specific CLPI is available; (ii) what is known but needs
to be updated or validated, and; (iii) what is unknown and needs to be known. A
simple four column chart similar to the one below can be used. Alternately, the
team can prepare a set of metacards and line them up into rows and columns
following the same basic format;
CLPI
What do we know
Needs validating
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142
PSA
Orientation
Schedule of Activities
Community
Check
Consolidation
data gathering
points
and analysis
meeting
BA for PSA
Validation
3. Suggest to the team the conduct of pilot runs in one barangay for each of the
key activities outlined above. Have the team factor this into their plans.
4. Get the teams to discuss what the necessary preparations will be for each
activity, and who will be in charge with what preparation. Involve the CVs and
the MCT and MIAC on this.
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5. Have the teams present their plan to the group for review and critique. In
reviewing the plans, bear the following questions in mind; (i) Does the plan
include enough detail to allow me and the MIAC to do close monitoring; (ii) Is
the plan realistic, given that the CFs will need to cover five (5) barangays?;
(iii) Are the roles and accountabilities clearly defined?
Part 5: Close the Workshop
1. Thank everyone for their participation in the activity.
2. Acknowledge the participation of the MLGU, and especially the community
volunteers to the workshop.
3. Have participants go through a simple reflection session using the ORID
framework. Instructions can be found in the toolkit section.
4. Remind everyone of their plans and schedules, and;
5. Call on the Mayor (or the most senior member of the MLGU present, to give a
short closing remark cum inspirational message. Be sure to orient the
speaker beforehand on the key messages .
9.6.3 Conducting post- Municipal PSA Planning Workshop activities
1. Meet with your team, together with the ACT, to assess the conduct of the
workshop. In conducting the assessment;
a. Review the workshop plans, including the preparations, and review the
conduct of the workshop against the plan. Identify what was done or
not done according to plan.
b. Identify both the positive and negative factors that made the made
parts of the workshop proceed according to plan, or prevented
workshop activities from proceeding as planned. Identify strengths
and weaknesses related to (i) planning and preparation, and (ii)
execution of the plan.
c. Define the lessons that can be drawn from the experience, and how
these can be applied to the conduct of similar municipal activities in
the future.
d. Review the PSA plans, identify support needs and requirements, and
plot out the schedules in the team calendar of activities
2. Meet with the Mayor and the MIAC. Give the Mayor a briefing on the
proceedings and results of the PSA planning workshop. Discuss with the
Mayor and the MIAC the needed support from the MLGU for the conduct of
PSA activities. Get concrete support commitments from the Mayor and MIAC
members.
3. Prepare your PSA monitoring plan.
4. Finalize the workshop documentation report, and accomplish the PSA Planning
Workshop Report Form.
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145
146
A note on FACILITATION
Facilitation is not as easy as it seems, hence it is
critical to have enough understanding of the local
situation to be able to design the structure, create
the guidelines, and develop the methodologies and
tools to be used for the PSA.
Encourage creativity, openness to share, critical
thinking, and innovations among community
people participating in the PSA.
Create meaningful interaction between and
among participants. Facilitation provides an
avenue for the people to understand each
others situations which is essential in planning
for community development.
Provide the tools for the people to share their
knowledge, skills and opinions.
Dont be confused with people having many
ideas. Facilitation is guiding these ideas into a
productive and meaningful sharing with the aim
of coming up with sound situation analysis and
sensible and feasible plans.
7. Incomplete
or
shallow
groundwork:
In farming, if
you dont work the ground,
Dont directly provide answers. Bring out
peoples knowledge, experience and opinions
nothing will grow. The same is
and ask them to share during the PSA activity.
true of the PSA; if you are
unable to produce compelling
reasons for community members to attend/participate in the PSA process, no
one will come and join you. Take the time to visit each volunteer in their
homes and engage them in personal dialogue on their roles in the PSA
process in particular and in the development of the community in general.
8. Improper PSA scheduling: In the rush to meet schedules and timelines,
there might be times where you will be unable to properly schedule PSA
activities. Avoid this as much as possible. Be aware that project activities
disturb the peoples normal day-to-day activities. As much as possible, the
projects must not stop the people from doing their daily tasks and duties.
