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SUB-MANUAL

CEAC Field Guide


for KALAHI-CIDSS Area Coordinating Teams

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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

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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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

HOW TO USE THIS DOCUMENT


This is a basic project document for all ACT members, but most especially for the Area
Coordinators and the Community Facilitators. This field guide is divided into six
chapters. Each chapter is further divided into smaller sub-chapters. This guide adopts
the question answer format to make the flow of information easier. You are advised
to read and familiarize yourself with the entire manual. For details on particular topics of
interest, you may also refer to specific chapters.
Chapter 1 gives the broad overview of the KALAHI-CIDSS Project, while Chapter 2
discusses the Project Oversight and Implementation Management structures. Chapter 3
discusses in detail the CEAC, the basic implementation process for implementing the KC
Project in the municipality. Chapter 4 discusses the Projects Grievance Redress System
or GRS, while chapter 6 discusses in detail the strategies that the Project employs to
ensure greater sustainability of Project interventions. Lastly, chapter 6 provides a
detailed discussion of the Makamasang Tugon LGU-led incentive cycle for good
performing LGUs who successfully graduate from the three CEAC cycles.
This field guide deals primarily with the social processes involved in the Project. In order
to completely understand KALAHI-CIDSS Project, it is necessary that you read other
project-related manuals on:

Project Operations Manual and Sub manuals on:


Rural Infrastructure
Community Finance
Community Procurement
Grievance Redress
Organizational Development and Management
Simple Economic Analysis, among others

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.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Kapitbisig Laban sa Kahirapan - Comprehensive and Integrated


Delivery of Social Services
KALAHI-CIDSS
KALAHI-CIDSS Additional Financing
Knowledge Development Center
Kecamatan Development Program
Key Performance Indicator
Key Result Area
Local Counterpart Contribution
Local Development Council
Local Development Investment Program/Plan
Localized Decision Making, Empowerment, Transparency, Community
Prioritization, Inclusiveness, Deman-Driven, Simple, and Sustainable
Local Government Code
Local Government Unit
Local Special Bodies
Monitoring and Evaluation
Municipal Area Coordinator
Municipal Agriculture Officer
Municipal Coordinating Team
Municipal Deputy Area Coordinator
Municipal Development Council
Municipal Finance Analyst
Municipal Health Officer
Municipal Inter-Agency Committee
Municipal Inter-Barangay Forum
Municipal Inter-Barangay Forum Executive Committee
Municipal Local Government Operations Officer
Municipal Local Government Unit
Municipal Monitor
Memorandum of Agreement
Municipal Planning and Development Coordinator/Officer
Municipal Project Implementation Plan
Municipal Steering Committee
Multi-Stakeholder Inspectorate Team
Municipal Social Work and Development Officer
Makamasang Tugon
Municipal Trust Fund
Medium-Term Philippine Development Plan
National Anti-Poverty Commission
National Commission on Indigenous People
National Economic Development Authority
National Government Agency/ies
Non-Government Organization

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

National Household Targetting for Poverty Reduction


National Project Management Office
National Project Management Team
National Steering Committee
National Statistics Coordinating Board
Notice to Proceed
National Technical Working Group
Operation and Maintenance
Project Appraisal Document
Provincial Development Council
Philippine Developemt Plan
Process Documentation Report
Project Development Workshop
Provincial Inter-Agency Committee
Project Implementation Workshop
Peoples Organization
Project Preparation Team
Poverty Reduction Strategy Papers Sourcebook
Participatory Situation Analysis
Provincial Social Work and Development Officer
Participation, Transparency, and Accountability
Parent-Teachers-Community Association
Quality Assurance
Quality Control
Regional Community Development Specialist
Regional Development Council
Request for Fund Release
Regional Project Manager
Regional Project Management Office
Regional Project Management Team
Rationalized Planning System
Sangguniang Bayan
Social Development Cluster
Sustainability Evaluation Test / Tool
Social Investigation
State of Local Government Report
Sub-Project
Sub-project Completion Report
Sub-Project Implementation
Technical Assistance
Technical Assistance Fund
Technical Working Group
Vision, Mission, and Goal
World Bank

Field Guide for KALAHI-CIDSS Area Coordinating Teams

vi

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

What is the KALAHI-CIDSS Project?


Why KALAHI-CIDSS?
What are the over-all development objectives of the KALAHI-CIDSS Project?
What are the principles that guide the project?
How will the KALAHI-CIDSS Project attain its objectives?
What does the KALAHI-CIDSS aim to achieve by these strategies?

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3
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4
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6
7

CHAPTER 2: OVERSIGHT, IMPLEMENTATION, AND COORDINATION


STRUCTURES
2.1 What is the KALAHI-CIDSS Implementation and coordination structure?
2.2 What is the Area Coordinating Team?
2.3 What roles and functions do members of Local Government Units play in the
KALAHI-CIDSS Project?
2.4 How are communities engaged in the Project?

11

CHAPTER 3: OVERVIEW OF THE COMMUNITY EMPOWERMENT ACTIVITY


CYCLE (CEAC)
3.1 What is the Community Empowerment Activity Cycle?
3.2 What is the Makamasang Tugon (MT) cycle?
3.3 What are the stages of the CEAC, and the activities in each stage?
3.4 How will vulnerable groups be engaged in the CEAC?
3.5 What are the objectives, expected outputs, and requirement for each stage?
3.6 How does each stage progress across cycles?

23

CHAPTER 4: GRIEVANCE REDRESS SYSTEM (GRS)

45

4.1
4.2
4.3
4.4
4.5

What
What
What
What
What

is the Grievance Redress System?


are the principles of the GRS?
are the common bases for grievance in the Project?
are the different types of grievances?
is the grievance handling process?

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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16
18
20

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29
34
36
40

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50

53

55
55
56
60
63
73
76

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CHAPTER 6: HARMONIZING CDD WITH THE LGU PLANNING PROCESS


THROUGH THE MAKAMASANG TUGON
6.1 What is Makamasang Tugon
6.2 What are the goals and objectives of MT?
6.3 Who are eligible for MT?
6.4 What are the features/components of MT?
6.5 How are municipalities enrolled into MT?
6.6 How is MT implemented?
6.7 What is the role of the Municipal Monitor in MT?

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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

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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

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26
29
30
31
33
33
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60
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LIST OF TABLES
Table
Table
Table
Table
Table
Table
Table
Table

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1
2
3
4
5
6
7
8

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:
:
:
:
:

KALAHI-CIDSS (KC) Results Framework


KC Intermediate Outcomes by component
Roles and Functions of ACT members
Progression of Objectives and ACT-LGU roles across 3 CEAC cycles
Objectives, expected outputs, and requirements per CEAC stage
Progression of each CEAC stage across 3 cycles
Community Volunteer (CV) groups formed along the CEAC
Criteria and Indicators for MT eligibility

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

:
:
:
:
:
:
:
:
:

Who are the Poor?


KC adopts people-centered values
Principles as guides to action
What is CDD?
Essential elements of a team
Is technical assistance a violation of community decision making?
What is the role of CBOs in CDD?
The Vision, Mission, and Goal (of organizations)
Elements of a good organizational plan

Field Guide for KALAHI-CIDSS Area Coordinating Teams

3
4
5
6
16
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68
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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?

Field Guide for KALAHI-CIDSS Area Coordinating Teams

FOR THE AREA COORDINATING TEAM


This serves as an introduction to the Kapit-bisig Laban sa Kahirapan-Comprehensive and
Integrated Delivery of Social Services (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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

1.1

What is the KALAHI-CIDSS Project?


KALAHI-CIDSS stands for the Kapit-bisig Laban sa
Kahirapan Comprehensive and Integrated Delivery of
Social Services. It is the main poverty reduction program
of the Government of the Philippines that seeks to apply
participatory, community-led
and
community-driven
approaches proven to be effective in community
development work. KALAHI-CIDSS consolidates the
lessons and strategies applied by two national programs
that have manifested a high degree of effectiveness in
poverty alleviation as compared to other state-led
initiatives: the Comprehensive and Integrated Delivery of
Social Services (CIDSS) Program of the DSWD of the
Government of the Philippines, and the Kecamatan
Development Program (KDP) of the Government of
Indonesia.

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.

Who are the POOR?

The poor are those members of the community who are


deprived of

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?

1.2 Why KALAHI-CIDSS?


There remain a lot of poor people in the Philippine countryside. The poor is unable to
meet basic needs required for a decent quality of life because of, among others:

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Natural and man-made disasters


that affect life and livelihood
activities.
Limited/no access to basic
services leading to poor health
conditions, low literacy, and
others;
graft and corruption and
unresponsive governance;
Pervasive powerlessness of the
poor, Indigenous People, Women
and Children, the Elderly, and
others.

The KALAHI-CIDSS will adopt people-centered


approaches to problem solving. It will foster
the movement of actors from being mere
"subjects" who are passive beneficiaries of
state assistance, to becoming active citizens
with rights and responsibilities who take
control of their destinies. At an institutional
level, the project design will take into account
the ways in which unequal access to political
and economic decision-making processes affect
access to and control over resources by the
poor. This focus on the flow of power in
decision-making processes is expected to
identify the current obstacles and suggest new
ways of dealing with winners and losers in the
development process.
Project Appraisal Document
August 23, 2002

Poverty can be characterized as a condition


of deprivation, where poor people are denied
Box 2
participation in decision making on policies
that affect their day to day life, opportunities and access to the most basic of social
services, ownership of assets that can be used to create wealth, and resources to meet
basic needs.

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.

1.3 What are the over-all development objectives of the KALAHI-CIDSS


Project?
As outlined in the Kalahi-CIDSS Project Operations Manual (version 20 April 2011), the
Project will contribute to three goals: (a) reduced poverty; (b) improved participatory
local governance; and (c) improved social capital. KALAHI-CIDSSs contribution to the
three goals will be achieved through the attainment of the following Project objective:
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.
In support of this objective, the Project shall aim to;
Empower local communities by developing capacities of community members and
instituting community-based mechanisms that will allow the people to decide on issues
affecting their own development.
Vulnerable groups like the women, Indigenous
Peoples, farmers, fisher folk, and communities in conflict are given priority by including
them in the decision-making process especially on matters pertaining to allocation and
use of resources.
Improve local governance, (both at the barangay and municipal levels), by
revitalizing mechanisms that encourage community consultation, transparency and
accountability, especially on processes around local development planning and the use of
limited resources to address community-identified local priorities, following the principles

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

1.4 What are the principles that


operationalization of the strategies?

guide

the

Project

in

the

As a community-driven development Project, the implementation of KALAHI-CIDSS and


consequently, your actions and the activities which you will design and facilitate, should
be guided by the following principles, with the acronym LET-CIDSS:
Localized decision-making
The Project allows community members to
discuss and decide on important issues that
affect them including the formulation and
implementation
of projects
and
other
interventions that will address problems they
themselves identified. The Project guarantees
that communities are the ones that prepare
and prioritize community projects for funding.
Empowering
The Project invests heavily on capacitybuilding activities of the communities in
analyzing local conditions; designing
appropriate development interventions; and implementing development projects. This is
undertaken throughout the KC Community Empowerment Activity Cycle (CEAC), a five
stage, multi-activity learning process where communities realize the use of their
individual and collective strength; acquire and develop community project management
skills, and increase their confidence in engaging local governments in periodic dialogues
to improve resource allocation and better provision and delivery of basic services.
Transparency
The Project engages active participation
A Principle is a Guide to ACTION!
from community members which is a
vital prerequisite to the success of all
Each member of the ACT should strive not only
project activities and interventions. This
to learn these principles by heart, but to also
study how these principles apply in the context
engagement is seen for example, in
of their specific tasks and duties in line with
their
participation
in
barangay
each ones specific function. These Principles
assemblies. It is in these assemblies
serve as the parameters for how you should i)
that people are informed on the
implement the numerous development
processes and activities of the project and; (ii)
physical and financial status of the
evaluate the effectiveness of processes
community projects and consulted on
undertaken.
community issues or problems, which
promotes
responsibility
and
Box 3 Principles as guides to Action
accountability. The NGOs and media
acts as independent monitors and the Grievance Monitoring and Resolution Mechanism
are features that support the projects transparency objective.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

1.5 How will the KALAHI-CIDSS Project attain its objectives?


The
KALAHI-CIDSS
Project
uses
the
Community-Driven
Development
(CDD)
approach
as
its
over-all
community
development approach and strategy. The CDD
approach ensures that development priorities
are addressed in a participatory, collective,
inclusive, and in demand-driven way. This is
done through localized decision-making during
social preparation activities, and in the
identification,
development,
prioritization,
establishment,
and
operationalization
of
community projects.

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

The following are the key elements of the KC


CDD approach:

Box 4 What is CDD?

Field Guide for KALAHI-CIDSS Area Coordinating Teams

1. Facilitated social preparation using highly participatory and inclusive processes


and activities that (i) mobilize communities on situation analysis, project
identification, design, approval, and implementation, and; (ii) promote
transparent and socially inclusive decision-making, multi-stakeholder and civil
society participation, and gender equity.
2. Conduct of capacity-building activities among communities and participating local
government units (LGUs).
3. Provision of matching grants to fund community projects identified, prioritized,
implemented, and maintained by communities with LGU and KALAHI-CIDSS
technical assistance.
The amount of indicative grant funds available to
communities is at 450,000 pesos multiplied by the number of barangays within
the municipality.
4. Institutionalization of the KALAHI-CIDSS CDD strategy within the local planning
and budgeting cycle and processes of LGUs through capacity-building of local
officials and staff, and promotion of participatory development practices. This
includes provisions of a fourth cycle, called Makamasang Tugon,
where
deserving LGUs identified through a merit-based enrollment process are given
opportunities to further embed participation, transparency, and accountability in
local governance systems;
5. Complementation and convergence of programs and resources of national
government agencies, NGOs and Civil Society Groups, the private sector, and
local organizations, to support community priorities, and;
CDD is operationalized in the Project through the Community Empowerment Activity
Cycle or CEAC. This is a five stage, three cycle community mobilization process that
walks both local communities and the LGUs through (i) community-led investigation of
local poverty and its causes; (ii) development of interventions identified through
informed analysis; (iii) criteria-based selection of projects for implementation; (iv)
community-managed implementation of community projects, and: (v) community-base
evaluation of results. The CEAC is discussed in detail in Chapter 3,

1.6 What does the KALAHI-CIDSS aim to achieve by these strategies?


Through the strategies outlined above, the Project shall work towards achievement of
the goals, objectives, and outcomes represented by the Results Framework below;
Table 1 KC Results Framework
Project Goal:
Target poor municipalities achieve improved performance on (a) poverty reduction, (b)
participatory local governance, and (c) social capital
Key Impact Indicators:

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,

Field Guide for KALAHI-CIDSS Area Coordinating Teams

compared to without-project municipalities


Higher percentages of households that report an increase in trust in government in project
municipalities, compared to without-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

40% of households report better access to basic services compared to KC initiation


30% of households report increased confidence to participate collectively in community
development activities compared to KCAF initiation
50% of members from marginalized groups attend Barangay Assemblies

The Project shall be implemented with four (4) components, which include;
Component
Component
Component
Component

1:
2:
3:
4:

Provision of grants to barangays in rural areas


Capacity Building and Implementation Support (CBIS)
Provision of grants to barangays in urban areas
Project management , monitoring, and evaluation (M&E)

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

Intermediate Outcome Indicators

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

80% of barangays have completed training on PSA, planning, project


devt, and M&E
40% of barangays have completed specific training on subproject
management and implementation
10% of KC PSA priorities are funded from non-KC sources
85% of completed KCAF subprojects are implemented in compliance
with technical plans and within schedule and budget
85% of completed KCAF subprojects meet basic financial standards
based on the approved Finance and Administration Sub-Manual
85% of completed KCAF sub-projects have a sustainability rating of
satisfactory or better

80% of barangays have community development plans prepared in


accordance with the KC participatory process
80% of LGUs satisfactorily implement their Participatory,
Transparency and Accountability (PTA) Integration Plans in
accordance with the KALAHI-CIDSS Memorandum of Agreement
(MOA), and are committed to sustaining the PTA as part of their
sustainability plans
80% of barangays have some citizens, other than public officials,
participating in regular municipal-level KC resource allocation forums
85% of MT municipalities have established expanded MDCs for
broader consultation with civil society representatives to obtain inputs
for the Municipal Development Plans
80% of MLGUs provide technical assistance in KCAF sub-project
preparation, implementation, and monitoring, based on MOA
80% of municipalities provide their KCAF Local Counterpart

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Component

Component 3: Grants to
Barangays in Urban
Areas

Intermediate Outcome Indicators


Contributions (LCC) based on their LCC delivery plan
80% of registered grievances are satisfactorily resolved in line with
the KC Grievance Redress System

Pilot implementation guidelines developed


Pilot-testing in four urban poor areas completed (includes
development of key performance indicators)

Multi-stakeholder oversight & coordinating committees at all levels


are in place and functional in accordance with TORs
National and regional project teams meet performance targets set by
senior project management

Lessons from the urban


KALAHI-CIDSS pilot are
utilized to inform the
development of the urban
KALAHI-CIDSS project
design to be proposed
Component 4: Project
Management,
Monitoring and
Evaluation

Project management and


multi-stakeholder
coordination support for
KALAHI-CIDSS
implementation are
delivered effectively

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

10

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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 is the Municipal Inter-Agency Committee?


What is the Municipal Coordinating Team or MCT?

What are the roles and functions of the community in the KALAHI-CIDSS
Project?

Field Guide for KALAHI-CIDSS Area Coordinating Teams

11

FOR THE AREA COORDINATING TEAM


This section provides guidance on the various oversight, implementation, and
coordination structures of the KALAHI-CIDSS
Project.
You will see that KALAHICIDSS implementation involves different agencies and stakeholders at different levels.
The fight against a problem as complex and deep rooted as poverty requires a well
coordinated effort. KC is like the sword in the hands of government in this fight against
poverty. There are many parts to this sword, and each are important, but none more
important than you and your team. Your team is the cutting edge of this sword. The
entire structure is made so that your team gets all the support you need to get the job
done at the forward, business end of our poverty reduction effort.

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.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

2.1 What is the KALAHI-CIDSS Projects implementation


and coordination structure? Who are the members?
The KALAHI-CIDSS Project is implemented by the Department of Social Work and
Development (DSWD) through the policy-making, management, implementation, and
coordination structures and mechanisms represented by the figure below.
Figure 2

Project Management and Oversight Structure

FIGURE 7. Project Management and Oversight Structure

National level

NATIONAL STEERING COMMITTEE

NATIONAL TECHNICAL WORKING


GROUP (NTWG)
NATIONAL PROJECT MANAGEMENT
TEAM (NPMT)

Municipal level

Regional / Provincial level

NATIONAL PROJECT MANAGEMENT


OFFICE (NPMO)

REGIONAL INTER-AGENCY
COMMITTEE SOCIAL
DEVELOPMENT COMMITTEE
REGIONAL PROJECT MANAGEMENT
TEAM (RPMT)
PROVINCIAL DEVELOPMENT
COUNCIL SUB-COMMITTEE (PDCSC)

MUNICIPAL INTER-AGENCY
COMMITTEE (MIAC)

REGIONAL PROJECT MANAGEMENT


OFFICE (RPMO)

MUNICIPAL COORDINATING
TEAM (MCT)

AREA COORDINATING TEAM

2.1.1 Policy-Making Bodies


The project has a two-level policy-making bodies. These are the National Steering
Committee (NSC) and the National Technical Working Group (NTWG).
The NSC is the policy-making body of the project. It tackles policy issues affecting
project implementation, imposition of sanctions to non-complying LGUs, and grant
incentives for exceptionally performing LGUs. It is an inter-agency body headed by the
Secretaries of the Department of Social Welfare and Development (DSWD) and National
Anti-Poverty Commission (NAPC), as co-chairpersons and lead conveners. Its members
include:

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)

Field Guide for KALAHI-CIDSS Area Coordinating Teams

13

The Secretary of the Department of Health (DOH)


The Commissioner, National Commission on Indigenous People (NCIP)
The Presidents of the Leagues of Provinces, Municipalities, and Barangays
Four (4) representatives from civil society, selected through the process of the
NAPC)
Development Partners, and
Other agency representatives (as needed)

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.

Department of Agrarian Reform (DAR)


Department of Agriculture (DA)
Department of Education (DepEd)
Department of Public Works and Highways (DPWH),
Department of Environment and Natural Resources (DENR)
National Commission on Indigenous Peoples (NCIP)
National Statistics and Coordination Board (NSCB)1.

In the course of project implementation, thematic Technical Working Groups(TWG) may


likewise be formed by the NSC to provide both technical and policy recommendations for
certain thematic issues or concerns. Three such TWGs have already been formed under
the project. These include;
1. The TWG on Gender
2. The Local Governance TWG, and
3. The Urban CDD TWG

2.1.2 Management Bodies


The National Project Management Team (NPMT) and Regional Project Management
Teams are two-level management bodies of the project at the national and regional
level, respectively.
The NPMT is responsible for the over-all management of the project. It provides direction
and guidance to project implementation. Headed by a National Project Director, the
NPMT is composed of the Deputy Project Director, the heads of the different units of the
Department (Admin, Finance, Social Marketing, Legal, Human Resource, Policy and
Plans, Bids and Awards Committee), project operations technical staff and consultants.
The Regional Project Management Team is incharge of over-all management of project
implementation in the region. Chaired by the Regional Director, the RPMT is composed
of:
1. The Assistant Regional Director/Regional Project Manager as alternate chair
2. All division chiefs, organic staff engaged in KC implementation (the Regional
Project Coordinator, the Regional Training Coordinator, Regional Information
Officer, Project Evaluation Officer, Accounting, Supply and Admin)

Expansion of TWG members during the 27th March 2003 NSC meeting

14

Field Guide for KALAHI-CIDSS Area Coordinating Teams

3. Regional Project hired staff (Community Development Supervisor, Regional


Infrastructure Engineer, Regional Financial Analysts, Deputy Regional
Infrastructure Engineer, Regional Training Associates, Social Marketing Officer,
Monitoring and Evaluation Officer, Budget Officer, and Admin Assistant.
4. Areas Coordinators and Area Coordinating Teams
5. Municipal Mayors or their duly designated representatives
6. MSWDOs in KC municipalities
7. PSWDOs in KC provinces

2.1.3 Implementing Bodies


The DSWD is the lead implementing agency of the project. Its implementing arm is
composed of the following:
1. National Project Management Office (NPMO)
2. Regional Project Management Office (RPMO)
3. Area Coordinating Team (ACT)
Headed by a National Project Manager, the NPMO is responsible for the over-all
management of the project. It is composed of DSWD organic staff, and contracted
consultants and technical staff.
Headed by a Regional Project Manager, the RPMO is responsible for the daily operations
of the project. Its functions include, but are not limited, to implementation of national
policies and regional directions and strategies; provision of technical assistance and
supervision of work performance of ACTs; management of the LGU engagement; and
other stakeholders.
The ACT is the frontline workers in the field. It is composed of an Area Coordinator,
Deputy Area Coordinator, Municipal Finance Analyst, and Community Facilitators.

2.1.4 Coordination Bodies


The Project mobilizes existing coordinative bodies at all levels of local government to (i)
provide technical assistance in support of implementation, (ii) facilitate coordination
among various agencies, (iii) monitor and review implementation, and (iv) facilitate
resolution of technical concerns.
These include the following;
1. The Social Development Cluster (SDC) of the Regional Development Councils
(RDC), chaired by the DSWD Regional Director.
2. The Provincial Development Councils (PDC) and the Provincial Inter-Agency
Committee (PIAC), chaired by the Provincial Governor.
3. The Municipal Development Council (MDC) and the Municipal Inter-Agency
Committee (MIAC), chaired by the City or Municipal Mayor.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

15

2.2 What is the Area Coordinating Team (ACT)?


The Area Coordinating Team (ACT) is a composite team deployed in a municipality to
implement the KC project.
They assume the most crucial role in project
implementation directly working with the
community and other project stakeholders.
Its members vary depending on the number
of barangays in a municipality.

Box 5
ESSENTIAL ELEMENTS OF A TEAM
1.
2.

2.2.1 Why adopt a team approach in


KALAHI-CIDSS?
The complexity of poverty reduction and the
difficulties inherent in working in the poorest
and farthest rural barangays necessitate a
multi-disciplinary approach in order to
achieve project objectives.

3.

4.

the group members must have a shared


goals or for reason for working together
The group must be interdependent (that
is, they perceive that they need one
anothers
experience,
ability,
and
commitment in order to arrive at mutual
goals);
The group members must be committed to
the idea that working together leads to
more effective decisions than working in
isolation;
The group must be accountable as a
functioning
unit
within
a
larger
organizational context.

