Field Guide for KALAHI-CIDSS Area Coordination Teams

KALAHI-CIDSS Project Manila, Philippines 05 February 2007

Preface
This document is a field guide to help you facilitate the enhanced 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!. From a cursory glance of the document, you will immediately notice that this field guide does not provide any specific procedure or instruction in facilitating the processes outlined. This too is deliberate. The ACT is 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 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. 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.

How to use this document

This field guide is organized around six chapters, which is further divided into sections and sub-sections. Chapter 1 deals with an overview of the KALAHI-CIDSS: KKB project, covering a brief background, the projects development framework, objectives and strategies, and the various implementation arrangements and roles of stakeholders. Chapter 2 discusses the Community Empowerment Activity Cycle (CEAC) and its role in the implementation of the KALAHI-CIDSS: KKB Community-Driven Development (CDD) strategy. This covers the rationale for the CEAC, its key elements, and the cycles various stages. Chapter 3 goes into the specifics of each cycle, and is designed as a walk-through of the various activities and process of the 1st cycle of the CEAC. Most of the details in operationalizing the key activities are included in this chapter, which also serves as a spring board for chapter 4. Building on the content of the cycle 1 walkthrough, this short chapter is

also designed as a broad walk-through of how the implementation design of cycle1 is projected to evolve into cycle 2, and on to cycle 3. Chapter 5 (still being developed) discusses issues and concerns on sustainability and exit. This covers such topics as the KALAHI-CIDSS: KKB Institutionalization Framework, Sustainability and Exit Planning, and strengthening Community-based Organizations (CBOs) and community volunrteers. The last chapter (chapter 6) touches on the topic of implementation management. This chapter begins with a discussion on the ACT and the need for teamwork, and provides tips and practical solutions on how to handle day-to-day management issues and concerns. This is a basic project document for all ACT members, but most especially for the Area Coordinators and the Community Facilitators. You are enjoined to read the entire document, since all of the chapters are inter-connected. However, you may also refer to specific sections for details on specific topics of interest, especially those contained in chapter 3. This document also does not try to be exhaustive, and deals more with the social processes involved in the project than on the specific technical details of other project components such as engineering or finance. While this field guide attempts to build crossreferences with the other project documents (particularly the project manuals on Monitoring and Evaluation, Rural Infrastructure, Community Finance, Community Procurement, and the Grievance Manual), please ensure that you have secured copies of these manuals as well, and that these are readily available to all ACT members for reference purposes. 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 most especially is an invaluable resource for additional readings on development. You may also visit other government agencies engaged in rural development such as the Department of Agrarian Reforms Bureau of Agrarian Reform Beneficiaries Development (DAR-BARBD), the Department of Agriculture, the Department of Health, and so on. These are also a good source of materials for further understanding rural poverty conditions. Remember that acquiring new learning entails effort and, because of this, also requires discipline. You must be able to build the learners attitude. While this, and other materials can provide you with information and perhaps even insight, the attitude of learning can only be built by you alone. This is critical in order for you to be one step ahead of the people in your community. Only then will you be able to assist them in the path to collective, participatory development.

Acknowledgement
This document is the result of a collective effort that straddled both time and disciplines. Various documents prepared by the Project Preparation Team in 2002 and 2003 were reviewed prior to the drafting of this document, as was the original ACT Manual of 2004. Key elements of these documents permeate this field guide. The first round of thanks goes to those involved in the preparation of these documents, which served as a spring board for the enhancements contained in this guide. Preparation of drafts for individual sections was undertaken by technical staff of the KALAHI-CIDSS: KKB National Project Management Office. Most of the materials for Chapter 1 was sourced from the original Community Organizing Manual and the Area Coordinators Manual of 2003 prepared by Ms. Malou Padua, World Bank Consultant; and

from the Area Coordinating Team (ACT) Manual of 2003 prepared by Mr. Euberto Gregorio, formerly Community Development Specialist (CDS) for KALAHI and now Community-Driven Development Process Specialist (CPS) for Region CAR. Mr. Alwyn Javier, Monitoring and Evaluation (M&E) Specialist for the Social Inclusion Project (SIP) prepared the draft on the KALAHI-CIDSS development framework, while Ms. Lou Turiano prepared the draft on the KALAHI-CIDSS implementation and coordination arrangements. Chapter 2 was prepared by Mr. Cicero Juan Aguilar, Community Development Specialist for KALAHI, using various project documents such as the Project Appraisal Document (PAD), the Project Implementation Plan (PIP), and the results of numerous World Bank support and supervision missions and the project mid-term review. Draft materials for Chapter 3 were prepared by members of the various NPMO units, from SDU to Engineering. Ms. Ayn Grace Regalado, M&E Specialist for KALAHI-CIDSS prepared the draft on social investigation and assessment, while Ms. Connie Acosta. Monitoring and Technical Assistance Head for the Mindanao Cluster prepared the draft on the Barangay Assembly (BA). The section on the Grievance Redress System was taken from materials supplied by Ms. Lei Generoso, former KALAHI M&E and Grievance Officer. The draft on participatory situation analysis (PSA) was prepared by Mr. Ronnie Tapnio, Community Development Specialist for the SIP, while Mr. Aguilar prepared the section on social mobilization, community organizing, and community-based organizations. Materials on Community-Based Monitoring and Community-Based Evaluation were supplied by Mr. Jose Juan Dela Rosa, Development Communications Specialist. Draft materials for the section on Project Planning and Development were supplied by Engr. Benito Cesario Tingson, Senior Infrastructure Engineer, who also provided the draft on sub-project implementation management. Mr. Edgar Pato, Head of the Social Development Unit and coordinator of the SIP, provided the draft on the accountability reporting. The drafts for chapter 4 and 5 was prepared by Mr. Aguilar using materials from various consultation meetings on institutionalization undertaken by the SDU, as well as materials from the Area Coordinators Manual of 2003. He likewise prepared the drafts on conducting Tactic Sessions and Reflection Sessions in chapter 6. Ms. Turiano prepared the drafts on the ACT and Teamwork, and Mr. Tapnio prepared materials for the section on community training. Finally, the section on Management Troubleshooting was prepared by Director Camilo G. Gudmalin, National Project Manager of the KALAHI-CIDSS Project, who also provided the team with invaluable support during the initial stages of preparing the materials fro the manual. The unenviable task of putting together the various materials and drafts into one whole document went to Mr. Aguilar, who also undertook editing and lay-out work on the final manuscript. Preparation of this field guide would not have been possible without the support and encouragement of the Department of Social Welfare and Development (DSWD) and World Bank. Special thanks go to Undersecretary Luwalhati F. Pablo, KC National Project Director, and Assistant Secretary Ruel G. Lucentales, KC Deputy National Project Director, without whos gentle but persistent pushing; this project may have taken more time to complete than it already has. Special thanks also go to Mr. Andrew Parker, Task Team Leader for the KALAHI-CIDSS Project, and Ms. Malou Padua, WB Consultant for Community Development, for their valuable support to this effort. Finally, the enhancements contained in this document are borne out of the experience of the multitude of community volunteers, LGU partners, and Area Coordinating Teams in the frontline of the campaign to end rural poverty in the course of the 1st three years of project implementation. This document is both a testimony and a tribute to their courage, persistence, and sacrifice. Thank you very much!

TABLE OF CONTENTS CHAPTER 1: THE KALAHI-CIDSS: KKB PROJECT

1.1 What is the KALAHI-CIDSS:KKB Project? 1.2 Why KALAHI-CIDSS: KKB? 1.3 What are the over-all development objectives of the KALAHI-CIDSS: KKB Project? 1.4 How will the KALAHI-CIDSS: KKB Project attain these objectives? 1.5 What does the KALAHI-CIDSS: KKB aim to achieve by these strategies? 1.6 What are the core principles of the KALAHI-CIDSS: KKB Project? 1.7 What is the KALAHI-CIDSS Implementation and coordination structure? 1.7.1 Policy-Making Bodies 1.7.2 Management Bodies 1.7.3 Implementing Bodies 1.7.4 Coordination Bodies 1.8 What roles and functions do members of Local Government Units play in the KALAHI-CIDSS Project?

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10 10 11 11 13 13 14 14 15 15

CHAPTER 2: OVERVIEW OF THE COMMUNITY EMPOWERMENT ACTIVITY CYCLE (CEAC)

2.1 What is the Community Empowerment Activity Cycle? 2.2 What is the rationale behind the CEAC implementation process? 2.3 What are the objectives of CEAC implementation process? 2.4 How is the CEAC implemented in the KC project? 2.5 What are the elements of the CEAC implementation design? 2.6 What are the stages of the CEAC? 2.7 How does the role of various stakeholders evolve in the course of the CEAC?

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16 17 20 20 21 22 23

CHAPTER 3: WALK-THROUGH OF THE CEAC CYCLE 1

3.1 Social Preparation Stage 3.1.1 3.1.2 3.1.3 3.1.4 3.1.5 3.1.6 Social Investigation and Assessment The Barangay Assembly Promoting transparency thru the Grievance Redress System (GRS) Participatory Situation Analysis (PSA) Social Mobilization, Community Organizing, and CBO Formation and the BaBAE Teams Community-Based Monitoring (CBM)

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25 25 28 33 38 51 58 61

3.2 Selection & Planning Stage

3.2.1 The Municipal Inter-Barangay Forum (MIBF) 3.2.2 MIBF for Criteria Setting 3.2.3 Project Planning and Development 3.2.4 The Municipal Inter-Agency Committee (MIAC) Technical Review of Community Project Proposals 3.3 Project Approval Stage 3.3.1 MIBF for Participatory Resource Allocation 3.3.2 Joint MIBF-Municipal Development Council Engagements 3.4 Project Implementation Stage 3.4.1 Sub-project implementation management 3.4.2 Operation and Maintenance (O&M) 3.5 Transition Stage 3.5.1 Community-Based Evaluation (CBE) 3.5.2 Accountability Reporting

61 64 71 92 95 95 98 100 100 108 112 112 118

CHAPTER 4: MOVING ON TO CYCLE 2 & 3

4.1 The CEAC 2nd Cycle Implementation 2nd 4.1.1 How is the CEAC Cycle implementation different from the 4.1.2 What is the role of the ACT in facilitating the 2nd Cycle? 4.1.3 How does the 2nd Cycle of the CEAC proceed? 4.2 The CEAC 3rd Cycle Implementation 1st Cycle?

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122 122 122 123 125 125 125 125

4.2.1 How is the CEAC 3rd Cycle implementation build on the 2nd Cycle? 4.2.2 What is the role of the ACT in facilitating 2nd Cycle activities? 4.2.3 How does the 2nd cycle of the CEAC proceed?

CHAPTER 5: SUSTAINABILITY AND EXIT

5.1 What is sustainability? 5.2 How do we ensure sustainability of CDD interventions? 5.3 The KALAHI-CIDSS Institutionalization Framework and Key Result Areas 5.3.1 5.3.2 5.3.3 5.3.4 What is Institutionalization in the context of the KALAHI-CIDSS Project? Why is Institutionalization necessary in the KALAHI-CIDSS Project? What is the KALAHI-CIDSS Institutionalization Framework? How is institutionalization operationalized?

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127 128 128 128 129 129 131 132 132 132 132 133

5.4 Promoting Convergence for Community-Driven Development 5.4.1 5.4.2 5.4.3 5.4.4 What is Convergence? Why converge? What are the objectives of convergence? How is convergence operationalized in the KALAHI-CIDSS Project?

5.4 Organizational Development, CBO Strengthening and Volunteer DevelopmentError! Bookmark not defined. 5.5 Exit Planning Error! Bookmark not defined.

CHAPTER 6: MANAGING IMPLEMENTATION AT THE ACT LEVEL

6.1 The Area Coordinating Team 6.1.1 Why adopt a team approach in the KALAHI-CIDSS? 6.1.2 What are the functions of the Area Coordinating Team members? 6.1.3 To whom the ACT should engage? 6.2 Conducting Tactic Sessions 6.2.1 6.2.2 6.2.3 6.2.4 6.2.5 6.2.6 What is a tactic session? How is a tactic session different from a regular team meeting? What is the difference between a tactic session and a strategizing session? Who participates in a tactic sessions? How often is a tactic session conducted? How is a tactic session conducted?

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136 136 136 137 138 138 138 138 138 139 139 141 141 141 141 141 141 143

6.3 Conducting Reflection Session 6.3.1 6.3.2 6.3.3 6.3.4 6.3.5 What is a Reflection Session? Why conduct reflection sessions? Who should participate in a reflection session? How often should a reflection session be conducted? How is a reflection session conducted?

6.4 Conducting Community Trainings

6.4.1 Why the need for Community Training? 143 6.4.2 Who Should be Engaged in Community Training? 143 6.4.3 What community training activities need to be conducted in the course of engagement in the KC project? 143 6.4.4 What are the processes involved in community training? 144 6.4.5 What are the Learning Tips in the Conduct of Community Training? 145 6.5 Management Troubleshooting Tips 6.5.1 6.5.2 6.5.3 6.5.4 6.5.5 6.5.6 6.5.7 6.5.8 What is Management all about? How to get subordinates to do what they are supposed to do? How can we effectively manage meetings? Or TO MEET OR NOT TO MEET? How does one determine and manage priorities? How does one effectively work with politicians? How can one do effective planning? How to develop and work with strategies? IMPLEMENTATION: Practical Tips on How to Get Things Done! 148 148 148 149 151 153 154 155 157

THE KALAHI-CIDSS: KKB PROJECT

To the ACT:

Chapter

This chapter is intended to serve as your basic introduction to the KALAHI-CIDSS: KKB Project. It will describe the rationale for the KALAHI-CIDSS: KKB, and its role in the governments effort to address rural poverty. The KALAHI-CIDSS: KKB is unique in many respects, but most especially on its treatment of poverty and its causes, which is discussed at the beginning of the chapter. The chapter will also discuss the objectives of the project, the strategies which the project adopts in order to achieve these objectives, and the principles which will guide you in the implementation of the projects various processes, interventions, and activities. The last section of the chapter will walk you through the projects implementation structure and the different coordination arrangements. This will cover policy guidance and operationalization from the national down to the municipal implementation teams, outlining the different avenues for project operationalization management, monitoring, and technical assistance provision, ending in a discussion of the role of the municipal local governments in project implementation. Bear in mind that the KALAHI-CIDSS: KKB, like any development intervention that addresses the complex issue of poverty, is far more that what can be discussed in this chapter. You are encouraged to read through other materials about the project. In particular, you can refer to the Project Appraisal Document (PAD) of August 2002 and the Project Implementation Plan prepared in 2003. Both documents are part of the project preparation stage, and can provide you with a deeper historical context to the KALAHICIDSS: KKB Project design at start-up. You may also refer to the DSWD website at www.dswd.gov.ph ,which contains a link to the KALAHI-CIDSS: KKB web page, for more current updates on the project.

1.1 What is the KALAHI-CIDSS:KKB Project?

KALAHI-CIDSS: KKB stands for the Kapit-bisig Laban sa Kahirapan Comprehensive and Integrated Delivery of Social Services: Kapangyarihan at Kaunlaran sa Bararangay. 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: KKB (KC:KKB) 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.