Given these challenges, it is essential to have good quality facilitation to address PSA
implementation concerns, without which it would be difficult to realize the objectives of
the process or activity. Worst, bad facilitation of the PSA process may lead to
disempowerment.
10.6.2 Conducting the PSA at the Barangay
The PSA process in the KC Project is largely a recurring process. While there are no hard
and fast rules or specific procedures in the conduct of the PSA workshop, there are broad
stages in the process. These include the following;
Stage 1: CV meeting to generate the PSA Agenda
This stage is a preliminary warm-up where you and PSA volunteers get to know each
other, and review what goals need to be met. Make sure all participants work together
in defining the goals, objectives, and expected outputs of the PSA process. Do not rush
this process by defining the goals, objectives, and expected outputs yourself, as this will
lead to your domination of the PSA process, and non-ownership of the process by the
community volunteers. Remember that the community members are the primary actors
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in the PSA. Facilitate dialogue and consensus on the goals, objectives, process, and
outputs of the workshop among the volunteers by soliciting inputs, asking open-ended
questions, an engaging in open conversation with the volunteers.
This stage has four steps, as follows;
Step 1:
Step 2:
Step 3:
Step 4:
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a. Ask one participant to post a card on the wall. Then ask another participant
to post another card that is related to the first card.
b. Explain the principle and rule of establishing cause and effect relationships
between problems. Emphasize that the second card is either going to be (i)
similar to or just a reformulation of the first card, in which case it is placed
beside the first card, or (ii) an effect of the first card, in which case it is placed
above the first card, or (iii) a cause of the first card, in which case it is placed
below the first card.
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Sample Cause-Effect
Relationship between Problems
At the end of this process, you will have guided the community in formulating
a problem tree that looks like this;
HHs spend a
lot on cost of
basic services
Many children
get sick
Poor
Nutrition
Low
understan
ding of
nutrition
HH income is
insufficient to
meet needs
Health services
are limited
Water is
easily
contaminated
Dirty
surroundings
Many houses
do not have
sanitary
toilets
Infrequent
visits by
health
workers
Low farm
yield
Fare to
public
health
facility is
expensive
Health
center
is far
Low farm
income
Unable to get
high pay
work
Low
educational
attainment
Low HS
participation
Transport
is limited
HS is far
away
Single
cropping
High transport
cost
Market
is far
Low crop
value
Roads
are bad
Crops sold
unprocessed
Farms are
rain fed
Insufficient
capital
Limited
knowledge
Male children
work to augment
family income
g. Dont be bothered too much if the problem tree is far from perfect at this
point. Its purpose at this stage is to help the CVs identify their areas of
study, the result of which will further sharpen and enhance this problem tree.
The CVs will be going back to this problem tree in the third stage, and will
have ample time to revise the problem statements, or change them
completely of needed.
150
h. Once the CVs are comfortable with the scope and you are comfortable with
the logic of the interconnection of problem statements, proceed to the next
and final step for this stage.
Step 4:
Identify the key areas of study based on the problem tree, generate
questions per study area, for research by the volunteers, and demonstrate
PSA tools to help CVs generate the data needed.
a. Review the problem tree made, and identify broad problem clusters. Within
each cluster, assist the community in identifying the specific themes by linking
specific problem statements. Use the CVs own definition (their own words) of
the areas of study and themes. Using the problem tree of Brgy. San Juan
above as a sample, this will result in something like the chart below;
HHs spend a
lot on cost of
basic services
Services
Many children
get sick
Poor
Nutrition
Low
understan
ding of
nutrition
Water is
easily
contaminated
Dirty
surroundings
Many houses
do not have
sanitary
toilets
Nutrition
Water and
Sanitation
HH income is
insufficient to
meet needs
Health services
are limited
Infrequent
visits by
health
workers
Health
center
10 kms
away
Low farm
yield
Low
educational
attainment
Transport
is limited
HS is 10
kms away
(Poblacion)
Health Services
Low farm
income
Unable to get
high pay
work
Fare to
public
health
facility is
expensive
Education
Low HS
participation
Income
Single
cropping
High transport
cost
Market
is far
Low crop
value
Roads
are bad
Crops sold
unprocessed
Farms are
rain fed
Insufficient
capital
Limited
knowledge
Male children
work to augment
family income
Public
Infrastructure
Agricultural
production
Agriculture
support
THEMES
b. At this point, the CVs will have defined the broad areas of study (in this case
these are (i) services, and; (ii) income, as well as the specific themes (these
are the ones included in the lowest boxes, and which include (i) nutrition; (ii)
water and sanitation; (iii) HH expenses on health services; (iv) education; (v)
public infrastructure; (vi) agricultural production, and; (vii) agricultural
support.)