That ACT members must be interdependent i.e. each member perceives he/she needs
one anothers experience, ability, and commitment to achieve project goals.

2.2.2 What is the composition of the ACT?


The ACT is composed of hired project staff, as follows;
Area Coordinator (1 per municipality)
Deputy Area Coordinator/Engineer (1 for every 25 barangays)
Municipal Financial Analyst (1 for every 25 barangays)
Community Facilitator (1 for every 5 barangays)

2.2.3 What are the functions of the ACT?


The main functions of the ACT are as follows;
1. Facilitate the effective implementation of KC development processes along the
CEAC
2. Build and strengthen the capabilities of (a) community members and volunteers,
and (b) LGU stakeholders, to identify, design, select, and implement community
subprojects using the CDD strategy
3. Ensure the transfer of the CDD facilitation technology to the municipal and
barangay local government unit
4. Facilitate the formation and strengthening of community-based structures and
grassroots organizations to engage in participatory, transparent, and accountable
governance
5. Facilitate the formation of municipal learning networks for the generation and
sharing of lessons on CDD.
6. Ensure that the M&E data generated by the subprojects are correct, complete,
and consistent with Project standards, and are shared with the LGU.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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)

Functions and Roles

Deputy Area
Coordinator
(DAC)

The Community
Facilitators (CF)

Municipal Finance
Analyst (MFA)

Acts as the Team Leader and assumes full responsibility of


supervising the ACT members;
Facilitate municipal and barangay level activities;
Establishing partnerships/linkages with project stakeholders
such as LGUs, NGOs/POs, and other agencies working in the
municipality;
Ensure efficient and effective ACT operations.
Establish, develop, and implement ACT-level and field-level
operations management and monitoring systems, processes,
and mechanisms towards effective performance of the ACT
function
Supervise team members in the absence of the A;.
Provide technical assistance, together with the municipal
engineer, to community volunteers in the preparation,
development, and implementation of community projects
that involve small rural infrastructure, and in community
procurement and implementation of environmental
safeguards;
Ensure that community infrastructures built and managed by
volunteers meet KC-prescribed design, construction,
procurement, and safeguards standards.
Act as the KC CEAC participation specialist and main
facilitator of the CEAC at the community/barangay level;
Ensure that barangay and community-level development
processes and activities along the CEAC are facilitated
efficiently, with the direct participation, inclusion, and
engagement of all stakeholders;
Ensure that opportunities are provided, processes are
designed, and mechanisms are established at the barangay
level, that allow all sectors, especially the most marginalized
groups, to engage in and benefit from project activities.
Act as the primary technical specialist on community finance
at the municipal and barangay level;
Train community volunteers on financial management and
fiduciary processes;
Assist and provide TA to community volunteers in setting-up
systems and processes for community-based finance
management and fiduciary control;
Exercise quality assurance (QA) and quality control (QC) over
financial transactions relative to the request for, release and
accounting of community grants;
Ensure that costs of subproject proposals are complete,
economical, and reasonable;
Ensure compliance to internal control measures put in place
for the economical, efficient and effective implementation of
community-approved subprojects, and to the Projects
financial reportorial requirements;

Field Guide for KALAHI-CIDSS Area Coordinating Teams

17

2.2.5 With whom will the ACT work with?


As frontline implementers and members of the ACT, you shall be working directly with
the community, the LGUs, and other stakeholders of the project at the municipal and
barangay level. At the municipal level, the areac coordinator is expected to work closely
with the Municipal Inter-Agency Committee (MIAC) and the Municipal Coordinating Team
(MCT). Both groups are further described below.
For coaching, supervision, and provision of logistical support, the team should be directly
engaging with the Regional Project Team Management members.
The ACT work with the Regional Project Management Office (RPMO) through conduct of
site visits to (i) demonstrate new processes and technologies; (ii) validate monitoring
findings, and (iii) conduct of consultation meetings with LGU staff, community
volunteers, and other stakeholders when necessary.

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)

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

2.3.2 What is the Municipal Inter-Agency Committee?


The Municipal Inter-Agency Committee or MIAC is a gathering of all the heads of the
various offices, bureaus, and services of the municipal LGU. The MIAC is an ad-hoc
structure formed through Executive Order by the Municipal Mayor as part of the
requirements for entry of the municipality into the KALAHI-CIDSS Project.

2.3.2.1 What is the composition of the MIAC?


The MIAC shall be chaired by the city or municipal mayor and is composed of the
following members:

Municipal Social Welfare and Development Officer (MSWDO)


Municipal Health Officer (MHO)
DOH Representative
DepEd Supervisor
Municipal Local Government Operations Officer (MLGOO)
Municipal Agriculturist
Municipal Engineer
Municipal Accountant
Community Environment and Natural Resources Officer (CENRO)
Municipal Planning and Development Coordinator (MPDC)
Basic Sector Representatives
NGO and PO Representatives
Representatives from other projects (e.g. NHTS-PR and 4Ps)

2.3.2.1 What are the roles and functions of the MIAC?

The functions of the MIAC are to;


1. Provide relevant data to the barangays to facilitate the latters needs
assessment and analysis;
2. Provide directions in planning based on development goals and priorities
emanating from the national or municipal level;
3. Provide technical assistance in project planning, design, and proposal writing;
and
4. Monitor ongoing barangay projects.

2.3.3 What is the Municipal Coordinating Team or MCT?


The Municipal Coordinating Team (MCT) is a composite team formed by the Municipal
Local Government Unit (MLGU) in a KALAHI-CIDSS Municipality to support
implementation of the KC Project. It is formed through Executive Order as part of the
requirements for enrollment of a municipality into the Project. Formed at the start of the
first cycle, the MCT observes and assists the ACT in implementing activities along the
CEAC, and (i) gradually takes over the facilitation of the selected activities in the KC CDD
process KC process, and; (ii) facilitates integration of CDD processes into the local
planning and budgeting process of the LGU.

2.3.3.1 What is the composition of the MCT?


The MCT is composed of the following staff seconded or specifically hired by the LGU for
the Project;

Field Guide for KALAHI-CIDSS Area Coordinating Teams

19

Municipal
Municipal
Municipal
Municipal
Municipal
Municipal

Area Coordinator (MAC)


Deputy Area Coordinator/Engineer (MDAC)
Financial Analyst (MFA)
Community Facilitator (MCF)
Gender Focal Person
Encoder

2.3.3.2 What are the functions of the MCT?


The functions of the MCT are to;
1. Mobilize local government support (staff, structures, systems, and resources) for
key municipal and barangay activities along the CEAC
2. Coordinate MLGU Technical Assistance provision to BLGUs and community
volunteers
3. Monitor MLGU compliance to commitments in the MOA
4. Strengthen MLGU and BLGU capacity to engage in participatory, transparent, and
accountable governance through mandated participatory governance structures,
such as local development councils (LDC), local special bodies (LSB), and other
mechanisms.
5. Facilitate the integration of MLGU training needs on CDD in existing LGU
capability building plans and activities
6. Ensure the systematic use and management of M&E data generated from the
Project; ensure that appropriate reports and other project documents are shared
and made publicly available
7. Facilitate the development and implementation of the KC Sustainability Plan.

2.4 How are communities engaged in the Project?


In the CDD strategy, the communities, through popularly elected Community Volunteers
(CVs) play a direct role in implementing key project activities at the community and
municipal level. The KC Project is primarily a CV led and implemented activity, where
volunteers undertake three very important functions;
1. Lead in community research, project design and development, project
implementation, setting-up community associations, and management and
operation and maintenance of completed sub-projects.
2. Represent their communities/barangays in decision-making on project
prioritization, and;
3. Review and address grievances raised in the course of project implementation.
The ACT engages community volunteers through different community organizing
approaches and strategies.
2.4.1 What is community organizing?
Community organizing or CO is a development approach that transfers control of
resources and decision-making to the larger majority of people in the community. The
goal of community organizing is to facilitate the formation of local groups which shall
serve as vehicles for the expression of collective and popular demand.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

Participatory Situation Analysis (PSA) Volunteer Teams


Barangay Representation Teams (BRT)
Project Preparation Teams (PPT)
Community-Based Monitoring Team (CBMT)
Barangay Sub-Project Management Committees (BSPMCs)

These are further described in Chapter 5, Section 5.5.3.

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

21

22

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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?

Field Guide for KALAHI-CIDSS Area Coordinating Teams

23

FOR THE AREA COORDINATING TEAM


This chapter is an introduction to the Community Empowerment Activity Cycle or CEAC.
SUMMARY
This chapter of the field guide is divided into seven parts. The first part begins with a
discussion of the main features of the Community Empowerment Activity Cycle
(CEAC) process. The second and third parts focus on the rationale and objectives of
CEAC.
The next part talks about the procedures in implementing the cycle. The fifth and sixth
parts focus on its elements and stages. This chapter ends with a discussion of changes
in the roles of individuals during the implementation of CEAC.
IMPORTANT REMINDERS
Give Life to this Manual. The CEAC is the core process for engaging the communities
in varying situation. While the manual prescribes a standard set of stages, the pace and
techniques that you will apply in implementing the stages will depend a lot on the
situation of the community upon your entry and their reaction to each of the activity that
you undertake. You are allowed to innovate and adjust the pacing and specific
techniques within each CEAC stage, using your stock knowledge on behavioural and
other social sciences. CDD is both an art and a science. The timing and appropriatenss
of your techniques based on local conditions is the art while ensuring that you achieve
the objectives and principles of CDD which makes it a science.
Integrate with the community. The social investigation and your integration in the
community should allow you to calculate the perspectives of the community members.
The deeper you understand the community, the better you will be equipped to animate
the various stages of CEAC in a manner that will be responsive/appropriate to their
context and ensure their optimum participation. However, do not assume that you will
fully take the perspective of the community.
Look at other documents. So many simple, easy to use guides for facilitating activities
described in this manual have already been written. In fact, you may know some of
them. Read through other materials, use them, and adapt them to your specific context.

24

Field Guide for KALAHI-CIDSS Area Coordinating Teams

3.1 What is
Cycle?

the Community Empowerment Activity

The KALAHI-CIDSS Project follows a CDD model implemented through a five-stage,


multi-activity process referred to as the KALAHI-CIDSS Community Empowerment
Activity Cycle or the CEAC (see figure below). The CEAC is the primary community
development processes and interventions of the KALAHI-CIDSS project.
Figure 3 Community Empowerment Activity 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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

Build the capability of


LGUs to initiate and

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Cycle 1

Role sharing of
ACT

Demonstrate CDD to
stakeholders

Mentor the LGU on


the use of CDD for
development

Coach the LGU in the


application of CDD in
local governance

Mentor the MCT to


facilitate selected CEAC
activities

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

Observe how CDD is


facilitated
Observe facilitation of
government-citizens
collaboration using
CDD, through direct
engagement in project
activities, and
monitoring;
Provide staff support to
field teams.
Assist in providing
technical assistance to
communities;

Outputs

Cycle 3

manage citizens
participation in
development

Facilitate CEAC
processes;

Role sharing of
LGUs thru the
MCT

Cycle 2

experiences for citizens


to engage LGUs in
development dialogue;

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;

Apply CDD in local


development
planning

Embed CDD in local


governance
processes and
systems

Explore how local


governance activities
and bodies can be
enhanced using CDD
processes.
Introduce
enhancements in local
development planning
that increase
participation of citizens,
improve transparency,
and build greater
accountability.

Institute changes in
local governance
activities, processes and
structures that promote
PTA in governance.

Increased no. of trained


community volunteers
on CDD;

Increased no. of trained


community volunteers
on CDD;

Increased no. of citizens


other than elected
public officials
participate in
development activities
at the barangay and
municipal level;

Increased no. of citizens


other than elected
public officials
participate in the
Municipal Development
Council (MDC);

Barangay Development
Plans and Annual
Investment Programs

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

3.2 What is the Makamasang Tugon cycle?


In facilitating the three cycles of the CEAC, you will have created conditions and provided
opportunities for, and guided how citizens and local governments engage in dialogue on
development priorities and interventions. As the three cycle progress, community
members are able to increasingly initiate CEAC activities with less facilitation for the ACT
and LGUs are able to adopt the participatory processes introduced by CEAC as integral
part of the local development and resource allocation.
For KC LGUs, such a transition
often require significant adjustments be made in existing local governance systems,
practices, and procedures, and significant capacity for participation management be built
within both the political and technical leadership of LGUs.
Numerous studies have shown that poverty and governance are intrinsically linked.
Assessments under the KC Project show that while the communities continue to enjoy
the benefits from their subprojects, critical aspects of the CDD technology (such as
participatory local development planning and resource allocation, and social capital
formation) need to be further embedded in the local governments planning and
development cycle.
While participatory local development planning and resource
allocation can take place in Project-established structures and systems, this results in
limited integration in the regular structures and systems of the LGUs.

28

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Social Preparation activities

Social Investigation (SI) is a


process whereby the ACT members
start to systematically learn about the
situation of the community as well as
identify the strengths, opportunities,

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Project ID, Selection, and Planning

Project Development Workshop


(PDW) is a training activity
where Project Preparation Teams
(PPT), elected by each of the
barangays during the BA for PSA validation, are taught the key processes and
tools to identify, select, and design appropriate solutions to address problems.
Members of the ACT. MCT, and the MIAC provide valuable technical assistance
inputs to community volunteers that will aid them in drafting community
proposals for sub-projects which will be proposed for KC funding. The lessons

30

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Implementation of sub-projects and monitoring and evaluation Projects


that get KC funding in the MIBF are implemented during this step. Communities
open accounts, and funds are downloaded directly into these accounts, which are
managed by community volunteers
Figure 8 Project Implementation and O&M
who are elected by the BA to form
the
Barangay
Sub-Project
Management Committee (BSPMC).
The BSPMC undertakes numerous
activities during this stage, including
procurement, finance management,
construction (if projects involve
small
rural
infrastructure),
monitoring, supervision, etc.
Communities who do not get funding
from KC are assisted by the ACT in
working on other issues
and
concerns identified in the PSA,
through the various organizations
and committees that are formed.
Community organizing and the
formation of different groups are also key activities that the ACT, and especially
the CF, undertakes in this stage.
The goal is to form community-based
organizations that will be ready to operate and maintain projects, address other
issues that need action, and serve as instruments for engaging LGUs in
continuing dialogue and partnership for development.
Implementation of Operation and Maintenance (O&M) plan commences
immediately upon completion of the community sub-project. In preparation for
this, the ACT facilitates formation and training of sub-project management and
O&M organizations during the sub-project implementation stage. These include
organization of working committees, preparation of by-laws and organizational
guidelines, and other organizational development activities.
Stage 5:

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

Community-based monitoring and evaluation (CBME) planning is an


activity where people design a way to monitor the progress of the community in
addressing the issues identified in the PSA, as well as determine if conditions are
getting better. After the CBME planning, another workshop is conducted at the
end of a cycle to undertake the evaluation.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

35

3.5 What are the objectives, expected outputs and


requirements for each stage?
Your objectives as ACTs in facilitating each stage in the cycle, the expected outputs, and
the requirements for you to be able to achieve the objectives and deliver the outputs,
are discussed in the table below.
Please note that these represent the general
objectives, outputs, and requirements. You should adapt them to the context of the
municipality and barangay you will be working in.
Table 5 Objectives, expected outputs, and requirements per CEAC stage

Stage 1: Social Preparation


Objectives
At the end of each stage, the
ACTs will have accomplished
the following;
Acquired deep and
comprehensive understanding
of the demographic, social,
political, economic, political,
and socio-cultural situation of
the municipality and its
barangays;
Built understanding of the
project among community
members and M/BLGUs.
Mobilized IP and ICCs, leaders
of womens organizations,
communities in conflict,
Pantawid Pamilya
beneficiaries, and other
marginalized sectors, local
NGOs, CBOs, Private Sector
groups, and other local
associations.
Engaged of DSWDs
convergence programs in the
municipality (NHTS-PR, SEA-K,
and Pantawid Pamilya).
Facilitated community
research on, and analysis of
local poverty conditions
existing in the community,
Facilitated identification of
appropriate development
interventions to address
needs, and;
Facilitated Barangay Action
Planning to address identified

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;

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Stage 1: Social Preparation


Objectives
At the end of each stage, the
ACTs will have accomplished
the following;

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;

Ad-hoc groups formed, plan,


and begin work on BAP
issues.

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

Stage 2: Project identification and development of proposals


Objectives
At the end of each stage, the
ACTs will have accomplished
the following;

Expected Outputs
At the end of each stage , the
following will have been
produced

Facilitated
development
of
criteria to guide prioritization.

Prioritization criteria sensitive


to gender, IP/ICC, peace and
conflict, social/ environmental
safeguards, poorest Pantawid
Pamilya HHs conditions.

Trained CVs in preparing


community project proposals.
Assisted
communities
to
develop proposals for projects
to address priority problems.
Mobilized the MIAC to review
and
enhance
community
project proposals.
Engaged
community
associations and local CBOs to
assist in project development
Formed ad-hoc committees
and groups in the barangay to
lead
in
specific
project
development activities
Mobilized
SEA-K
staff,
municipal links, and other
DSWD technical personnel for
project devt.

MIBF resolution on criteria and


procedures for prioritization
Community Volunteers trained
on;
Project
Proposal
preparation
Feasibility
Study
preparation
Conducting
simple
economic analysis
Work Breakdown Structure
Preparing
program
of
works
Costing and budgeting
Community procurement
Community finance
management
Leadership and
Organization Formation
Others

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.

Complete community project


proposals reviewed by ACT,
MCT, and MIAC members

Plan with the MIAC members


on the project devt. support
activities

BSPMC and committees on


project devt. activities formed

Train, mentor, and coach CVs


on
Project
Proposal
preparation
Feasibility
Study
preparation
Conducting
simple
economic analysis
Work Breakdown Structure

Women, IPs and ICCs,


Pantawid Pamilya
beneficiaries, communities in
conflict, and other
marginalized groups
participate in project

Field Guide for KALAHI-CIDSS Area Coordinating Teams

37

Stage 2: Project identification and development of proposals


Objectives
At the end of each stage, the
ACTs will have accomplished
the following;

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

SEA-K, 4Ps MLs, and other


DSWD technical personnel
assist CVs in proposals
preparation.
Community groups formed to
address BAP issues sustain
activities as planned.

Stage 3: Prioritization of proposals


Objectives
At the end of each stage, the
ACTs will have accomplished
the following;

Expected Outputs
At the end of each stage , the
following will have been
produced

Facilitated criteria-based
prioritization of community
proposals to address poverty.

MIBF resolution on prioritized


projects

Mobilized , local NGOs, CBOs,


Private Sector groups, and
other local associations.
Facilitated inclusion of non KC
funded projects into the local
development plans.

MIBF resolution on revision of


MDPs to incorporate non KCfunded project
IP and ICCs, leaders of
womens organizations,
communities in conflict,
Pantawid Pamilya
beneficiaries, other
marginalized sectors Local
NGOs, CBOs, Private Sector
participate in MIBF

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

Stage 4: Implementation of community projects


Objectives
At the end of each stage, the
ACTs will have accomplished
the following;

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Stage 4: Implementation of community projects


Objectives
At the end of each stage, the
ACTs will have accomplished
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.

KC-funded community projects


completed following social,
environmental, technical, and
financial standards.

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

Conduct regular meeting with


MIAC and MCT members.
Conduct regular meeting with
community groups working on
other BAP concerns.

NGOs, CBOs, private sector


groups,
and
other
local
organizations participate in
project implementation and
monitoring of SPI.
Community
associations
formed to manage, operate,
and
maintain
community
projects.
Community groups formed to
address BAP issues sustain
activities as planned.
MIAC members (i) conduct
close
monitoring
of
implementation; (ii) provide
TA
on
preparations
for
operation and maintenance,
and; (ii) assist community
groups in activities to address
other BAP concerns.

Stage 5: Cycle Transition


Objectives
At the end of each stage, the
ACTs will have accomplished
the following;

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

39

Stage 5: Cycle Transition


Objectives
At the end of each stage, the
ACTs will have accomplished
the following;
Facilitated community
assessment of project
implementation activities at
the barangay;

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

Community assessment report


per barangay

Conduct of barangay
accountability review and
assessment

Lessons learned from


implementation of cycle

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.

3.6 How does each stage progress across cycles?


The chart below presents how each stage in the CEAC changes across the three cycles of
KC implementation. These reflect only the most significant changes in the structures
and process of the project, as well as of the changes in the role of the ACT, MCT, and
MIAC.
Table 6 Progression of each CEAC stage across 3 cycles
Stage

Social
Preparation

40

Cycle 1

Cycle 2

Communities are oriented


on the project, its
processes and elements,
and expected outputs.

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.

The ACT share facilitation


and implementation tasks
with the MCT and the
MIAC.

BAPs are endorsed to the

Community research and

ACT members mentor MCT


and the MIAC in CEAC
activities.

Cycle 3

The MCT takes the main


lead in facilitating CEAC
activities.
MIAC members provide
close support to MCTs.
ACTs coach MCT in
implementing CEAC
activities.
Formal local governance
structures and
mechanisms, such as
BDCs, are expanded to

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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)

BAPs are reviewed to


identify projects to be
proposed for prioritization.

CBOs, NGOs, and other


citizens groups are
mobilized in social
preparation activities.

Barangay Assemblies
continue to serve as the
main venue for decisionmaking.

ACT lead in facilitation of


social preparation.

BDCs are convened to


complete the BDP, and
integrate BAP priorities.

MCT and MIAC assist the


ACT in social preparation

Project
Development

Cycle 2

PSA results from cycle 1


are reviewed and
enhanced to incorporate
changes in community
conditions.

CBOs, NGOs, and other


citizens groups engage in
social preparation activities

Ad-hoc
inter-barangay
community
volunteer
group (MIBF) are formed
to
set
criteria
for
prioritization of barangay
proposals;

MIBF and MDC review


criteria from cycle 1. New
criteria or enhancements
of cycle 1 criteria are
made at the MIBF for
CSW.

Community volunteers are


trained
in
project
development, community
procurement,
and
community finance;

More community
volunteers are trained in
project development.

BSPMCs are
prepare
proposals.

formed to
community

ACT lead in facilitation of


project
development
activities.
MCT and MIAC assist the
ACT in TA provision.

BSPMCs are formed to


prepare
community
proposals,
supported
associations formed
to
manage,
operate,
and
maintain projects in cycle
1.
The ACT share facilitation
and implementation tasks
with the MCT and the
MIAC.
ACT members mentor MCT
and the MIAC in project
development activities.
MCT link CVs with MIAC
members for TA in project
development.

Cycle 3

include more CBO/citizens


representatives and
community volunteers
BDCs are mobilized to
review and update the PSA
And the BDP.
Barangay Assemblies
continue to serve as the
main venue for decisionmaking.
CBOs, NGOs, and other
citizens groups engage in
social preparation activities
CBOs, NGOs, and other
citizens groups engage in
social preparation activities

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Local CBOs and other


groups are mobilized to
attend the 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.

MIAC members provide


technical
assistance
support
to
(i)
CVs
implementing projects; (ii)
community
associations
undertaking O&M of cycle
1
projects,
and;
(iii)
community organizations
implementing activities to
address BAP concerns.

The MIAC shall lead in the


monitoring and supervision
of
sub-project
implementation.
The ACT coach members
of the MCT in project
development
activities,
and undertakes quality
assurance
and
control
activities.

ACT members mentor MCT


and the MIAC in project
development activities,
and undertake quality

42

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Stage

Cycle 1

Cycle 2

Cycle 3

assurance and control.


Transition

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.

CVs dialogue with MLGUs


on
delivery
of
commitments in cycle 1.

CVs dialogue with MLGUs


on
delivery
of
commitments in cycle 2.

Lessons are generated to


inform
project
implementation in cycle 2.

Lessons are generated to


inform
project
implementation in cycle 3.

A barangay and municipal


sustainability
planning
workshop is conducted to
prepare the barangay and
municipality
for
the
completion of all project
activities
in
the
municipality

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

43

44

Field Guide for KALAHI-CIDSS Area Coordinating Teams

CHAPTER 4
The GRIEVANCE REDRESS SYSTEM
What
What
What
What
What

is the Grievance Redress System?


are the principles of the GRS?
are the common bases for grievance in the Project?
are the types of grievances?
is the grievance handling process?