The Medium-Term Philippine Development Plan (MTPDP) 2004-2010 identifies KALAHICIDSS as one of the main government intervention mechanisms to achieve empowerment and poverty reduction (MTPDP Chapter 12). In KALAHI-CIDSS, empowerment is promoted through active community participation during the design, implementation, and management of development activities that reduce poverty, and putting control over resources in the hands of the poor.

1.2 Why KALAHI-CIDSS: KKB?

While being blessed with a hard-working people and bountiful natural resources, the Philippine countryside is still characterized by the continued persistence of poverty. Poor people in far-flung barangays have consistently pointed to numerous situations that reveal a condition where people in poor communities experience the sustained inability to meet basic needs required for a decent quality of life. Such limiting conditions include; Low farm yield coupled with high prices of farming inputs leading to low level of productivity and income; Unemployment/underemployment coupled with the absence of facilities for engaging in informal, socio-economic activities; Absence of control over land and other vital means of production, tenancy and the continued existence of feudal, and often oppressive tenurial arrangements in some areas; Environmental destruction increasing the vulnerability of poor families to quickoccurring and slow-onset disasters, both natural and man-made; Limited/no access to basic services leading to poor health conditions, low literacy, and others; Patronage and personalized politics, graft and corruption, and unresponsive governance; Powerlessness of the majority who are poor, characterized by the persistence of a culture of silence and poverty, disunity and disorganization, and non-inclusion of specially vulnerable groups in development activities (Indigenous People, Women and Children, the Elderly, and others); All of the above conditions contribute to the continued existence of poverty, in varying degrees. In a sense, poverty can be characterized as a condition of deprivation, where poor people are denied;

Participation in decision-making Opportunities and access to basic services Ownership of assets to allow sustained income Resources to meet basic
needs A more in-depth look at the description of poverty above reveals the critical link between disempowerment and marginalization, poor governance practices and systems, and the persistence of poverty conditions. This linkage underscores the need to
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

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. Please refer to the KC:KKB Project Appraisal Document (PAD) of 2002 for more details).

1.3 What are the over-all development objectives of the KALAHI-CIDSS: KKB Project?
The Kalahi-CIDSS Project envisions the development of self-propelling communities in high poverty incidence areas in the countryside, where people actively participate, lead, and propel development activities that will improve the peoples overall quality of life. In support of this vision, the Project provides opportunities to: Empower local communities, involving delivery of capacity-building inputs and the creation and institutionalization of community-based mechanisms that will allow the people to freely exercise their right to decide on issues affecting their own development. Emphasis is given to vulnerable groups like the Indigenous Peoples, farmers, fisherfolk, by ensuring their inclusion in the decision-making process especially on matters pertaining to resource allocation and use. Improve local governance, both at the barangay and municipal levels, by revitalizing local governance structures designed to encourage community consultation and ensure transparency and accountability, following the principles and processes of good governance as mandated by the Local Government Code (Republic Act 7160). Through capacity-building sessions and other project interventions, poor communities and their local governments are primed to undertake relevant community development activities through collaborative partnership engagements. Aid in the Reduction of Poverty through the provision of funds for basic community infrastructure or common service facilities and other relevant projects that address community-defined needs and vulnerabilities. It is assumed that with empowered communities and improved local governance, sub-projects of communities will be relevant, successful and sustainable.

1.4 How will the KALAHI-CIDSS: KKB Project attain these objectives?
The KALAHI-CIDSS Project uses the Community-Driven Development (CDD) approach as its over-all community development framework. CDD employs strategies that ensure that development priorities are addressed in a participatory, collective, inclusive, 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. Specifically, the following implementation strategies are employed; 1. Conduct of social preparation and capacity-building activities among communities and participating local government units (LGUs); 2. Provision of matching grants to fund community projects identified, prioritized, implemented, and maintained by communities with LGU and KALAHI-CIDSS technical assistance;

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3. Institutionalization of the KALAHI-CIDSS strategy within LGUs through capacitybuilding of local officials and staff, and promotion of participatory development practices; 4. Area convergence with national government agencies, NGOs, and local organizations, through synergy and complementation of programs and resources to support community priorities, and; 5. Promotion of good governance and public accountability through transparency, participatory and socially inclusive decision-making, multi-stakeholder and civil society participation, and gender equity.

1.5 What does the KALAHI-CIDSS: KKB aim to achieve by these strategies?
The KALAHI-CIDSS: KKB Project aims to contribute to improving the quality of life of the poorest Philippine municipalities and barangays through its three-tiered objectives of empowered communities, improved local governance, and reduced poverty. Specifically, the Project aims to achieve the following; 1. Increased access to basic needs as a result of benefits from community projects that are responsive to the communitys identified needs; 2. Communities are able to (i) assess their own development needs; (ii) identify, access resources for, propose, plan, and implement appropriate solutions for these needs, and; (iii) influence the allocation of development investments of LGUs towards addressing these needs, and; 3. Improved local governance as indicated by LGU integration of CDD in regular programs and processes, increased adoption of participatory development approaches, consistency of budget allocation with Barangay Development Plan (BDP) priorities, functional LGU planning bodies, and LGU personnel performing CDD work. Among the projects Key Performance Indicators outlined in the PAD to concretize these aims, include the following; Proportion of LGUs (municipalities) that have institutionalized the participatory strategies and technical assistance introduced by the project to assist community organizations/barangays reduce poverty. Proportion of community organizations/barangays with well-defined and functioning operational and financial procedures that promote people's participation. Proportion of LGUs that assist participatory planning and management of subprojects by barangays. Improved poverty indicators in project barangays compared to without-project barangays. Improved human development indicators in the target barangays.

1.6 What are the core principles of the KALAHI-CIDSS: KKB Project?

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A principle is a guide to action. It is a freely-chosen and firmly-held set of beliefs that serves as parameters for how you, as the ACT, should (i) implement the numerous development processes and activities of the project and; (ii) evaluate the effectiveness of processes undertaken. 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 anchored on the following principles, with the acronym LET-CIDSS: Localized decision-making This principle gives life to the importance of having the community 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 prepare and prioritize sub-projects for funding. Empowering The Project invests heavily on capacity-building activities that are designed to progressively develop the capabilities of the people from analysis of local conditions to design of appropriate development interventions, to actual implementation of development projects. This is undertaken throughout the KC:KKB Community Empowerment Activity Cycle (CEAC), a five stage, multi-activity learning process where communities realize their individual and collective their strength, acquire and develop community project management skills, and increase their confidence in engaging local governments in periodic dialogues for improved resource allocation and better basic services delivery. Transparency Peoples Participation is the programs core requirement, and the active engagement of community members in the various development processes and interventions is a necessary prerequisite to the success of all project activities and interventions. The informed participation of residents is ensured in all project activities such as barangay assemblies where the people are informed on the physical and financial status of the sub-projects and consulted on community issues or problems promotes responsibility and accountability. The multi-level monitoring system including that of the NGO and media as independent monitors and the Grievance Monitoring and Resolution Mechanism are features that support the transparency objective. Community Prioritization Project interventions, most notably on the selection of sub-projects and capacity-building activities is a product of a collective decision-making process. The Project engages the participating communities in a tedious task of problem analysis, project identification, development, implementation and monitoring. Decision on what projects are to be prioritized for funding is made by an inter-barangay forum whose members are elected by the barangay assemblies. Inclusive and Multi-stakeholder The whole community, with its formal and traditional leaders, the different sectors and other individuals, groups or organizations are encouraged to participate in the Project. By broadening the base of participation, elite capture of the Project is prevented. The project also lends special attention on he participation of women and indigenous people in all project activities. Demand-driven

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Support is given to enable the communities to prioritize their own needs and problems, design their own projects and make decisions on how resources will be used. Projects that are developed and implemented by the community have better outcomes and are made more sustainable. The people also develop ownership of the project because they themselves identified, developed, and implemented the project.. Simple For better understanding and appreciation of the Project and to enable all the stakeholders to get involved, procedures and other requirements are kept simple. Sustainable The Project ensures that sub-projects have viable plans for sustainability. With reference to Kalahi-CIDSS, viability and sustainability reflect the capacity of sub-projects to continue to deliver intended benefits over a long period beyond the life of the project. Each member of the ACT should strive not only to learn these principles by heart, but to also study how these principles apply in the context of their specific tasks and duties in line with each ones specific function.

1.7 What is the KALAHI-CIDSS: KKB Projects implementation and coordination structure, and who are its members?
The KALAHI-CIDSS: KKB Project is guided by a four-level implementation and institutional structure comprising the following: (i) Policy-making bodies; (ii) Management bodies; (iii) Implementing bodies, and; (iv) Coordinating bodies.

1.7.1 Policy-Making Bodies

The project has 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 is responsible for the resolution of policy issues affecting project implementation as well as imposition of sanctions and provision of incentives to non-complying or exceptionally performing LGUs. It is an inter-agency body composed of the Secretaries of the Department of Social Welfare and Development (DSWD) and National Anti-Poverty Commission (NAPC), as chairperson and lead convenor, respectively. Its members include the Secretaries of the: Department of Interior and Local Government (DILG) Department of Finance (DOF) Department of Budget and Management (DBM) Director General of the National Economic and Development Authority (NEDA) Three (3) representatives from the civil society Other agency representatives (as needed)

The NTWG is responsible for the provision of technical requirements of the project, facilitate coordination among various agencies, monitor and review project implementation, and

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facilitate 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: 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.

1.7.2 Management Bodies

The National Project Management Team (NPMT) and Regional Project Management Teams are 2-level management bodies of the project at the national and regional level, respectively. The NPMT is responsible for the for the over-all management of the project. It shall provide the over-all 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 responsible for the over-all management of project implementation in the region. Chaired by the Regional Director, the RPMT is composed of: (i) the Assistant Regional Director/Regional Project Manager as alternate chair (ii) 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) (iii) 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. (iv) Areas Coordinators (v) Municipal Mayors or their duly designated representatives (vi) MSWDOs in KC municipalities (vii)PSWDOs in KC provinces

1.7.3 Implementing Bodies

The DSWD is the lead implementing agency of the project. composed of the following: Its implementing arm is

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

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National Project Management Office (NPMO) Regional Project Management Office (RPMO) Area Coordinating Team 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 day to day operations of the project. Its functions include but not limited to implementation of national policies and regional directions and strategies, provision of technical assistance and supervise work performance of ACTs, manage engagement with the LGUs, and other stakeholders. The Area Coordinating team is the frontline workers in the field. It is composed of an Area Coordinator, Area Coordinator, Roving Bookkeeper, and Community Facilitators.

1.7.4 Coordination Bodies

The project shall organize and/or reactivate inter-agency bodies at the regional, provincial, and municipal levels to (i) provide for the technical requirements of the project, (ii) facilitate coordination among various agencies, (iii) monitor and review implementation, and (iv) facilitate resolution of technical concerns. Its representation follows the membership of the NTWG. The Regional Inter-agency committee (RIAC) shall be chaired by DSWD Regional Director. The Provincial Inter-agency Committee (PIAC) shall be chaired by the Provincial Governor. The Municipal Inter-agency Committee (MIAC) shall be chaired by city or municipal mayor.

1.8 What roles and functions do members of Local Government Units play in the KALAHI-CIDSS Project?
The provincial, municipal, and barangay local government units participate in the KC project implementation in the following ways: 1. monitor and evaluate the over-all performance of the project 2. provide counterpart funding for all project components 3. provide personnel to work full-time to the project and other support mechanisms in project implementation 4. provide technical assistance to barangays along the fields of expertise of the different units 5. receives capacity building interventions to facilitate institutionalization of KC processes into LGU planning and project implementation 6. Acts as convenors of inter-barangay forum, and inter-agency committee meetings

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OVERVIEW OF THE COMMUNITY EMPOWERMENT ACTIVITY CYCLE (CEAC)

Chapter

To the ACT:
This chapter shall introduce you to the Community Empowerment Activity Cycle or the CEAC, and provide you with basic information on the rationale and objective of the CEAC, in relation to achieving the development objectives of the KALAHI-CIDSS: KKB Project. The first parts of the chapter will discuss the evolution of the CEAC from the former KALAHICIDSS: KKB 16-steps process. This will then be followed by a discussion on the objectives of the CEAC implementation process and the key elements of the CEAC implementation design. The last portion of the chapter will walk you through the major stages of the cycle, ending in a discussion on the evolution of roles of stakeholders as the CEAC is implemented within the three-year KALAHI-CIDSS: KKB engagement in the municipality. As a descriptive operational framework for Community Driven Development, the CEAC is essentially an attempt at a generalized working model of how CDD is facilitated in the course of project implementation. However, actual facilitation of the CEAC should be context-specific. Like all true CDD efforts, how the stages progress and what the final form of specific activities will look like will be largely influenced by local conditions. It is your role, as the ACT, to build understanding of the CEAC in order for you to better determine how to effectively adapt the CEAC implementation process to fit the specific conditions of the community you are working in.

2.1 What is the Community Empowerment Activity Cycle?

The KALAHI-CIDSS:KKB Project follows the CDD model implemented through a five-stage, multi-activity process referred to as the KALAHI-CIDSS Community Empowerment Activity Cycle (CEAC)]. Designed to systematically mobilize the capacity of local people to prioritize their development needs, design activities, seek technical assistance, manage resources, and implement and sustain development actions, the CEAC attempts to provide communities with a guide for organized experience in purposeful collective action that aims (i) to empower communities to participate in decision-making in ways that will improve their skills, strengthen their sense of responsibility and human dignity, (ii) to use community projects as a vehicle to promote representation, accountability and reduce poverty, and (iii) to strengthen the linkage between communities and their local government units. The CEAC is the primary implementation strategy adopted by the project to guide the operationalization of the numerous community development processes and interventions of the KALAHI-CIDSS: KKB project. The Project Implementation Plan (PIP) states among others that The core component of the project is the mobilization of communities and stakeholders towards the achievement of project objectives (involving) multi-level and multi-stakeholder organizing, socialization and facilitation processes that is undertaken at all stages of the project cycle.[iv].. The CEAC is the guide by which this component is actualized.

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2.2 What is the rationale behind the CEAC implementation process?