c. Facilitate discussion among the CVs on the specific questions for investigation
for each theme, to validate/verify the problems on the tree. Once the
questions are formulated, assist the CVs to define the information they will
need to generate to answer each question. The sample matrix below can help
you organize the CV discussions;
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Problems
Questions
Data
PSA Tools
Farm
income
Residents cannot
engage in small
holding farming
activities
Total land
area.
Hacienda land
area.
Minimum
wage
Wages by
Hacienda
Pie chart
Bar graph
Govt.-mandated
wages are not being
followed
Inability to get high
paying jobs during
off season
Pie chart
Bar graph
Seasonal
calendar
Flowchart
d. Demonstrate some of the PSA tools that can be used to generate data to
answer each question. Some of the more common tools can be found in the
toolkit section of this guide.
e. Once all questions and data
needs have been defined and
identified, and the PSA tools
demonstrated, facilitate CV
planning for the conduct of
community research.
The
table below can serve as a
basic framework for the CV
research planning.
f.
Mga tanong
na sasagutin
Mga
impormasyong
kailangan upang
masagot ang mga
tanong
Mga PSA
tools na
maaring
gamitin
Sino ang
mananaliksik?
Kailan?
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153
non-IP populations, group together the IPs and gather their specific views as
IPs.
PSA tool : Community Map
What to include:
Physical features of the community, denoted by specific symbols for;
Natural features and their (rivers, mountains, forests, swamps, lakes, beaches and mangroves,
water sources such as springs, and other similar information);
Geo-political features, such as boundaries (barangay, purok/sitio boundaries) and location of
public buildings (barangay halls, etc.) and installations (particularly military or security
installations, camps, and the like).
Location of access infrastructure (roads of whatever type, bridges, footpaths and trails, and
other similar information);
Type and location of basic services infrastructure (schools and daycare centers, health
stations, and other similar features);
Places of socio-cultural relevance such settlements (including IP settlements and location of
ICCs and ancestral domains) and houses, churches and places of worship, places where people
gather to engage in community activities (like plazas basketball courts, areas of the river where
people wash clothes, umpukans and tambayans, and other similar spots), places considered
bad, dangerous, or off-limits for whatever reason, ancestral domain areas, and other similar
places;
Places of socio-economic relevance, such as commercial areas and establishments,
agricultural areas, farms, and related facilities (solar driers, mills, etc.), types of crops, fishing
areas and sanctuaries, fishponds and landings, wharfs, and other similar locations;
Places of historical significance to the community. These can include places where major
historical events occurred and which are important to the community, such as places of battles
and armed conflicts, places where flooding, landslides, and other similar natural disasters have
happened, and other similar locations;
Other sites and locations important to the community.
How to prepare:
1.
2.
3.
4.
5.
6.
7.
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Dates of significant events in the life of the community. These can include;
Events of geo-political significance, such as the establishment of first settlements, the
founding of the barangay, creation of sitios and puroks, etc.;
Events of physical and environmental significance, such as drought, a landslide,
earthquake, major storm, or similar natural disaster or calamity;
Events of socio-cultural significance, such as establishment of the first church, school,
health station and similar event; occurrence of a major crime or armed conflict and other
similar event; establishment of the first ancestral domain and other events significant for
IP groups, and others;
Events of economic significance, such as a major harvest or bad harvest due to drought,
establishment of the first commercial establishment, establishment of the first commercial
farm and landholdings, etc;
Other events important to the community;
2.
How to prepare:
1.
2.
3.
4.
5.
6.
7.