Field Guide for KALAHI-CIDSS Area Coordinating Teams

45

FOR THE AREA COORDINATING TEAM


The Grievance Redress System is a very important feature of the KALAHI-CIDSS Project.
Through this system, anyone can directly provide feedback on just about anything about
the how the project is being implemented on the ground. It is also one of the pillars of
the project in ensuring transparency and accountability in operations.
From the experience of the KC Project, a complaint or grievance is filed because of a
personal or collective belief that there was a violation of a right or obligations of the
LGUs, residents, project implementers, or other stakeholders or a commitment or
commitments was/were not fulfilled.
The grievance is therefore a very powerful
indicator of breakdown in the system of project implementation. The fact that it often
comes from direct project stakeholders makes the system even more important as a tool
for transparency throughout the project. Ensuring that the people understand this
system, and how people can use it, is one of the most important responsibilities of the
ACT.
The Area Coordinating Team is responsible in making sure that the GRS is widely known,
and that the system is available for everyones use
SUMMARY
This chapter is divided into 5 parts. The first part gives an overview of the grievance
redress system, while the second part talks about the principles of the grievance redress
system. The third part talks about the common bases for grievances in the project,
while the fourth talks about the types of grievances that can be raised in the project.
The last section gives an overview of the grievance handling process.
A more detailed discussion of the grievance handling process is found in the sub-manual
on the GRS.
IMPORTANT REMINDERS
Study the local conflict resolution systems. The KC GRS is only one of the many
ways by which grievances can be raised and handled in the KC Project. It is also not the
only way that grievances can be tackled and resolved. In fact, communities have their
own way of handling and resolving conflicts. Study and understand these local conflict
resolution systems. Be sensitive to project related grievances that go through these
processes, and capture them as well. They may teach us lessons about how to improve
our systems, or better yet how to integrate our system into the local conflict resolution
processes.
Study the Grievance Redress Sub-Manual. More detailed information can be found
there that can help you understand and operationalize this system more effectively.

46

Field Guide for KALAHI-CIDSS Area Coordinating Teams

4.1 What is the Grievance Redress System (GRS?)


The Grievance Redress System (GRS) is a pioneering approach to social accountability
that provides a venue for the people to express comments, suggestions, and seek
redress for problems or complaints related to the Project.
Through the GRS, any concerns about the Project are answered; problems are resolved
fast. Grievance or complaints may include among others misuse of funds and allegations
of corruption, inappropriate intervention by outside parties (in making decisions,
determining allocations, in procurement etc.); and violation of project policies, principles
or procedures.
The GRS upholds the principle of transparency and accountability. At the same time, it
shows the commitment of the KC Project to empower communities. It is for this reason
that the system ensures the participation of the BA members and volunteers in handling
complaints.

4.2 What are the principles of the GRS?


The GRS abides by the following principles that guide the KC Project:
1. Transparency The system
allows comments and feedback
(negative
and
positive)
to
improve
the
Project.
The
community must be aware of the
progress
and
problems
encountered
during
implementation. People involved
in any complaint or grievance
must be part of the resolution
and kept informed on progress
made
in
resolving
those
problems.
2. Empowering
and
participatory The system
allows
community
members,
project implementers, NGOs, civil society groups, journalists and other stakeholders
to inform project management about complaints, grievances and comments.
3. Socially inclusive and open The system gives the whole community (and even
those outside) an opportunity to raise concerns and requires management to respond
to these concerns.
4. Institutional capacity-building for good governance Through the system, the
DSWD and LGUs are able to listen better to community concerns thereby improving
government responsiveness which in turn develop peoples trust.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

4.3 What are the common bases for grievance in the


Project?
A grievance is often filed because of a personal or collective belief that there was a
violation of a right or obligations of the LGUs, residents, project implementers, or other
stakeholders or a commitment or commitments was/were not fulfilled.

4.3.1 What are the rights of Participants in the Project?


Barangay residents, LGU officials, employees of national government agencies, media
representatives, NGOs and civil society groups and the project implementers are given
the following rights as Project participants.
1. Right to information All participants
are given full access to all project
information especially the status of
community projects in their communities.
This allows participants to reach effective
decision on matters affecting their
welfare.

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.

2. Right against intervention The


Project respects the right of communities
to choose who will represent them, make
decisions on the community projects they want to propose, the manner of
implementing projects, and the manner by which grievance and complaints will
be resolved -- free from interference from other sectors or agencies.
3. Right to a graft-free project Among the objectives of the principle of
transparency is to ensure that sub-projects chosen and implemented by the
barangays are graft free. The ACT must ensure that people fully participate and

48

Field Guide for KALAHI-CIDSS Area Coordinating Teams

take charge of project implementation activities in order to lessen, if not


completely eradicate graft.
4. Right to participate and be heard -- The Project pushes for participants active
role in the selection, design and implementation of community projects and in the
election of community representatives. The right of all participants to be heard
and to air grievance/complaints, comments, and opinion is also respected.
5. Right to informed consent -- Only after the communities are informed of all
options available to them and the possible consequences of their choices will they
be asked decide.

4.3.2 What are the obligations of participants in the Project?


Parties joining the Project have obligations inherent to or explicitly provided by the
Project. These obligations are as follows:
1. Obligations arising from the LET-CIDSS principles of the Project. Adherence to the
core principles of the Project is required. The operationalization of these principles
is mostly contained in the CEAC Manual, which serves as a reference on these
obligations.
2. Obligations outlined in the Memorandum of Agreement (MOA) among those
participating in the project. These MOAs are between the:
a. DSWD and MLGU perfected during the municipal launch
b. DSWD, MLGU and BLGU/BSPMC on Community Project Implementation
3. Obligations arising because the Project confers and recognizes certain rights of
stakeholders. Violation of any of these rights may result in the filing of grievance
or complaint. These rights are as follows:
a. right to information
b. right against intervention
c. right to participate and be heard
d. right to free, prior, informed consent
4. Obligations arising from generally accepted norms of conduct dictated by legal
precepts or cultural practices. These are contained in;
a. The Civil Code as the basic law guiding human relations
b. Code of Conduct and Ethical Standards for Government Employees
c. Traditional and Customary Laws of the areas where the Project is
implemented

4.4 What are the types of Grievances?


1. Type A Grievance
This type of grievance covers queries, comments, and suggestions. It is noncontentious and merely requests for information/updates, seeks clarification or a
response and suggestions to enhance the project design, improve operations and
facilitate administrative/logistical support to the project.

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49

These grievances may be responded to by any of the following: Project Staff


(National Grievance Monitor, Regional Grievance Monitor, Regional Project
Manager, Area Coordinator, Community Facilitator or any designated staff and
community volunteers who could respond clearly to the query/issue.
2. Type B Grievance
This type of grievance involves violations of certain rights or non-performance of
obligations. This may cover: i). violation or failure to give any of the rights of the
parties to the Project; ii). violation of any of the principles of the Project; and iii).
non-performance of obligations contained in the MOAs
This type of grievance is primarily addressed by the BA and / or the MIBF.
3. Type C Grievance
This type refers to grievance or offenses involving a violation of law. This is more
serious and may take more time to resolve. Usually, this type of is resolved in
courts of law. The BA and MIBF may however act on these cases to facilitate outof-court settlement.
4. Type D Grievance
This type involves complaints against Project staff, LGU staff, MIAC and MIBF
members, and staff of other organizations participating in the Project. These
complaints are usually related to conduct and behavior
To prevent this type of grievances, project staffs and other project stakeholders
must know and act according to laws and practices as contained in:
a. Civil Code as the basic law guiding human relations;
b. Code of Conduct and Ethical Standards for Government Employees; and
c. Traditional and Customary Laws of the areas where Project is being
implemented.
Complaints against DSWD Project staff will be handled and resolved by the DSWD
using its internal rules of procedure. Staff of other agencies, including LGUs and
NGOs will be subjected to their own internal rules of procedure. This is without
prejudice to an inter-agency intervention to resolve the problem. The BA and
MIBF, however, may also recommend sanctions to appropriate government
agencies.

4.5 What is the Grievance Handling Process?


There are four major steps to the grievance handling process. These are the following;
1.
2.
3.
4.

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)

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4.5.1 Who may file grievance?


Anyone with a complaint against the Project, its implementation, the project staff, local
personalities in the areas of Project operation and others may file grievances. They can
include:
1. Any or all residents of the barangay and municipality where the project is being
implemented;
2. Officials of local and national government agencies;
3. Staff of non-government organizations, faith-based institutions, consultants,
media representatives and local business groups;
4. Non-residents of the barangay or municipality who stand to gain or lose from the
project;

4.5.2 How is a grievance or comment filed or initiated?


A grievance or comment may be sent or initiated through:
1.
2.
3.
4.

Letters, e-mails, text messages, phone calls


Verbal narration from walk-in complainants
Suggestion boxes to be placed in non-political/religious institutions
Reports on visits to project offices and sites by project staff, independent
monitors, supervision teams, government officials, or any interested persons or
special groups like IPs, elderly, etc.
5. Media newscasts, newspaper articles, and other publications, phone-in questions,
comments or complaints from radio programs,
The Grievance contact details (mobile hotline) must be posted in places where they can
easily be seen in barangays and municipalities as well as regional and national offices of
DSWD. The numbers should also be disseminated during the Municipal Orientation,
municipal meetings, and BAs and other community activities.

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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Field Guide for KALAHI-CIDSS Area Coordinating Teams

CHAPTER 5
SUSTAINABILITY
What is Sustainability?
How do we ensure sustainability of CDD interventions?
Institutionalization
Inter-agency convergence
Organization Formation
Sustainability Evaluation
Sustainability Planning

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53

FOR THE AREA COORDINATING TEAM


Managing the implementation of process and mechanisms provided in this chapter is the
responsibility of ACT. CBO strengthening and OD activities are included in the tasks and
functions of the ACT.
The Area Coordinating Team is responsible in making sure that social structures and
systems created by community members will last for a long period of time. In the same
manner, community members should be given the chance to plan, implement, and
evaluate projects for themselves without assistance from outsiders.
SUMMARY
This chapter is divided into three parts. The first part talks about sustainability as
applied in KALAHI-CIDSS Project. The second part highlights the 10 Principles for
Sustaining CDD Interventions as endorsed by the World Bank. The last part is about
the four important intervention areas.
IMPORTANT REMINDERS
While sustainability is the concern of the ACT, managing the implementation of
processes and mechanisms outlined in this chapter are the primary responsibility of the
Area Coordinator.
People are the key to sustainability. Sustainability is an ever present challenge for
any development project, but especially so for CDD. As communities learn how to work
together, social structures and systems for collective action take shape. It is the task of
the ACT to ensure that these structures and systems endure through the peoples own
efforts.
Look at previous chapters of this guide or other documents. Some related
information is found in Chapter 3 of this manual. Read them for complete account of
sustainability and exit concepts.

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5.1 What is sustainability?


In the context of the KC project,
sustainability is broadly defined as
the capacity of a community to
respond to development challenges in
ways that will provide continuing
benefit to its members. Without
building
the
capability
of
the
community to respond to existing and
emerging
poverty
conditions,
all
development interventions will be
placed at risk. The concept of
response-ability is a more useful and
insightful way to frame sustainability in
the context of CDD interventions. As
the ACT, all your work in the municipality and barangay should lead to strengthening this
ability of the community and its members to respond to the continuing challenges posed
by poverty, with or without intervention from outsiders.

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

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55

4
5

Institutionalization The ACT facilitates activities to ensure that CDD is


integrated into local development planning (LDP) processes, systems, and
activities of municipal local government units, and broadly applied in LGU sectoral
programs implemented by members of the MIAC.
Inter-agency convergence The ACT coordinates with national government
agencies implementing sectoral programs in KC covered municipalities for
technical assistance support and engagements in resource mobilization, and to
foster broad application of CDD in different sectoral programs and projects
implemented by national government agencies (NGAs) in the municipality;
Organizational Formation, Development and CBO strengthening The ACT, and in
particular the CFs, ensure that strong organizations are established that will (i)
manage, operate, and maintain community projects, and; (ii) work to address
other issues and problems identified by the community.
Sustainability Evaluation for Completed Sub-Projects The Project facilitates
continuing, multi-stakeholder review and evaluation of completed sub-projects to
identify and address emerging sustainability issues and concerns.
Sustainability Planning The Project facilitates local government unit planning to
determine how prior to completion of CEAC implementation in the municipality to
assist LGUs in integrating lessons learned in KALAHI-CIDSS CDD implementation
into their local governance systems.

Each of these interventions will be discussed in the succeeding sections.

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.

5.3.2 What is the KC Institutionalization Framework?


The KC Institutionalization Framework (Please refer to Figure 10) broadly outlines the
key elements in institutionalization and how these elements play together to ensure
adoption of CDD processes in local development initiatives.
In the context of the Local Government Code of 1991, the process of institutionalization
of CDD is reflected in;

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

How local governments undertake participatory, inclusive development planning;


How local governments allocated resources for development including criteria for
allocating resources, and;
How local governments implement development interventions in a participatory,
transparent, and inclusive manner.
Figure 10 KC Institutionalization Framework

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

Making Participatory, Community-Driven


Development a WAY OF LIFE !!!

KEY RESULT AREAS


Barangay Level:

Legislation integrating
CDD in regular programs.

Adoption of participatory
development processes.

Functionality of the BDC.

Barangay-based
mechanisms to address
BAP priorities.

Consistency of budget
allocation with BAP
priorities.

O&M groups as POs


with legal status.
Municipal Level:

Legislation integrating
CDD in regular programs.

Adoption of participatory
development processes.

Functionality of the MDC


and the MIAC.

MLGU staff performing


KC functions.

Consistency of MLGU
budget with barangay
priorities.

5.3.3 What are the Key Result Areas of institutionalization in the


KALAHI-CIDSS Project?
The specific key results areas for KC institutionalization include the following;
At the Barangay Level:
1.
2.
3.
4.
5.
6.

Legislation integrating CDD in regular programs


Adoption of participatory development processes.
Functionality of the BDC.
Barangay-based mechanisms to address BAP priorities.
Consistency of budget allocation with BAP priorities.
O&M groups as POs with legal status.

At the Municipal Level:


1.
2.
3.
4.
5.

Legislation integrating CDD in regular programs.


Adoption of participatory development processes.
Functionality of the MDC and the MIAC.
MLGU staff performing KC functions.
Consistency of MLGU budget with barangay priorities.

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57

5.3.5 How is institutionalization operationalized in the KC Project?


The KC Institutionalization Strategy requires the ACT to directly engage different local
government bodies at different levels to support the CDD strategy. Among the key
offices that you must engage in the project include;
The Office of the Local Chief Executive of both the Barangays and the
Municipality;
The Sangguniang Bayan (SB) or Legislative Council of both the Barangay and the
Municipality;
Local Special Bodies such as the Barangay and Municipal Development Councils,
and others;
The Barangay Assembly;
The local governance processes and bodies mentioned above constitute key
institutionalization agendas and arenas for engagement. In addition, you must likewise
engage the Municipal Coordinating Team (MCT) and the Municipal Inter-Agency
Committee (MIAC) as both platforms and mechanisms in the institutionalization process
by building their capacity for implementing and managing the CDD strategy. This is best
exemplified by the co-sharing of roles and responsibilities between the ACT and the MCT
as described in Chapter 3 Section 3.1.

5.3.6 What are the tasks of the ACT in ensuring institutionalization of


the KC Project?
In order to ensure institutionalization of the CDD in the local governance systems of
LGUs, you must be able to undertake the following;
1. Work with LGUs to create new policies or enhance existing policies is support of CDD.
These can include engagements towards;
a. Issuance of local ordinances adopting KC as a local poverty reduction
strategy/technology at the barangay and municipal level;
b. Issuance of policy on prioritization of targets, programs and resources based
on experiences or lessons learned from KC project;
c. Issuance of other local ordinances responsive to the priority needs of
community;
d. Issuance of ordinance for adopting MIAC as regular structure and/or its
functions;
e. Community plans integrated into local development plans.
2. Work to create incremental but sustained adjustments in LGU governance structures
and mechanisms. These can include activities aimed at;
a. Promoting continued operations of the MIAC, beyond the project life;
b. Integration of MIAC and its functions into MDC;
c. Enhancing level of convergence of programs and agencies engaged in
development work at the community, barangay, and municipal level;
d. Developing more open governance systems and processes for participative
development;
e. Basic sector representation in development councils;
f. Community facilitators being absorbed into regular plantilla or LGU staff
designated to continue CDD efforts;
3. Work to create incremental improvements in LGU governance systems and practices,
which may include efforts at;

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

a. Adoption of participatory tools and techniques in planning and program


development;
b. More transparent resource allocation and utilization;
c. Converged and participatory monitoring and evaluation;
d. Continued development of innovative and/or need-based programs that are
poverty-focused;
e. More focused targeting of poverty alleviation/reduction programs and
services;
4. Work to slowly create incremental shifts in resource allocation towards projects and
programs that address community identified needs and priorities, such as working
for;
a. Progressively increasing resource requirements integrated into
budgets;
b. Adoption of resource sharing schemes;
c. Adoption of participatory and inclusive resource allocation processes;

annual

Since institutionalization primarily involves advocacy, the Team is encouraged to carry


out the following activities:
1. Together with the facilitators, build a network of KC advocates at the municipal and
barangay levels who will serve as primary partners in advocating for localization of
the KC project.
2. Involve the community representatives or basic sector to effectively draw more
attention to the advocacy messages.
3. Form support group/s from among the community groups, sectoral organizations,
other agencies and local officials.
4. Always update the data and share the information about the situation of the
barangays and the accomplishments of the KC Project.
5. Facilitate the formulation of an advocacy plan. In choosing the advocacy strategies
and tactics, consider the objectives, experiences of the key players, target audience,
time frame and available resources. Be clear and realistic about your demands.
These should be based on both short term and long-term objectives.
Remember that the level of institutionalization engagements will necessarily vary
depending on the specific contexts of each community, and that the specific activities will
be different across communities.

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59

5.4
Promoting
Inter-agency
Community-Driven Development

Convergence

for

5.4.1 What is inter-agency convergence?


Convergence in the context of inter-agency engagement means synchronizing all
resources and initiatives to ensure greater impact of development interventions. This
involves all stakeholders coming together to reach a common point in development
interventions. It therefore requires that stakeholders and agencies agree to cooperate
and have a common understanding and commitment in their pursuit of a goal or an
objective.

5.4.2 Why converge with other agencies?


Development
interventions
have
often
been
characterized by divergence
rather
than
convergence.
Various government agencies
implement
development
projects following their own
specific and narrow mandates
and relegating coordination
work with other agencies as
an add-on task rather than
an integral component of
project activities. This lack of
convergence
results
in
duplication of efforts and
wasted investments.

Figure 11 KC Convergence Framework

Convergence Framework
National Agencies
(DSWD, DILG, DLR, DA, DENR, NCIP, etc.)
Provide Technical Assistance and
Resource Augmentation
to:

Local Government Units (LGUs)


Integrate and deliver program
Resources
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.

5.4.3 What are the objectives of convergence?


In the context of the KC project, inter-agency convergence efforts are undertaken to;
1. Maximize use of governments scarce resources to generate greater impact for
community members;
2. Accelerate local development through complementation of institutional & project
resources;
3. Forge closer collaboration with all stakeholders engaged in development in any
given KC municipality;
4. Build cooperation across sectors & communities to harness potentials of
communities in the countryside;
5. Broaden and enhance technical assistance provision for CDD efforts of local
communities;

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

5.4.4 How is convergence operationalized in the KALAHI-CIDSS Project?


The Convergence Framework (Figure 11) illustrates how development efforts of different
government agencies at different levels can be managed to support community
initiatives for development. While different agencies operate on specific, and at times
narrow, mandates, the services these agencies provide are ultimately channeled through
the local government structure. It is at this point that local initiatives converge.
The ACT plays a very critical role in concretizing convergence efforts, and promoting
practical convergence initiatives at the municipal level (Please refer to Figure 12).
The municipal convergence structure is an ideal form of a convergence mechanism,
where multiple agencies are made to provide specific forms of technical assistance to
community initiatives, or are tapped to assist LGUs and community members in more
strategic
development
planning initiatives.
Figure 12 KC Municipal Inter-agency Convergence
A simpler form can include
Structure
one or two agencies working
with the local government unit
and a local community on a
KC Municipal Convergence Structure
specific form of intervention in
a
type
of
issue-based
Local Chief Executive
convergence initiative. For
example, staff from both the
Mun. Planning & Devt. Officer
Department of Agriculture
Mun. Social Welfare & Devt. Officer
(DA) and the Department of
Mun. Health Officer
Mun. Agricultural Officer
Agrarian Reform (DAR) can be
Mun. Agrariaan Reform Officer
tapped
to help a local
Mun. Local Poverty Reduction Action Officer
Community Environment & Natural Resources Officer
community undertaking an
Mun. Local Govt. Officer
agricultural productivity and
Mun. Engineer
asset reform project.
Mun. Budget Officer
Whatever the form, it is as
the task of the ACT to
promote
municipal-level
convergence
initiatives
in
support of CDD efforts of KC
communities.

Mun. Treasurer
DepED Officer
Representatives from NGO, religious sector, media, and the academe

Municipal Inter-agency Committee (MIAC)

5.4.5 What convergence activities can be undertaken?


The first task at convergence revolves around the organization of the Municipal InterAgency Committee (MIAC). In addition, organizing the MIAC can involve three broad
processes, including;

a. Social preparation, which includes


a. groundworking of specific MIAC members,
b. review of development interventions of different agencies working in the
municipality;
c. inventory of agencies and organizations (NGO and other civil society
organizations) in the area and the resources they may have to support
barangay community projects;
d. conduct of stakeholder analysis;
e. holding of local community planning for resource and support accessing from
local agencies; and

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61

f.

conduct of community advocacy work

b. Organization building, which can include


a. formal organization of MIAC
b. where a MIAC already exists; strengthening partnership in the provision of
technical assistance and conduct of monitoring and evaluation;
c. promoting active engagement of MIAC members in specific project activities;
d. MIAC review and consolidation of barangay plans;
e. installation of a monitoring and evaluation system; and
f. building the capability of specific MIAC members in the provision of technical
assistance to local communities;

c. Consolidation, which can include


a. Facilitating integration of the KC principles and processes into local
development planning and resource allocation such as in the formulation of
the barangay development plan and the municipal development plan;
b. institutionalization of MIAC functions into the municipal development council
(MDC);
c. building MIAC support for representation of communities in the MDC in
additional to the barangay captains who are automatic members of the MDC;
d. back-door MIAC advocacy to Sangguniang Bayan for a balanced strategic and
bottom-up allocation of resources;
e. resource generation; and
f. networking with provincial, regional and national development councils and
other stakeholders.
In addition, other activities aimed at promoting convergence at the municipal level can
include the following;
1. Discussions on the Local Development Plan the LGU can be enjoined to
present its Municipal Development Plan; discuss how the plan was prepared,
problems encountered during preparation (including challenges to participation,
budgets, NGA priorities, and so on), the municipal development thrusts, and how
problems identified during the PSA can be incorporated to enrich the plan further.
In this instance, convergence is built around the municipal development plans
and priorities.
2. Presentation of agency programs and projects National Government
Agencies (NGAs) implementing foreign assisted projects (FAPs) and other
development interventions, Private Agencies, and Non-Government Organizations
(NGOs) implementing development projects in the municipality can be called
together to share information on their various programs. These can include
objectives, principles, strategies, components, beneficiaries and beneficiary
selection processes, implementation arrangements, resource allocation
mechanism, special features, and so on. Discussion on areas of over-laps, and
convergence and inter-agency multi-sectoral support areas can then proceed
from these presentations.
3. Workshop to define, identify, and agree on convergence areas which can
include;
Developing convergence models, such as;
a. Geographical or spatial convergence where inter-agency coordination
and support is based on area-specific considerations. One example is the

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

potential for cross support between Agrarian Reform Beneficiaries (ARBs)


in Agrarian Reform Communities (ARCs) supported by the DAR, and KC
volunteers undertaking development projects in the same areas.
b.Program recipients/beneficiaries where inter-agency support is
focused on a specific group of beneficiaries. Coupled with good poverty
targeting, this model increases the potential of effectively addressing
multiple dimensions of the same poverty condition. One example can be
the addressing challenges to health of beneficiaries of a level 2 water
system project.
Developing and enhancing local implementation mechanisms, especially
those that also provide opportunities to build local capabilities in project design,
management, operation and maintenance, and monitoring and evaluation;
Agreeing on the basic principles to guide convergence efforts, which will
serve as the basis for building operational relationships, and the parameters of
the convergence effort, and;
Rationalizing project areas within the municipality. This can include clarifying
what areas different agency projects focus on, and in the case of major over-laps,
how interventions can be rationalized to ensure project benefits do not cancel
each other out. Common project areas include;
a. asset reform and land tenure improvement
b. institutional strengthening
c. provision of small-scale infrastructure
d. access & provision of agricultural support services
e. technical support to communities
f. The potential for identifying areas of weakness in terms of intervention
is also created, providing further opportunities for developing new
forms of interventions. Because these are collectively identified, they
become in additional platforms for convergence initiatives.
Action Planning activities, which can include mapping of community needs and
resources of different agencies, including FAPs.