The CEAC is the latest evolution of the KC:KKB project implementation framework. Called the 16-Step Community Planning and Sub-Project Cycle (CPSPC) or more popularly as simply the 16-Steps in previous manuals, the CPSPC involved the implementation of 16 pre-determined steps or activities over the course of one cycle, and over three cycles. Observations borne out of supervision and implementation support missions over 16-STEP COMMUNITY PLANNING AND SUB-PROJECT CYCLE the last few years noted that the project Sub-Project Implementation: produced considerable gains in 6 Months community processes since it was launched in 2003. New forms of collaborative engagements to identify and address local problems, implement solutions, and sustain gains have also been introduced, and enhancement of local capacities has been made through community and LGU engagements in Social Preparation: 8 Months CDD and participatory development processes. In all of these, the 4-stage, 16-step CPSPC served as the basic Figure 1: The 16-Step Community Planning and implementation guide for development Sub-Project Cycle intervention activities.
15 Implemntn of SP & M&E 16 Implemntn of O&M Plan 1 Municipal Orientation 14 PreImplemntn Workshop 13 Approval of SP Proposal (2nd MIBF)

Implmtn SP & O&M Plan & M&E

2 Barangay Orientation (1st BA) 3 PSA

Social Preparation Stage

12 Community Consultation (5th BA)

4 Community Consultation (2nd BA)

11 Preparation of detailed Proposal

Project Selection Stage

Project Identification Stage

5 Criteria Setting Workshop

6 Preparation of SP Concept

10 Community Consultation (4th BA)

9 Prioritization of SP Concepts (1st MIBF)

7 Community Consultation (3rd BA)

8 Finalization of SP Concept

However, the tendency towards a mechanical and bureaucratic implementation of the 16step process, as well as its overly sub-project focused presentation, has also been pointed out. Concerns have been raised that the process has become too tedious, with specific steps leading to delays in project implementation. Volunteers and community residents alike complain of too many barangay assemblies, counted to be as many as 10 per year, as opposed to a minimum of 2 specified in the RA 7160 (Local Government Code), highlighting concerns over understanding and appreciation of specific functions and objectives of each step and activity within the cycle. Suggestions such as emphasizing the clustering of the 16-steps as a series of progressive stages, and of improving the presentation of the 16-step process by shifting focus from sub-projects to objectives of each step, have been put forward. Experience borne out of the last three years of project implementation point to three broad concerns that demonstrate the need, and provide the rationale, for the progressive application of the CEAC. These include the following; The need to build on gains from the implementation of KC: KKB community development processes and interventions. Over the years of implementation the project has been shown to lead to the following gains; Community engagement in CDD processes: Poor people and communities in rural areas are made to engage in Community Driven Development processes such as PSA, Project Identification, Development, and Implementation, Community Fund Management, which has lead communities to recognize that they can define their development needs, and identify, develop, and implement appropriate interventions. LGU engagement in participatory development practices: The project promotes the active engagement of LGUs with local communities in the practice of participatory governance for development through the processes of BAP, budget realignment for community-identified needs, MIAC engagement in project preparation and monitoring, and others.

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New forms of collaborative engagements: Because of the project, new forms of working together are developed, including forms of engagement among community members (through the BAs, through volunteer committees, and the BSPMC project implementation mechanism), between the community and LGU (through exercises in finance management, LCC provision, and even procurement), and between NGAs and LGUs. Organizations, associations established: These collaborative engagements have lead to the formation and establishment of community mechanisms and structures that propel specific aspects of the whole development effort, such as Operation and Maintenance Groups for O&M of SPs, BaBAE Advocacy Teams, and others. Volunteers trained, capacities developed: Thus far, a total of 10,764 trainings have been provided to about 45,000 volunteers, 49% of whom are women. Trainings provided to community volunteers and other stakeholders include Participatory Situational Analysis, Project proposal preparation, Simple financial & procurement management, Organizational Development, Operations & Maintenance, and Advocacy & Resource Mobilization Projects implemented and operational: Of 1,422 total number of SPs funded (as of November 2005), 729 sub-projects have been completed, benefiting 1,492 poor barangays.

The need to actualize potentials and address opportunities emerging from gains in project implementation by sustaining social processes and moving development forward. These potentials include the following; Potential for activating/re-activating MLGU/BLGU participatory governance mechanisms through the activation of Local Special Bodies, and formation and revitalization of Municipal and Barangay Development Councils. Potential for enhancing MLGU/BLGU structures and systems , including the Municipal Inter-Agency Committee structure to support local development efforts, local budgeting process, local procurement, and project Planning, Implementation, Monitoring, and Evaluation. Potential for enhancing new forms of community-government engagements for development, inclusing such mechanisms as the MIBFs, BSPMCs, MIAC, and the Joint Inspectorate Teams. Potential for sustaining, enhancing, and expanding community mobilization through the various Barangay-level and Municipal-level formations and organizations established. Potential for taking participation forward from problem identification, prioritization of development interventions, and sub-project implementation towards using lessons on peoples participation in these engagements in order to effect meaningful, development-oriented policies at the Barangay and Municipal LGUs.

The need to address process gaps in implementation. At the very on-set, ccommunitydriven development involves a constant process of growth and improvement. There were no delusions that the steps were perfect, and that the true test of effectiveness of approaches and methodologies also rely on how well the processes adapt to changing conditions. In the course of project implementation, community members and partner LGUs have not ceased to remind us of some of their observations on the CEAC, including;

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Loss of income opportunities of volunteers because of their participation in the projects various activities. Community residents also complain that the project require the holding of too many Barangay Assemblies, as opposed to the minimum of two per year set by the local government code (RA 7160). Local government partners also appear to constantly seek clarification of their role. But rather than ask, they often try to test various aspects of the projects implementation design, most notably in the area of SP identification and prioritization, and procurement. The dominant question now appears to be What is the role of local governments beyond provision of LCC? Lastly, gaps have been noted in project implementation itself. Social preparation has taken a whole year in some areas, and sub-project project implementation two years in others. Disbursement targets also fall short of expectations, and cause the creation of numerous catch-up activities that betray weaknesses in project implementation that need to be addressed.

Since its implementation in 2003, the Kalahi-CIDSS project now looks at three years of implementation experience. Areas for enhancement in project implementation identified in previous missions also served to underscore the need to determine whether avenues are provided in the 16-step process for these enhancements, which include; Community organizing (C.O.) and consolidation of local community structures for mobilizing and sustaining community action for development, where community organizing is understood as the strategy to build community demand, and where local residents engage in community organizing processes in order to identify and respond to identified community needs. Avenues for the conduct of activities in line with consolidation and strengthening process gains outside of sub-project implementation are explored and enhanced, including (1) CO requirements for effective Operation and maintenance of subprojects and the establishment of effective O&M groups; (2) CO as a strategy to facilitate community action to address needs of non-prioritized barangays; (3) CO as a strategy to mobilize communities around other issues identified in the Participatory Situation Analysis (PSA) Barangay Action Planning (BAP) process; and (4) CO approaches leading to the establishment of local structures, and community-based mechanisms, and local orgabizations that will propel community-led, demand-driven engagements with local government units and other stakeholders in a post-KALAHI environment. Sub-Project preparation/ implementation, enhancing existing approaches and methodologies in facilitating different social processes involved in formulating, developing, and implementing interventions to identified community needs and problems. Enhancing sub-project preparation and implementation also means purposively making community processes built into preparation and implementation of sub-projects as avenues for increasing local capacities in engaging in community development. Among these processes include (1) sub-project identification, design, and preparation processes that increase SP responsiveness and effectiveness; (2) community procurement and the application of the procurement readiness filters, and; (3) community finance management and fiduciary safeguards. Institutionalization enhancement/s, focused on the processes and activities that improve LGU systems and structures in ways that (1) promote and support Community-Driven Development initiatives; (2) increase transparency; (3) maximize existing mechanisms and mandated local structures, and; (3) uphold peoples participation in governance. A critical factor in this regard involves facilitation of activities that harmonize KC:KKB development

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processes and LGU development planning and participatory governance processes and mechanisms. SP O&M and Sustainability Enhancement/s, focused on organizational development processes that ensure sustainability of sub-projects developed under the KC:KKB sustainability, as well as the conduct of activities in line with consolidation and strengthening of processes and structures for post sub-project implementation operation and maintenance. These concerns, and one cannot be addressed without due consideration given to the other. As a CDD project, the KALAHI-CIDSS:KKB was premised not only on the active participation and involvement of local communities, but also on the dynamic application of processes grounded on the specificity of local conditions within each communities. The latter underscores the suggestion that certain areas might require different strategies and focal points than others, and recommendation for DSWD and the World Bank to engage in continuous dialogue to determine whether current project design and execution through 16 pre-determined steps allows for necessary flexibility and adaptability in implementation, so necessary to maintain demand-responsiveness integral to the KC:KKB project.

2.3 What are the objectives of CEAC implementation process?

Two objectives served as guides in the development of the CEAC. The first is the idea of QUALITY. We need to do things better. Enhancement of the KC CEAC must lead to an increase in the quality of implementation of social processes, procedures and mechanisms. Concretely, this means that community situations must be better analyzed, interventions better identified, volunteers better equipped, communities participating better because they are better informed, sub-projects implemented and operated better because they will lead to the concrete improvement (Im tempted to say betterment) of peoples lives. This also means ACTS, RPMTs, and the NPMO doing their jobs better. Technical assistance are provided better, both by the RPMT and the NPMO. Administrative systems are made to serve the project and its objectives and goals better, and so on. The first catch word is BETTER! The second idea is SPEED. We must be able to do things faster. The project should be able to adapt strategies that would allow field implementers to plan more effectively. There will only be three years remaining in the project, equivalent to one phase of implementation. There will be little room for playing with time. Concretely, this may mean that some activities will have to be streamlined, others conducted back-to-back, or even simultaneously, and some activities made optional. The second catch word is FASTER. Our objectives are two fold; Do things BETTER! Do things FASTER!

2.4 How is the CEAC implemented in the KC project?

Each community under the project undergoes the CEAC three times, one for each cycle of the project. However, lessons from field experience in implementing the CEAC over the course of the last three years indicate that the running the CEAC in three cycles in any given municipality must not be construed to mean a repetitive implementation of a generic cycle. As development necessarily means a progressive movement from a condition of poverty towards a state of improved over-all quality of life, so too must the process by which this

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development come about be characterized by a progression of implementation strategies and activities that build on the foundation and output of previous strategies and activities. The CEAC is a dynamic process where progression occurs at two levels. The first level is a progression of strategies and activities within a given cycle. Simply put, this means that all activities should build from previous activities along one specific cycle. The second level of progression occurs over the course of three cycles. This means that implementation of the CEAC changes over the course of three cycles, and that while some activities remain the same in form, they are essentially different in substance. Facilitation shifts over time from KA:KKB field implementers to MLGU, MIAC, and Community Volunteers. Objectives of certain activities such as the PSA also change over time, from data generation and analysis in the first year to review and enhancement in the succeeding cycles. Facilitation of Municipal activities also change over time.

2.5 What are the elements of the CEAC implementation design?

The CEAC is the major strategy adopted by the project to operationalize the social development component. While each community under the project undergoes the CEAC three times, one for each cycle of the project, the cycle is by no means repetitive. On the contrary, following the idea of development as a progressive movement from a condition of poverty to a state characterized by improved quality of life, as stated in the early pages of this section, the activities in the CEAC also move progressively, with each step building on previous steps, and each cycle building on previous cycles. The enhanced version of the Community Empowerment Activity Cycle (Figure 2) is represented as a five-stage, multi-step process where focus is placed on the stages that the project goes through within a given cycle, as opposed to the old formulation that puts focus on the specific steps or activities (Figure 1). The former representation of the CEAC as circular, connoting a continuous cyclical process, is good for presenting the idea of the CEAC as process. This formulation is essentially retained. However, the numeric counting of specific steps is abandoned. This is due to the understanding that these steps go through a process of evolution across the three cycles, and the steps and some of the activities will necessarily change over time.

Community-Based Evaluation

Accountability Review and Reporting

Implemntn of O&M Plan Implemntn of SP & M&E Pre-Implemntn Workshop

Transition

Municipal Orientation Barangay Orientation (BA) PSA Community Consultation (BA)

Implmtn SP & O&M Plan & M&E

MIBF MDC Engagements

KALAHI-CIDSS: KKB COMMUNITY EMPOWERMENT ACTIVITY CYCLE

Social Preparation Stage

Criteria Setting Workshop MIBF) MIBF-EC Review of Pending Proposals

Community Consultations (BA)

Project Approval Stage

Project Identification, Selection, and Planning Stage

Project Development Workshop Preparation of detailed Proposals

Prioritization and approval of Proposals (MIBF) Community Consultations

Community Consultations (BA) MIAC Technical Review of Proposals

What remains constant are the stages that the project goes into Figure 2: The Enhanced Community Empowerment across the three cycles. Looking at Activity Cycle (CEAC) Figure 3, the activities undertaken in each stage is a generic representation of activities specific to that stage. It does not mean that all activities must be undertaken in the same way across every cycle.

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2.6 What are the stages of the CEAC?

As stated earlier, each cycle is in the new CEAC is composed of five stages. The first stage is called the Social Preparation stage, and begins with a Municipal Orientation and a Barangay Assembly designed to build understanding of the project among local government units and community members. The most critical feature of the social preparation stage is the conduct of the Participatory Situation Analysis wherein the community volunteers collectively gather data on conditions existing in the community, analyze these conditions, and define appropriate development interventions to address identified needs. These are then validated through the conduct of another Barangay Assembly. The Social Preparation stage is followed by the Project Identification stage where the communities begin to develop identified interventions. The most critical feature of this stage is the conduct of the criteria setting workshop which is essentially a collective exercise of identifying the parameters by which development projects will be prioritized. However, more than just setting criteria for project selection, the CSW is a process by which the people are introduced to the idea of defining what local development means for them, and by establishing criteria for selecting development projects, the people are actually defining how development should come about, and how development interventions should be prioritized. The next stage is the Project Preparation, Selection, and Approval stage, where the people begin the arduous but rewarding task of preparing project proposals, and finalizing plans for development projects identified during social preparation. It is also here where one of the most distinct features of the KALAHI-CIDSS project is actualized; the competitive project selection process by way of the Municipal Inter-Barangay Forum, or MIBF. The MIBF is a mechanism by which members of barangays participating in the project select which projects deserve to be funded from the municipal allocation, from among the numerous project proposals prepared by local volunteers in the barangays, using the criteria set during the Criteria Setting Workshop. Once the projects are selected, the cycle moves on into the Implementation of subprojects. While KC:KKB is not just about infrastructure or development projects, these none the less provide the people with a rich environment to in which to learn new ways of working collaboratively with others in the community. In the course of project implementation, community residents are provided with opportunities to engage local government units at the barangay and municipal level for technical support and local counterpart resources. People also learn first hand the basics of community procurement and financial management. All these process conspire to enhance community ownership of the project and its various outcomes. Before beginning the second cycle, a period of transition is undergone by all the barangays. Part of this transition involves the conduct of a Community-based Evaluation process where community residents assess their participation in the project and the changes which have been brought about because of this participation. The other critical activity in this stage is the conduct of the Accountability Review and Reporting session, where community volunteers, the Barangay, and the Municipal LGUs review their commitments to the project, and report the same to the people. This signals the beginning of the next cycle of the project.

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2.7 How does the role of various stakeholders evolve in the course of the CEAC?
Figure 3 illustrates the framework for a progressive application of the KC:KKB CEAC They do it, We do it across three cycles. The application of we coach. together. We do it, they KC:KKB process along the CEAC is Outputs/Indicators watch. calibrated such that appreciation among Outputs/Indicators Outputs/Indicators various stakeholders is built in the 1st cycle. Outputs/Indicators Outputs/Indicators Outputs/Indicators In cycle 1, primary responsibility for facilitating project development processes reside in the Appreciation Adoption Acceptance Area Coordinating Teams (ACT), while Cycle 1 Cycle 2 Cycle 3 community members and other stakeholders observe and participate in KC:KKB Figure 3: CEAC Implementation Framework processes. For the 2nd cycle, activities will seek to promote acceptance of KC:KKB processes and systems among stakeholders. In this cycle, facilitation of KC:KKB development processes is envisioned to be a shared responsibility among project stakeholders. In the 3rd cycle, it is expected that stakeholders both at the community, barangay, and municipal levels show adoption of KC:KKB development processes. In this cycle, facilitation of KC:KKB development processes will move to the municipal and community stakeholders taking a lead role, with the ACT providing technical assistance and pre-activity preparation and planning assistance, coaching during actual activities, and postactivity processing and evaluation. Outputs of project interventions (as evidenced by concrete indicators), are also expected to increase progressively across cycles, with succeeding cycles building on the outputs produced from previous cycles of implementation. The following sections will provide detailed exposition of the activities and steps in each of the cycles of the three-cycle CEAC.