155
On another sheet of manila paper, ask participants to describe visually the effect of key
historical events on the trends in key elements of the physical, natural, social, economic, and
political life of the community. Help the CVs describe the changes in conditions either through
statements, drawings, or even cut-outs from old newspapers or magazines, like a collage. At
the end of the process, the chart will look something like the one below.
Before
(noon)
Recent Past
(kailan lang)
Now
(ngayon)
Environment
(Kalikasan)
Economic /
Livelihood
(Kabuhayan)
Physical
surroundings
(Kapaligiran)
Socio-cultural
conditions
(Kalagayang
panlipunan)
Governance
(Pamamahalang
pulitikal)
Others (iba pa)
How to prepare:
1.
2.
156
Prepare a chart similar to the last chart above on historical trends but, instead of only three
columns, divide the chart into 13 columns, with the 1st column for the categories above, and
the remaining twelve for each month of the year.
Like the historical trends chart, help the CVs describe the changes in conditions for each
category as experience through-out the year. The changes can b described either through
statements, drawings, or even cut-outs from old newspapers or magazines, like a collage.
Below is an example of a seasonal calendar from a PRA activity in Africa.
2.
3.
4.
5.
6.
7.
157
8.
Type of jobs and number of persons engaged in these jobs over total population, by sex
Other related data
Peace and security, such as;
Proportion of persons who are victims of crime, by sex
Type of crimes and number of victims, by sex
Incidence of armed conflict by cause
Number of persons affected by armed conflict, by sex
Effect of armed conflict to population groups, by effect
Other related data
How to prepare:
1.
2.
A number of different visual tools can be used to present data related to indicators above.
These include Pie charts, bar graphs, line graphs, pictographs, and other similar devices.
Help the CVs cull out needed data on each of the indicators above, from secondary sources,
and from their own community research. Assist them in choosing and preparing a visual tool
to show the information collected.
c. Post all the PSA tools containing the data gathered. Ask the CVs to review
their research plan and see if enough data to answer the research questions
were generated through the community research. If important gaps are
found, assist volunteers in planning to gather more data.
Step 2: Analyze the data
d. Facilitate identification of key community strengths and development
potentials, by identifying the key features of the physical, demographic,
social, economic, political, and cultural situation that can be used to support
community-driven development efforts of local residents. Ask CVs Anong
mga bagay, gawi, kaugalian, paniniwala, pananaw, likas na yaman, etc. sa
ating paligid ang magagamit natin sa pagpapaunlad ng ating komunidad?
Write the responses down on metacards and post them on the wall. Group
similar cards. Link related cards to each other.
e. Facilitate CV review of the original problem tree used to generate the research
agenda and themes. Ask CVs if the problems presented are supported with
data generated from the research. If the data gathered do not support the
problems
presented,
facilitate
discussion
to
revise
the
problem
Problem Tree vs Solutions Tree
statement,
remove
it
altogether, or gather more
Solutions Tree Logic
Problem Tree Logic
Tumaas ang kakayahang
information.
Hindi makahanap ng
Effect (kaya)
Ends
trabahong mataas ang kita
f.
158
makahanap ng tabahong
mataas ang kita.
Facilitate
discussion
to
Maraming kabataan ang
Tumaas ang bilang
identify the key issues and
hindi nakakatapos ng HS
kabataang graduate ng HS.
problems that cause local
poverty, using the problem
Madalas absent sa school
Mataas ang partisipasyon
at di pumapasok
sa klase.
tree, and identify the root
causes of the problems.
Pumapasok ang mga
Cause (dahil)
Means
Nagtatrabaho sa bukid
Guide the CVs in exploring
kabataan sa eskuwela.
how problems connect with
each other in the problem
tree. By surfacing the connections between issues and problems, you will be
able to guide volunteers to see the necessity of addressing these issues in
their totality, and not just focus on shotgun, one-to-one solutions. Facilitate
consensus on the problem tree.