5.5 Organizational Formation, Development and CBO


Strengthening
5.5.1
Why is Organizational
Strengthening important in CDD?

Formation,

Development

and

CBO

Community Based Organizations are one of the most concrete manifestations of


Community-Driven Development (CDD) in action. Defined as an approach that supports
collective action, community empowerment, and demand-driven local service delivery,
CDD requires that communities analyze their situation, identifying issues, decide on
appropriate responses to problems, set the direction that they want to pursue, and carry
out activities to bring about collective goals. The primary agencies to achieve this are
strong CBOs.

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63

5.5.2 What are Community-Based Organizations (CBOs)?


Community-based organizations (or CBOs) are groups made up of community members
who have come together to address a common need or to pursue a united interest.3
The CBO uses collective and organized effort to address a common issue or problem.
For CBOs to do their job and meet their goals, a constant process of action is needed.
Action, after all, is the lifeblood of
Box 7 Role of CBOs in CDD
community-based organizations. As an
inherent design of a CDD initiative, the
What is the role of CBOs in Community-Driven
Development?
community members and volunteers are
the main stakeholders and participants
CDD is a strategy that places importance on the
throughout
the
community
capacity of local communities to make decisions,
empowerment activities of the KALAHIplans and investments that address community
needs. This strategy requires building collective and
CIDSS.
The
effectiveness
of
CBOs
in
representing the peoples aspirations
and bringing about real change depends
on how well the CBO is put up and, more
importantly, grown and developed.
CBOs do not get established overnight,
but go through a long and tedious
process of carefully managed growth.
This makes organization formation and
development very important in CDD.

informed demand of local communities. However,


there will be differences in how people express
their demands. CBOs serve as a venue for
synthesizing and transforming individual needs and
aspirations into community demand. At the same
time, CBOs help the communities express these
demands a crucial component in any CDD
project.
Given the CBOss role, there can be no true CDD
without the active engagement of CBOs.

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

Purpose and Composition

Community research
through Participatory
Situation Analysis (PSA)

This is a group formed to lead in the


conduct of community research.

Barangay-based
Monitoring Team

These are groups that lead in


community monitoring of progress

How and When formed


Elected during the first
barangay orientation.

Composed of three (3) community


volunteers per purok, at least one of
which should be a woman. In large
barangays, the group may be bigger.

Formed during the BA


for PSA validation.

Reference to the WB PRSP Sourcebook on CDD.

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CV Group and Purpose

Purpose and Composition

How and When formed

made on PSA identified priorities.


Composed of a minimum of three (3)
CVs per barangay. More volunteers
can be included.
Barangay
Representation Team
(BRT)

This is a group formed to represent


the barangay in the MIBF.
Composed of three (3) CVs per
barangay, at least one of which should
be a woman

Project Preparation
Team (PPT)

This is a group formed to lead in the


preparation of community proposals
for sub-projects to recommended by
the barangays for prioritization in
subsequent project activities, or for
submission to possible funding
groups.

Elected during the 1st BA


meeting, or can be
elected during the BA for
PSA validation,
conducted prior to the
CSW.
Elected during the BA for
PSA validation, prior to the
CSW.

Composed of a minimum of three (3)


CVs per barangay, at least one o
which should be a woman.
Additional CVs may be formed for
more complex community projects.
Different teams can also be formed
for to prepare proposals for different
projects.
Project development
committees

These are groups that are formed to


assist the PPT in undertaking activities
related to the preparation of community
project proposals.
CFs can facilitate formation of as many of
these groups as is necessary to facilitate
conduct of proposal preparation
activities.

Barangay Sub-Project
Management
Committees (BSPMC)

This group is formed to manage and lead


in the implementation of prioritized
community sub-project.
The BSPMC is composed of smaller
committees tasked to implement specific
activities in project implementation.
These can include the following.

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

Formed after the Project


Development Workshop,
and in the course of the
project proposal
preparation process.

Should be formed during


the barangay assembly
after the Criteria Setting
Workshop (CSW)

Procurement Teams
Project Implementation Teams
Audit and Inventory Teams
Membership Teams
Finance Teams
Operation
and
Maintenance
Teams

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65

CV Group and Purpose

Purpose and Composition

How and When formed

g. Other committees, depending on


the tasks that need to be
undertaken.
Community Associations
for Operation and
Maintenance

These groups are formed to manage the


operation and maintenance of completed
community projects.

Formed during sub-project


implementation.

Composition will vary depending on the


type of project being operated and
maintained.

5.5.4. How can community volunteers and CBOs be engaged in the KC


Project?
There are numerous ways by which existing CBOs can be engaged in the KC project. The
following are a few examples;
1. During community meetings and assemblies:
Tap officers and members of youth
organizations to assist in groundwork and
inviting community residents to attend in
barangay assemblies. Mobilize local groups
to assist in preparing for and in conducting
project activities.
Different groups can
assist in gathering and carrying chairs,
fixing sound systems, inviting participants,
and many other tasks.
2. During the PSA:
Community Volunteers lead in the
conduct of PSA, from data gathering to
community validation.
Tap officers and members of sectoral groups to give data on specific aspects of
community conditions. Talk with leaders and members of Agrarian Reform
Communities and Beneficiaries (ARCs and ARBs) in KC barangays to get vital
information on local agricultural and tenurial conditions. Talk to the officers and
members of Parent-Teachers Associations (PTCAs) to share information on the
school-age population and other related data.
Meet with members of women organization to shed light on the situation faced by
women in the community. Sectoral organizations can look into specific aspects of the
PSA output that directly relates to them. They can provide preliminary analysis of the
output. Their members can even serve as PSA volunteers.
In response to PSA identified needs, you can also mobilize the Barangay
Development Councils. The Barangay Development Council is the unit charged
with development planning in the barangay level. In rural areas, the BDC
composition is limited to the Barangay Captain and the council and does not include
CBOs or NGOs. This is due to the absence of CBOs and NGOs in the community. The

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most immediate way to organize or strengthen of BDCs is to mobilize the barangays


in preparation for barangays development plans.
3. Community-Based Monitoring and Advocacy:
Mobilize local groups to address particular PSA problems. For example, any given
health issue can be tackled by a group of mothers while a clean-up solution can be
implemented by a youth organization.
Mobilize community volunteers to form Barangay-based Monitoring and
Evaluation Teams. These are groups that ensure that issues and problems
identified during the PSA are addressed. They also make sure that community
activities identified in the solutions tree from the PSA are being met, and
implementation issues are and disseminated to community members.
Mobilize CBOs for project monitoring. Community-based monitoring can even be a
focal point for various community associations interested or working on specific
aspects of the over-all development plan. The Barangay Monitoring Teams can
facilitate formation of actions groups that take concrete steps in resolving community
development issue. There can be more than one Monitoring Team in any given
community.
4. During sub-Project Development:
Consult local groups and sectoral organizations during project development and get
inputs on the design and development of specific projects, especially on how specific
designs can produce particular impacts for specific groups.
Mobilize community volunteers to form Barangay Representation Teams (BRTs)
and Project Preparation or Project Development Teams (PPTs or PDTs).
5. During Community sub-Project Implementation:
Mobilize CVs to form Project Management Committees. For simple projects, such
as environmental clean-up drives, this committee can include simple groups as
information and dissemination, clean-up volunteers, logistics committees, those incharge of refreshments, and so on.
For more complicated projects, such as those that require the construction of a level
2 Water System, committees with more complex tasks need to be formed (see table
above).
Look for a credible and organized CBO to take the lead in implementing a community
project. This is an alternative implementation mode to the creation of a Barangay
Community Project Management Committee. In this case, the CBO should be
recognized by, and should be fully accountable to the BA.
There can be many group formed, or many different CBOs engaged, in the course of
implementing the CEAC activities. Wherever a task can be undertaken through a group,
the CF should make sure that a group is formed to undertake the task. In this way, the
people are given many opportunities to experience working together.
If there are no CBOs or there exist inadequate number of CBOs, ensure that CBOs are
formed to continue the CDD processes in the community. By organizing and mobilizing

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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.

5.5.5 What makes a CBO functional?


For a CBO to form and function effectively (whatever the size of the organization, be it a
small committee or a full blown community association), a number of key elements need
to be present. While these elements are not exhaustive, absence of a number of these
elements will make it difficult for the organization to achieve its purpose, and in serious
cases, can even lead to the eventual death of the organization itself.
1. Unity and clarity of purpose.
An organization, whether its a small adhoc committee or a big association, forms
for a reason and a purpose.
Every
member of the group should be clear on
what the purpose is, and should be united
behind it. Its important for everyone to
know why the group was formed in the
first place. While this may be simple and
a matter of common sense, this is a
significant element in the functionality of
the group.
In organizations, the
motivation or drive for organized action is
the common belief in the groups goal.

Box 8 The Vision, Mission, and Goal


The Vision, Mission, and Goal
A good way to express an organizations
purpose is through a Vision, Mission, and
Goal or VMG statement. The statement
usually starts with a description of the
desired future the organization wants to
achieve (the Vision). This is followed by a
description of what the organization will do
to achieve this vision (the Mission). Lastly,
this is followed by a description of what the
organization expects to achieve by
accomplishing its mission (the Goals)

As community volunteer groups start out


in the KC Project, the goals and purpose are usually simple and easily achievable, such
as those related to the accomplishment of tasks along the CEAC. As the CVs gain more
experience, the ACT and the CFs should make sure that the goals also start becoming
more complex. It is important to make the goals simple and easily achievable in the
beginning, because this will give CVs a sense of accomplishment, empowering them to
take on more complex tasks.
2. The action plan
Having a clear and shared vision and purpose is crucial to establishing a communitybased organization. However, just as one cannot just survive on dreams, a group,
especially an ad-hoc committee that is
Box 9 Elements of a good organizational plan
just beginning to form, need to have a
good idea about how to make this vision
A good organizational plan includes
and purpose a reality. Having a good
1. The activities that need to be conducted
plan is important. At its basic form, an
2. The tasks that need to be performed
organizational plan is a description of how
3. The people that will implement tasks
an organization intends to actualize its
4. The resources that will be needed( and how
purpose, and achieve its goal. The level
to get these)
of detail involved will also vary,
5. The schedule of activities (timelines)
depending on how complex the task is.
6. How activities and tasks will be monitored
In the work of CV committees in the
and assessed.
beginning, the plan can be simple,
The most detailed parts of the plan should be that which covers the most immediate
work that needs to be done. Some people think that because plans can easily change,

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

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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.

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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.

5.5.6 What are the outputs of an effective organization formation


effort?
In the context of CDD and the KALAHI-CIDSS Project, the community organization
formation effort should result in a truly functional CBO that exhibits the most if not all of
the following characteristics;
1. A CBO that function based on key social responsibilities
Functional groups or CBOs serve as the mechanism for the people to express collective
demand, and can serve as the instrument by which people can influence many things
related to decision-making on local development. Functional organizations (i) ensure
that local decision-making on development are informed by local community priorities;
(ii) exact accountability from those mandated by law to respond to peoples needs; (iii)
present constructive alternatives and solutions to address problems, and; (iv) contribute
to creating new ways of engaging with different stakeholders through collective,
collaborative, and transformative action.
2. A CBO that models participation, transparency, and accountability in action
Functional groups, whether the small CV committees formed during the CEAC or the full
CBOs formed to operate and maintain projects, actively enjoin members to take part in
organizational activities. CFs facilitating formation of community organizations should
create and maintain avenues for members to directly get involved in the how the group
is run, how decisions are made, and how plans are pursued. Members should also be
made well informed of the state of the group and its activities, including resources
because the functional CBOs also practice full disclosure of its transactions.
By
practicing transparency and full disclosure, group members are also given avenues for
holding leaders accountable.
By practicing participation, transparency, and
accountability, functional CBOs establish new ways of collective work where;
1.1 Communication is open - and every member feel the need to be informed of
what is happening to the organization, as well as feel the need to express their
ideas and proposals. Members are continually informed, and are allowed to
speak on all aspects of the organization, from plans to financial transactions,
through meetings, assemblies, consultations, and other venues.
1.2 Responsibility is shared among leaders and members and democratic
processes are always observed, and members are provided with opportunities
to perform key tasks and responsibilities, through committees, task groups,
and other mechanisms.
1.3 Leadership is participative and leaders and welcome the participation of
members in the exercise of leadership functions. They dont decide for their
members without consultation, nor do they desire to stay in their leadership
positions forever. In fact, functional CBOs make it a point to change leaders on
a regular basis.
1.4 Problem solving is collaborative - everyone has a stake in the organization,
the group faces issues and solves problems together. The CBO has established
system for ensuring democratic processes that include problem resolution as
well as direction setting.

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71

2. A CBO that works in solidarity with other CBOs


Functional groups and CBOs understand that poverty and its causes affect everyone in
different ways. They also understand that these causes are often complex, originate
beyond the boundaries of the community, barangays, and even the municipality, and
requires changing systems. Because of this, leaders know that they alone cannot solve
these issues independent of others. Hence, functional groups work closely together with
other groups to address poverty issues, wherever and whenever the opportunity is
present. In fact, functional formal CBOs actively seek out and establish partnerships
with other organizations. Partnerships with other CBOs can be in the form of the
following;
2.1 CBO Network - a loose grouping of organizations to which the CBO draws on
for support. The relationship in a network is often loose and informal.
2.2 CBO Alliance - a more formal type of CBO grouping. In an alliance, the basis of
coming together is often narrow and task-based, and often driven by the need
to pursue a common objective that is often short term.
2.3 CBO Federation - In one municipality, two or three barangays may be
operating water systems that are managed by three different BAWASA. Over
time, these organizations may decide to work together to establish a municipal
water works association. This means that they will not only agree to work
together, but will also agree to unify under one leadership, and operate using a
standard set of policies that every barangays BAWASA member will adhere to.
A federation is then formed. In this example, a federation varied from an
alliance in that the (i) purpose of coming together in a federation are almost
always long term, (ii) CBOs in a federation agree to come under one
leadership, and (iii) efforts at unifying policies and systems are undertaken.
2.4 CBO Coalition - In a coalition, members are alliances and federations of CBOs.
Hence, a coalition takes on a more multi-sectoral membership form, and often
tackle bigger, long-term and strategic issues and concerns which no one
alliance or federation can tackle alone.
In the course of the CEAC, the CF should facilitate activities that will make small ad hoc
CV groups slowly coalesce into bigger groups that are prepared to take on bigger tasks.
The CF should also monitor progress of CVs who take on tasks in a continuous manner
as they move from on CV committee to the next. They can serve to become leaders in
the formal community associations formed to operate and maintain projects, or address
even bigger community needs.
3.

A CBO that maximizes opportunities for citizen-government engagements

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

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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;

5.6 Sustainability Evaluation of Completed Sub-Projects


5.6.1 What is Sustainability Evaluation and why is it important in KC
CDD?
Ensuring sustainability of sub-projects lies in the capability of the beneficiary community
to manage their completed Sub-project. Over time, these completed sub-projects are
expected to respond the need/s of communities as it continues also to serve as vehicle
for communities empowerment.
To attain this objective, KALAHI-CIDSS ensures that a community sub-projects have
viable Operation and Maintenance (O&M) arrangements built in the process of subproject planning and implementation. Participating communities are taught to imbibe a
culture of Operation and Maintenance in development undertakings. Operation and
Maintenance performance and the consequent sustainability of sub-projects is an
important indicator of community empowerment.
Sub-project sustainability is also attributed on a good technical design, appropriate
technology and construction methods, observance of required quality control program
and the adherence of community end users on the operation and maintenance policies.

5.6.2 What are the objectives of Sustainability Evaluation?

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73

Completed sub-project sustainability evaluation aims to:


1. Assess completed sub-project utilization4 and sustainability performance.
2. Evaluate the quality of community sustainability program that includes organizational
effectiveness, Financial Management System, Impact & Benefits, and the Physicaltechnical condition of sub-projects.
3. Provide Technical Assistance among community Operation and Maintenance Groups
on observed gaps to ensure functioning of sub-projects.
Additionally, sub-project sustainability performance, based on the evaluation result shall
be presented in the Municipal Inter Barangay Forum (MIBF) of succeeding cycles, and
can form part of the criteria of sub-project prioritization.

5.6.3 What is the instrument used for sustainability evaluation of


completed sub-projects?
The Sustainability Evaluation Tool (SET) is used in evaluating completed sub-projects,
and includes an evaluation of compliance and performance of communities, LGUs and
other stakeholders - to Sub-Project Sustainability.
Sustainability Evaluation Tool (SET) is designed to be simple simple. It contains subproject sustainability indicators in which are the basis of evaluating the performance of
completed sub-projects. It includes the actual data and basic information actually
implemented. These are, date of completion, actual cost-KC grant and Local Counterpart
Contribution (LCC), among others - derived in the Sub-Project Completion Report
(SPCR).

5.6.4 What is covered by sustainability evaluation?


The SET evaluates the functioning of completed sub-projects in terms of its
Organizational/Institutional component, Financial Management System, and Physicaltechnical, Operation and Maintenance condition. It also assesses impacts and benefits
generated from the sub-project.
Physical - Technical indicators vary depending on the sub-project type. Per sub-project
evaluation forms can be found in the SET Guidance Note.

5.6.5 How often is the SET administered?


Sustainability Evaluation Tool (SET) is administered for completed sub-projects every six
months. The first evaluation is conducted six months after sub-project completion.
Succeeding shall be done six months preceding the previous evaluation.

5.6.6 Who undertakes sustainability evaluation?


A Multi-Stakeholders Inspectorate Team (MSIT) will administer the SET. The MSIT is
formed in every municipality covered by KALAHI-CIDSS Project, and include the
following;
1.
2.
3.
4.
4

MPDC and Municipal Engineer


AC/DAC
Representative from MIAC
Mayors representative

2(MSIT Team Leader/alternate)


1(Co-Team leader)
1(depending on SP )
1

Assess actual versus planned (during Project Development stage)

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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

5.6.7 Who leads the MSIT?


As embodied in the functions of the Municipal Planning and Development Office (MPDO),
ideally, the Municipal Development Planning Coordinator (MPDC) shall be the MSIT team
leader. However, in the absence of MPDCs or in the case where there is the need to form
more teams to the simultaneously conduct the evaluation, the Municipal Engineer (ME)
shall lead. In cases where MPDCs and MEs are not available, anyone from the Municipal
Inter-Agency Committee (MIAC) shall lead.
Depending on the service or purpose of the sub-project, e.g. Day Care Center - MSWDO;
Health Station - MHO; Post Harvest Facilities - MAO, concerned member of the MIAC will
join the MSIT.
The Area Coordinator and Deputy Area Coordinator shall be the co-team leaders of the
MSIT. They are expected to guide the conduct of the activity ensuring that objectives
and procedures are being followed.
NPMO and RPMO representative shall demonstrate the process especially in
municipalities administering SET for the first time. They shall also join and observe how
the activity is conducted by the MSIT. They are also expected to provide the necessary
guidance.

5.6.8 How is the Sustainability Evaluation undertaken?


Focus Group Discussions/dialogue (FGD), Plenary and meetings are used to collect data,
information, and to verify observations made. Record review shall also be done to check
the soundness and responsiveness of required documents; such as the organizational VMGO, Constitution and By-laws, operational policies, ordinance; financial records, O&M
plan, and other pertinent documents as maybe applicable.
Actual inspection to all structures and sub-structures of the sub-project should be
conducted to assess its physical-technical condition. For roads, water systems and other
SPs that are long, the team may divide and designate a sub-group to a structure so to
simultaneously conduct the physical-technical evaluation. In sub-grouping, it is
recommended that there will be a technical representative, or one that could understand
the sub-project structures, in every sub-group responsible in guiding the group

Members of SET secretariat can come from the MIAC and ACT

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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.

5.6.9 What reports are required from the Sustainability Evaluation?


The following reports are required from the conduct of the sustainability evaluation;
1.
2.
3.
4.

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.

5.7 Sustainability Planning


5.7.1
What
Workshop?

76

is

the

Municipal

Post-Pilot

Sustainability

Planning

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

5.7.2 What are the objectives of the workshop?


At the end of the workshop, the LGU will have:
1. Identified and reflected on the lessons learned from the KC and MT implementation,
both personal and institutional, the changes in the arrangements in LGU
governance, and the benefits derived by Municipality and the LGU in implementing
the KC and MT modality.
2. Identified and appreciated the different activities, strategies, processes and
milestones that they went through that either produce an/or reinforced the result of
KC.
3. Identified the difficulties, problems, hindrances they encountered in implementing
KC and MT as well as their actions taken/responses;
4. Defined and understood the (i) current arrangements developed from KC and MT
experience, and (ii) new arrangements that need to be developed and
strengthened, to make the LGU system more PTA;
5. Prepared a plan to sustain gains in PTA, prevent backslide, creating new realities in
governance for basic service delivery and poverty reduction.

5.7.3 What are the expected outputs of the workshop?


The specific outputs of the sustainability planning workshop shall include;
1. The workshop process documentation;
2. Filled-up templates per session;
3. The LGU Sustainability Plan;
4. List of participants (refer to attendance sheet template);
5. Photo documentation of the proceedings;

5.7.4 Who should participate in this workshop?


There should be about thirty (30) participants to the Sustainability Planning Workshop,
which will come from the municipal leadership, members of the municipal inter-agency
committee (MIAC), the municipal area coordinating teams (MCT), community volunteers,
and other stakeholders in the LGU that played a key role in the implementation of the KC
Project and the MT modality. The following presents a list of expected participants;
Mayor
MPDC
MSWDO
Budget Officer
Accountant
Treasurer
MLGOO
Engineer
MAO
Selected Members of the Legislative Body (at least 2)
NGO/CSO Representatives (at least 2)

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77

Selected Barangay Captains and Councilors (for discussion w/CPS)


Members of MCT (organic staff involved in the implementation of MT as CF,
etc)
Community Volunteers (at least 5 from among those who have been most
engaged in KC and MT activities)

5.7.5 Who should facilitate and manage the workshop?


The Regional Community Development Specialist (RCDS) is expected to facilitate the
workshop at the municipal level. The area coordinator (AC), municipal coordinator
(MAC), and/or monitor (MM) is expected to assist in facilitating the activity, and take
charge of the documentation. The documentation should capture the whole process of
the workshop and will form part of the project completion report of the municipality, and
the process documentation report (PDR) of MT implementation.

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.

5.7.7 How should the workshop be conducted?


Owing to the distinct characteristics of each local government units as well as the
differences and uniqueness of the various activities, process and strategies that each
municipality went through under both the three-cycles of the regular KC implementation
and the MT period, the sustainability planning workshop should be conducted per
municipality. This way, the LGU staff will be given the opportunity to reflect on what they
really went through without contrasting their experience and output with other
municipalities. (However, this does not preclude a joint activity where each municipality
will come together to do their plan through a joint session).
The sustainability workshop goes through seven major parts. These include;
1. The opening session
2. Session 1, covering reflections on lessons, changes, and results from KC and MT;
3. Session 2, on assessing the three KC Cycles and MT implementation;
4. Session 3, on defining the current system of citizen-government engagement and
Participation, Transparency, and Accountability (PTA) in governance for poverty
reduction resulting from KC and MT implementation;
5. Session 4, on planning for co-creating new realities in citizen government
engagement, and local governance, and;
6. Evaluating the Workshop
7. The closing session
The specific steps, processes, activities, and tools for each session is described in the
Sustainability Planning Guide and Toolkit.

5.7.8 How will the results of the workshop be reported?


The sustainability planning workshop is an integral part of the three-year KC and MT
implementation process, as they will provide KC with important insights on the viability
of CDD as a strategy for enhancing local planning, budgeting, and implementation of
development projects and initiatives by communities supported by local government
units. It will likewise form part of the over-all body of knowledge about how to assist

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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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79

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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?

Field Guide for KALAHI-CIDSS Area Coordinating Teams

81

FOR THE AREA COORDINATING TEAM


For KC LGUs, transitioning from a role of direct implementer of development projects to
facilitators of development often require significant adjustments be made in existing
local governance systems, practices, and procedures. Capabilities of LGU leaders and
staff need to be built and strengthened to enable them to integrate lessons learned in
the KC CDD process into the local planning and investment programming cycle of local
government units. The Makamasang Tugon LGU-led implementation of CDD aims to
contribute to building this capacity in LGUs who have shown good performance in KC,
and have expressed willingness to integrate participation, transparency, and
accountability in their governance practice.
SUMMARY
This chapter shall walk you through the basic rationale and design of the Makamasang
Tugon, LGU-led implementation of the CDD strategy. The first part discusses the
rationale for the MT modality, and its goals and objectives. The chapter will then
discuss the key elements of the MT modality, the process for selecting and enrolling
municipalities into the program. The chapter will likewise discuss how MT is
implemented, as well as the role of KC Project staff in implementation.
IMPORTANT REMINDERS:
Look at other documents. Some important information is found in the Monitoring and
Evaluation handbook. Read it for complete account of how to monitor and evaluate
projects in your municipality or barangay.
Context is important. Strategies, techniques, and tips presented in this chapter should
be applied in relation to what is required by the situation and the community. Flexibility
is a skill that you have to improve on every step of the project.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

6.1 What is Makamasang Tugon


Makamasang Tugon is an LGU-led CDD implementation modality under the KALAHICIDSS Project.
It provides good performing LGUs of KC municipalities with a
performance-based incentive 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.