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WALK-THROUGH OF THE CEAC CYCLE 1

Chapter

To the ACT:

This is the longest and most important chapter in this entire field guide. Having gone through a discussion on the CEAC and its role in the implementation of the KALAHICIDSS:KKB Project in the previous chapter, this chapter shall walk you through the fist cycle of the three-year KALAHI-CIDSS implementation program. The chapter is divided into five broad sections corresponding to each stage of the CEAC, from Social Preparation in stage 1 to the Transition activities in stage 5. Each stage in turn discusses the critical activities that need to be implemented within the stage. For each of the activities, a backgrounder, discussion of the rationale, and description of the process of implementing the activity is provided. You will note that the word used here is description. This is deliberate. This chapter DOES NOT intend to provide instructions on how each activity and process should be facilitated. What it hopes to provide are broad descriptions of how each activity can and should flow. Following the idea of differentiation, what these activities will look like in actual field conditions will depend on the specific contexts of each KC area and the creativity of the ACT in developing methods, tools, and techniques that are appropriate for their areas and audiences, but which will effectively facilitate achievement of the objectives and outputs of each activity and stage. The chapter begins with a discussion of Social Investigation and Assessment, and its role in establishing the specific local situation prior to or at entry of KC processes. The output of the SI/A process will be invaluable in subsequent tracking of progress towards achievement of project objectives in the course of the three-year, multi-cycle KALAHI-CIDSS engagement. The chapter also covers a lengthy discussion on Organizing and Engaging Community-Based Organizations (CBOs) as a vital project activity serving to propel the projects empowerment objective. The last section of this chapter covers discussions on the Accountability Reporting (AR) and Community-Based Monitoring (CBM), critical end-of-cycle activities that will pave the way for a smooth transition from cycle to cycle. Where indicated, please refer to other project manuals, particularly the Monitoring and Evaluation (M&E), the Rural Infrastructure Manual, the Grievance Redress Manual, Community Finance Manual, and the Community Procurement Manual for more specific details. You are encouraged to read the materials in this chapter carefully. Remember that this chapter is by no means complete, and like any tool that seeks to aid Community-Driven Development initiatives, the activities and processes outlined here only serve to guide you in better facilitating local initiatives of poor community people to address poverty conditions and challenges to local development. How this development actually comes about will ultimately depend on your patience, and tenacity in analyzing the real causes of poverty in the community where you are assigned, and in your creative discipline in designing interventions that will allow people to realize their own potential in propelling development. It is fervently hoped that this chapter will assist you in this endeavor.

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3.1 Social Preparation Stage

3.1.1 Social Investigation and Assessment
3.1.1.1 What is social investigation and assessment?
Social assessment is an iterative process that provides a framework for prioritizing, gathering, analyzing, and incorporating social information and participation into the design and delivery of development operations. Social Assessment is a systematic investigation of demographic, socioeconomic, social organization, socio-political context and needs and values.

3.1.1.2 Why do you have to conduct social investigation and assessment?

Social investigation and assessment will help you, the ACT, in identifying stakeholders and priority issues. Social assessments inform team strategies through identification of key players who can champion or oppose the process, and understanding social dynamics. Social assessment establishes participatory processes in the communities by involving the community in the process. It also serves as an evaluation tool. Social Assessments conducted prior to project intervention establish the baseline by which project outcomes and impacts will be measured against. End of cycle social assessments become point in time pictures of community progress. Perceptions of stakeholders are also monitored over time.

3.1.1.3 When is social investigation and assessment conducted?

In the context of KALAHI-CIDSS, social assessment is conducted at the beginning, prior to project entry and at the end of the last cycle, after the conduct of the community-based evaluation and accountability reporting.

3.1.1.4 What tools are used in the conduct of social investigation and assessment?
Data gathering for social assessment uses direct observation, focus groups discussions, key informant interviews, questionnaires and analysis of statistics. For more information, please refer to the Monitoring and Evaluation Handbook on Social Assessment.

3.1.1.5 Who do you talk to when conducting the social investigation and assessment?
Ideally, all stakeholders at the community are involved in the social assessment, whether as part of a group discussion, interviewee or as participants in meetings observed. At the very

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least, the process includes observing meeting of the Barangay Development Council (BDC), Municipal Development Council (MDC), group discussions with barangay captains and interviews with the Mayors. Other key personalities in the barangay should also be spoken to further understand local dynamics in the community.

3.1.1.6 What is the output of the social investigation and assessment?

Three sets of outputs result from the social investigation and assessment process: 1) Data/information gathered from the interviews, focus group discussions, questionnaires; 2) Action plan outlining the teams strategy and outputs for the coming cycle; 3) Social assessment report based on of the data gathered. For the social assessment report, please refer to the Monitoring and Evaluation Handbook on how to prepare the social assessment report.

3.1.1.7 How do you conduct social investigation and assessment?

The following key points are necessary to keep in mind when conducting SI; 1. Good SI results from good integration. Integration and social investigation are like two sides of the same coin, one cannot be done without the other. The quality of information in influenced in a very relevant way to the level of rapport established with community residents. 2. The best SI 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 an SI session as an informal, casual dialogue between persons rather than a formal interview. 3. The answers you get depend on the questions you ask. It is necessary to prepare and review questions beforehand. Ask open-ended questions but also be prepared to improvise to keep the discussions flowing smoothly. 4. How you ask is as important as what you ask, and when. Be sensitive to the mood of an over-all climate of the conversation. If the person you are talking to feels threatened, they may provide you with the information they thing you want to hear rather than what they really think. This is a phenomenon called meta-talk, which should be avoided. 5. Not all information is audible, some are better seen than heard. Be sensitive to non-verbal cues as they can provide you with valuable insight on what people you are talking actually mean. 6. Suspend your judgement; 7. Triangulate your information. Always cross-validate information gathered with other sources. Different government offices, both at the local, regional, and national levels can provide information that you can use to cross-validate data gathered from the community. The Community-Based Monitoring System (or CBMS) implemented in a number of KC municipalities are also a rich source of information which you can use.

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NGOs, on the other hand, are a good source of alternative, sector-specific information. 8. Plan your SI session well in advance. Prepare leading topics for your sessions, and take note that these can vary from person to person. Learn your key questions by heart and practice your delivery. 9. Evaluate your SI session, draw lessons and re-calibrate accordingly. This will ensure that succeeding sessions will be better managed and hence be more fruitful. 10. The SI is one of the rare times when being dumb is a good thing. Remember that nobody likes to talk to someone who knows it all. Besides, the people should be the one sharing information. Your task is to keep the discussion flowing and keep them talking. If in the first two minutes only you are talking and you are not eliciting any response from the other person, chances are you are already in trouble.

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3.1.2 The Barangay Assembly

3.1.2.1 What is the barangay assembly?
The barangay assembly is a gathering of all barangay residents who are at least 15 years old and above, Filipino and listed in the records as members of the barangay assembly (as defined in the Local Government Code, R.A. 7160). The barangay, as the basic political and socio-economic unit, wields tremendous powers if tapped by its people. This power is made most apparent through the Barangay Assembly, which serves as the primary mechanisms for the exercise of popular citizenship. It is the foundation where the people can make claim-making with government over the delivery of basic services and facilities, where the people can demand transparency, and even exercise their supreme right to directly govern. With its own power to create and generate own sources of revenue, the barangay can finance and sustain its own development. While the LGC specifies a minimum age requirement for membership in the assembly, citizenship is the ultimate basis for affecting governance. Hence, all citizens of any age, color, ethnicity, religion, race, political belief, and social and economic status have an equal right to be heard.

3.1.2.2 Why do we conduct barangay assemblies?

KALAHI-CIDSS (KC) is a communitydriven development project where decision-making resides in the community. It is for this reason that the conduct of barangay assemblies during the community empowerment activity cycle (CEAC) is very important. The people in the communities are the prime decision makers of the Project. This collective decision making is exercised through the assembly. Because decision-making resides in the assembly, it is responsible for deciding on critical aspects of KALAHI-CIDSS project implementation in the barangay, including identification and selection of community volunteers and leaders, deliberation and approval of needs assessment and project selection results. It is also the primary venue for deliberation and decision-making on project planning, implementation, and monitoring and evaluation processes. KALAHI-CIDSS hopes to develop self-propelling communities where people actively participate in activities and projects that will improve their lives. The BA serves to make this hope concrete through collective processes consistent with the projects basic principles.

3.1.2.3 What are the functions/responsibilities of a barangay assembly?

The following are the functions/responsibilities of a barangay assembly under the Local Government Code (LGC) of 1991; 1. The barangay assembly shall initiate legislative processes by recommending to the sangguniang barangay the adoption of necessary measures for the welfare and development of the barangay, 2. The barangay assembly shall decide on the adoption of initiative as a legal process whereby the registered voters of the barangay may directly propose, enact, or amend local ordinances.

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3. The barangay assembly shall hear and pass upon the semestral report of the sangguniang barangay concerning its activities and finances.

3.1.2.4 How are these functions applied in the KC project?

In the KC project, a BA is conducted primarily for information sharing and decision-making between and among members of the community. Because the project undertakes numerous participatory processes, the project principle of transparency and localized decision-making call require that consultation mechanisms like the BA should be activated for critical activities requiring collective information sharing and decision-making. While there are no prescribed number of BAs conducted within the CEAC, the following instances of project activities below are a few examples of how the BA exercises its mandated functions in support of the project; a. The first BA is geared towards building understanding of the project among community members. This BA is usually where the KC Project is formally introduced to the officials and members of the community. People in the assembly can engage in dialogue with each other, with local government officials, and with the ACTs to discuss and clarify participation requirements, and their rights and obligations as partners in the project. This can also be the venue where all stakeholders in the barangay and the ACT negotiate on the terms and requirements of their engagement in the KC project, state their commitment and support to the Projects objectives, and concretize the forms this commitment will take. They also agree/set the minimum rate of household participation during assembly; select the volunteers who will conduct the Participatory Situational Analysis (PSA), and representatives to the Special BA for grievance. b. The PSA process will require a community validation of its findings, especially on the key problems and critical development challenges faced by the community. The process of validating the PSA findings can take the form of a barangay assembly. The BA in this instance can serve as a participatory exercise that gives opportunity to members of the community to be consulted as well as provide further inputs and refinement to, the PSA results. They can also elect the members of the Project Preparation Team (PPT) and the Barangay Representation Team (BRT) during this assembly. c. The process of preparing project proposals, from the project development workshop up to the pre-Municipal Inter-Barangay Forum (MIBF) review of community project proposals by members of the Municipal Inter-Agency Committee (MIAC) will also require the conduct of barangay assemblies or individual purok or sitio meetings. This is to ensure that comments, feedback, and other inputs are continually exchanged between project preparation teams, barangay representation teams, and community members so that proposals produced truly reflect the will of the people. d. Consultation and validation meetings are regularly conducted for critical activities along the CEAC. An example includes reviewing and validating the sub-project concept prepare by the PPT with the community members. This is a feedback mechanism where comments and other inputs to improve the sub-project concept are given by the barangay assembly, and where the plan to address community problems identified in the PSA, as well as the Operations & Maintenance (O&M) concept for the proposed sub-project, are reviewed. The BA can serve as the mechanism to validate and approve these plans.

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e. Feedback on the Results of the MIBF can also be undertaken through BAs, where the assembly becomes the venue where results of the 1st MIBF are presented to the community and reflection sessions on experiences and lessons learned from the MIBF are made. For prioritized barangay, the BA becomes the venue for firming up arrangements for the BSPMC, organizing new committees, and others. For the nonprioritized barangay, decision on future actions regarding non-MIBF interventions is also firmed-up in the BA..

3.1.2.5 How often is the BA convened?

The LGC specifies that the barangay assembly should meet at least twice a year to hear and discuss the semestral report of the sangguniang barangay concerning its activities and finances as well as problems affecting the barangay A cursory look at the CEAC will show that the project conducts numerous activities. The principle of localized decision-making also demands that people are continually consulted and are supplied with the right current information on which to base decisions. In view of these, there exists a tendency to conduct too many barangay assemblies which may be seen as a burden by local communities, effectively hampering participation. Bear in mind that the purpose of a Barangay Assembly is to promote active citizenship, increasing peoples participation in barangay governance as the basis for public decisionmaking and local development planning. Ordinary citizens attending barangay assemblies are given the opportunity to articulate their views, voices heard, push for project-specific needs that directly impacts on their lives, and participate meaningfully in the allocation and use of local revenues and resources. The conduct of barangay assemblies should serve this purpose, not just to facilitate implementation of project activities. As such, some BAs can be made optional, depending on the need. If data gathered, and problems, vision and plans formulated need to be presented to the majority of people validation and approval, then the mechanism for validation and approval can take on many forms, including that of a BA. Not all barangay assemblies that serve the projects purpose need to be initiated by project staff. Whenever the Barangay Local Government Unit (BLGU) or other organizations conducts its barangay assembly, the KC agenda can be included to that of the BLGU and vice versa. Meetings or assemblies of existing Community Based Organizations (CBOs) or Peoples Organizations (POs) can also be maximized as a forum for discussing the KC agenda and activities. .

3.1.2.6 Who needs to be involved in the conduct of a barangay assembly?

The participants in the barangay assemblies should include all (or an overwhelming majority) of the barangay residents, the barangay legislative council and barangay development council (BDC), representatives from the MIAC, representatives from peoples organizations (POs) in the barangay, representatives of NGOs operating in the barangay, and other stakeholders. The barangay captain convenes the barangay assembly. In cycle 1 implementation, assemblies are facilitated by the Community Facilitator (CF) with the assistance of an LGU staff and community volunteers (CF demonstrates the conduct of a barangay assembly). In cycle 2, it will be facilitated by the community volunteer

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designated by the BDC and an LGU staff (community volunteer and the LGU staff on the lead role while CF assists them). In the 3rd cycle, it will be facilitated by the community volunteer and an LGU staff while CF observes and coaches them.

3.1.2.7 Tips, dos and donts of facilitating a Barangay Assembly Basic Facilitation Skills
Facilitation skills are a basic requirement for you to ensure active participation and meaningful exchanges during meetings;
A facilitator should be like a sponge: An effective way of learning facilitation skills is through observing how effective facilitators handle a group in a certain activity. A good facilitator is like a sponge. They are never content with the skills and knowledge they have, and are aware that their capacity for learning is endless. In keeping with this sponge image, effective facilitators learn from everything. In each course they conduct, they gain new

A facilitator: Ensures the effective flow of communication within a group so that the participants can share information and arrive at decisions. Poses problems and encourages group analysis. Provokes people to think critically and motivates them towards action. Does not change or ignore any decisions reached by the participants through consensus. 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 that maybe present in a group. To resolve conflict, a facilitator should be able to sense the ADI where A is for Agreement D is for Disagreement I is for Irrelevance Agreements should be explored, disagreements respected and irrelevance identified so that the focus will be on reaching an agreement. Exploring Ds can also be explored to widen the A.