Poverty is reduced
HHs spending on
basic services
reduced
Incidence of
child morbidity
reduced
Nutrition
improved
HHs adopt
good nutrition
practices
HH income is
sufficient to
meet needs
Health services
improved
Water safety
improved
Visits by
health
workers
increased
Cleanliness of
surroundings
improved
More HHs
have have
sanitary
toilets
Access to
health
services in
the brgy
improved
Farm income
increased
Opportunities to
get high paying
jobs improved
Fare to
public
health
facility is
reduced
Transport
availability
improved
Farm yield
increased
Transport cost is
reduced
Crop value
is increased
HS graduates
increased
Multicropping
HS
participation
increased
Access to HS
education in
the brgy
improved
Farms are
irrigated
Male children
attend school
Travel
time to
market
reduced
Roads
conditions
improved
Access to
capital
improved
Crops are
processed
at farm
Farmer
capability
improved
159
i.
Facilitate discussion
on what solution
will be worked on
Sample: Identifying options for project interventions
Brgy. San Juan Solutions Tree
by the community
from among the
many
solutions
identified. Tools on
conducting
Alternatives
Analysis, Analysis
of Options, and
Stakeholders
Analysis
are
available
in
the
toolkit section and
Nutrition
Water and
Health Services
Roads and
Education
Irrigation
Farmer capacity
can be used to
education
sanitation
/ facilities
Transportation
facilities solution
solution
building solution
solution
solution
solution
solution
facilitate
analysis
and identification of
interventions for work. Ask the CVs to consider the following important
criteria for selecting solutions; (i) will the solution significantly address the
root causes; (ii) will the solution directly benefit women, IPs and ICCs,
poorest and most vulnerable households, communities in conflict, and other
vulnerable sectors; (iii) will the solution reduce rather than increase
vulnerability of the poor to natural and man-made risks and hazards; (iv) will
the solution lead to of facilitate efforts to address other problems, and; (v)
can the solution be used as a platform for building and enhancing social
cohesion, organizational formation, and capacity building.
Facilitate
identification of other criteria, and build consensus on the selected solution for
work.
Residents are self reliant
Poverty is reduced
HHs spending on
basic services
reduced
Incidence of
child morbidity
reduced
Nutrition
improved
HHs adopt
good nutrition
practices
HH income is
sufficient to
meet needs
Health services
improved
Water safety
improved
Visits by
health
workers
increased
Access to
Public health
services
improved
Cleanliness of
surroundings
improved
More HHs
have have
sanitary
toilets
Access to
health
services in
the brgy
improved
Farm income
increased
Opportunities to
get high paying
jobs improved
Transport
availability
improved
HS graduates
increased
HS
participation
increased
Access to HS
education in
the brgy
improved
Farm yield
increased
Multicropping
Farms are
irrigated
Transport cost is
reduced
Travel
time to
market
reduced
Crop value
is increased
Roads
conditions
improved
Crops are
processed
at farm
Capital is
available
Male children
attend school
Farmer
capability
improved
Solutions/Options
Proposed
Interventions
Lead
Group
Time
Frame
Ask CVs to write on Metacards the key problems identified in the problem
tree, and post them on the first column. For each problem, write the solutions
identified in the problem tree on separate cards, and post these on the second
column. Note that there can be many possible solution options for a single
problem. In the Brgy. San Juan example, two distinct solution options can be
explored to address the problem of health. One is a health facility, the other
is increasing the number of health service providers and the number of visits.
k. On the third column, ask participants to post, using metacards, proposed
interventions to implement the solution. Some possible interventions can
include (i) including a project in the barangay development plans; (ii)
proposing a project to a national government agency for implementation; (iii)
forming a group to implement the solution using local resources (as in the
160
Ask the CVs to think who the lead group will be who will spearhead
implementation of the proposed solution.
Ask them to write their
recommendations and place them on the fourth column. Lastly, indicate the
proposed timeframe for operationalizing the solution in the last column.
161
4. Evaluate the performance of the CVs. Identify those who have the potential to
move on to more leadership roles in KC and in the different groups and
committees that will be formed. Continue to keep in contact with the CVs.
5. Do your own reflection on the results. Use the ORID framework to generate your
own lessons and insights from the experience.
6. Make sure the entire process is documented properly.
outputs, and of the events in the PSA.