6.2 What are the goals and objectives of MT?


Makamasang Tugon aims to
assist LGUs in integrating CDD
principles and processes in the
local planning and investment
programming cycle, by way of
an
LGU-led
implementation
scheme of the KALAHI-CIDSS
CDD technology.

Figure 13

Makamasang Tugon (MT) Framework

Framework for harmonizing CDD with Local Planning


Processes of LGUs
PDW
CSW
PSA

Accountability
Reporting

6.3 Who are eligible for


MT?

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

LGU Planning and


Budgeting Cycle
elements

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

Table 8: Indicators for MT eligibility

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;

In addition to the above,


1. All sub-projects have been finished.
2. All community accounts have been closed.
3. Sustainability Plans have been prepared and approved by the MLGU.
A municipality who have not yet completed a sub-project and/or have not yet closed a
barangay account can be considered for conditional eligibility if;
1. The pending sub-project began implementation in the last cycle, and;
2. The reasons for late completion are beyond the control of the BSPMC and/or the
LGU.
A municipality granted conditional eligibility shall be required to finish the pending subproject and close all accounts prior to start-up of the MT implementation.

6.4 What are the features/components of MT?


There are five key features or components to the MT Modality;
1. Performance-based selection and enrollment
Makamasang Tugon municipalities are selected through a filtering process that begins
with a review of LGU performance in KALAHI-CIDSS. Regional assessments are
likewise conducted to determine readiness of the LGU to engage in the MT process,
and identify potential problems that may arise in the course of implementing MT.
The enrollment process is described in section 6.5 below.
2. LGU-managed implementation
As the MT modality is LGU-led, the specific operationalization strategies are also LGU
defined. LGUs develop and design context-specific social mobilization strategies to
encourage citizens participation, enhance transparency, and promote accountability
in local planning and budgeting processes.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

Figure 14 MT Key Features


KC LGUs use lessons gained
from their experience in the
KC CDD process, as well as
Makamasang Tugon Key Features
utilize
existing
DILG
planning
guidelines
as
2. LGU-managed
Implementation
contained
in
the
Rationalized
Planning
1. PerformanceSystem
(RPS),
the
3. Provision of grant
based selection, and
funds for small
Comprehensive
enrollment
community projects
Development Manual (CDP),
and the Joint Memorandum
Circular
of
2007,
in
describing how they will be
4. Purposive
5. Evidence-based
enhancing their governance
Capability
Monitoring and
Building
systems to make them
Evaluation
more
participatory,
transparent,
and
accountable. These shall be
described in detail by participating LGUs in a Municipal Project Implementation
Proposal and Plan (MPIP). The MPIP is submitted to the RPMT for technical review
and endorsement to the RIAC for approval. Once approved, the MPIP is then
endorsed to the NPMO for review and concurrence, together with a request for NPMO
concurrence on the issuance of a Notice to Proceed (NTP) to the MLGU by the
RPMO. Once cleared at the national level, a memorandum is issued by the NPMO
concurring with the RPMO recommendation to issue the NTP to the eligible
municipality. This signifies final approval of the MPIP.

Once approved, the Municipal LGU organize various management and


implementation groups as necessary to oversee and facilitate implementation of their
MPIP in the municipality. These include (i) formation of a Municipal Steering
Committee (MSC) to oversee project implementation at the municipal level, (ii)
strengthening of the Municipal Inter-Agency Committee (MIAC) to provide technical
assistance to participating barangays such as, among others, engineering advice and
support, and project development inputs, and (iii) organization of a Municipal
Coordinating Team (MCT) as the front-line field implementer, technical assistance
provider, and monitor of local communities.
The Municipal LGU provides over-all administrative supervision of Municipal
Coordinating Teams, including provision of both administrative and logistical support.
The DILG and the DSWD provides technical and capability building assistance, as well
as technical supervision of MCTs along LGU planning and investment programming,
and implementation of CDD processes. These include the following; (i) a Municipal
Monitor; (ii) a Community Infrastructure Specialist, and; (iii) a Municipal Finance
Analyst.
Mandated local governance structures such as Municipal and Barangay Development
Councils, other local special bodies, peoples organizations, and other community
groups are likewise tapped for implementation of MT activities. Where necessary,
these structures are enhanced or expanded to better reflect direct community
participation and transparency.
Following the KC volunteer mobilization strategy, participating LGU also mobilize and
form different volunteer groups along different tasks in implementation. These
include participatory situation analysis and research, project development, project
implementation, and others.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

85

3. Provision of grant funds for small community sub-projects


MT municipalities are provided with grants funds for small community sub-projects
identified through a participatory, criteria-based prioritization process, outlined in the
MPIP. Following the KC model, funds for community projects are transferred from
the National DSWD account directly to community accounts. Disbursements of funds
at the community level are undertaken by community volunteers, with technical
assistance from both Municipal and DSWD finance staff.
Participating municipalities also provide local counterpart contributions for operations
and mobilization costs, at around 30% of the total municipal grant allocation. These
can be used for municipal personnel assigned to the pilot, as well as to fund
capability building and other institutional support activities. A work and financial plan
is prepared by the LGU for this purpose, and incorporated in the MPIP.
To facilitate monitoring and tracking of LCC funds utilization, participating LGUs open
Municipal Trust Funds (MTFs) where costs charged to LCCs are drawn.
4. Purposive capability building
MPIPs of participating municipalities also describe the capability-building needs of
LGUs along the planning and investment programming, and facilitation and
management of peoples participation and other CDD processes. These become the
basis for focused LGU capability building and the design of capability-building delivery
systems and mechanisms to deliver technical assistance to participating
municipalities. Specific inputs include (i) implementation and management of
participatory development processes; (ii) CDD themes on participation, transparency,
and social accountability; (iii) the Rationalized Planning System (RPS), and; (iv) the
Comprehensive Development Planning (CDP) process, among others.
5. Evidence-based monitoring and evaluation
Monitoring and evaluation of LGU performance in MT is a joint responsibility of the
DSWD and the DILG. Implementation of the M&E system and consequently, project
monitoring is conducted by the DSWD, as the lead implementing agency. However,
quality assurance of LGU performance is undertaken in consultation with the DILG.
Over-all assessment of project performance will be jointly conducted by the DSWD
and DILG, and presented to the National Steering Committee.
At the project management level, monitoring and evaluation is carried out by the
implementing LGUs based on minimum reporting requirements set by DSWD.
Monthly, Quarterly and Annual Reports are submitted by the LGUs to DSWD. In order
to minimize duplication of reports, current reporting systems used by LGUs, such as
the State of Local Governance Report (SLGR), are adapted for project use. Quarterly
DSWD-DILG monitoring meetings are likewise conducted prior to a joint validation of
LGU reports.
To ensure close coordination among the LGUs, DSWD and DILG, various levels of
management meetings are conducted for periodic reporting of implementation status,
identification of implementation issues, and provision of technical assistance. The
MPIPs of participating municipalities also incorporate plans for creating spaces that
would allow for the participation of POs, NGOs, and other civil society groups in
external monitoring, assessment, and evaluation of MT implementation activities.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

6.5 How are municipalities enrolled into MT?


Eligible municipalities are enrolled into the MT modality through the following process;
1. Conduct of Eligibility Check by the regional project management office. The RPMO
reviews the performance of the municipal LGU in the three cycles of KC
implementation in the municipality, and conducts risks analysis using the potential
problem analysis tool.
Figure 15

Process for selecting MT MLGUs

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;

Field Guide for KALAHI-CIDSS Area Coordinating Teams

87

f.

Formation of the Municipal Coordinating Team including creation of the


various MCT posts, issuance of executive orders, and hiring, screening, and
engagement of MCT staff.

4. Review and signing of the Memorandum of Agreement including issuance of the


authority to enter into agreement by the Sangguniang Bayan, and signing of the
MOA.
Municipalities are deemed enrolled into the MT program upon completion of all activities
and requirements described above.

6.6 How is MT implemented?


There is a high degree of differentiation in the activities municipalities undertake to
implement MT. This is because MLGUs enter into MT with different ideas, and objectives,
about how to improve their governance systems. However, most activities can be
categorized into the following four stages of the Local Development Planning and
Investment Programming cycle (LDIP);
1. Local Development Planning among the activities LGUs undertake in this stage
include (i) review and enhancement of municipal development plans; (ii) review of
PSA results; (iii) review of other planning data used by the MLGU; (iv) conduct of
barangay consultations, and; (v) review and enhancement of the criteria used during
the KC project for prioritizing projects;
2. Budget Formulation Activities in this stage often include (i) development of new
and review and enhancement of old, non-prioritized community project proposals;
(ii) conduct of technical trainings; (iii) conduct of community and barangay
consultations; (iv) finalization of proposals through MIAC Technical Reviews, and; (v)
conduct of expanded Municipal Development Council (MCD) meetings to review,
discuss, and prioritize community proposals.
3. Budget Execution Activities in this stage often include (i) implementation of
community projects; (ii) community procurement and finance activities; (iii) project
monitoring and site inspections, and; (iv) reporting of accomplishments and conduct
of audits. Preparations of community groups for operation and maintenance also
occur at this stage.
4. Monitoring and Evaluation A key activity in this stage is the conduct of
accountability reviews, community-based evaluations, and sustainability planning.

6.7 What is the role of the Municipal Monitor in MT?


To effectively respond to the monitoring and technical assistance requirements of MT
municipalities, KC fields Municipal Monitors to conduct monitoring and provide technical
assistance to Municipal Coordinating Teams (MCTs).
The MM (i) ensures effective facilitation by Municipal Coordinating Teams (MCTs) of
activities that promote participation, transparency, and accountability (PTA) in the local
development planning processes and in the implementation of community development
projects, as outlined in the MPIP; (ii) provides timely and useful technical assistance to
MCTs in the conduct of community development interventions; (iii) generate, capture,
and document lessons and effective implementation strategies in integrating PTA in the
local development planning process, and; (iv) lead in the identification and development
of best practice models from field implementation experience.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

Specific tasks of the MM include;


1. Convening regular meetings with MCTs for review of MCT intervention plans for
consistency with CDD principles and MT project standards, action planning, plan
implementation and performance review and assessment, tactic sessions for
problem resolution, and reflection to identify lessons and best practices.
2. Conducting capability building of MCTs.
3. Coordinating regional Technical Assistance (TA) provision to MCTs.
4. Conducting report review, field visits, and spot checks.
5. Preparing process documentation and monitoring reports, and assisting the MCT
in the preparation of different municipal reports, covering MPIP activities.
6. Facilitating periodic summing-up of MCT field implementation experience,
generation of lessons, strategies, and best practices in field implementation.

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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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Field Guide for KALAHI-CIDSS Area Coordinating Teams

(back inner title page, intentionally left blank)

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

Who are the intended users of this toolkit?


This toolkit is intended primarily for the members of the Area Coordinating Teams (ACT),
and specifically the Area Coordinator and the Community Facilitators. However, the
Deputy Area Coordinator (DAC) and the Municipal Finance Analyst (MFA) should also
make themselves familiar with the processes and tools in this kit, as they will find many
useful insights in facilitating community development processes from the guides and tool
contained herein. In addition, anyone interested in facilitating CDD activities will find
many of the activities and tools in this kit instructive, both as reference and guide in
facilitating community development activities.

How is this toolkit structured?


Bear in mind that facilitating community mobilization and community organizing is both
a deliberate science and a subtle art. It is a science because the methods and
techniques are purposive, and the process and timelines are calibrated. It is an art
because the application of the methods and techniques are highly contextual and
iterative. A lot will depend on how you understand the context, and how you think the
methods can be used effectively to achieve the objectives.
This toolkit is structured by section, where each section represents a key community
mobilization activity along the CEAC. Each section provides you with an overview of the
activity, its objectives and expected outputs and results, and guidance on how to
implement the activity, and the specific steps that you can use. As I the main manual,
the use of the word guidance rather than instruction as a description of the contents
of these guidance notes is deliberate. These notes are designed to lay down the general,
minimum requirements for each major activity.

How to use this document


These guidance notes are designed as stand alone activity facilitation manuals and
basic planning tools. You can refer to each individual notes for specific instructions
about how you should plan for, and facilitate the particular activity you will be
conducting. However, many of the processes described for a particular activity also have
general applications in other activities. Where this is the case, cross references are
made.

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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.

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FACILITATING SOCIAL
PREPARATION ACTIVITIES
Municipal Orientation
Social Investigation
Barangay Assembly
Participatory Situation Analysis
Community-Based Monitoring and Evaluation

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To the Area Coordinating Team


This chapter provide you with specific guidance on how to facilitate important social
preparation activities. which lays the foundation for everything else that happens in the
KC project. Each guidance notes provide you with the necessary background on the
activity, and its objectives. The expected output/s for each activity is also clearly laid
out, together with guidance on how the activities can be conducted.
Specific as the guidance may seem, these notes are in no way exhaustive, nor are they
written to capture the various nuances and differences between communities. Instead,
the guidance notes provide you with the minimum standards for conducting the
activities, and delivering the intended results. Please feel free to adapt, and innovate on
these processes to better respond to the specific contexts of your municipality. But
make sure that you follow the basic principles of KALAHI-CIDSS and achieve the
expected outputs.

What are the objectives of the Social Preparation stage?


At the end of this stage, you will have:
1. Disseminated basic information about the project among community members
and M/BLGUs.
2. Mobilized various stakeholders to marginalized sectors, local NGOs, CBOs,
Private Sector groups, and other local associations.
3. Facilitated community research on, and analysis of local poverty conditions
existing in the community,
4. Facilitated identification of appropriate development interventions to address
needs, and;
5. Facilitated Barangay Action Planning to address identified needs.
6. Facilitated formation of groups/ad-hoc committees to work on identified issues
and problems in the BAP;

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.

How long is the Social Preparation stage?

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The entire social preparation stage lasts from 6 to 7 months after the conduct of the
Municipal Orientation.

What are the expected outputs of the Social Preparation stage?


At the end of this stage, you and your team would have produced the following;
1. Social Investigation Report
2. PSA documentation
Profile
Problem/Solutions Trees
BAPs
3. Community Volunteers;
PSA (3 per purok);
BRT (3 per barangay);
PPT (3 per barangay);
CBMET (3 per barangay);
4. CVs trained on;
Gender sensitivity
Community Research and PSA tools and techniques;
Recording and documentation;
CBME planning;
Preparing presentations;
Public speaking;
Others
5. 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.
6. Coordination and convergence plans and mechanisms between Pantawid Pamilya
and SEA-K established.
7. BAPs prepared and adopted by BLGUs.
8. Ad-hoc groups formed, plan, and begin work on BAP issues.

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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3. Conduct and complete Social Investigation


4. Integrate with communities, the BLGU, and the MLGU
5. Conduct stakeholders mapping and analysis
6. Conduct risks analysis
7. Conduct CEAC activities;
Municipal orientation.
Social Investigation
Barangay Assemblies
Municipal PSA Planning Workshop
Barangay PSA
CBME Planning Workshop
8. Train, mentor, and coach CVs on
Gender sensitivity
Community Research and PSA tools and techniques;
Recording and documentation;
CBME planning;
Preparing presentations;
Public speaking;
Others
CHAPTER SUMMARY
This chapter includes guidance notes on how to conduct and facilitate the Municipal
Orientation, Social Investigation, Participatory Situation Analysis, Barangay Assmblies,
and Community-Based Monitoring and Evaluation planning.
Each section is generally begins by introducing the activity, and proceeds to discuss its
objectives and expected outputs. The section then proceeds to provide guidance to the
team on how to prepare, conduct, and follow-though the activity. Each section ends
with advice to the team on post activity processing.

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

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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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Guide to facilitating the KALAHI-CIDSS


Municipal Orientation

1. What are the objectives of the MO?


The purpose of the Municipal Orientation (MO) is to build understanding and appreciation
of the KC Project among stakeholders. At the end of the MO, you will have:
1. Discussed the goals and objectives, project principles, project design,
implementation process, expected outputs, and project timelines;
2. Clarified the roles and functions of LGU, communities, and other stakeholders;
3. Set the process and timeline for completing the following;
a) Signed Memorandum of Agreement (MOA) between the DSWD and Municipal
LGU
b) Municipal Resolution (i) expressing official acceptance of the implementation
of the KALAHI-CIDSS Project in the municipality; (ii) instructing all municipal
LGU bureaus, offices, and units to support the project, and; (iii) enjoining all
barangays to fully support and actively participate in Project implementation.
c) Executive Order / Directive from the mayor creating/reactivating the Municipal
Inter Agency Committee (MIAC) and the Municipal Coordinating Team
(MCT).
d) Special Order from the mayor installing the KALAHI-CIDSS ACT as a special
projects unit within the MLGU.
e) Special Order from the mayor designating an LGU staff as the KC focal
person (if not yet designated).
f) Plans and schedule of the First Barangay Assembly.
In addition, conduct of the MO should lead participants to appreciation of the following
key messages:
1. Transparency is an important element in the KC Project.
2. Everyone has a right to be informed, and the right to ask questions, share
opinions, and contribute suggestions and recommendations.
3. Partnership and cooperation between and among all stakeholders is necessary for
real development. Everyone has a role to play and a responsibility to deliver in
the Project.
4. The people are at the center of the action. The LGU and DSWD are facilitators.
The communities themselves must mobilize and actively engage in activities for
the project to succeed.

2. When is the MO conducted?


The MO is conducted at the start of KC implementation in the Municipality.

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3. Who are the Participants to the MO?


Designed to generate popular support for the project, participants to the MO should
include, but may not be limited to, the following;
1. Municipal and Barangay LGU leaders and staff, such as the following;
Municipal Mayor
Sangguniang Bayan members
Municipal Planning and Development Officer (MPDO)
Municipal Social Welfare and Development Officer (MSWDO)
Municipal Health Officer (MHO)
Municipal Agricultural Officer (MAO)
Municipal Budget Officer (MBO)
Municipal Treasurer
Municipal Engineer
Municipal Local Government Operations Officer (MLGOO)
Municipal Local Poverty Reduction Action Officer (LPRAO)
Community Environment and Natural Resources Officer (CENRO)
District Superintendent of the Dept. of Education
All barangay chairmen of the municipality
Members of the KALAHI-CIDSS Municipal Coordinating Team (MCT)
2. Representatives of National Government Agencies (NGAs) who implement
projects or have an official presence in the Municipality. These can include the
DAR, DA, DENR, DoH, DepEd, PNP, AFP, and others;
3. Representatives of the Provincial LGU and the Office of the Local Congressional
Representative;
4. Representatives from basic sector and civil society groups, such as Indigenous
Peoples and/or Indigenous Cultural Communities (IP / ICCs), farmers groups,
fisherfolk groups, organizations addressing womens issues and concerns,
development NGOs operating in the municipality, religious/church groups such as
leaders of Basic Ecclesial/Christian Communities (BECs or BCCs), other
community-based organizations in the municipality, Private Sector organizations
such as the local chambers of commerce, representatives from media, the
academe, and others.
5. Representatives from the DSWD Regional Field Office and KALAHI-CIDSS
Regional Project Management Team (RPMT), which may include the following;
Regional Director
Assistant Regional Director
Regional Project Coordinator
Members of the KALAHI-CIDSS Regional Project Management Office
(RPMO)
All members of the Area Coordinating Team
The Pantawid Pamilya Municipal Link, if the area is a Pantawid Pamilya
covered municipality
The Sustainable Livelihood Project Development Officer (SEA-K)

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4. How is the Municipal Orientation conducted?


4.1 Preparing for the Municipal Orientation
Preparation for the municipal orientation starts during the start-up activities for new
municipalities. As part of the start-up, RMPO staff shall schedule a meeting with the
Municipal Mayor to discuss preparations for the municipal orientation.
The main person responsible for the effective conduct of the Municipal Orientation is the
KC Area Coordinator (AC), in close coordination with the Municipal Area Coordinator
(MAC). In preparing for the MO, the AC together with the ACT and MCT should
undertake the following tasks;
1. Meet with the RPMT to (i) review status of municipal enrollment and start-up
activities, compliance with conditions precedents, and agreements made with the
municipality in the course of enrollment; (ii) gather and review documents on file
about the municipality (MDPs, CLUPs, basic municipal profile, RPMO potential
problem analysis, and other documents), and (iii) review changes/revisions in the
draft Memorandum of Agreement (MOA);
2. Meet with the mayor or his/her designated representative, and the MCT to discuss
plans for the municipal orientation, finalize the schedule and other logistics and
administrative preparations, and finalize the MOA (the latter being subject to
approval of the RPMT). The AC, MAC, and ACT/MCT should ensure that during
the planning meeting, agreements are reached on the following concerns:
Selection of date and time, and appropriate venue of the municipal
orientation.
List of Participants and sending of invitations signed by the Mayor.
Preparation of Program and other documents for distribution to
participants.
Logistics and administrative preparations (staffing, refreshments, sound
systems, intermissions, and funding and other requirements)
Final specific provisions of the MOA.
Other specific concersn.
3. Ensure that the following tasks are accomplished before the actual municipal
orientation:
Invitation letters are distributed.
Information on the municipal orientation are disseminated / posted in public
places, and different means are used to generate awareness about the event.
The venue is ready and well arranged one day before the orientation; enough
tables and chairs, chalkboards / whiteboards, stage backdrop and sufficient
space for small group discussion are available.
Submit to the RPMT proposal for the activity to secure augmentation funding
for conduct of the Municipal Orientation
the AC can assist the Mayor or his speech writer to prepare a public message
fit for the occasion.
Assist other municipal participants who have a role in the orientation (.e.g,
person/s who will lead prayer and national anthem)
4. Prepare KALAHICIDSS briefing materials and other documents, such as basic
Primers, Fact Sheets, and Frequently Asked Questions; Brochures (such as those
on the Grievance Redress System); list of names of the members of the ACT and

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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.

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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;

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Project Background - Emphasize that KALAHI-CIDSS is a Poverty Reduction


Project that has been proven to be successful in helping reduce poverty and
empowering communities through the employment of participatory method, in
many poor areas in the poorest provinces nationwide.

Project Objectives - Discuss Empowerment, Improve Local Governance and


Poverty-Alleviation as the main objectives of the Project. Discuss further
Community-Driven Development of CDD as the main strategy being adopted
by KC. Emphasize that in CDD; (i) the people themselves decide on the
priority needs and the responses to address those needs; (ii) the people
design and implement the project themselves, and; (iii) the people manage
the resources to be used in implementing the community projects.

Project Principles - Elaborate on Participation, Transparency, and


Accountability, as described by LET-CIDSS, as the guiding principles of the
Project.

Organizational Structure and Staffing. Discuss the different levels of the


implementing structure starting with the National Steering Committee, the
National and Regional Project Management Teams and Offices, the Municipal
Inter-Agency Committee (MIAC), and the Area Coordinating Teams and the
Municipal Coordinating Teams (MCT). Highlight the main functions of these
implementing structures. (Annex 8).

Community Empowerment Activity Cycle - Discuss the five stages and


the three cycles of the CEAC. Please refer to the section on the CEAC for
more details. Emphasize that;
o The CEAC is a problem solving process, where members of the
community work together address needs, in ways that are
participatory, inclusive, and which build accountability.
o The nature of the process is participatory and consultative, where
value is attached to having the community decide on all matters
affecting their welfare, the importance of the PSA in the development
of sub-projects, the concept of municipal allocation as a pool of funds
for barangay sub-projects, and the concern for the sustainability of
sub-projects.

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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.

Community mobilization and the role of volunteers Explain the role of


the community and the volunteers in KC. Emphasize that implementation of
Project activities will require the involvement and mobilization of
communities, and the active engagement of community volunteers who are
not public elected officials. Explain that community volunteers will be the
primary implementers of project activities in the barangays, and that many
community volunteer groups will be formed, such as the PSA groups, the
BRTs and PPTs, and the BSPMCs. Emphasize also that the decisions on the
priority needs, the projects that will be implemented, and the use of grant
funds will be decided through the MIBF, solely by community volunteers who
are elected through Barangay Assemblies. Emphasize as well that it is the
community volunteers, through the BSPMC, who will implement the
community projects, using community procurement and finance systems, the
open menu, and the one fund concept. Explain that the project will track
engagement of volunteers who are not public elected officials as a key output
of Project activities.