Tips on the Preparation/Facilitation of a Barangay Assembly

1. Groundwork your barangay captain and other members of the LGU. Remember that you are not the convenor of the BA. This is the role of the Barangay Captain. Make sure that he/she is fully aware of the rationale, objective, and expected outputs of the meting. Give him/her due importance by providing them with a formal role in the assembly. 2. Ensure that the schedule of the BA is not in conflict with other community schedules such as fiestas, harvest time, and other community activities. Availability of community residents is a very important factor and should not be overlooked. Good scheduling will increase participation in the BA. 3. In scheduling the BA, consider as well as the schedule of other BA 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.

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4. Organize separate meetings or assemblies for sitios or puroks that are very far and hardly accessible. The households and other vulnerable groups like the Indigenous People, farmers, women, etc. in these areas should also be reached and informed about the Project and how they can participate. They should be given the opportunity to articulate their views, participate in the decision-making process, and exercise their right to information. The people then select their sitio/purok delegates to represent them to the barangay assembly. 5. Check the venue and ensure the availability of required materials/equipment such as chairs, tables and sound system. Half day before the assembly, ensure physical arrangement. Mobilize the community volunteers to assist you. If possible, there should be no presidential table. A half moon arrangement of the chairs maybe preferable so that everyone easily sees your presentation materials.

Facilitation DO s and DONT s Learn to manage conflict Have a good projection Direct/sustain smooth and systematic flow of discussion Avoid biases Have mastery of subject matter being discussed Give everybody a chance to talk/participate Lay down the ground rules of discussion Always give a running summary of the discussion/agreements Surface feelings and experiences of participants Be sharp and sensitive to the participants needs Synthesize the entire discussion Be relaxed, confident, warm, trusting and human Reflect, judge, and decide objectively Respond quickly to verbal and non-verbal reactions of participants Do not quarrel with participants Do not lecture like a teacher Do not embarrass nor insult the participants Do not act like a terror teacher Do not reprimand participants Do not get angry with the participants Do not overdo the sense of humor Do not be too accommodating to the participants Do not be too serious Do not be a dispenser of clarity but an enabler that empower others Do not indoctrinate Do not lead participants by asking questions to have wanted answers Do not express personal opinion, standpoint or viewpoint Do not exercise authority over the group

6. If you have presentation materials, check them before the meeting. Role play your presentation. Anticipate possible reactions based on your interaction with the community members and plan out your responses. 7. Be at the venue an hour before the assembly. As much as possible start on time.

3.1.2.8 Post Barangay Assembly Activity

Right after each barangay assembly, the CF conducts focused group discussion (FGD) to selected members of the assembly (different sectors should be represented) to assess the BA conducted. Questions for the FGD are in the BA form to be filled up by the CF after the FGD.

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3.1.3 Promoting transparency thru the Grievance Redress System (GRS)

3.1.3.1 What is the Grievance Redress System (GRS?)
The Grievance Redress System (GRS) is a pioneering approach to social accountability in the operations of Government. It provides an opportunity for the people to articulate their comments, suggestions, and seek redress for problems or complaints related to the Project. Through this mechanism, any queries about the Project are answered; problems that arise out from implementation are resolved and addressed effectively and expeditiously. Grievance or complaints may include 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 system upholds the principle of transparency and accountability and demonstrates the commitment of the Project to provide opportunities for the empowerment of communities. It is for this reason that the system ensures the participation of the barangay assembly and volunteers for grievance in the handling and redress of complaints.

3.1.3.2 What are the principles of the GRS?

Consistent with the KALAHI-CIDSS principles, this mechanism enhances empowerment, promotes transparency, and allows the Project to be fully responsive to its beneficiary communities. This is strategically necessary in maintaining the credibility and integrity of Projects operations and cultivates greater confidence in the bureaucracy. The Grievance Redress System is anchored on the following principles that guide the KALAHI-CIDSS Project: Transparency The system encourages 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. Empowering and participatory Communities, project implementers, NGOs, civil society groups, journalists and other stakeholders are encouraged to participate and bring complaints, grievances and comments to the attention of Project management. More importantly, communities are responsible for resolving problems and the system will prepare them to do so. Socially inclusive and open The whole community (and even those outside) is given the opportunity to raise concerns and the right to be accorded a response. The grievance system will allow anyone, especially the poor, the disadvantaged groups, the women, to raise grievance or complaints, be heard and be involved in its redress. Institutional capacity-building for good governance Through the system, the DSWD and local government units can strengthen channels of communication and mechanisms for grievance redress at the community level. The system enables the government to be accountable to the people and work transparently to resolve problems-

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- not on behalf of the people but with the people. This enhances responsiveness of local governments and develops peoples trust. The LGUs become fully responsive and accountable on their own actions to achieve better governance and enhanced development effectiveness through improved public service delivery. Simple and accessible Procedures to file complaints and seek redress are kept simple and easy to understand by the communities. Complaints and queries may be sent through different accessible means. Quick and proportional action Response to grievance and comments is ensured within an acceptable timeline and that the corresponding action is responsive and commensurate to the complaint or comment. The system does not over-react to problems and strives to provide solutions which shall address the problem rather than penalize the people or communities. All grievances must be acted upon within five (5) working days upon receipt. Objective and independent The system entails objective and independent process so that it will be perceived as fair and encourages people to use it, 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. 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. Due process implies the right of a person to be present and be heard before a duly constituted body assigned or formed to hear, settle, mediate or conciliate complaints or grievance.

3.1.3.3 What are the common causes of conflicts in KALAHI-CIDSS?

In KALAHI-CIDSS, a complaint or grievance is filed because of a personal or collective belief that there was a violation of a right or a non-fulfillment of an obligation of the LGUs, residents, Project implementers, or other stakeholders.

3.1.3.3.1 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 accorded the following rights as Project participants. Right to information The principle of transparency and good governance dictates that all participants should have full access to information on the Project especially the status of sub-projects in their communities. Having adequate information will enable the barangay residents to make an effective decision on matters affecting their welfare. Right against intervention The Project supports localized and demand-driven decisionmaking. The Project respects the right of communities to choose the people who will represent them, make decisions on the sub-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.

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Provision of technical assistance by Project staff to the community must not be 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. Right to participate and be heard -- The Project advocates for participation in the selection, design and implementation of sub-projects and in the election of community representatives. The right of all participants to be heard and to air grievance, comments, and opinion is also respected. Right to informed consent -- Only after the communities are informed of all options available to them and the possible consequences of their choices should they be asked to make their final decisions. The right of the people to information and technical advice is premised on the assumption that they are only able to make right decisions after full information has been given to them.

3.1.3.3.2 Obligations of Participants in the Project.

Parties joining the Project will assume certain obligations inherent to or explicitly provided by the Project. These obligations are categorized into four general areas, as follows: 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. Obligations arising from the provisions of the Memorandum of Agreement (MOA) among parties participating in the project. These MOAs contain the responsibilities of different parties and become a source of obligations. The MOAs are between the: DSWD and MLGU perfected during the municipal launch DSWD, MLGU and BLGU/BSPMC on Sub-Project Implementation

Obligations also arise 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. Discussed earlier, these rights are as follows: right to information right against intervention right to participate and be heard right to informed consent

To summarize, these are the prevalent sources of conflicts in the Project: 1). lack of information and/or misinformation due to lack of transparency; 2). poor communication and/or miscommunication on community decisions and progress of implementation; 3). Strong traditional power structures and fear against authorities.

3.1.3.4 What are the types of Grievances?

The system deals with four types of grievances/comments or queries. The categorization is mainly for the purpose of sorting the different comments and grievance according to the main authority that will address or resolve them.

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Type A Grievance
This covers queries, comments, and suggestions. This type is non-contentious 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. This could also be issues raised during assemblies and focus group discussions. This may be answered at the point of intake 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. Questions related to date, place, and time for the conduct of KC-related activities are unnecessary to intake under Type A.

Type B Grievance
This type of grievance involves violations of certain rights or non-performance of obligations. This may cover: i). violation or non-accordance of 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 These types of grievance are primarily addressed by the Barangay Assembly (BA) and / or the Municipal Inter-barangay Forum (MIBF).

Type C Grievance
This type refers to grievance or offenses involving a violation of law. This is more serious and may take a little longer to resolve because the redress mechanisms are usually through established legal processes like in the courts of law. However, the BA and MIBF may act on these cases to facilitate out-of-court settlement.

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 related to conduct and behavior of staff. Project Staff and other project stakeholders must adhere to accepted norms of conduct dictated by legal precepts or cultural practices. These are contained in: i). Civil Code as the basic law guiding human relations; ii).Code of Conduct and Ethical Standards for Government Employees; and iii). 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 likewise be subjected to their own internal rules of procedure once they become the subject of

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complaints. This is without prejudice to an inter-agency intervention to resolve the problem. The BA and MIBF however, may recommend or articulate sanctions to the appropriate body.

3.1.3.5 What is the Grievance Handling Process?

There are four major steps in the grievance handling process namely: (1) initiation; (2) processing and action; (3) feedback; and (4) follow-up. Please refer to the Grievance Manual for more details about specific aspects of the grievance handling process.

3.1.3.6 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 grievance. This includes: Any or all residents of the barangay and municipality where the project is being implemented; Officials of local and national government agencies; Staff of non-government organizations, faith-based institutions, consultants, media representatives and local business groups; Non-residents of the barangay or municipality who stand to gain or lose from the project;

3.1.3.7 How is a grievance or comment filed or initiated?

A grievance or comment may be channeled or initiated through: 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. Media newscasts, newspaper articles, and other publications, call in questions, comments or complaints from radio programs, The Grievance contact details (mobile hotline) must be posted in conspicuous places in the barangays and municipalities as well as in the regional and national offices of DSWD.

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3.1.4 Participatory Situation Analysis (PSA)

3.1.4.1 What is Participatory Situation Analysis?
Participatory Situation Analysis (PSA) is a systematic, semi-structured and flexible method of acquiring information. To other groups and organizations which are also adopting participatory approaches, PSA is also known as Participatory Learning and Action (PLA), Participatory Rural Appraisal (PRA), Participatory Resource Review (PRR), and Participatory Action Research (PAR). PSA is a method of collective information sharing and analysis that can be used for a variety of purposes, including but not limited to strengthening organizations, design and implementation of programs and projects, monitoring and evaluation, and drafting of community development plans.

3.1.4.2 What is the purpose of PSA?

As a research method, the purpose of PSA is to mobilize local communities to share information about local conditions from their own perspectives. Unlike other data gathering instruments, PSA employs peoples involvement methods to acquire relevant data from community members in the formulation of development plans. It is a collective analysis of the community situation wherein people congregate to share their knowledge and experiences on their condition through the use of visual tools. But beyond being another research methodology, PSAs popular and collective process of sharing information, analysis of data and prioritization of concerns and issues make the people more critical and analytical in understanding their current condition. Because it proceeds from the peoples perspective, it provides external development actors with a key to understand how community people think and what their priorities and aspirations are. By involving people in the entire process of data collection and analysis, and in the formulation and design of plans to address identified development issues, collective implementation of development interventions is enhanced. When people are actively engaged, they acquire adequate knowledge, proper skills as well as power to efficiently and effectively manage community development projects ensuring that these projects will become more grounded and responsive to the actual needs of the community.

3.1.4.3 What are the principles of PSA?

The basic essence of the PSA process is the active participation of the community people. Because of this, PSA practitioners follow certain principles to ascertain its development objectives. Below are some of the defined operational values in the performance of PSA: 1. Optimum Ignorance (no monopoly of information). Adequate and concrete information is needed in order to have a sound conclusion. In PSA, it is imperative to exhaust the process of data gathering and analysis before vaulting into conclusions.

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Otherwise, formulated development plans without ample information may not directly address community concerns and issues. 2. Triangulation (cross-checking of data). Getting hold of the validity of the acquired information through cross-checking of data to other PSA tools used, from various groups or individuals in the community or from various information materials available. Through this process, we can get the most objective data. 3. Self critical awareness and responsibility (focused on PSA principles). The facilitator needs to regularly check his/her words and actions on the principles of PSA approach. It is the responsibility of the facilitator to make the entire process peoplecentered, unbiased and participatory. 4. Reversal of learning (lessons from peoples experiences). Facilitators are not the one providing information but acquiring information from the people. Facilitators are not to lecture but to facilitate the learning process among community people. 5. Consultative (process coming from the people). If and when the people are not comfortable with the activities and tools presented, they can use other indigenous activities or resources available in the community. 6. Collective formulation (plans made by the people). Nobody knows everything but everybody knows something. PSA is process of consolidating peoples knowledge and experiences to come up with a collective formulation of development plans. 7. Focused learning on limited but important data (quality than quantity). In PSA, it is important to know the various and important data to gather where the data gathering will focus on. Initial analysis is imperative to know what data are important and what are not. This is for the PSA resources to concentrate on the essentials of the process or activity. 8. Learning by doing (activity-oriented learning). PSA is an experiential process of gathering information. People learn while collectively sharing experiences on the context of the community through PSA tools. And in doing so, there will be a deeper appreciation and understanding on their existing positive and negative condition and how these be enhanced and addressed, respectively.

3.1.4.4 Why the Need for PSA in the KC Development Process?

A basic truth about development is that local people know more about local conditions that are relevant to development planning than do people at higher levels. As a poverty reduction program adopting community-driven development as the primary project strategy, development interventions to address local poverty issues under the KC project proceed from community demand, and are not pre-identified by external experts. By allowing local determination of development interventions, the need for a process of careful analysis of local conditions by local communities takes on a prime importance. In the KC Project, this process proceeds through PSA. Because of its participatory character, the PSA is an effective and efficient form of collective data gathering and analysis that engages community people in simple, visual, fun, and semi-structured processes of sharing, gathering and analyzing information in order to ascertain the general and particular needs of the community for the creation of concrete, responsive and relevant strategies for community development.

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3.1.4.5 When is the PSA process conducted, and for how long?
Planning for participatory, community-driven development is a dynamic and never-ending process. The process should be imagined as a wheel - at some point in the process, one must return to the first step in order to plan further. In the case of the KC Project, the PSA can be likened to the starting point of this cyclical process. The PSA in the KC project is conducted after the conduct of the first barangay assembly where the project is first introduced to the barangay, and the PSA volunteers are selected. Prior to the conduct of the actual PSA workshop, the CF should be able to undertake preparatory activities such as groundworking the PSA volunteers, engaging leaders of existing CBOs in discussions on community situations, ground working barangay officials and MIAC members to attend the PSA, collection and review of existing secondary data (especially those contained in the barangay and municipal development plans, MBN surveys, or CBMS data if available). All of these preparatory activities should lead to firming up the objectives, processes and methodologies, facilitation plans, and schedules and other logistical details of the PSA workshop. The KC PSA workshop is expected to last for two and a half days, aside from the community validation of PSA results in a barangay assembly, which is expected to take half a day. Over-all, the entire PSA process from data gathering to validation should last for three days.

3.1.4.6 How does the PSA process proceed?

3.1.4.6.1 Preparing for the PSA

The community facilitator's behavior and valuations are critical to PSA. The people in the community and facilitators are learning from each other. Facilitators must act according to what seems to be the best alternative. They must avoid biases, particularly gender biases, and sit down, listen and respect the views of people. They must make the activity fun and enjoyable. They must ensure that the process is open and participatory, and prepare people to be ready to own up mistakes. The CF must also ensure that people are learning while enjoying the process. The mentioned values should influence the methods employed by PSA. Remember that It is the community that makes the map, models, diagram, scoring, charts, ranking, analysis, planning, monitoring and evaluation. Community facilitators guide the people in the PSA process being undertaken by the community. In the course of performing the activities, people begin to share and help one another towards the formulation of development plans. The lessons from these experiences should be the foundation in the creation and implementation of new programs and projects.