162
11.3 How does the CF prepare for the BA for PSA Validation?
Many of the guidelines in the conduct of the first BA also apply to the BA on PSA
Validation. In addition;
1. Use the PSA validation as an occasion to train CVs in planning for a meeting, and
presenting and public speaking.
Review the PSA results together with the PSA volunteers. Check their
presentation materials and prepare them for their presentation. Do a roleplay
with all CVs, and ask them to give their suggestions on how to improve each
presentation. This will be very good training, especially for those who will be
giving presentations for the first time. Give preferential attention to women,
CVs from marginalized group such as IPs, and others who normally would not
have a chance to present.
Divide up the work among all the CVs. Give out tasks to each CV. So as not
to unnecessarily isolate traditional elites such as retired professionals who
are part of the group and who may want to present, ask them to help the
others in preparing for the
presentations instead. You can
Make the PSA an event for community
organizing
also assign them the role of
answer-givers if questions are
Officers and members of youth organizations can
raised.
Most importantly,
be tapped to assist in groundwork and inviting
assign
documenters
from
community residents to attend in barangay
assemblies.
among the CVs. The validation
Mothers groups can be mobilized to lead many
is part of the PSA process
activities preparatory to key CEAC activities.
after-all.
They will also be important in adding new inputs
2. Use the PSA validation as an occasion to mobilize local community groups, and begin
the community organizing. You and the CVs will have been in contact with many
community groups and organizations, both formal and informal, in the course of your
SI and the volunteers community research work. Tap these organizations to help you
in both the preparation and the conduct of the BA. Many of these groups may
163
already be working on some of the problems identified in the PSA and the BAP, or
some informal organizations may already be thinking about working on some of the
issues identified. Get these groups involved.
3. Meet with the Barangay LGU officials and, together with your MCT CF counterpart,
plan for the BA. The preparatory meeting should cover, among others, (1) the date,
time, and venue for the BA; (2) the agenda; (3) tasks and logistical requirements
such as food, sound system, reservation of venue, invitations, materials to be used,
community mobilization, facilitation, and other preparations. Meet also with the
Barangay Secretary and discuss documentation of the BA.
4. Make sure the venue has walls or other devices where you can hang the PSA
materials, and enough space so that the community members can move around and
get up-close and personal with the visual aids. Position the PSA results so that it is
easily accessible to everyone.
5. Use different strategies to mobilize community members to attend the BA. Enjoin the
help of the Barangay LGU in informing the different sitios. Mobilize your quality
contacts to go around the communities and discuss the BA with their neighbors and
friends. You can also conduct house-to-house visits, send out invitations/leaflets, post
information on community boards or other public places, and use other indigenous
means of spreading information.
164
Do not interrupt the CVs as they are presenting, as this may throw them off their
presentation preparations.
Read the questions or invite questions from the floor after every presentation.
Always make the volunteers answer the questions first. Only when you think an
important element was missed, or a deeper explanation is needed should you add
your own answers to those of the volunteer. Adopt the 80-20 rule. Talk for only
20% of the amount the CV has talked, if you need to talk at all. If you end up
doing a lot of the talking, then you have not prepared the CVs well.
4. Call for approval of the PSA results: After all the presentations and
questions, call on the Barangay Captain. The Barangay Captain shall then call for
a motion to approve the results of the PSA. Once this is completed, facilitate the
identification of the BRT, PPT, and CBME volunteers.
5. Form the BRT, PPT, and CBME Team: Explain the next steps in the CEAC (i)
the Criteria Setting Workshop (CSW); (ii) the Project Development process, and;
(iii) Community-Based Monitoring, using the background on these steps described
in part 1 of this field guide as reference.
Explain that community volunteers will be needed for each of these teams. Use
the table below as guide in explaining the teams and their composition;
165
Community
Volunteer Team
Barangay
Representation
Team (BRT)
Project Preparation
Team (PPT)
Composition
1.
2.
Community-Based
Monitoring Team
(CBMET)
1.
2.
Explain that the criteria used for identifying the PSA volunteers can also be used
to select members of the BRT, PPT, and CBMET. Facilitate review, revision and
enhancement, and approval of the criteria. Once agreed, facilitate election of the
volunteers who will form members of the different teams. Get nominations from
specific sectoral groups, rather than from the plenary, but conduct final selection
and election in the plenary. Program your BA to account for this process.