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.

Safeguards Mechanisms Discuss the Gender Framework, IP Framework,


Environmental Safeguards, Disaster Risk Reduction, and other similar risk
analysis and safeguards mechanisms of the KC Project. Explain that these
mechanisms and instruments must be followed, and compliance of the
communities and the municipality to these safeguards will be tracked.

The Memorandum of Agreement Discuss the salient features of the MOA


with the LGUs.
Emphasize the partnership with the municipality, the
province, and the DSWD in order to bring about poverty reduction. Explain
the roles and commitments of each party, and emphasize the need for
effective collaboration for the Project.

Other important elements or features of Project implementation


especially those unique to the municipality, should likewise be discuss. These
can include presentation of the PAMANA Project in covered municipalities, and
other new features.

Provide ample time for an open forum,


where people can raise questions, discuss
issues, and make suggestions. Either the
AC and/or RPMT staff, or a member of the
MLGU staff can facilitate the open forum.
The open forum allows you to assess how
well the participants understood and

Note to the AC:


Be acquainted with frequently
asked questions on KALAHICIDSS and the recommended
answers.

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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

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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

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107

Guide to conducting
Social Investigation

1. What is social investigation?


Social Investigation or SI, is a process of systematically obtaining information about the
physical, social, economic, cultural, and political conditions, of a community, and the
strengths, needs, values, and aspirations of its people. Lessons learned from SI about
the community will help members of the ACT to better design, plan, and implement
development activities.

2.

Why do you have to conduct social investigation?

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

3. What are the objectives of SI?


SI aims to provide the ACT with a good understanding of the conditions of a community
as basis for adapting the facilitation techniques/processes. Specifically, you shall;
1. Gather and consolidate information about the demographic, social, cultural,
political and economic life of the community from secondary sources (Barangay
Profile, CBMS, NHTS, MHO records, School records, etc).
2. Conduct field visits and collect new and triangulate information from secondary
sources about the community directly from community members, local formal and
informal leaders, and other stakeholders.
3. Establish rapport with community members, local formal and informal leaders,
and other key stakeholders.
4. Analyze information and define the systems that sustain community life, and
create poverty and other development challenges for the residents.
5. Prepare an action plan for how you will create and facilitate community activities
to ensure effective conduct and achievement of CEAC milestones.

4. What are the expected outputs and learning outcomes of SI?


At the end of the SI process, the following will have been produced;
1. Filled-up SI form

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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.

5. How is SI conducted, and when and for how long?


As discussed in the introduction, SI is a continuous and recurring process. However,
there are three basic phases to the SI process. These are (i) Preliminary SI, or PSI; (ii)
Social Investigation or SI, and; (iii) Continuing SI, or CSI. Each is further described in
detail in the matrix below;
Stage and
Objectives
Preliminary SI
(PSI) to look
at basic data
from public
records and
secondary
sources, and
prepare SI plan.

Activities conducted
1.

Gather, review, and


analyze secondary
information
2. Prepare community SI
plan, defining;
a. Areas/dimensions for
investigation and study
(demographic, social,
economic, etc.)
b. Specific information to
be gathered, and the
key questions to
generate the information
for each area of study;
c. The target respondents
(community residents
who can provide the
information;
d. The timeframe and
schedule of field visits.

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Start and Duration


Can begin before the
MO, and end 1 week
from MO

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.

Field observation visits


(along CEAC)
Meetings and informal
discussions with BLGU
officials and leaders.
House visits and small talk
with residents;
PSA
Tactic Sessions
Updating of Community
Profile and SI report.

Output produced
1.
2.
3.
4.

1.
2.
3.

Start and Duration

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.

6. Who undertakes social investigation?


All members of the Area Coordinating Team are expected to undertake Social
Investigation and study areas of community life that will be relevant in performing their
specific tasks and functions in facilitating CEAC activities and delivering CEAC outputs
and results. The following describes some of the specific areas of concerns of different
members of the ACT in SI. This is not exhaustive; other concerns may be included from
time to time.
ACT member
Area
Coordinator

Scope of SI Tasks

110

Conduct SI with the MLGU.


Engage the LCE, the MIAC, members of the
Sanggunian.
Meet with staff of NGAs implementing
projects in the municipality; civil society
groups, peoples organizations, NGOs, and
other basic sector groups; private sector,
business groups such as the local chambers
of
commerce; media and academic
institutions; church groups, and others.
Study the dynamics of municipal local
governance
and
the
LGU
systems,

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

ACT member

Scope of SI Tasks

Community
Facilitator

Deputy Area
Coordinator

Outputs / Results

practices, structures, and procedures that


facilitate or hinder citizens participation in
development, transparency, and social
accountability.
Consolidate the SI reports of the ACT, and
prepare a Municipal Profile from the various
ACT SI reports.
Identify the avenues for promoting CDD as
a development approach, and the potential
problems and obstacles for doing so (risk
assessment).
Prepare a plan for engaging and mobilizing
the MLGU in support of project goals and
objectives, and activities.

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.

Conduct SI in five (5) barangays


Engage the Barangay Captain and other
members of the Barangay Council.
Meet and become acquainted with at least
25% of HHs in the barangay.
Engage other barangay-level stakeholder
groups (same as the AC but at the
barangay level).
Study the demographic, economic, political,
and socio-cultural dynamics of barangay
communities, giving special attention to
vulnerable groups such as women and
women-headed HHs, IP groups and ICCs,
communities in conflict, and poorest HHs
indentified through the NHTS.
Study barangay local governance and the
systems,
practices,
structures,
and
procedures of the BLGU that facilitate or
hinder
citizens
participation
in
development, transparency, and social
accountability.
Identify the avenues for promoting CDD as
a development approach at the barangay
level, and the potential problems and
obstacles for doing so (risk assessment).
Identify potential quality contacts.
Prepare a plan for engaging and mobilizing
the community and the BLGU in support of
project goals and objectives, and activities.

At the end of the period, the CF will


have;
a. Become accepted as a regular
feature
of
the
barangay
landscape;
b. Established him/herself as the
point of contact of the KC
Project in the barangay;
c. Integrated with the different
leaders and officers of the
different LGU and NGA offices
in the MLGU, and with civil
society,
basic
sector,
and
private sector and other groups
within the municipality;
d. Accomplished the SI Form and
prepared a Community Profile
of his/her assigned barangays.
e. Prepared an action plan for
engaging the MLGU.
f. Prepared a list and profile of
quality contacts.

Meet with the MPDO and MEO, and study


the Muncipal LGU systems, procedures,
processes, and structures in implementing
development
projects,
including
procurement practices and norms.
Scan for potential service providers,
suppliers, and contractors.
Assess MLGU and BLGU capacity for
implementing projects.
Meet
with
representatives
of
NGAs
implementing projects in the municipality
to gather their experiences in working with
the MLGU and the BLGU.
Conduct risk assessment related to public
works and infrastructure.

At the end of the period, the DAC


will have;
a. Become accepted as a regular
feature
of
the
municipal
landscape;
b. Established him/herself as the
point person for technical,
engineering, and procurement
concerns in the KC Project;
c. Integrated with the Municipal
Engineering Office, the different
leaders and officers of the
different LGU and NGA offices
in the MLGU;
d. Prepared a report on SI
findings relative to the DACs
scope of concerns.
e. Prepared an action plan for
engaging the MLGU.
f. Prepared a list and profile of

Field Guide for KALAHI-CIDSS Area Coordinating Teams

111

ACT member

Scope of SI Tasks

Outputs / Results
quality
contacts
engineering.

Municipal
Finance
Analyst

Meet with the MPDO, and the B/MLGU


finance officers and study the state of
Municipal and Barangay LGU financial
capacity, and the systems, procedures,
processes,
structures,
and
norms
surrounding M/BLGU finance management.
Look into LGU finance generation and
income
capacity,
borrowings
and
commitments, spending for development,
LCC mobilization capacity, and other
finance management norms and practices.
Meet
with
representatives
of
NGAs
implementing projects in the municipality
to gather their experiences in working with
the MLGU and the BLGU, with special
emphasis on the finance aspects of
implementation.
Conduct risk assessment related to finance
management and LCC delivery.

for

At the end of the period, the MFA


will have;
a. Become accepted as a regular
feature
of
the
municipal
landscape;
b. Established him/herself as the
point
person
for
finance
concerns in the KC Project;
c. Integrated with the Municipal
Treasurer, the Municipal Budget
Office, the Municipal Auditor,
and members of the Local
Finance Committee. U;
d. Prepared a report on SI
findings relative to the MFAs
scope of concerns.
e. Prepared an action plan for
engaging the MLGU.
f. Prepared a list and profile of
quality contacts for finance.

7. How is SI conducted in the KC Project?


While SI is a highly iterative process, there are broad processes and steps that should be
followed. These are described below;
7.1 Conducting preliminary social investigation:
1. Gather information about the municipality/barangay from secondary sources.
a. Meet with the RPMO and request for copies of municipal documents on file
gathered during the municipal enrollment. Likewise, request for a copy of the
Potential Problem Analysis documentation of the RPMO on the municipality.
b. Collect data on the municipality/barangay from other NGAs. A sampling of
information that can be generated from other NGAs are included in the TOOLKIT
section.
c. Surf the internet. Many municipalities have their own websites. These can
provide you with important basic information. A simple search using your
favorite browser will also generate much information about the municipality or
barangay.
2. Meet with key leaders of the B/MLGU. Use your first meeting to generate
preliminary information, and generate leads to other information sources.
3. Meet with your team. Review the information collected and begin a preliminary
analysis of the data gathered. This will help you indentify data gaps, and the study
areas and specific information you will need to further collect. Once the data gaps
have been identified, prepare your SI plan. A sample plan can look like this;

112

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Barangay AAA
Municipality BBB
Area of
Information
study
needed

Questions to
ask

Target
respondents

When

7.2 Conducting the social investigation:

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

3. Talk to people. Make conversations casual and

informal. Always be polite. Ask open-ended


with
community
questions and be prepared to improvise.
members. Participate in the day to
4. Observe your surroundings, be sensitive to
day
activities
of
community
the mood, and watch out for non-verbal cues.
residents.
Integration
means
Use your eyes twice as much as your mouth.
5. Suspend your judgment. Guide the discussion,
establishing rapport with the people
but do not dominate. Do not impose your
by living with them and undergoing
views either.
the same experiences; sharing their
6. Take notes in private, not in public while your
hopes, aspirations and hardships in
talking to people. This can seem threatening
to some. Pay attention.
order to develop mutual trust and
7. Triangulate information. Always validate the
cooperation.
Integration builds
information you get.
rapport
and
facilitates
social
8. Analyze continuously, evaluate your progress,
investigation. In order to gain first
and update your method when necessary.
9. Get as broad a cross section of the community
hand and comprehensive knowledge
as possible. Give emphasis on the views of
of the community, it is important to
the more marginalized groups.
immerse yourself in the community
10. Make your data inform your analysis, not the
as it is only the people who can
other way around. Keep an open mind, and
prepare to be surprised.
supply the most revealing picture of
themselves, their history, culture,
values, beliefs, norms, lifestyles, and their needs and problems.

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.).

e. Validate or cross-check information with different sources. Get information


from more than one source. Check and double-check the information for accuracy
using information from different people, and from secondary sources.

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

What are the CLPIs?


Health:
Proportion of child deaths aged 0-5 years old.
Proportion of women deaths due to pregnancyrelated causes.
Nutrition:
Proportion of malnourished children aged 0-5
years old.
Shelter:
Proportion of households living in makeshift
dwellings.
Proportion of households who are squatters.
Water and Sanitation:
Proportion of households with no access to safe
water supply.
Proportion of households with no access to
sanitary toilet facilities.
Basic Education:
Proportion of children aged 6-12 years old not in
elementary school.
Proportion of children aged 13-16 years old not in
secondary school.
Income:
Proportion of households with income below the
poverty threshold.
Proportion of households with income below the
subsistence threshold.
Proportion of households who experienced food
shortage.
Employment:
Proportion of households who are unemployed.
Peace and Order:
Proportion of persons who are victims of crime.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

115

f.

Build up your problem tree downwards in a cause-effect relationship, as described


in box__. On the fourth layer, put in the events or conditions observed from the
SI that links with a particular CLPI area. These are the statistical, numerical data
gathered from the various
secondary
information
Building a Problem Tree
sources, and from discussions
with the communities. This is
the event level.
Build up the cause
and effect story of the
problem.

Hindi makahanap ng
trabahong mataas ang kita

Kaya?

g. On the fifth layer, put in the


causes of each of the cards on
Maraming kabataan ang
Starter
Cause is downward ask
hindi nakakatapos ng HS
Problem
the fourth layer, and so on
dahil
Effect is upward ask
downwards. As you go down
Madalas absent sa school
kaya
at di pumapasok
the tree, you will notice that
Dahil?
the causes will tend to be
Nagtatrabaho sa bukid
observations of social, sociocultural,
economic,
and
political aspects of community
life that are contributing to problems identified in the upper layers. Some of
these problems will tend to repeat themselves under each area of the CLPI. This
is ok. As some of the key causes are repeated across the areas of the CLPI, the
patterns that bring about the events of the 1st to 4th levels will begin to emerge.
As you continue identifying causes, your problem tree should start looking like
the one below.

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

Prepare your intervention plan.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

7.4 Conducting continuing SI


Your SI will never fully capture the full flavor of community life in your assigned
municipality and barangay.
It will be important to continually update your Community
Profile as new information arise and you get a deeper understanding of the community
and its residents in the course of Project implementation. A number of occasions in the
course of the CEAC will provide you with opportunities to do this. These include the
following;
a.
b.
c.
d.

Team meetings and Tactic Sessions;


Meetings with MIAC members and the MCT;
Participatory Situation Analysis;
Community meetings and Barangay Assemblies;

These will be discussed in succeeding sections of this field guide.

8. How will you know if your SI is enough to move on to other tasks?


While there are no hard and fast rules to knowing when to move from SI to conducting
CEAC activities, answering either yes or no to the following statements might help;
1. I have gone around the community, undertaken field visits and observations,
acquainted myself with the right key informants and at least 25% of HHs in my
covered barangay (for CFs), and I have the records to prove it.
2. I have integrated well with key people and community residents, and am
confident that I have been given information which people hold to be true, and
have not been misled or lied upon.
3. I have gathered enough information to put together a picture of the community
that;
a. Describe the community in terms of the Physical, Demographic, Social,
Cultural, Economic, and Political dimensions.
b. Describe how these dimensions work together in a way that reveals the
municipality/communitys strengths and potentials, as well as its
weaknesses and the risks and challenges it faces.
c. Describe the issues and challenges faced by the community in a problem
tree that shows clear and logical links of causes and effects.
4. The information I gathered came from the right sources, and can be validated
either by looking at secondary source documents, or by conducting validation and
triangulation activities with community residents.
5. I have used these information to identify the opportunities that I can use, as well
as the issues, risks, obstacles, and challenges that I might face in conducting
project activities in the municipality / barangay.
6. I understand that my understanding of the community is incomplete, and hence
my plan is open to sharpening, change, refinement, and expansion.
7. I have developed strategies to both exploit opportunities and address constraints,
as well as the specific steps to operationalize these in the course of the year.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Field Guide for KALAHI-CIDSS Area Coordinating Teams

119

Guide to facilitating
Barangay Assemblies in the KC Project

1. What is the Barangay Assembly?


The Barangay Assembly is a gathering of barangay residents who are Filipino, at least 15
years old and above, and listed in the records as members of the barangay assembly (as
defined in the Local Government Code, R.A. 7160).

2. What is the purpose of the BA in the KC Project?


The BA serves as the primary venue for (i) introducing KC; (ii) updating the community
on the status of KC implementation, and; (iii) for community members to decide on key
aspects of implementation of the KC Project in the barangay. Some of the things
decided in the various BAs conducted include;
1. Election of community volunteers to compose different committees and perform
different functions in the KC Project.
2. Deciding on the priority needs of the barangay identified by the community
volunteers in the PSA.
3. Approving the Barangay Action Plan (BAP) to address PSA-identified needs.
4. Deciding on the intervention to be proposed to the KC Project.
5. Deciding on the criteria for prioritization to be proposed to the MIBF.
6. Approval of the design and implementation elements of projects to be proposed
to the MIBF.
7. Recognizing organizations formed to operate, manage, and maintain projects
approved by the MIBF, or those formed to address other BAP concerns.
8. Decisions on the use of funds provided to the barangay for community projects.
9. Hearing and approving resolutions to address grievances raised on KC
implementation in the barangay, and;

3. Who are the participants to the KC Barangay Assemblies?


Participants to the BA in the KALAHI-CIDSS Project include stakeholders in the
community. Specifically, the following are expected to participate:
At least one representative per household residing in the barangay.
The Barangay Chairperson, as convenor
Members of the Barangay Council
Members of the Barangay Local Special Bodies
Representatives of sectoral groups and their peoples organizations (POs), such as
women, IP, youth, older persons, Pantawid Pamilya beneficiaries, and the like
Representatives of National Government Agencies (NGAs) operating in the
barangay, such as the DAR (if there are Agrarian Reform Communities or ARCs in
the barangay), the DA, DENR, and others
Representatives of non-government organizations (NGOs) operating in the
barangay, and

120

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Other stakeholders and interested parties.

In addition, members of the Municipal Inter-Agency Committee (MIAC) may also be


invited.

4. Who leads in the conduct of BAs in the KC Project?


The ACT Community Facilitator (CF) takes the lead role in ensuring that BAs are
conducted in the KC Project, and is supported by the MCT CF in preparing for,
facilitating, and conducting post BA activities.
The Barangay Captain or his/her
designated representative convenes and opens the BA but very often passes the
facilitation role to the CF. However, it is important that the Barangay Chairperson is
given time to formally recognize and acknowledge agreements made. The Chairperson
also formally closes the BA.

5. How many barangay assemblies are held in the KC Project?


On average, a minimum of five (5) BAs are conducted in the course of one (1) CEAC
cycle.

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

After the PSA

Objectives

Outputs

To orient the Barangay


residents on the KALAHICIDSS Project, identify
volunteers for the
Participatory Situation
Analysis (PSA), and form the
Barangay Grievance
Committee.

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;

To validate the results of the


PSA activities conducted by
community volunteers,
decide on priority problems
for work under the KC
Project, approve the

Barangay Resolution
approving the PSA
results, and the
Barangay Action Plan;
Barangay Resolution
proposing criteria for the

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121

BA

When
conducted

Objectives

Outputs

Barangay Action Plan (BAP),


propose criteria for the CSW,
and elect members of the
Barangay Representation
and Project Preparation
Teams (BRT and PPT).

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

After the Criteria


Setting
Workshop
(CSW) and
Project
Development
Workshop
(PDW),

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

After the MIAC


review prior to
the Municipal
Inter Barangay
Forum for
Participatory
Development
Planning and
Resource
Allocation
(MIBF-PDPRA)
After the MIBFPDPRA

To frequently consult with


community members on the
project design, resource
requirements,
implementation,
management, and operation
and maintenance
arrangements.
To conduct final review of,
and formally approve the
agreed community proposal
for presentation to the MIFB
?BA. (?) parant malabo ito?

To feed back to the


community the results of the
MIBF, and; (i) for prioritized
barangays form the
BSPMC and prepare for the
implementation of the
project; (ii) for both
prioritized and nonprioritized barangays
update the BAP and plan on
the next steps for
incorporating other
community priorities into the
development plan of the

For funded barangays;


- Resolution for the 1st
RFR;
- Resolution opening the
Community Bank
Account, and naming
the signatories
thereto;
For all barangays;
- Updated BAP
Minutes of the BA;
Attendance sheets;

5th BA

122

Comments for revision of


and /or approved
proposal for presentation
to the MIBF.
Minutes of the BA;
Attendance sheets;

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

To generate lessons and


insights from the community
members on the experiences
of the first cycle, and
prepare for implementation
of the next cycle.

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

To hear and resolve


grievances in
implementation.

Resolution on findings
and agreements made to
address grievances.
Minutes of the BA;
Attendance sheets;

7. What should participation in BAs teach community members and


leaders?
The BA IS the primary vehicle for the exercise of direct democracy, where ordinary
citizens can, if properly designed, meaningfully participate in the crafting of policies that
affect their day to day life. The BA also provides the venue where the people can hold
their barangay LGUs accountable for the delivery of basic services, demand
transparency, and claim their right to directly govern themselves.
Well prepared and facilitated Barangay Assemblies also serve as powerful occasions
where people learn the following;
1. Public officials should be made to account, and can in fact account, for how they
govern, how decisions are made, and how resources are used. Citizens have the
right to make public officials accountable.
2. Citizens have an obligation to become involved in the affairs of government.
Participating in, and not just attending BAs, is necessary to ensure decisions are
responsive to peoples needs.
3. Everyones opinion is important. There are people who are forceful in their
opinions, while some (like the poorest families or IPs, etc.) can be timid and not
share their opinions at all. There are ways by which opinions of sectors can be
gathered through small group caucuses in the BA, and the shared in the bigger
group as a sectoral view.

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123

4. If decisions are made in a transparent way, where information is shared and


disclosed, and people are allowed to share their views, opinions, and
recommendations, consensus can be made and the results of decision making can
be accepted by all. It is when a person or a group dominates the BA that no good
decision making happens.

PRACTICE NOTES:

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125

Guide to conducting the 1st Barangay


Assembly on Orientation on KALAHI-CIDSS

1. What is the objective of the first BA?


To orient the Barangay residents on the KALAHI-CIDSS Project, identify volunteers for
the Participatory Situation Analysis (PSA), and agree on setting-up the Barangay
Grievance Committee.

2. What are the expected outputs of this BA?


At the end of this assembly, the community will have;
1. Arrived at a consensus to support KC implementation in the barangay and agreed to
issue a resolution for this purpose;
2. Selected community volunteers who will be members of the PSA Team. Request the
BA to consider the following:
2.1. Representation of all sitios, the numbers may be equal or proportionate to the
number of HHs per sitio
2.2. Equal representation of women and men
2.3. Representation of types of community groups (e.g. , IP or ICCs, fisherfolk,
farmers)
2.4. Representation of organized groups or community-based organizations
3. Selected members of the Barangay Grievance Committee with following
considerations:,
3.1. Equal representation of women and men:
3.2. Representation of the Barangay Lupong Tagapamayapa or any other
committee/organization that is involved in grievance redress or social
accountability and;
3.3. Where the other members are elected at large from among members of the
assembly who are not public officials.
4. Completed the minutes of the BA, duly reviewed by the CF, and approved by the
Barangay Captain for approval in the next BA, and;
5. Completed the attendance sheets, duly reviewed and certified correct by the CFs,
and the Barangay Captain;

3. How does the CF prepare for the First Barangay Assembly?


The following preparations is suggested before you conduct the 1st BA;

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

fiestas, harvest, and other community activities.


Good scheduling will increase participation in the
BA.
In scheduling the BA, consider the schedule of
other BAs you will be facilitating.
Remember
that you are handling at least five barangays
and the proximity of the schedules might be
unmanageable.
Make sure the BA schedules
are realistic and manageable.
Ensure that the activity proposal for the conduct
of BA is submitted to the Regional Project
Management Team (RPMT) with sufficient lead
time. Ask your AC for help.

Establish rapport with community


members.
Identify quality contacts,
and enjoin their help in mobilizing
community members to attend the BA.
The SI and Integration you have
conducted will have aroused interest in the BA. Build on and sustain this interest.

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.

When in doubt, ask the community what they will be


comfortable with, and you will never go wrong!!!

Prepare the materials, visual aids,


and forms and documents you will
use beforehand. Make your visual aids attractive and simple so people can easily
understand what you want to say. Remember that there will be people that will not
know how to read in English, or not know how to read at all. If you must use words,
use the local vernacular. Also, since you will use these in 5 different barangays, make
sure they last. Talk with your fellow CFs about how to best prepare your visual aids.
Present your prototypes to each other to get feedback.
Prepare and study the materials you will need. Practice/role-play the conduct of the
barangay orientation with your fellow CFs. Practice using your visual aids and rehearse
your responses to questions that may be asked.

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127

4. How does the CF conduct the First Barangay Assembly?


Before the start of the assembly, the CF should re-check his/her presentation materials
as well as the physical and logistical arrangements and ensure that everything is in order
as planned. The CF or the assigned person should also ensure that all participants are
registered in the prescribed attendance sheet. It would be best to have separate
attendance sheets for each sitio, so as not to delay the proceedings.
The following program flow is proposed for the assembly proper:
1. Opening: Request the barangay captain to call
the assembly to order. The barangay captain
then gives his opening remark and, together
with the CF, acknowledges the participants by
purok or sitio.
2. Orientation on KC: Upon the signal of the
barangay captain, take the floor and proceeds
to orient the assembly on the KC Project. The
orientation can follow the following broad flow;
a.