3.1.4.6.2 Who Needs to be Involved in the PSA process?

All community members are expected to participate in the PSA process. However, if the participation of all is not possible (which normally happens), it will be crucial to engage representatives from all sectors, puroks or sitios and community leaders in parts or the

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whole of the PSA process. They can serve as key informants on local conditions, as well as provide critical information leading to the formulation of development plans. Apart from the mandated organizations, it is also vital to involve the existing communitybased organizations (CBOs) in the PSA process. Because these organizations are composed of local residents who have come together for a specific purpose, they can be maximized for generating information on specific local conditions related to their particular area of interest, as well as in validating the PSA results. Engaging local organization in the PSA process will also 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 for inclusion of the peoples issues in their respective development agenda.

3.1.4.6.3 Forming the PSA Volunteers Team

In order to make the PSA process in the KC Project more dynamic, experiential, and participatory, a PSA Volunteers Team is created who shall take the lead in the PSA process, supported by the KC Community Facilitators (CF). The PSA Volunteer Team is a group composed of at least 2 community residents per purok. Potential PSA volunteers can be nominated during the first barangay assembly, where they shall be formally selected. The composition of the PSA volunteer team is a critical step. The CF must ensure that those selected for the work are knowledgeable of local conditions, and acceptable to the members of their respective puroks. The CF must also ensure that there is balanced representation between men and women in the volunteer team. To ensure that volunteers are prepared to undertake their task, the CF must be able to undertake effective groundworking. (Note: Insert Box explanation of Groundworking).

3.1.4.6.4 Conducting the PSA workshop

The PSA process in the KC Project is largely iterative. 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. Please note that these stages are iterative, and do not necessarily proceed in an end-to-end sequence. These include the following;

A. Preliminary warm-up
This is a very critical, but often overlooked, stage in the PSA process. During the preliminaries, the CF and the PSA volunteers get to know each other better and review the tasks that need to be undertaken. In this stage, all participants join together in defining the goals, objectives, and expected outputs of the PSA workshop. Too often, CFs tend to rush this process by defining the goals, objectives, and expected outputs themselves, leading to agency domination of the PSA process, and non-ownership of the results by the volunteers. Remember that it is the community who are the primary actors in the PSA workshop, and therefore the role of the CF is to facilitate dialogue and consensus on the goals, objectives, process, and outputs of the workshop among the volunteers.

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B. Data gathering and sharing

This is the second stage of the PSA process, during which PSA volunteers share information about local conditions through the use of visual tools. The over-all goal of this stage is to produce a coherent profile of the barangay. Please note that no one person has a complete grasp of the totality of the barangay condition and that for this reason, each volunteer should be allowed to provide his or her own views of the situation in the barangay based on the data he or she has. There are also a lot of secondary sources of data about the barangay. The information from these sources should be reviewed at this stage. The validity of information contained in these secondary sources should be checked against the peoples knowledge of local conditions. If these information are proven valid, they should be incorporated in the data gathering and sharing, and presented along with other information supplied by the volunteers. The following section provides a list of the tools that can be used for data gathering and sharing.

C. Data Analysis and Interpretation

This is the stage where PSA volunteers begin to step back and look at the totality of information available to derive conclusions about the community situation. Since each tool presents a specific set of information, each tool should be analyzed and conclusions drawn about what each tool reveals about the local situation. Secondly, the information revealed by each tool should also be counter-checked (or triangulated) against information revealed from other tools. Where gaps exists, further information may be required, or deeper analysis undertaken, to fill these gaps. Bear in mind that unlike academic research, data gathering and sharing, and data analysis and interpretation often over-lap and at times even mix in the PSA process. It is perfectly alright if in the course of analyzing a data set, other information need to be collected, or information previously accepted are discarded altogether. This is part of the key PSA feature of immediate and continuing data presentation, validation and revalidation. Data gathered through participatory processes are often perception-based, and as such are not static, but dynamic interpretations of reality by community members.

D. Identification of community strengths and development potentials

One important output of data analysis and interpretation is the identification of key community strengths and development potentials. Here the PSA volunteers should be able to identify key features of the physical, demographic, social, economic, political, and cultural situation that can be utilized to propel community-driven development initiatives or support CDD efforts of local residents.

E. Identification of key poverty problems and development challenges

The data analysis and interpretation process will also result in the identification of key problems contributing to local poverty and hindering development. At this point, community facilitators guide participants through a process of analyzing community issues and problems, identifying their causes, how they affect the lives of the community residents, and in what ways these effects are expressed as observable negative conditions. Bear in mind that community problems seldom stand alone. In most cases, community problems are interconnected in fundamental ways. For example, the problem of insufficient

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income to meet basic needs may be an effect of poor quality of agricultural produce. Residents of poor communities are almost always aware of these connections since they experience these issues first hand. It is therefore necessary to facilitate a process of connecting these problems so that core issues are properly identified. By surfacing the connections between issues, community members also begin to see the necessity of addressing these issues in their totality, and not just focus on shotgun, one-to-one solutions.

F. Identification of the range of possible solutions to address development challenges

After having identified both the communitys potentials for development as well as the challenges it faces, a process of brainstorming is undertaken in order to identify the range of possible solutions to each core issue surfaced. Please note that each community member views a particular issue from a specific view point or bias. For instance, the problem of x number of school-age children not attending school can be viewed by some as an issue of distance of facility, to which the solution can be to bring the school closer to the community. Some however, may view this problem from an economic perspective in the sense that some poor parents opt not to send their children to school because they do not have the resources to support the cost, or that the children contribute to household income by doing farm work. In this case, an economic support solution may be more appropriate. Because of these differences in perspectives, it is better to begin the process of identifying solutions by surfacing the range of all available solutions, and then selecting which is more appropriate and beneficial for all, or a majority of the residents concerned. In the process, the interconnections of problems and solutions are reinforced.

G. Action Planning
Unlike academic research, the PSA process leads to the mobilization of local communities to address development challenges identified in the course of analysis of local conditions. Because the people are the ones involve in the whole process, from setting the goals and objectives of the PSA activity to data sharing and collection to analysis and identification of development potentials and challenges, it is only logical that the people themselves begin to think about how to address the development problems they face. Having identified the development potentials, key poverty issues and problems, and the range of potential solutions to address the same, the process now moves to the drafting of an action plan that describes the specific responses that the community will undertake to implement solutions already identified. Bear in mind that the activities do not need to be complicated, and the action plan does not need to be overly detailed. What matters is that having understood the local conditions and development challenges the community faces, poverty and its causes are demystified. In the process, the people begin to understand that some of these problems are actually solvable, and that the solutions are within their capacity to bring about. However simple the plan, these represent the peoples first step towards development. Like all first steps, they must necessarily be simple following the community organizing principle of moving from simple to complex, and from concrete to abstract concepts. The final form of the action plan may vary from barangay to barangay. However, they must be concrete enough to allow for effective follow-through and monitoring of accomplishments.

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H. Community Validation
After drafting the action plan, the PSA volunteer team consolidates all outputs of the PSA process and draft the barangay profile for presentation to the wider community, which shall then validate the information and analysis undertaken by the team. Necessarily, the community members need to understand the information first before they are able to comment and validate. To this end, information gathered through the PSA process should also be presented the way they were generated, that is, through the use of visual tools and representations like maps, diagrams, drawings, pictures, graphs, and in some cases even through interactive methods such as community theater presentations. Whatever the methodology, the first goal is for the people to understand the information being presented, and for the residents to be able to engage with the information in a dynamic way. Many CFs and PSA volunteers make the mistake of treating the Community Validation activity as largely a ceremonial presentation of the PSA outputs, rather than an integral part of the PSA process itself. In actuality, the Community Validation process is a second loop PSA activity. It is perfectly OK for the people to comment on the accuracy of the data generated, and is perfectly allowed to correct wrong information, add missing information, or even subtract irrelevant data. In a sense, the validation is a whole PSA process rolled into one activity. The end goal of the validation exercise is for the people to own the results of the PSA exercise. Its objective is to build buy-in of the analysis undertaken by the volunteers. This can only be achieved if the community is made to feel that the results of the process are theirs and not the volunteers, and as such, they can add their own perspectives and comment on the analysis. If the process is undertaken properly, mobilizing community response to address identified problems becomes easy. It must be stressed that the above process outline is iterative, and only describes the stages in broad strokes. Community Facilitators are encouraged to study their local conditions carefully, study other examples and manuals on PSA from various sources, and design their own workshop facilitation plans as deemed appropriate.

3.1.4.7 What tools are used in PSA?

Because of the participatory nature of the PSA process where the people themselves undertake information gathering, the data gathering tools and methods need to be adjusted to local conditions so that they meet the communication requirements of community residents who are not used to communicating in overly scientific, academic terms. To this end, PSA makes use of various tools - visual, creative and participatory - in gathering and presenting information. Currently, there are more than a hundred documented PSA tools, and the number is increasing rapidly due to the nature of PSA as inspiring and encouraging creativity and innovations. Following are some of the most important and commonly used Tools:

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Resource and Social Maps

The "top view" of the community. The map shows the resources of the community, e.g., forest cover, rivers, springs, irrigated land, crops, residential areas, watersheds, grazing land, etc.

Transect Maps
The "side view" or cross-section of the community. It shows the topography, soil type, crops, livestock, problems, and opportunities of each ecozone. Before a Transect Map is made, a few members of the team along with some community guides need to take a "transect walk". The map identifies problems and opportunities for particular sites in the community.

Seasonality Diagrams
Is done to determine the seasonal patterns and trends in the data, e.g., rainfall, crop sequence, jobs, incomes, loans, food availability, incidents of pests and diseases, migration, etc. - any data which form regular patterns overtime.

Pair-Wise Ranking
Is a ranking exercise, that is, a comparison of factors in order to see which among them are most important. Comparison is done in pairs. This is usually done when it is difficult to make criteria for comparison of all items and to prioritize the perceived problems for solutions.

Matrix Ranking
Ranks several items in order to determine which item is the most important to the people in the community. Criteria determined by the community are put in a matrix, which will be used for ranking items according to priority.

Venn Diagram
Shows the institutions, individuals or factors that influence the people in the community.

Work Division Matrix

Shows the contribution or activities of women and men in production and reproduction, leisure activities, etc. This tool provides the significant contribution of women in the production and reproduction activities.

Historical Transect
Is a matrix or table in which patterns over time, population trends, forest cover, livestock, crops, etc. are shown by means of illustration.

Pie Chart
Is a visual representation of percentages, e.g. income, expenditures, source of income, etc.

Service Map
Shows the services rendered inside and outside the community.

Flow Chart
Shows the steps in the production process up to the sale of the product.

Organizational Rating Matrix

Indicates the activities and duties of an organization or association, e.g., local government, leadership of a cooperative, women's association, etc. The community people will rate each

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activity or duty to discover the strong and weak points of an organization or association in their performance.

Vision Map
Shows the aspirations of the people about their community through illustration. This is done after prioritization of needs. After which, vision statement is formulated.

3.1.4.8 What are the outputs of the PSA process?

In the KC Project, the PSA results in the identification of the communitys key strengths in different dimensions (physical and demographic, political, economic, social, and cultural) as well as the key development challenges facing the local population. This is captured in a Barangay PSA Profile, which will serve as one of the basis for tracking changes in local conditions over time resulting from project inputs. As part of the CEAC process, the PSA is also expected to produce two vital outputs; (1) a list of key problems that contribute to the persistence of poverty at the local level, and (2) the range of potential development interventions to address each identified problem. As all poverty problems are commonly multi-dimensional, a single development challenge often requires the implementation of a wide range of solutions. The PSA process of participatory problem analysis should capture this diversity. For example, the problem of Insufficient income to meet basic needs can originate from the problem of low agricultural production which can have many antecedent causes. The range of solutions to address this problem can include access to credit for farm inputs, or increasing capacity of farmers to engage in better planting technologies, or improving farm to market road infrastructures. It is obvious that no solution can be singly responsible for increasing income, and that addressing this problem may require the implementation of all these solutions. These problems and ranges of solutions serve as inputs in the preparation of viable and effective Barangay Action Plans (BAPs). However, the degree of viability and effectiveness of a plan depends on the process by which it is formulated. Critical to such process is the active and proactive participation of both men and women living in the community. The participation of all sectors in the planning would ensure that the primary needs of the community are determined including womens needs, on the basis of which projects would be prioritized according to necessity. More importantly, the people in the community who themselves crafted the plan would be able to claim it as their own, thus leading them to lend their full support in implementing the plan. The formulated BAP can lend utility to the development and/or refinement of Barangay Development Plans. Often in KC areas, barangays only prepare annual investment plans and not BDPs. Because of the scope of study and analysis undertaken in the PSA process, the results can serve as basis for the drafting of a more comprehensive and strategic BDP in barangays where non exists. In the few barangays where BDPs are present, the results of the PSA exercise can serve to validate and enrich the directions and priorities contained in the BDPs. Community facilitators and PSA volunteers should work closely with barangay officials during the course of the PSA activity with the end view of building buy-in to the idea of incorporating PSA outputs in BDPs or of developing BDPs using the PSA results where none exists. This way, institutional support for the peoples development agenda is

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strengthened and a response to the peoples development priorities by the barangay government is more or less assured.

3.1.4.9 What are the challenges to facilitating the PSA process?

The participatory, iterative, and creative nature of the PSA process presents facilitators with unique challenges. Some of these challenges include the following;

Rushing the process: Some facilitators tend to rush the process, as a result, the output may not reflect the real situation of the community, and thus, the formulated plans are not responsive to the real needs of the people. Rushing the process can occur in many forms, from gathering unverified and un-triangulated information to shallow analysis. Some facilitators hide this propensity for rushing the PSA process by referring to their role as mere facilitators and that it is actually the people who provide the information and analysis. However, this is a serious distortion of the principle of people-led development and the role of facilitators as catalysts. It is imperative that facilitators fully orient themselves on PSA principles, processes and tools, and understand their role as catalyst in the peoples process of analysis. It is the role of the facilitator to serve as the grindstone upon which the people test their views and perspectives against. If the grindstone is not hard or does not provide enough roughness and tension to the peoples analysis, then the resulting analysis will be dull. Mechanical conduct of the PSA: Due to the number of times facilitators need to conduct the PSA process (five times in every cycle, one for each assigned barangay), there exists a dangerous tendency to conduct the PSA process in a mechanical manner. Facilitators must remember that every community is unique and has its own specific context. Facilitators must accord each community the same amount of time and respect, and must never fall into the trap of assuming that the same conditions exist in all areas. A learners attitude is critical in ensuring that facilitators are able to surface the unique characteristics, potentials, and development needs of each community. Gathering too little or too much information: In the conduct of the data gathering
and sharing process, facilitators and volunteers are often confronted with the challenge of determining when sufficient information has been gathered to allow for substantial analysis. A common question that arises is How do we know when information and data collected is enough? The obvious answer is of course You dont. Facilitators should understand that PSA is a dynamic process, and that the goal of PSA is to get people to look at local conditions from their own perspective, share what information they know, gather more information as the need arises, and develop a coherent picture of local conditions that is clear enough to allow for action. In this context, information is never enough, but the fact that one does not have hold of all information is not a cause for inaction. On the contrary, determining the extent of information available as well as gaps in the data is a critical PSA discipline.