Open the floor for questions and discussion onthe PSA and volunteer selection.
Emphasize that the selection of volunteers should give opportunity to barangay
residents other than elected or appointed officials. Those interested to serve as
volunteers may nominate themselves subject to confirmation by the BA. Explain
also that volunteers will be trained and recognized by KALAHI-CIDSS but they will
not receive monetary incentives.
After clarifying all questions raised, request the assembly to nominate volunteers.
You may ask the participants to group together by sector to choose their
volunteers. Frequently go back to the considerations for selecting the volunteers,
and the criteria identified. Once the community volunteers have been selected,
ask the Barangay Captain to request for a motion to confirm and approve the
selected volunteers. Once confirmed, request the volunteers to stay on for a few
minutes after the assembly.
6. Generate proposed criteria for prioritization: Facilitate discussion on the
criteria that will be proposed for the selection of community proposals for funding
166
under the KC Project. Explain to the assembly that a criteria is and what it will be
used for in the MIBF for prioritization. Give the following criteria as examples;
1.1.1
Responsiveness to identified priority problem: Does the
proposed sub-project respond/address the cause of the prioritized problem
of the community, as identified in their Participatory Situation Analysis
(PSA)?
1.1.2
Strategic value: Is the sub-project strategic in the sense that it
addresses other related problems aside from the ones prioritized?
Will
the sub-project trigger more development projects or contribute to further
development of the community?
1.1.3
Environmental impact: What positive or negative impact will the
sub-project have on the environment? Are negative impacts being
addressed?
1.1.4
Benefits for the poor: Are there clear benefits for poorest
households in the community?
Facilitate discussion and selection of the criteria to be proposed by the BRTs to
the MIBF for CSW. Secure approval from the BA through a resolution
7. Close the program: Before closing the assembly, facilitate discussion and
agreement on the schedule of the next BA after the Project Development
Workshop (PDW). Thank the assembly for their cooperation. Ask volunteers to
share their insights on the BA, and suggestions for how to conduct the next
assembly. Summarize the resolutions and agreements made, and then call on the
barangay captain for his closing remark.
167
PRACTICE NOTES
168
169
170
Indicators
Status Now
Target by end of
3rd KC Cycle
Goal
Purpose
Output
Activities
2. Guide the community volunteers to identify the Goal, Purpose, Outputs, and
Inputs or Activities, using the Solutions Tree formed during the PSA. Depending
on what the community wishes to focus on, the goal, purpose, output and inputs
or activities hierarchy can be composed of the entire solutions tree beginning with
the topmost solution, or a lower solution, or a specific segment of the solutions
171
tree that deals with a specific theme. The three samples below show where in
the solutions tree the activities-to-goals hierarchy can be found.
Sample 1:
This sample focuses
on the top-most card.
The choice of the topmost card as the goal
makes this sample
framework strategic,
and long term, as the
goal of becoming self
reliant is neverending. It is also
comprehensive as all
interventions are
identiied as
contributing to the
goal.
Sample 2:
This sample focuses
on the goal of
poverty reduction,
making the topmost
card an impact
target. Like the first
sample, this is also a
strategic and longterm framework, but
the end can be more
easily measured.
Like the first sample,
this is also
comprehensive.
Sample 2:
This sample focuses
on a specific element
of the solutions tree,
that of income.
Poverty reduction is
made an impact
rather than a goal.
The interventions
have become very
specific, and lends
itself to more specific
measures.