Remember that in presenting


1. Your
audiences
are
barangay
residents who may have other
important domestic concerns to
attend to.
Speak clearly, and be
concise, and accurate in your
presentation.
Dont waste their
time.
2. Always encourage the participants
to ask questions regarding all
matters under discussion.
3. Facilitate
the
open
forum/discussions.
Encourage
everyone, but most especially the
poorest marginal sectors, to speak
up by posing open-ended questions.
4. Synthesize
/
summarize
the
discussion points.
5. Be alert to assess how well the
participants
understood
and
internalized your presentation.

Present the objectives and agenda of the


meeting.
Emphasize that the meeting
aims to (i) provide the barangay
participants with information on the KC;
(ii) discuss the roles of stakeholders and
solicit support from the community in
implementing the project; (iii) discuss the
PSA and elect community volunteers for the community research, and; (v) form
the Barangay Grievance Committee.

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

Indigenous People (IP), farmers, poorest households,


and communities in conflict. They should be allowed
to air views, participate in the decision-making
process, and be made aware of their value in the
project.
Presents problems and encourages group analysis,
makes people think critically and motivates them to
act.
Is sensitive, both to the verbal and non-verbal
communications that occur in the group. Is sensitive
to the feelings, attitudes, culture, interests, and any
hidden agenda of group members, and;
Does not control the group, nor change or ignore any
decisions the group has made.

c.

Opens the floor for


questions, clarifications,
comments, suggestions,
and insights. Make sure
to solicit the insights
and
views
of
the
marginalized
sectors,
such as women, IPs, the
youth and the older
persons, communities in
conflict, and the poorest
households
(Pantawid

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

Explain that selection of community


The following are just some of the criteria
volunteers will need to follow certain
used in selecting PSA CVs. These are just
criteria
consistent
with
the
KC
examples, the community can propose
Principles.
Guide the community in
more.
credible generally respected and
developing the criteria for selecting
accepted by the community
community
volunteers,
using
the
committed to community welfare
following considerations;
can initiate action without expecting
Three (3) community volunteers
remuneration
sensitive to others can work and
from each sitio or purok will be
accept others whose opinion might be
needed;
different from his/hers
Relevant
basic
sectors
and
inclusive able to represent broad and
marginalized
groups
in
the
different community interests
creative able to come up with new
community should be represented
ideas and receptive to change
in the team.
These include
experienced exposure to similar
fisherfolk, farmers, Indigenous
activities;
People,
poorest
households,
willing must be willing to undertake
the tasks, interested to learn, and willing
youth, women, informal sector,
to undergo training
and others.
available must have considerable
At least one of the three CVs per
amount of time necessary for the task at
sitio be a woman.
hand
Traditionally underrepresented or
non-represented groups or areas
(such as Indigenous People or
Indigenous Cultural Communities, and communities in conflict) also need
to be represented in the PSA Team.

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

After clarifying all questions raised, request the assembly to nominate


volunteers. You may ask the participants to group together by sitio or purok 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, request for a motion to confirm and approve the selected
volunteers. One confirmed, request the volunteers to stay on for a few minutes
after the assembly to discuss initial preparations for the PSA.

4. Form the Barangay Grievance Committee and Fact-Finding Group: Explain to

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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Field Guide for KALAHI-CIDSS Area Coordinating Teams

a. Explain that, as a matter of policy, decisions made during barangay assemblies


will be valid only when approved/sanctioned by an overwhelming majority of
residents. Emphasize that while the common majority rule is 50% + 1 with all
sitios represented, the KC Project strongly encourages a higher rate of
participation (80%) to achieve a higher level of legitimacy on decisions made in
barangay assemblies.
Likewise, participation of marginalized sectors, like
women, IPs and ICCs, conflict affected communities, poorest households, and
other groups will be tracked by the Project.
b. Opens the floor for discussions on the participation rate, and the challenges to
generating high participation rate. Encourage everyone to share their views,
opinions, and recommendations. Summarize all the views and suggestions, and
call for a motion to resolve that the barangay will struve to achieve and maintain
80% participation rate or higher in BAs.

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.

5. What should the CF do after the assembly?


Immediately after the BA, call on the PSA volunteers for a brief meeting.
a. Conduct a short reflection session with the volunteers on the conduct of the BA.
Gather their learning and insights.
b. Agree on who will represent the group in the Municipal PSA Planning Workshop.
The representative will be responsible for relaying to the rest of the volunteers
the agreements to be made in the municipal PSA planning workshop. Once the
representative has been identified, request for a motion to confirm and approve
the selected volunteer.
c. Set the date for the Barangay PSA Volunteers meeting.
Assign key persons
from the group who will inform selected/confirmed volunteers not present during
the assembly. Better yet, involve them in the planning for the next meeting,
where to meet, who will bring what, etc. Remember that this is your first
volunteer group. This committee carries the seed for future organizing and
community group building. The higher the camaraderie established with this, and
future community volunteer groups, the easier it will be to organize an
association later.
Lastly, ensure that the proceedings have been properly documented.
a. Sit down with the Barangay Secretary or the designated documenter to finalize
the minutes of the BA. Assist the documenter in filling out details that may have
been missed or overlooked.
b. Accomplish the KC BA Form.

PRACTICE NOTES

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131

1. Role play a BA with each ACT member playing a specific stakeholder;


2. Critique the role playing
3. List possible questions, reactions and different scenarios. Agree on possible response
from the team.

DOs and DONTs in Facilitating Meetings

Do learn to manage conflict


Do build mastery of the subject matter being
discussed, and project your message well according
to the level of the group.
Do lay down the ground rules of discussion. Traffic
effectively to sustain the smooth and systematic
flow of discussion
Do suspend your judgement. Be sensitive to, and
avoid biases, especially your own, and point out
biases of the group as they come out.
Do give everybody a chance to talk/participate
Do always give a running summary of the
discussion/agreements, and synthesize the entire
discussion, especially the decisions made.
Do be sharp and sensitive to the participants
needs, and surface, give due recognition and
acknowledge feelings and experiences of
participants. Respond quickly to verbal and nonverbal reactions of participants
Do be relaxed, confident, warm, and trusting. Try
to smile often. Humor is important.

132

Dont quarrel with participants


Dont indoctrinate and lecture like a
teacher. Share what you know as an
experience, tell a story, but do not ram your
ideas down peoples throats.
Dont embarrass nor insult the participants,
nor reprimand them. If they did not come
early or failed to follow your instructions, it
is because they have better things to do, or
you did not plan and explain well enough.
Dont be too serious, but dont overdo the
sense of humor, or you will look like a
clown, and people will not take you
seriously.
Dont think for the people, help them think
for themselves.
Dont lead participants by asking questions
designed to generate answers you want to
hear.
Do not express personal opinion, standpoint
or viewpoint
Do not exercise authority over the group

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Field Guide for KALAHI-CIDSS Area Coordinating Teams

133

Guide to conducting
Participatory Situation Analysis

1. What is Participatory Situation Analysis?


Participatory Situation Analysis (PSA) is a
systematic, semi-structured and flexible method of
getting information. PSA is also sometimes known
as Participatory Learning and Action (PLA),
Participatory Rural Appraisal (PRA), Participatory
Resource Review (PRR), and Participatory Action
Research (PAR) for other groups.
PSA is also a method
information that can
organizations, design
programs and projects,
and drafting of community development plans.

of sharing and analyzing


be used to strengthen
and implementation of
monitoring and evaluation,

2. What is the purpose of PSA?


People know more about local conditions
that are relevant to development planning.
Hence, the project needs to address
community demand and not those that are
pre-identified by external experts. This is
where the value of PSA comes in.

Teach people how to fish!


When you actively engage the
people, the people and you will
gain the knowledge, skills, and
power to effectively plan for,
implement, and manage
change.

Through the PSA, you will be able to


mobilize local communities into sharing
information about local conditions from their
own
perspectives.
Unlike other data
gathering methods, the PSA you will undertake must involve community members in (i)
defining the research agenda; (ii) gathering relevant data, and; (iii) analyzing the data
to inform their development plans. It is a collective study and analysis of the community
situation where, through your able facilitation, the people will be able to share their
knowledge and experiences on their condition, and the results will be vital inputs to the
development of community plans.
Since PSA involves community members, it allows external actors (like you, the ACT,
and especially the CF) to understand how community people think and what their
priorities and goals are. Because it is participatory, the PSA is an effective and efficient
way of data gathering and analysis that allows people to participate in simple, visual,
fun, and semi-structured processes of sharing, gathering and analyzing information
through the use of visual tools.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

3. What are the objectives of the PSA in the KC Project?


The objectives of the PSA in the KC Project are to;
1. Facilitate acquisition by the community in general, and the PSA community
volunteers in particular, of a deeper understanding of the conditions that
contribute to poverty and vulnerability to poverty of residents in their barangay;
2. Help community members and volunteers identify the key problems /
development challenges that need to be addressed;
3. Assist the volunteers and community members in exploring the range of solutions
that can be implemented to address these challenges, the resources necessary,
and the priority problem that needs immediate response.
4. Guide the community and the volunteers to develop (i) a barangay action plan to
address challenges and problems, and; (ii) a plan for how to monitor and
assess/evaluate progress made to address these challenges (the CommunityBased Monitoring and Evaluation or CBME system)

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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2. Prepared (i) a problem tree that identifies development challenges informed by


data from the community profile, and their cause and effect relationships;
3. Prepared a solutions tree that describes how different solutions contribute to
addressing problems identified in the problem tree;
4. Prepared a simple Barangay Action Plan and a community-based monitoring and
evaluation plan.
5. Identified a priority problem and the range of possible solutions that will be
proposed for funding through the KC municipal grant.
Specific tools for each of the outputs described above can be found in the TOOLKIT
section of this field guide.

5. Who conducts the PSA?


The Community Facilitator (CF) is primarily responsible for conducting the PSA in the
communities/barangays.

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

136

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

Data gathered about


the
barangay,

Participants
ACT
MCT
MIAC members
Community
Volunteer
representative per
barangay

KC and MCT CFs


PSA Community

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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;

To solicit inputs from, and


approval of the entire community
to the results of the PSA;
To select the range of solutions
that will be proposed for funding
to KC for the cycle;
To elect community volunteers
who
will
form
the
Project
Preparation Team (PPT) and the
Barangay Representation Team
(BRT);

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

Similar to the first


BA above; (sec.___,
pp. ___)

8. How is the PSA conducted in the KC Project?


8.1 Preparing for the PSA
Before conducting any activities related to the PSA, make sure to understand and learn
the basic principles by heart. In addition, do the following;
1. Complete your Social Investigation activities, and make sure you have finished your
Community Profile and Social Assessment Report. You will need this to guide the
community volunteers in the research. If you proceed with the PSA without having
completed your SI, you will be like a blind person trying t lead a group with perfect
20/20 vision.
2. Meet with your team and, together with the MCT, review all available secondary
information which might be useful for the community research. Review NHTS, CBMS,
and other planning data available and used by the MLGU. Look at data from other
NGAs working in the municipality.
3. Together with your ACT team mates and the MCT, plan for the conduct of the
Municipal PSA Planning Workshop. Discuss goals, objectives, and expected outputs.
Discuss available data, what can be used or discarded, and what can be updated
through the PSA Process. Discuss logistics concerns, who will handle what session,
and the general program. Divide up the work among your team members. Dont
forget to involve the MLGU, especially the MIAC, in this effort.

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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.

9. Guide to conducting the Municipal PSA Planning Workshop


(KC PSA Stage 1)
9.1 What are the objectives of the Municipal PSA Planning Workshop?
The general objective of the Municipal PSA Planning Workshop is to prepare the MCT and
community volunteers for the conduct of PSA activity in every barangay. Specifically,
the planning workshop aims to;
1. Build common understanding of the PSA objectives, process, and outputs among
MIAC, MCT, and selected CVs who will be involved in the barangay PSA.
2. 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.
3. Plan for the conduct of PSA activities in the barangays.

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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;

All members of the ACT


All members of the MCT
Members of the MIAC (the MPDO, and others)
Community volunteers selected to represent their barangays in the PSA Planning
Workshop. Depending on the number of barangays in the municipality, between
one to two Community Volunteer per barangay shall be selected by the PSA
community volunteer group to be their representative to the PSA Planning
Workshop.

9.4 Who facilitates the Municipal PSA Planning Workshop?


The KC Area Coordinator is the main facilitator in the PSA Planning Workshop. He/She
shall be supported by the MCT AC.
9.5 How long is the duration of the workshop?
The workshop should last no more than two days.
9.6 How is the Municipal PSA Planning Workshop conducted?
9.6.1 Preparing for the Municipal PSA Planning Workshop:
The following are some of the more critical activities that you (the AC) should undertake
to prepare for the Municipal PSA Planning Workshop;
1. Meet with your team and plan for the workshop. In planning;
a. Review the status of Social Investigation activities. Make sure that each of
the CFs have completed their Community Profiles and SI Reports. Give
special emphasis on the scope and depth of the data gathered. Focus on what
secondary data was gathered by your team, and what data gaps exists, and
have been filled by integrating with the community members. If the CFs did
good SI, their reports will contain more information than what is currently

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139

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

What we dont know


and need to know

3. Summarize the discussion, and introduce the KC PSA exercise.

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Part 3: Introduction on the PSA


1. Discuss the KALAHI-CIDSS PSA Process at the barangay by presenting the
following;
1. Background
2. Participants
3. Process, Procedures and Steps, broken down by the following steps;
Generating the PSA Agenda
Conducting community research
Consolidating and analyzing findings, and
Preparing the Barangay Action Plan and the simple Community-Based
Monitoring Plan
4. Duration
5. Expected Outputs
6. Roles of ACTs and MCTs
2. Discuss some of the tools that can be used to gather specific information that can
fill the data gaps. A chart of this can be found in the Toolkit section. Specifically,
demonstrate the use of the following basic tools;
a. Data gathering and presentation
The physical, resource, and social map
The timeline and seasonality calendars
The different charts (pies and bars) that can be used to present
thematic data
Flow diagrams that can be used to represent processes surrounding
major community activities, and others;
b. Analysis tools
Stakeholders Analysis and the Venn diagram or bubble charts
Risks Analysis
Problem Analysis and the Problem Tree
The Solutions Tree
c. Planning Tools
The simple community logframe
The Barangay Action Plan
The simple community-based monitoring plan
3. In discussing the above, emphasize the following points;
a. Every activity and process in the PSA, from the crafting of the research
agenda to the preparation of the barangay action plan and monitoring
plan, will be led by community volunteers. The role of the CF and the
MLGU staff are to provide guidance and give assistance only, and not to
force their own view and analysis on the community.
b. Community volunteers gathering data is an essential part of the PSA. The
community volunteers are not just data sources but also researchers. They
do not just share data to the CF, they gather the data which they
themselves have defined to be relevant to the areas of study they want to
look at, in the course of the PSA in their barangay.
c. Special attention should be given to gathering the views and perspectives
of poor and marginalized sectors, especially women, indigenous
communities, poorest households, and communities in conflict. Research

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questions should therefore be designed to generate the voice of


marginalized groups.
d. All community members are expected to participate in the PSA process. If
this is not possible, it is important that all sectors are represented
nevertheless. Identifying the community members who can serve as key
informants on local conditions will be very important, as they serve as
important sources of critical information that can help in the formulation of
development plans. Your list of quality community contacts will serve as
the basis for this.
e. Not only individuals but CBOs working in the area can also provide
important information. It is vital to involve the existing community-based
organizations (CBOs) in the PSA process. Engaging CBOs helps produce
the added effect of building ownership of PSA results among organized
groups, thereby increasing the potential for buy-in of CDD processes as
well as the inclusion of the peoples issues in their respective development
agenda.
f.

As facilitators, the CF's behavior is critical to PSA. As the facilitators must


sit down, listen and respect the views of PSA participants, they must at
the same time embrace a bias for the voices of the poor, guided by the
principle of affirmative action.
Facilitators must ensure that (i)
opportunity is provided to those who would not have the opportunity to
speak under normal conditions; (ii) the voice and views of women, the
poorest and marginalized sectors are captured and not trivialized, and;
(iii) a safe space is created where the poorest and most marginalized
groups are able to express their views without fear.

Part 4: Prepare the PSA Plan


1. Form the ACT-MCT PSA Teams. Group the ACT and MCT CFs together with
the CV representatives from their covered barangays.
2. Instruct each team to prepare their PSA plan and schedule of activities. This
should show (i) when the PSA orientation in each barangay will happen and
where; (ii) the period of community data gathering; (iii) the periodic
checkpoints within the data gathering period;(iv) the schedule of the
consolidation, analysis, and planning meeting, and; (v) the schedule of the
Barangay Assembly for PSA Validation. The format can be similar to the chart
below;
Barangay
Name

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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10 Guide to conducting the PSA at the Barangay


(KC PSA Stage 2)
10.1 What are the objectives of the PSA at the barangay level?
The general objectives of the barangay PSA is for the CF to assist the community to;
1. Identify community strengths and opportunities for, as well as problems and
challenges to development, and identify the key poverty problems and
challenges that must be addressed;
2. Identify the range of possible solutions to address development challenges in
the community, and develop a Barangay Action Plan (BAP) to implement
these solutions;
3. Develop a simple community-based monitoring and evaluation system that
will aid communities in tracking their progress in achieving objectives.
10.2 What are the expected outputs of the barangay PSA?
At the end of the activity, the CF will have assisted community volunteers in producing
the following;
1. Data gathered about the barangay, presented in the form of visual tools;
2. Problems and Solutions Tree;
3. Barangay Action Plan
4. Community monitoring plan;
10.3 Who are the participants to the barangay PSA?
The following are the participants to the Municipal PSA Planning Workshop;

KC and MCT CFs


PSA Community Volunteers
Community residents
The ACT and MCT ACs and MIAC members, to provide technical assistance
and conduct monitoring

10.4 Who facilitates the barangay PSA?


The KC Community Facilitator is the main lead person in the conduct of the PSA in the
barangays. You will be supported by the MCT CF, and will work closely with and provide
guidance to PSA community volunteers.
10.5 How long is the duration of the barangay PSA?
You should be able to complete the barangay PSA in 5 barangays within 25 working
days.

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10.6 How is the barangay PSA conducted?


10.6.1 Preparing for the barangay PSA
Before conducting any activity on the PSA in the barangays, make sure you have;
1. Completed your SI, prepared your community profile, and have a good
understanding of the situation in the barangay.
2. Prepared and reviewed my problem tree.
3. Participated in the Municipal PSA Planning Workshop.
4. Undertaken groundwork with the PSA volunteers.
5. Prepared a session plan for the PSA orientation and other activities, practiced
the activities, and practiced the tools, and practiced the steps.
6. Prepared a list of possible questions that I can ask, or I can be asked of/by
the volunteers (with answers).
7. I practiced with my team, and with my partner CF.
In addition, be mindful of the following challenges and pitfalls in the PSA process that
must try your best to avoid;
1. Rushing the process: Resist the temptation to rush the process. Rushing will
produce an output that does not reflect the real situation of the community
which in turn produces plans that are not responsive to the real needs of the
people.
2. Mechanical conduct of the PSA: Due to the number of times you need to
conduct the PSA process (five times in every cycle, one for each assigned
barangay), you will be tempted at times to conduct the PSA in a mechanical
manner. Avoid this by keeping in mind that every community is unique and
has its own specific context. Hence, equal amount of time and respect must
be given to address the needs of all barangays.
3. Gathering too little or too much information: There is no way to
determine whether gathered data is already enough or not. You must however
ensure that the data gathered do not have gaps as they are critical in
developing a coherent picture of local conditions necessary to develop plans.
4. Non-utilization of or over reliance on existing secondary information:
Remember that other agencies have already done what you and the
volunteers are trying to do. Check and make use of the information from
other organizations, agencies, or groups. These include data from the National
Household Targeting System (NHTS), Community-Based Monitoring System
(CBMS) and other important data. In the process of checking secondary data,
the original data collected and shared by local volunteers are enhanced and
validated.

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5. Focus on the tools and not


on process: Avoid the tendency
to focus on the accomplishment
of individual tools rather than on
the entire process,
Bear in
mind that tools exist for data
generation,
sharing,
and
analysis. If the tools make these
activities difficult to do, replace
them.
6. Treating the PSA as a oneshot
activity:
Some
facilitators think that the PSA
ends after the BAP. The PSA
data changes over time and new
information will always come.
Remember to check the PSA
results from time to time.

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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147

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:

Start with a simple visioning exercise


Generate events, problems, and issues, using the core local poverty indicators
(CLPI) as an organizing framework
Construct a problem tree
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.

The specific sub-steps under each step are as follows;


Step 1: The Simple visioning exercise
a. Start by having community volunteers go through a simple community
visioning exercise.
This will
serve as a reference point for
What is a vision
focusing problems identification
that will be used to generate the
It is a desired condition, a dream,
research agenda. Explain that a
pangarap;
problem is a block to a goal, and
It is vivid, concrete, something one can see
that if communities do not know
and imagine;
what their goals are, they will
Visioning generates a common goal, hope,
and encouragement; offers a possibility for
have a hard time agreeing on
fundamental change; gives people a sense of
what their problems are. Explain
control; gives a group something to move
that this is the reason for b
toward; and generates creative thinking and
eginning
with
a
visioning
passion;
exercise. Add further that the
vision will still be polished as the
PSA progresses.
b. Explain what a Community Vision is. Link this to two different ways of
addressing development challenges (a. Resource-based, and b. Vision-based).
c. Give metacards to participants. Instruct them to write their answers to the
following question - Ano ang pangarap ko para sa aking komunidad?
Ask the participants to write their answers on metacards. Discuss the
metacard rules Write BIG, one idea per card, no more than three lines per
card. Assist those who have difficulty writing. Summarize the answers.
d. Make sure the vision elements describe the future desired state are in
concrete terms. Guide participants using follow-up questions, using the CLPI
categories. Some of these questions can be;
i. Health Would children still get sick? Of what? Would women be
able to get medical attention when pregnant? How? Where would
people go when they get sick?
ii. Nutrition What would people eat? What would children be eating?
Where would they get their food?
iii. Shelter - Where would people live? What kind of a house would you
live in?
iv. Water and sanitation What will your surroundings look like?
Where would people get water? What is the quality of the water?

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v. Basic education Where would people study? Who would be able to


study? What would they be studying?
vi. Income What would be the primary income source? How much
would the average income be? How much would the expenses be?
vii. Employment - Where would they work? On their days off, where
would they go and what would they do?
viii.Peace and order Do people feel secure? What kind of conflicts occur
and how are these resolved?
e. Dont try to force the CVs to come-up with a vision statement at this point.
This can come later. What is important is that the CVs now have a collective
idea of what they want to see in their community.
f. Proceed to the next step.
Step 2: Generate events, problems, and issues
a. Discuss what a problem means.
Emphasize that it is (i) a block to
the goal of attaining the vision; (ii)
a bad or negative condition, state,
or event, and (iii) it is not the
absence of a solution
b. Give metacards to participants.
Instruct them to write any bad
event or problem that they
observed in their community.
Guide
the
participants
in
formulating
their
problem
statements using the samples
provided in boxes.
c. Discuss the metacard rules
Write BIG, one idea per card, no
more than three lines per card
d. Assist those who have difficulty
writing.

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.

e. Once everyone is comfortable with


the problem statements, proceed to the next step.
Step 3: Construct a problem tree

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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149

c. To help participants better appreciate the


logic of the relationships between cards,
explain that the relationship between
upper and lower cards is guided by the
statement Kaya may (card above) ay
dahil may (card below). Or Dahil may
(card below) kaya may (card above). A
sample is provided in the box.

Sample Cause-Effect
Relationship between Problems

d. Repeat this process until all cards are


placed in the tree. As you link cards,
some will cluster together around or flow
into common causes.
It will be
necessary to eventually end up with
cluster of cards around specific themes
e. Organize the cards into a problem tree.
Note that a problem tree will have only
one top effect, which is general poverty
in the barangay.
Under this will be
major causes, under which will be more specific causes. As the group
progresses in building up the tree, new problems will be proposed by the
group. Write these down on metacards, and place these on the tree.
f.