Non-utilization of existing secondary information: One common failure of PSA

efforts is the non-utilization of existing secondary information. Facilitators and volunteers should understand that other efforts by other agencies and individuals have been undertaken to collect and analyze information about local conditions. These includes such data sources as the Minimum Basic Needs (MBN) survey, Community-Based Monitoring System (CBMS) data collection efforts, and even sector specific data such as those on health and education undertaken by the local health centers and the records from local public schools. The wealth of information already existing can potentially provide volunteers

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with data that can be used in analyzing observed local conditions. However, these data sources as often underutilized. It is the task of facilitators to gather this wealth of information and feed them into the PSA activity. In the process, the data collected and shared by local volunteers are enhanced, and volunteers are afforded the opportunity to validate information about their situation that are collected by various sources.

Focus on the tools and not on process: Connected to the previous challenges, a
tendency to focus on the accomplishment of individual tools rather than on the entire process is a major challenge that facilitators should be able to overcome. This proceeds from the fact that undertaking the tools is one of the most active and engaging part of the PSA process and it is very easy to get lost in the maze of information being generated. Facilitators must bear in mind that the tools exist for the purpose of making data generation, sharing, and analysis among the participants easier. If the tools are making this difficult, then the tools must be replaced with other methods. Also, each tool only gathers a specific type of information or information set, the results of which must be triangulated with results from other tools.

Treating the PSA as a one-shot activity: Some facilitators also tend to look at the
PSA as a one-shot deal process that ends upon completion of the BAP. However, information is seldom static, and because of the nature of PSA information, which are largely perception based, the process of validating and revalidating information is never ending. The PSA is a dynamic process, and the results of the PSA are living data which lend utility to a number of purposes. In the course of utilizing the PSA results, PSA data evolve, become more defined, and even change over time. Even in the course of implementing activities, new information continually arise and which need to be incorporated in the PSA profile. For this reason, facilitators must be consciously communicating the need to periodically revisit the PSA results to community volunteers.

Incomplete or shallow groundworking: In many communities in rural areas, some people are not yet used to participate in the development process. Others think activities such as PSA are just for leaders and elected officials or for experts only. At other times, people perceive the activities as early electioneering or have political affiliations that prevent them from involving. Some facilitators complicate this situation further by failing to do effective groundworking. Facilitators should bear in mind the basic truism of community organizing that people come to meetings or community activities only if they have a compelling enough reason to come. The fact that volunteers have been elected by the BA to participate in PSA activities does not constitute a compelling reason. Volunteers, and anybody for that matter, should see an individual, personal stake in the successful conduct of community activities for them to come. This is only achieved through thorough, one-onone groundworking, where facilitators 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. If they find a compelling personal role for them, then they will surely attend. Improper PSA scheduling: In the rush to meet schedules and timelines, facilitators will
be confronted with the challenge of activity scheduling. Facilitators should be conscious of the fact that project activities often disrupt the peoples normal, day to day routine, and people are often uprooted from their regular economic or social activities. The facilitators convenience must never be placed above the peoples welfare. Proper groundworking will ensure that disruptions caused by project schedules are kept to a minimum or are even eliminated.

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Given these challenges, it is essential to have good quality facilitation in order to address PSA implementation concerns, without which it would be difficult to realize the particular objectives of the process or activity. Worst, bad facilitation of the PSA process may lead to disempowerment. Some facilitation guidelines are described below ; The facilitator provides methods or tools for the people to share their knowledge, skills and insights and in order for them to collectively decide on development plans they will collaboratively implement. Facilitation is not as easy as it seems. There is a risk of creating frustrations when the expectations of people are not met. To ascertain successful participation of the people, it is critical to have enough understanding on the structures, guidelines and methodologies. Facilitation should encourage creativity and innovations among community people. Facilitation is not just a matter of moderating questions and answers. Facilitation is about creating meaningful interaction between and among participants. Their outputs or formulated plans will be the product of their own collective effort. Facilitation provides an avenue for the people to understand each others context towards creative relations as an essential factor for community development.
Tips on facilitating the PSA process DOs Relax and enjoy the activities Have an adequate planning as to the conduct of PSA Have a objectives clear PSA DONTs Dont rush the process Dont try to do the process alone, form a Team. Dont promise anything Dont overburden the people. Ask them if it is okay to extend time. Dont go anywhere while tools are being performed Dont prioritize your own agenda against peoples agenda Dont be negative. If a mistake done, try to work it out directly. Dont take time in documenting PSA process and output Dont be too stiff on tools. They can be enhanced or modified according to community context. Dont give lectures

Always find time to assess conducted activities and plan the succeeding activities Observe the people if they are participating Have a synthesis of every PSA tool used If a mistake done, accept and learn from it Immediately document processes and outputs (written and photo) Be alert on new things, concepts, tools, materials etc. Be creative Ask the support of the community particularly its leaders Respect the perspective/ideas of the people Listen and observe peoples verbal and non-verbal messages Switch Team roles. Ensure that all members have the chance to facilitate, document and observe.

Dont barge in when people share their experiences or ideas. Dont hesitate to solicit peoples suggestions Dont exhibit competition among Team members.

Dont be baffled with so many ideas. It is so easy to vanish from the fuse of individual and collective ideas and energies. Facilitation is guiding these ideas and energies into a productive and meaningful sharing with the aim of coming up with sound situation analysis and sensible and feasible plans.

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Facilitation is not a magic bag where all solutions to problems are in. To motivate people to collectively participate in the resolution of a certain situation or problem, it must be clear to them that they are the ones who will work for the realization of their plans. The facilitators are just guides who dont directly provide answers. Their main approach is to be evocative with the purpose of surfacing peoples knowledge and they themselves provide answers.

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3.1.5 Social Mobilization, Community Organizing, and CBO Formation and the BaBAE Teams
3.1.5.1 What happens after the PSA?
The PSA activities walked community residents through a process of collective sharing and analysis that led to the identification of development challenges and priorities generated through the peoples own distinct perspectives and contexts. Community residents have defined their conditions using their own worldview and in the process outlined the activities that need to be conducted to begin the process of changing their conditions. By this token, they have also begun to take upon themselves the challenge of addressing local poverty. The ensuing process of social animation that begins to take shape after the PSA will follow two tracks. The first is the CEAC project selection and planning track, which will be discussed in greater detail in section 4.2. The second track proceeds through the community organizing process and the formation, mobilization, and engagement of community-based organizations (CBOs).

3.1.5.2 What is Community Organizing?

Community Organizing is a development approach to address concrete development challenges by shifting control over resources and decision-making to the larger majority of people in a given community. The goal of community organizing is to facilitate the formation of local groups of community residents which shall serve as vehicles for the expression of collective, popular demand. These groups are also called CBOs or Community-Based Organizations.

3.1.5.3 What are Community-Based Organizations (CBOs)?

Community-based organizations (or CBOs) are membership organizations composed of individuals within a self-defined community who have collectively banded together to address a common need or advance a common interest.2 Throughout history, people who have neither economic nor political means have continually relied on power in number to achieve change. However, the quality of change is not solely determined by number but rather by organization. There is a fundamental difference between a CBO and a mob. While both are a gathering of people, the first relies on organized number while the other relies on number alone to achieve results. It is this collective, organized effort to address a common, felt need that serves as the foundation for all community organizing and the formation, development, maintenance, and sustainability of CBOs. The process of generating collective demand, however, does not happen mechanically, but is rather nurtured through a continuing process of action. This is also a hallmark characteristic of a true CBO, to be in constant action. Action, after all, is the lifeblood of community-based organizations.
2

Reference to the WB PRSP Sourcebook on CDD.

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3.1.5.4 What is the difference between a CBO, an NGO, and Local Governance Structures and Local Special Bodies?
As membership organizations, CBOs differ from both Non-Government Service Organizations (broadly referred to as NGOs) and Local Governance Structures in very fundamental ways. The operations of CBOs are calibrated to directly produce benefits for its members. An NGO on the other hand has a wider scope of operation and activities usually do not benefit NGO members directly. Both CBOs and NGOs are voluntary membership organizations who chose their own objectives and are often more flexible in designing and carrying out ways for achieving them. Unlike NGO personnel however, leaders of CBOs are accountable to its members in very direct ways. Government agencies, on the other hand, often operate within specific mandates, and adopt rules and procedures following generally accepted legal (and often bureaucratic) norms, such as revenue collection or the delivery of specific services.

3.1.5.5 What are the different types of CBOs?

There are many ways to classify CBOs. One of the more general classifications is based on form of membership. Most CBOs have direct, individual membership. However, there are also organizations within the community which are composed of organizations rather than individuals. These include alliances, federations, and networks. The difference between the three types are on the tightness of the relationships between the organization-members. (informal formal, direct membership organizational membership, local alliances and networks). Another way of classifying CBOs is made on the basis of economic activity, such as a farmers group, a firsherfolk organization, or a labor organization. Some type of CBOs commonly engaged in the KALAHI-CIDSS project include local health associations, mothers clubs, parent-teachers associations, farmers associations, fishrefolk groups, IP groups, water-users associations, youth groups, and church-based groups.

3.1.5.6 What is the role of CBOs in Community-Driven Development? (Can a CDD project be implemented without the need for engaging CBOs?)
Community Driven Development is a strategy that puts premium on the capacity of local communities to make development interventions and investments more responsive to community needs. A critical requirement of this strategy is the building of collective, informed demand of local communities. By definition, a demand needs to have expression, and a demand is not demand unless it is expressed. CBOs provide this agency by which local communities are able to articulate their issues and communicate development alternatives in a way that also demonstrate community empowerment. In addition, Community-Driven Development is fundamentally grounded on the ability of poor people to come together and collectively express not only the direction of development but also how this development should take place and by what means. However, not all needs are the same, and consequently, there arises a great deal of variety in terms of perspectives about development choices. CBOs serve as a venue for synthesizing and transforming individual needs and aspirations into community demand, and serve as the agency by which these demands are expressed and achieved. There can be no community

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demand without organization. Consequently, there can be no true CDD without the active engagement of CBOs.

3.1.5.7 Should we work with existing CBOs or facilitate formation of new groups?
In the Philippine rural context, it is often rare to find a community where no community organization of whatever form exists. How these organizations operate within the community will largely determine whether they can be engaged in the KALAHI-CIDSS project. The purpose to which the organization serves and by which token the organization was formed is one indicator. A farmers organization that is actively working to secure land tenure, or a group of mothers working to establish a health program, will be invaluable allies in the project. So is a local youth organization that conducts periodic sports activities. How local residents view the programs, services, or activities of these groups is another indicator. Obviously, an organization that is known to have a track record of providing benefits to members is worth engaging in the project. The credibility of the leaders of a local CBO can also serve as indicator of whether an association can be engaged in the project. If a particular leader is known to be good for nothing, then his credibility, and consequently the credibility of the group, is compromised. Lastly, the extent of inclusiveness of the organizations membership among community residents can also be taken as an indicator. An organization which includes more than half of households in a community as members, or which represents more than one sectoral interest, is definitely a force to reckon with and will be worth engaging. Whatever the parameter the ACT decides on, what remains critical is the need to engage local groups in the project. In the absence of a strong CBO, the KALAHI-CIDSS process which the community will undertake should lead to the establishment or strengthening of a local association.

3.1.5.8 How can existing CBOs be engaged in the KC:KKB project?

Building capabilities of local organizations is a basic principle for sustaining communitydriven development. This is undertaken by deliberately engaging existing organizations in CDD process. There are numerous ways by which existing CBOs can be engaged in the KC project. The following are a few examples;

During community meetings and assemblies:

Officers and members of youth organizations are tapped by a number of community facilitators to assist in groundworking and inviting community residents to attend in barangay assemblies. Mothers groups are also mobilized to lead in the preparation of snacks, prepare the venues, and other logistical concerns. Fathers even assist in gathering and carrying chairs, fixing sound systems, and other tasks.

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During the PSA:

Officers and members of sectoral organizations can be tapped to provide invaluable data on specific aspects of community conditions during the PSA process from data gathering to validation and re-validation. Leaders of Agrarian Reform Communities and Beneficiaries (ARCs and ARBs) in KALAHI-CIDSS barangays are a source of vital information on local agricultural and tenurial conditions. Members of Parent-Teachers Associations (PTCAs) can provide information on the school-age population and other related data. Sectoral organizations can be asked to look into a specific aspect of the PSA output that directly relates with their specific area of interest, and provide preliminary analysis of the same for the community revalidation, and even in subsequent PSA review processes. Their members can also be asked to serve as PSA volunteers.

Post-PSA Community-Based Monitoring and Advocacy;

Specific CBOs can be mobilized by the Barangay Assembly to take charge in addressing particular PSA problems. An identified health issue can be tackled by a group of mothers interested in the problem, while a clean-up solution can be implemented by a youth organization. Monitoring of implementation of community plans to address PSA concerns is also a major area where CBOs should play an important role. Community-based monitoring can even be a focal point for the coming together of different community associations interested or working on specific aspects of an over-all development plan. For a more detailed discussion on this topic, please refer to the section on the BaBAE Team below.

During Project Development:

Regular consultations with CBOs during project development can also be invaluable during design of specific projects, specially on how specific designs can produce particular impacts for specific groups.

During Sub-project Implementation:

A CBO, particularly a strong organization that has a wide membership base in the community and which enjoys a high level of credibility among residents can be tapped by the Barangay Assembly to take the lead in implementing a community project. This is an alternative implementation mode to the creation of a Barangay Sub-Project Management Committee. In this case, the CBO has to be fully accountable to the Barangay Assembly.

Whatever roles CBOs play in the project, the ACT must ensure that these are aligned with the projects over-all goals of empowerment, good governance, and poverty reduction. How these roles are played out should also be consistent with the projects principles, especially those on inclusion and participation, and the accountability of CBOs to the Barangay Assembly.

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3.1.5.9 When can existing CBOs be engaged in the project?

CBOs should be engaged from the very beginning of project implementation. At the Municipal-level, ACTs should ensure the presence of municipal-level CBOs during the Municipal Orientation, and in subsequent municipal-level activities, most especially during the criteria setting workshops and the MIBFs. Municipal-level CBOs can also be tapped to provide technical assistance in the preparation of feasibility studies, planning for resource mobilization, and other aspects of project development. At the barangay-level, community associations should be engaged starting with the barangay orientation. ACTs should realize that community associations already have preestablished systems and processes that the CF can tap, such as mechanisms for information dissemination, membership consultation mechanisms, and the like. Tapping these systems is an effective way for multiplying CF functions, while at the same time serving as a method for enhancing capabilities of local leaders.

3.1.5.10 What types of groups are formed during KC:KKB project implementation?
In the event where no local organization exists or where existing CBOs are inadequate for what the project requires, it become the task of the ACT to ensure the formation and development of local organizations which will propel CDD processes in the community. As a CDD strategy, the KALAHI-CIDSS project utilizes the groundswell of interests generated by development initiatives beginning with the PSA in order to mobilize communities to engage in the development of local projects to address poverty. At the same time, the planning, development, and implementation of these projects provide a rich environment for local residents to build capacities for development. In the course of project implementation, numerous volunteer groups are mobilized and formed, which can become the basis for the formation of a strong local organization. These groups include;

PSA Volunteers, formed to lead in the conduct of participatory situational analysis, from
data gathering to community validation. These volunteers are either elected or chosen during the first barangay assembly. Ina typical KC barangay, about two to three persons from each purok are chosen to serve as a PSA volunteer. In large barangays, this is a sizable group.