Sample 1: Identifying Goal, Purpose, Outputs, and Activities for the simple
Community Poverty Reduction Results Framework
Brgy. San Juan Solutions Tree
Goal
Purpose
Poverty is reduced
Output
HHs spending on
basic services
reduced
Incidence of
child morbidity
reduced
Nutrition
improved
Health services
improved
Visits by
health
workers
increased
Water safety
improved
HHs adopt
good nutrition
practices
Access to
Public health
services
improved
Nutrition
education
solution
Water and
sanitation
solution
Multicropping
HS
participation
increased
Farms are
irrigated
Transport cost is
reduced
Travel
time to
market
reduced
Crop value
is increased
Roads
conditions
improved
Crops are
processed
at farm
Capital is
available
Access to HS
education in
the brgy
improved
Health Services
/ facilities
solution
Farm yield
increased
HS graduates
increased
Transport
availability
improved
Access to
health
services in
the brgy
improved
More HHs
have have
sanitary
toilets
Activities
Farm income
increased
Opportunities to
get high paying
jobs improved
Cleanliness of
surroundings
improved
Farmer
capability
improved
Male children
attend school
Education
facilities solution
Irrigation
solution
Roads and
Transportation
solution
Farmer capacity
building solution
Sample 2: Identifying Goal, Purpose, Outputs, and Activities for the simple
Commuity Poverty Reduction Results Framework
Brgy. San Juan Solutions Tree
Residents are self reliant
Goal
Poverty is reduced
HHs spending on
basic services
reduced
Purpose
HH income is
sufficient to
meet needs
Incidence of
Nutrition
improved
Visits by
health
workers
increased
Water safety
improved
HHs adopt
good nutrition
practices
Opportunities to
get high paying
jobs improved
Health services
improved
morbidity
Output childreduced
Access to
Public health
services
improved
Activities
Nutrition
education
solution
More HHs
have have
sanitary
toilets
Water and
sanitation
solution
HS
participation
increased
Farms are
irrigated
Transport cost is
reduced
Travel
time to
market
reduced
Crop value
is increased
Roads
conditions
improved
Crops are
processed
at farm
Capital is
available
Access to HS
education in
the brgy
improved
Health Services
/ facilities
solution
Farm yield
increased
Multicropping
Transport
availability
improved
Access to
health
services in
the brgy
improved
Farm income
increased
HS graduates
increased
Cleanliness of
surroundings
improved
Male children
attend school
Education
facilities solution
Irrigation
solution
Roads and
Transportation
solution
Farmer
capability
improved
Farmer capacity
building solution
Sample 3: Identifying Goal, Purpose, Outputs, and Activities for the simple
Community Poverty Reduction Results Framework
Brgy. San Juan Solutions Tree
Residents are self reliant
Poverty is reduced
HHs spending on
basic services
reduced
Incidence of
child morbidity
reduced
Nutrition
improved
HHs adopt
good nutrition
practices
HH income is
sufficient to
meet needs
Health services
improved
Water safety
improved
Visits by
health
workers
increased
Access to
Public health
services
improved
HS graduates
increased
Water and
sanitation
solution
Access to
health
services in
the brgy
improved
Health Services
/ facilities
solution
Transport
availability
improved
HS
participation
increased
Access to HS
education in
the brgy
improved
Education
facilities solution
Goal
Farm income
increased
Opportunities to
get high paying
jobs improved
Cleanliness of
surroundings
improved
More HHs
have have
sanitary
toilets
Nutrition
education
solution
172
HH income is
sufficient to
meet needs
Farm yield
increased
Multicropping
Farms are
irrigated
Purpose
Transport cost is
reduced
Travel
time to
market
reduced
Output
Crop value
is increased
Roads
conditions
improved
Crops are
processed
at farm
Capital is
available
Male children
attend school
Irrigation
solution
Farmer
capability
improved
Activities
Roads and
Transportation
solution
Farmer capacity
building solution
Indicators
Status Now
Target by end of
3rd KC Cycle
Goal
Indicators
5. Identify method and tools for monitoring, which can include data review,
mapping, checklists, interviews, FGD, empowerment stories, and;
6. Determining the frequency of monitoring activities.
7. Once completed, present the plan to the BA for approval.
Step 3: Implement the monitoring plan
Show how the monitoring plan can be implemented. Regular meetings can be held to
make sure that the monitoring is done properly. Try to create an open and trusting
environment where the members of the Monitoring Team can do their jobs properly.
Step 4: Discuss monitoring results with the rest of the community.
The findings of monitoring activities should be shared to community members. This
paves the way for a better informed community, members of which can begin to discuss
other important issues and development concerns.
PRACTICE NOTES
Field Guide for KALAHI-CIDSS Area Coordinating Teams
173
174