At the end of this process, you will have guided the community in formulating
a problem tree that looks like this;

Sample: Brgy. San Juan Problem Tree


Continuing cycle of
dependency

Many HHs remain Poor

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.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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;

Sample: Generating areas for study


Brgy. San Juan Problem Tree
Continuing cycle of
dependency

Many HHs remain Poor

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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151

Themes, questions, data, tools


Study Area
/ Themes

Problems

Questions

Data

PSA Tools

Farm
income

Residents cannot
engage in small
holding farming
activities

How is the total municipal


land area divided by land
use?
What is the percentage of
total land owned by
haciendas?

Total land
area.
Hacienda land
area.

Land use and


Resource map

Wages are below


minimum.

What is the average wage


vs. minimum wage?
Do haciendas pay different
wages?

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

How many HHs depend on


hacienda work for
livelihood? Partly vs. Total?
When is the off-season?
Where do people find a
living 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.

Community Research Plan


Kalagayang
pag-aaralan

Mga tanong
na sasagutin

Mga
impormasyong
kailangan upang
masagot ang mga
tanong

Mga PSA
tools na
maaring
gamitin

Sino ang
mananaliksik?

Kailan?

Remember that you are


working
with
community
residents who have been in
the area for a long time. This
is the beauty of PSA, since it
is the people who are both
the subjects and the objects of the study. This is also where the value of
ensuring that that every sector of the community is represented comes to
play. If the theme for investigation is around farming and agriculture, then it
is best that a farmer CV is assigned to this area of study. If the theme is
around HH expenses, then a mother would be the best to lead the study on
this aspect of community life.

g. Once assignments have been agreed, facilitate discussion and agreement on


the schedule of the next meeting where the CVs will come together to review
and consolidate the results of their community research activities.
h. Before ending the meeting, conduct a simple reflection session among the
community volunteers using the ORID framework in the toolkit. This will be
an excellent way to ensure that everyone will be inspired and in high spirits
going into the community research activity.

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

Stage 2: Community Research


During the community research stage, PSA volunteers go out and conduct field
observation, meet with community members, and interview key informants to gather
data on their assigned area of study. As the CVs go about their assignments for the
PSA, be sure to undertake the following;
a. Specify the timeframe for data collection
and provide CVs with ample time to gather
information they need.
b. Ensure that volunteers record their
findings and observations. Provide CVs
with a notebook and pen/pencil to use.
c. Monitor the data gathering efforts of the
CVs. Conduct periodic spot checks on the
progress of data gathering. Make yourself
available for consultations with community
volunteers,
as
well
as
accompany
volunteers in the field, if needed.

What to check with Volunteers


during Community Research

Check if information is validated


and triangulated;

Check if on-the-spot analysis is


undertaken;

Check if additional information is


gathered to deepen
understanding;

Check if information collected is


recorded;

d. Set a date for the checkpoint meetings


Stage 3: Consolidation of findings
At this stage, community volunteers come
together in a meeting to share information
that they gathered about local conditions.
They will prepare visual tools, and analyze the
information gathered to identify issues and
needs. Proceed through the following steps and
sub-steps;
Step 1: Consolidate findings and prepare
visual tools
a. Ask each volunteer to prepare their
reports, using PSA tools. Allow each
volunteer to provide his or her own views based on the data he or she has.
Assist CVs in reviewing secondary data sources and double checking the data
gathered. Once checked and validated, assist the CVs in preparing the PSA
charts.
b. There are many ways to visually present information gathered through the
community research. Samples of these tools can be found in the toolkit
section. The minimum set of tools that should be prepared, however, are (i) a
community map; (ii) timelines and seasonal calendars, and; (iii) pie, bar, and
line graphs and charts. The minimum required information to be presented
per tool type, and the processes for preparing each, are discussed below.
Assist the CVs in the preparation of these tools. Give special emphasis on
generating the views of marginalized groups like women, IPs and ICCs,
poorest households, and CVs from conflict-affected areas. As part of the
process, you should group the women together in a discussion group to
generate their specific views and inputs as women. In areas of mixed IP and

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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.

List down all features that must be included in the map;


Ask the participants to discuss and come to agreement on the symbols to be used for each
features;
Group the CVs by purok/sitio and provide each group with half a manila paper, a pencil, and
crayons of other drawing material;
Ask each group to draw a map of their purok/sitio, putting in the details of features earlier
discussed;
After all groups have finished, cut and paste together the map of each sitio to form a round
map of the barangay. Dont worry if the proportions are not yet exact.
Facilitate discussion of the map in plenary. Agree on the location of features, and put in
missing features.
Once agreement is reached, prepare a final map of the entire barangay on a clean sheet of
manila paper.

PSA Tool : Historical Timeline and Transect

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

PSA Tool : Historical Timeline and Transect


What to include:
1.

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.

Trends over time, such as;


Growth or reduction of forest cover;
Growth or reduction of farm lands (and trends from small to big landholdings);
Growth or decline of population and settlements over time;
Increase of commercial over agricultural areas;
Growth or decline in agricultural production (including fish catch), by type of produce;
Frequency of disasters and natural calamities over time;
Other trends deemed important by the CVs;

How to prepare:
1.
2.
3.
4.
5.

6.
7.

Facilitate agreement with the CVs on a start date.


Group the CVs by sitio/purok.
Ask CVs to recall important events in the life of the community occurring from the start date to
present. Ask the CVs to write the event, date, and a short description on a piece of metacard,
one event per card.
Draw a timeline in the middle of a piece of manila paper, from the start date to the present;
Ask participants to place their cards on a spot on the chart determined by (i) the time the
event occurred (from left to right), and; (ii) by whether the event is good (above the line) or
bad (below the line). The distance from the line upwards or downwards should reflect how
good or bad the event is;
Have all participants put all their cards on the chart. Where similar cards appear, get CVs to
agree on the time and the distance above or below the line;
At the end of the process, the chart should look something like the one below;

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155

PSA Tool : Historical Timeline and Transect


8.

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)

PSA Tool : Seasonal Calendar


What to include:
Recurring annual patterns of community life.

Events of geo-political significance, such as community / barangay assemblies, activities


around the local development planning and budgeting cycle and annual investment
programming of the BLGU, and others;
Events of annual physical and environmental significance, such as seasonal droughts or dry
periods, rainy season, etc.
Annual events of socio-cultural significance, such as celebrations and festivals, community
gatherings, cultural and/or religious events, illnesses and when they occur, and other similar
patterns;
Annual events/trends of the economic significance, such as planting and harvest seasons, in or
out-migration due to work opportunities within and outside the community, seasonal labor
opportunities, periods of high or low income, and other similar patterns.;
Other annually occurring events that are important to the community;

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

PSA Tool : Seasonal Calendar

PSA Tool : Charts and Graphs


What to include:
Graphs and charts are best used to present demographic data, especially those data to show the
community situation along the 13+1 core local poverty indicators, such as the ones identified
below. In areas with mixed IP and non-IP populations, indicate specific data relative to IP
populations per indicator.
1.

2.
3.

4.

5.

6.

7.

Health data, such as;


Incidence of child morbidity by age and type of illness, by sex, by sector
Proportion of child deaths aged 0-5 years old, by sex, by sector
Proportion of women deaths due to pregnancy-related causes, by sector
Other related data
Nutrition, such as;
Proportion of malnourished children aged 0-5 years old, by sex, by sector
Other related data
Shelter, such as;
Type of structure by no. of HHs
Proportion of households living in makeshift dwellings.
Proportion of households who are squatters.
Other related data
Water and sanitation, such as;
Proportion of households with no access to safe water supply.
Proportion of households with no access to sanitary toilet facilities.
Other related data
Basic education, including;
Proportion of children aged 6-12 years old not in elementary school, by sex
Proportion of children aged 13-16 years old not in secondary school, by sex
Cohort drop-out and survival rate by grade level, by sex
Teacher to student ratio
Student to classroom ratio
Other related data
Income, including;
Proportion of households with income below the poverty threshold, by sector
Proportion of households with income below the subsistence threshold, by sector
Proportion of households who experienced food shortage, by sector
No. of women-headed households (including single parents)
Other related data
Employment, such as;
Proportion of households who are unemployed.
Unemployment and underemployment rate by sex

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157

PSA Tool : Charts and Graphs

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.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

Step 3: Generate solutions


g. Once agreement on the problem tree is reached, facilitate CV discussion on
possible solutions to each major issue or problem identified. Begin this
process by converting the Problem Tree into a Solutions Tree.
i. Convert the problem statements in the problem tree into positive
statements.
The positive statement should describe the desirable
condition after the problems are solved. Begin by asking the volunteer
What will the situation be if the problem is solved?
ii. Check the logic of the solutions tree. If the logic of the problem tree is
cause - effect, the logic of the solutions tree is means ends. Link all
statements in a means-ends causal link. Using the Brgy. San Juan
example, the solution tree may look like this;

Sample Solutions Tree


Brgy. San Juan
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

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

h. Assist the CVs in identifying the range of possible solutions to address


problems in the problem tree. Do this by asking CVs to pick from the bottommost objectives statements those that they think the community should work
on. Using the earlier example on the Brgy. San Juan Solutions Tree, a parallel
solutions tree with possible solutions identified is presented in box___.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Step 4: Action Planning


j.

Facilitate action planning on all the solutions identified, and instruct


community volunteers to prepare a Barangay Action Plan (BAP). Below is a
sample of the BAP.
Problems

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

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

case of nutrition education or clean-up drives), and; (iv) proposing a specific


project for funding under the KC Project.
l.

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.

Step 5: Prepare for the Barangay Assembly for PSA Validation


m. Discuss with community volunteers the preparations for the BA for PSA
validation. Plan to involve volunteers in the conduct of the BA. Assign groups
of volunteers to present each output in the BA.
n. Before closing the activity, facilitate a short reflection session with the
volunteers to generate, gather, and process their experience in the PSA into
lessons. Use the ORID framework and guide in the toolkit, but modify the
questions accordingly. Focus on lessons around collectively working together
as a group. The PSA is your first CV committee. The experience of the CVs in
working together in this committee will be a valuable seed for future work in
other committees, and in future organizations of citizens that will be formed in
the course of project implementation.
o. Thank the CVs for sharing their time and themselves in the PSA, and close the
session.
10.7 Conducting post-Barangay PSA activities
The barangay PSA is the most important step in the entire KC process. This is where the
foundations of the CDD principle of informed demand is laid. In order to ensure that the
barangay PSA generated reliable information and sound analysis of local conditions by
community volunteers, you should undertake the following post-barangay PSA activities;
1. Review your PSA plan. Assess to what extent the plan was carried out, and the
target outputs were achieved. Look at the scope and depth of data gathered in
relation to the areas of study and questions identified. Was enough data
gathered to answer the question in a substantial way? Were the data properly
validated and triangulated? Do this assessment with your team. Ask your fellow
CFs and your AC to critiques your work.
2. Review the information generated by the CVs and the information you gathered
from your own SI.
Is there general congruence of information?
If the
information matched too closely, then chances are you may have inadvertently
influenced how the CVs viewed the data. Your SI, especially your problem tree,
should show the deeper causes of the problems mentioned by the CVs in their
problem tree. If they dont align well then chances are you may have been wrong
in your analysis. Take this is a pleasant surprise and an opportunity to learn
more deeply how community members view their world.
3. If you still have time, go back to the community and engage your quality contacts
about the information generated by the PSA. Do this randomly. This will help
you validate the PSA results and analysis. Do this as part of your groundwork for
the BA on the PSA validation.

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

Take pictures of the

11 Conducting the Barangay Assembly for PSA Validation


(KC PSA Stage 3)
11.1 What is the objective of this BA?
Your objectives for this third and final stage of the KC PSA process are;
1. To facilitate generation of inputs from, and approval of the entire community on
the results of the PSA.
2. To facilitate approval by the assembly of incorporating the BAP solutions into the
Barangay Development Plan (BDP) and Annual Investment Plans (AIPs), and;
3. To facilitate elect community volunteers who will form the (i) Project Preparation
Team (PPT); (ii) the Barangay Representation Team (BRT), and (iii) the
Community-Based Monitoring and Evaluation (CBME) Team, where;

11.2 What are the expected outputs of this BA?


At the end of this assembly, you will have caused the following outputs to be passed
(approved);
1. The minutes of the previous BA;
2. Barangay resolution (i) adopting the results of the PSA, and; (ii) incorporating the
proposed solutions into the barangay development plans and annual invest plans
and programs, including;
a. The community profile contained in the set of accomplished PSA tools;
b. The Problem and Solutions Tree analysis, and;
c. The Barangay Action Plan (BAP)
3. Barangay resolution naming the members of the PPT, BRT, and CBMET, where;
a. At least one (1) member of the PPT, BRT, and CBMET shall be a woman;
b. The head of the BRT shall be the Barangay Captain, and;
c. Other members shall be selected at large, from among members of the
assembly who are not elected public officials, and subject to agreed
criteria.
4. Other resolutions related to project development, if needed (such as for TAF);
5. Completed the attendance sheets, duly reviewed and certified correct by the CFs,
and the Barangay Captain;

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

Meet with the PSA CVs and plan


together with them how to conduct the
PSA validation.
Together with the
quality contacts you have identified
during the SI, ask them to help
mobilize community members for the
BA. Ask them to talk with their
neighbors and share their experiences
in the PSA, and the results they will be
presenting. This will not only generate
excitement, it will also prepare the
community members for the BA, and
build ownership of the results among
the community volunteers.

Use the PSA validation as an


occasion for training volunteers
Maximize the PSA validation pre-BA
activities to train CVs on;
Community mobilization
Activity planning
Preparing presentation materials
Public speaking
Documentation, and many others.
Continuously engage the CVs in casual
small talk about their experiences and
the insights and lessons they gained in
preparing for the BA. The more they talk
about it, the deeper the learning
becomes.

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

Make provisions for unforeseen


events (i.e. a CV is late or is
unable to come).
Always
prepare a back-up plan with
the volunteers.

to the PSA results.


Other groups can assist in gathering and carrying
chairs, fixing sound systems, inviting participants,
and many other tasks.
From community volunteer groups and assist
them in planning to work on issues identified.

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

11.4 How does the CF conduct the BA for PSA Validation?


Before the start of the assembly, do a final check with the CVs about their assignments.
Make arrangements for unforeseen events, such as a CV being late or being undable to
come, and make sure you have planned for this.
Check with the assigned CVs who will handle recording of attendance in the prescribed
attendance sheet. It would be best to have separate attendance sheets for each sitio, so
as not to delay the proceedings.
As people gather, invite the community members to approach the PSA tools, and look at
the results. Have the presenter stand beside his/her presentation so he/she can explain
to the community members the contents of the visuals, and answer any questions. This
way, the CV can practice talking with the crowd before the actual presentation, hopefully
easing any anxiety about public speaking.
The following program flow is proposed for the assembly proper:
1. Opening: Request the barangay captain to call the assembly to order. The
barangay captain then gives his opening remark and, together with the CF,
acknowledges the participants by purok or sitio. S/he then proceeds to discuss
the minutes of the previous BA, and asks for a motion for approval of the
minutes.
Once motion is passed, the Barangay Captain then reviews the
objectives of the BA, and request for a motion for approval. Once the motion is
secured, s/he shall call on you to continue with the proceedings and the
presentation;

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

2. Update on the PSA: Upon the signal of


the barangay captain, take the floor and
proceed to give a short update on the PSA
activities in the barangay. Introduce each
PSA volunteer and call them to the front.
Have the BA give them a warm applause to
recognize their efforts. Tell the BA that
some of the volunteers will be presenting
the results, and proceed to call on the
presenters one by one to give their
presentation.
3. Presentation of PSA results: Call each
volunteer to give his/her presentation.
Allow the CV to finish before entertaining
questions. Alternately, hand out pieces of
paper and ask the audience to write down
their questions as the presentation is given
so that they do not forget, and collect and
them. You can organize similar or related
questions so that they are grouped
together and asked as a batch of
questions.
The sequence of the presentation should
be as follows;
(i) The community map
(ii) The historical timelines and
seasonal calendar
(iii) The demographics charts and
graphs
(iv) The problem and solutions trees,
and;
(v) The Barangay Action Plan

As the CVs present


Maintain eye contact with the CVs at
all times during the presentation. This
tells them you are paying attention.
Softly nod your head from time to
time, this will give them
encouragement and they will know
that you support them fully.
Be alert to assess how well the
participants understood and
internalized the presentation. Look for
facial reactions and other non-verbal
cues. Note where in the presentation
these occurred, as questioned will
likely be asked on those sections.
Shake their hands after the
presentation. Not only does this show
encouragement, the degree of cold or
dampness of the CVs hands postpresentation indicates their level of
anxiety, which should be diffused
before they are made to answer
questions.
Stand by the CV as s/he answers
questions. This will give them
encouragement and support. If you
stand or sit in the crowd, s/he will be
alone at front, and may feel unsafe.
Feel free to rephrase questions which
sound offensive, or which are really
comments disguised as questions.
This will cut the time and make
responding by the CV easier.

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;

Field Guide for KALAHI-CIDSS Area Coordinating Teams

165

Community
Volunteer Team
Barangay
Representation
Team (BRT)

Project Preparation
Team (PPT)

Tasks and Functions

Composition

1. Represent the barangay in the


Municipal Inter-Barangay Forum
(MIBF) for criteria setting and for
prioritization.
2. In behalf of the community, select
the projects from other barangays
which will be funded and
implemented in the cycle through
the KC Project.

Three (3) volunteers, of which;


1. One shall be the Barangay Captain
2. At least one (1) shall be a woman,
and;
3. CVs aside from the Barangay
Captain shall be elected at large
from among the members of the
BA who are not public elected
officials of the BLGU.
4. The head of the BRT shall be
selected from among the two
volunteers who are not public
elected officials of the BLGU.

1.

Three (3) volunteers, of which;


1. At least one (1) shall be a
woman, and;
2. All CVs shall be elected at large
from among the members of the
BA who are not public elected
officials of the BLGU.

2.

Community-Based
Monitoring Team
(CBMET)

1.

2.

Lead in the preparation of


community proposal for the
project to be submitted to the
MIBF.
Present the community proposal
for review by the Municipal InterAgency Committee (MIAC), and
approval of the MIBF.
Prepare the Community-Based
Monitoring and Evaluation
(CBME) plan based on the results
of the solutions tree and
barangay action plan approved by
the BA.
Lead in the conduct of periodic
assessment of the progress of the
community in implementing its
BAP.

Three (3) volunteers, of which;


1. At least one (1) shall be a
woman;
2. One shall be selected from the
following sectors, as applicable;
(i) IP and ICCs; (ii) basic sectors
of farmers, fisher folk; (iii)
Pantawid Pamilya beneficiaries,
or; (iv) a community in conflict.
3. All CVs shall be elected at large
from among the members of the
BA who are not public elected
officials of the BLGU.

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

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

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.

11.5 What should the CF do after the assembly?


Immediately after the BA, call on the PSA volunteers for a brief meeting.
d. Conduct a short reflection session with the PSA, BRT, PPT, and CBMET volunteers
on the conduct of the BA. Gather their learning and insights. At this point, a
number of the PSA volunteers will have been selected to become members of the
other volunteer committees. Gather their reflection on this as well.
e. Set the date for the Barangay PSA Volunteers meeting.
Assign key persons
from the group who will inform selected/confirmed volunteers not present during
the assembly. Better yet, involve them in the planning for the next meeting,
where to meet, who will bring what, etc. Remember that this is your first
volunteer group. This committee carries the seed for future organizing and
community group building. The higher the camaraderie established with this, and
future community volunteer groups, the easier it will be to organize an
association later.
Lastly, ensure that the proceedings have been properly documented.
c. Sit down with the Barangay Secretary or the designated documenter to finalize
the minutes of the BA. Assist the documenter in filling out details that may have
been missed or overlooked.
d. Accomplish the KC BA Form.

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167

12. What post-PSA Activities need to be conducted?


The BA for PSA validation is the third and last stage of the PSA process in the KC Project.
Completion of this activity signals the completion of the PSA process. To effectively
wrap-up the PSA, the CF and the ACT should do the following;
1. Assess the conduct of the entire PSA, and check if all activities have been
undertaken, and all outputs produced as planned. Undertake the assessment
together with the MCT and members of the MIAC;
2. Evaluate the success of the PSA process in terms of (i) generating information
from both primary and secondary data sources, including the scope and depth of
information gathered; (ii) building the capacity of community volunteers to
undertake community research, and analyze the data to arrive at informed
identification of needs and decision making on options to address needs; (iii)
integrating local priorities into the development plans of BLGUs; (iv) mobilization
of MLGU and BLGU staff to provide support to the effort; (v) mobilization of
communities and local CBOs and organizations to support the local research
efforts, as well as the actions to address needs, and; (vi) scope and depth of
involvement of marginalized groups (women, IPs and ICCs, Pantawid Pamilya
HHs, members of communities in conflict, and other sectors) in the process.
3. Gather copies of all the PSA results and resolutions from all the barangays. Store
copies digitally by taking pictures of the documents and charts, File these neatly
for future reference.
4. Review your SI reports and adjust/enhance these based on new data gathered
from the PSA.
5. Prepare the volunteers for the next activity in the cycle (the CSW).

PRACTICE NOTES

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169

Guide to facilitating Community-Based


Monitoring and Evaluation in the KC Project

1 Community-Based Monitoring (CBM)


1.1 What is Monitoring?
Monitoring is the process of continuously and regularly reviewing a program to ensure
that activities are proceeding according to plan. This process involves regular checking
and gathering of about a program and its activities.
1.2 What is participatory CBM?
Participatory monitoring is a process of measuring, recording, collecting, processing and
periodic analysis of information by community members themselves. The end goal is to
facilitate collective decision-making. In CBM, people decide for themselves what they
want to monitor; why they want to monitor; and what are the standards for monitoring.
1.3 What is the KC CBM framework?
The KC Project follows the Action-Reflection-Action (ARA) framework in CBM. First, the
community acts on solving issues and problems then studies the effects of their actions.
Based on the results of the reflection, the community undertakes another level of action
to address the problem or issue at hand.
The ARA framework leads to the following 2 levels of reflection and analysis;
1. As a learning process showing good performance and areas for improvement, the
following questions can be considered for reflection;
a. What worked well? Why?
b. What strategies did not work? Why?
2. As a process designed to lead to action;
a. Produce relevant, action-oriented findings on the progress of the program,
and follow-though with concrete plans, and;
b. Seek commitment from the community based on the lessons identified further
promote involvement and local ownership.
1.4 What are the characteristics of a participatory CBM system?
A Participatory CBM System,
1. makes use of local knowledge and skills
2. allows the people to reflect on the causes of their problems and make informed
decisions on what they can do about them;
3. Helps the community develop its resources and determine development
directions;
4. Encourages a sense of responsibility among the community members;

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Field Guide for KALAHI-CIDSS Area Coordinating Teams

2 What is the process of CBM in the KC Project?


Like any method adapted in CDD interventions, the specific steps and activities will
necessarily be context-specific, hence the CBM process can changed based on the needs
of the community.
Step 1: Form the barangay monitoring team
Activities can include;
1. Select community volunteers during the PSA validation BA.
2. Form the selected CVs into the Community-Based Monitoring and Evaluation
(CBME) Team.
3. Conduct a workshop with the CBME Team to craft the community monitoring
plan.
Step 2: Create the monitoring plan
The solutions tree developed from the consolidation and action planning stage in the PSA
should be used as the basis for developing a simple community monitoring plan.
1. Prepare a simple community poverty reduction results framework chart. This will
be chart that has four columns, divided into five rows rows. Label each column
from left to rights as (1) results; (ii) indicators; (iii) status now this will be the
baseline, and; (iv) target by end of 3rd KC cycle. Then label the remaining four
rows of the first column, from top to bottom, as (i) goal; (ii) purpose; (iii) output,
and; (iv) activities this will be the inputs. The chart should look like this.

Simple Community Poverty Reduction Results Framework


Results Framework

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

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

Residents are self reliant

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

Field Guide for KALAHI-CIDSS Area Coordinating Teams

3. Whichever the community volunteers chooses, move the appropriate card/s to


the corresponding box in the first column of the results framework chart.
Preserve the order of the cards by creating multi-level lists. For simplicity, an
example is presented below using the last sample above.

Simple Community Poverty Reduction Results Framework


Results Framework

Indicators

Status Now

Target by end of
3rd KC Cycle

Goal

HH income is sufficient to meet


needs
Purpose

Farm income is increased


Output

1.Farm yield is increased


2. Savings from reduced transport
cost is increased
3. Crop value is reduced
Activities

1.1 Multi-cropping is adopted


1.2 Farms are irrigated
2.1 Travel time to market is reduced
2.2 Road conditions are improved
3.1 Crops are processed at the farm
3.2 Capital is available
3.3 Farmer capability is improved

4. Facilitate formulation of indicators with the community volunteers.


should be SMART, incorporating Quality, Quantity, Target, and Time;

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
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