Barangay Representation Teams (BRTs). This is a committee formed to represent

the barangay in Municipal Inter-Barangay Forums. They can also be chosen or elected by the Barangay Assembly during the 1st BA meeting, or can be elected during the 2nd BA, prior to the CSW.

Project Preparation or Project Development Teams (PPTs or PDTs). These are community residents chosen to assist in the preparation of community proposals which will be recommended by the barangays for prioritization during the MIBF for PRA. There are no limits to the number of people who can be chosen to serve in this team. They can be as few as three people or as many as required by more complex community projects. Project Management Committees. Implementing community projects to address issues identified during the PSA will require organization of work teams or project implementation management committees. In simple projects such as environmental clean-up drives, this committees can include such simple groups as information and dissemination, clean-up volunteers, logistics committees, those in-charge of refreshments, and so on. 55

In 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, which may include any or all of the following; 1. Procurement Teams 2. Project Implementation Teams 3. Audit and Inventory Teams 4. Membership Teams 5. Finance Teams 6. Operation and Maintenance Teams 7. and so on, depending on the tasks that need to be undertaken.

Barangay-based Awareness and Education Team (BaBAE Teams). These are

groups of local volunteers who are tasked to ensure that issues and problems identified during the PSA are addressed, and progress towards resolving the issues or achieving the objectives of efforts to address PSA problems are monitored and disseminated to community members. The primary purpose of BaBAE Teams are to form actions groups which will propel local efforts to resolve community development issues. In a real sense, each issue-based group formed also acts as BaBAE Team, and there can be more than one BaBAE Team in any given community.

Barangay Development Councils.

The Barangay Development Council is a duly mandated organization existing under the barangays assembly that is charged with development planning at the level of the barangays. In most cases in rural areas, the BDC composition is limited to the Barangay Captain and the council and does not include CBOs or NGOs. This is because in a large number of rural communities, CBOs and NGOs are simply not present or do not engage the BLGU. The identified community development problems in the PSA can be used as a rallying point for the organization of the BDC were non exist or, activation of the BDC in areas where they do exist but are only marginally active. The most immediate form of engagement towards the organization or strengthening of BDCs is the mobilization of the barangays for the preparation of strategic barangays development plans beginning after the PSA and culminating in a prepared BDP by the period of sub-project implementation. This agenda should be a focal point in the engagement of Community facilitators with barangays LGU representatives and local volunteer groups, beginning with the PSA volunteers.

3.1.5.11 How are these groups formed?

As discussed in section 3.1.5.2, the primary strategy implemented for the formation, strengthening, and development of local community groups is community organizing. Broadly, the critical activities involved in the formation of community organizations through the community organizing process include the following;

1. Understanding the community, which includes such activities as social

investigation, one-on-one discussion with local residents, and integration. PSA is also part of this process.

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2. Identifying community issues and problems.

From the range of problems and issues identified during the PSA, community residents begin to choose priority problems or issues which they will come together to work on. Note that different people have different interests, and it is this truism that allows for multiple groups to be formed to tackle multiple issues. A group of 10 mothers may want to tackle an issue of malnutrition, while a youth group may want to tackle a community clean-up drive. Another group may want to work on increasing agricultural productivity, while another may want to work on improving water sanitation. There is no need to select which of these issues should be worked on first. The point is that there are people who are interested to work on them. Let them work!

3. Mobilizing issue groups. This is the part where issue groups begin to think about
how to best tackle the issue they need to work on, how to organize the scope of the work required as well as divide the work among themselves, select informal leaders, and actually begin the work.

4. Consolidating gains. As groups begin to work on their chosen problems, they begin
to get a sense of the organizing and community work required to achieve the goals of the effort. Some groups may be able to achieve something concrete, others may not. Some may experience difficulties, others may encounter setbacks. However, all of them gain actual practical experience in working together. This is the first gain of any community organizing effort. This experience will need to be consolidated so that they become a growing pool of lessons on working together that community members will be able to tap on as they continue working to achieve higher objectives and face more complex challenges. Two tools in the CO bag of tricks are critical for consolidating this gain. The first is assessment and evaluation, and the second is reflection.

5. Formalizing the community group.

When members of an issue groups have gained enough experience in working together, and/or have achieved considerable gains from the effort, the group becomes ripe for formalization. At this point, norms are established, and specific rules and systems for coming together are formalized.

Note that the above process presents a simplified version of the CO process. There are numerous manuals on CO which provide the practical aspects of organizing community associations. The ACT is encouraged to explore these manuals and readings, and explore how they can be used to enhance CBO formation, strengthening, and capacity building in the project.

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3.1.6 Community-Based Monitoring (CBM)

3.1.6.1 What is Monitoring?
Monitoring is the process of continuously and regularly reviewing a program to ensure that activities are proceeding according to plan. In facilitating this process of continuing review, data is systematically and regularly collected about a program and its activities over time, with the end view of ensuring that the program as a whole moves towards the attainment of its goals and objectives.

3.1.6.2 What is participatory Community-Based Monitoring?

Participatory monitoring is a process of measuring, recording, collecting, processing and periodic analysis of information by community members themselves. The ultimate goal of participatory monitoring is to help facilitate collective decision-making. In participatory monitoring, people decide for themselves what they want to monitor, why they want to monitor these, and what the standards for monitoring will be. The direct engagement of community people in participatory CBM also helps in promoting local dialogue and building respect for each other opinion, as well as in building their understanding of the purpose of their work, contributing to improved teamwork.

3.1.6.3 What is the KALAHI-CIDSS: KKB CBM framework?

The KALAHI-CIDSS: KKB Project follows the Action-Reflection-Action (ARA) framework in CBM. ARA is a process of interlinking theory and practice in a collective manner. Because of the highly participatory nature of the ARA method, implies belief in acting on community issues and problems, then studying, analyzing and reflecting on the effects of action. Based on the results of the reflection, the community undertakes another level of action to address the problem or issue at hand. In concrete, the 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; What worked well? Why? What strategies did not work? Why?

The process for this first part can be in the form of celebrations of achievements and victories and / or reflection on actions undertaken. 2. As a process designed to lead to action; Produce relevant, action-oriented findings on the progress of the program, and follow-though with concrete plans, and; Seek commitment on the basis of the lessons identified to foster sustained involvement and local ownership of the tasks at hand;

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3.1.6.4 What are the characteristics of a participatory CBM system?

Some of the key attributes of a Participatory CBM System include the following; Taps and utilizes indigenous knowledge and skills (what to monitor, monitoring indicators, how to monitor and when, are all decided by the community); Allows the people to reflect on the causes of their problems and make informed decisions on what they can do about them; Helps the community develop its resources and determine development directions; Encourages a sense of responsibility among the community members;

3.1.6.5 What is the process of CBM?

The following is an iterative process for undertaking CBM. Like any method adapted to CDD interventions, the specific steps and activities will necessarily be context-specific. You should therefore explore how these processes and activities can be best adapted to your local condition in order to make the CBM system more effective. Step 1: Form the monitoring team (BaBAE Team) Broad activities to this end can include; spotting of potential volunteers (this can be done during SI) formation of core group (this can be done during the 1st BA) the core group participates in the PSA process Step 2: Create the monitoring plan From the results of the PSA process, particularly the analysis of local conditions based on information from the different tools, you should now be able to facilitate collective formulation of the monitoring plan. This includes the following; Problem identification - using the problem tree analysis and the PSA problem matrix; Problem prioritization using a number of different methods, including PSA ranking exercise, criteria-based decision making (ranking or rating), or pair-wise ranking using pocket pictures; Goal setting which is essentially an exercise in reformulating and/or transforming the prioritized problems or problem statements into objectives; Formulating indicators which should be SMART, incorporating Quality, Quantity, Target, and Time; Identifying method and tools for monitoring, which can include any of a umber of monitoring tools such as data review, mapping, checklists, interviews, FGD, empowerment stories, and; Determining the frequency of monitoring activities. Step 3: Implement the monitoring plan Having facilitated the creation of the monitoring plan, you must now be able to enjoin the community to implement the plan. To this end, you should be able to facilitate the creation of enabling environments where the BaBAE Team will be able to perform the monitoring

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tasks based on the plan, and conduct regular meetings to discuss developments in implementation. Step 4: Discuss monitoring results with the rest of the community. The findings of monitoring activities should be fed back to the members of the community. In this way, a learning environment is created that provides opportunities for community residents to engage in discussion of issues and other development concerns.

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3.2 Selection & Planning Stage

3.2.1 The Municipal Inter-Barangay Forum (MIBF)
Upon conclusion of the PSA process, community volunteers will have been able to put together a profile of the community which identifies the critical poverty conditions and the key problems that need to be addressed. This profile has also been validated through the conduct of a barangay assembly where community members also agreed on a range of possible interventions to address these problems. At this point, there shall be two tracks to project implementation. The first is the CO track, where the CF facilitates the process of mobilizing community residents to address simple problems identified during the PSA process through community organizing. For a detailed discussion of this process, please refer to the section on Community Based Organizations and Community Organizing. The second track begins when the PSA process has been concluded in all barangays, and will walk community volunteers across barangays through the project identification and selections stage. This shall involve a process of setting criteria for selecting development interventions, municipal-level development planning, participatory resource allocation, and participatory project design and development. The primary project mechanism to propel these processes is the Municipal Inter-Barangay Forum.

3.2.1.1 What is the Municipal Inter-Barangay Forum?

The MIBF is a public gathering of community volunteers, municipal and national government representatives, NGOs and CBOs, and other groups or individuals within a municipality. It is a venue for pooling together different perspectives and disciplines in a collective dialogue on key development issues within a municipality, and for building consensus on the best means to achieve development in the most participatory and inclusive manner.

3.2.1.2 What is the purpose of an MIBF?

As the conditions which produce poverty are complex, so are the solutions for addressing the same. This is often further complicated by issues of control of decision-making processes by small, elite interests leading to the marginalization and exclusion of vulnerable groups from the development process. By employing the CDD approach to development, the KC:KKB project takes great care in designing activities that are built around the principle of inclusion. The Municipal InterBarangay Forum is one such mechanism, and are designed to; 1. Provide a venue for the collective discussion on broad municipal-level poverty conditions, causes and development directions that are; a. Informed by community-level identification and analysis of local poverty conditions and potential solutions from the PSA activities; b. Informed by other data available at the municipal level; c. Informed by existing development plans (MDPs) and available resources;

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2. Provide a venue for harmonizing community needs and barangay and municipal development options and plans grounded on commonly identified development indicators and criteria. 3. Serve as a venue for negotiation between communities (who feel the effects of poverty conditions the most) and local government units (who are charged with allocating funds for development) for criteria-based allocation of development investments

3.2.1.3 What is the difference between the MIBF and the Municipal Development Council?
From a cursory reading of the points above, one may come to the impression that the function of the MIBF overlaps that of the Municipal Development Council. While there may be some truth in this view, there are very critical differences in both the form and substance of both activities. In any local government unit, the task of planning development projects is a function of the MDC. However, the processes by which MDCs undertake development planning is often limited to the formal bureaucratic structure, and seldom directly involve local communities in the generation and analysis of local poverty conditions. Also, the process of identifying development projects and setting the amount of financing that go into these projects are often confined to members of the local development bodies. In the light of these realities, the MIBF can be viewed as an exercise in demonstrating how a municipality can go about undertaking a more participatory and inclusive process of development planning and resource allocation. The MIBF is NOT A PERMANENT STRUCTURE. It does not seek to replace the MDC nor subvert its processes. Rather, the MIBF will serve to demonstrate how citizen involvement can enhance integration of development efforts and more effective utilization of scarce resources for development efforts. Through a process informed by multi-stakeholder analysis of local poverty conditions and commonly agreed development criteria and indicators, the MIBF can also serve to provide an example of how to match the wealth of human resources of local communities with the technical expertise of local government units and other development agencies (NGAs, NGOs) operating in the municipality, putting the latter to bear on community development projects in a more strategic way. The MIBF provides an opportunity to demonstrate a two-handed approach to participatory development. On the one hand, communities are provided the avenue for exercising their right to determine what problems need to be addressed when and through what form of intervention. Local government units and other stakeholders, on the other hand, are provided with an opportunity to meaningfully engage poor people in development activities through the provision of technical and other means of support.

3.2.1.4 Who participates in Municipal Inter-Barangay Forums?

The MIBF is an open, public forum. The range of people who can participate in the MIBF process can include, but may not be limited to, the following; Members of Barangay Representation Teams (BRTs) Members of community project development committees The Municipal Mayor Representatives of the Municipal Council

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Members of the Municipal Inter-Agency Committee (MIAC) which can include, but may not be limited to, the following; o Municipal Development Planning Officer (MPDO) o Municipal Social Work and Development Officer (MSWDO) o Municipal Engineer (ME) o Municipal Health Officer (MHO) o Local Poverty Reduction Officer (LPRAO) o Municipal Local Government Operations Officer (MLGOO) o Municipal Budget Officer (MBO) o Others Representatives of Local Special Bodies such as the Municipal Development Councils (MDC), the Local Health and Local School Boards (LHB and LSB), and others Representatives of other National Government Agencies (NGAs) operating in the barangay Representatives of Community-based and Non-Government Organizations (CBOs and NGOs) Community residents

3.2.1.5 How will MIBFs be operationalized in the project?

There are four general occasions where an MIBF may be convened in the course of project implementation. These include the following; For identifying and setting common development-oriented criteria for selecting projects and interventions to address critical poverty issues and problems; For participatory development planning, identification and selection of critical problems that need to be addressed, and allocation of resources to fund community development projects; For municipal-level accountability reporting; For the resolution of grievances; Each of these MIBFs will be discussed in detail in the following sections.

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3.2.2 MIBF for Criteria Setting

3.2.2.1 What is the MIBF for Criteria Setting?
The criteria setting workshop is the mechanism by which community members determine the factors that will guide the selection of CDD interventions to most effectively address identified community problems. It is also the mechanism by which community volunteers identify the critical community problems from among the range of negative conditions resulting from the PSA activities. The process of Criteria Setting takes the form of a Municipal Inter-Barangay Forum and Workshop, and is the first of a series of such forums which will provide community volunteers with venues for collectively experiencing analysis of municipal poverty conditions, criteria-based identification of development problems and solutions, and participatory project design and development, and participatory resource allocation.

3.2.2.2 Why conduct criteria setting?

Development problems are often broad and complex, and factors that impede growth and development often transcend geographic boundaries. Because of this, development interventions often require multi-tracked approaches. While the PSA process in KC provide community volunteers with an organized way of looking at poverty conditions within their barangays, the data generated through this process is by no means complete, and there may be conditions that impair development which only become apparent when viewed through a higher perspective. Development interventions to address local poverty conditions are also often constrained by limited resources. With a host of problems and very limited funds, appropriate design coupled with effective targeting of interventions must be ensured in order to maximize available resources and produce the maximum benefit for all. In this light, participatory criteria setting for selection and targeting of development interventions can contribute to ensuring that; both community and municipal-level poverty conditions hindering development in critical ways are identified and addressed; limited resources are efficiently utilized on interventions that will really make a substantial impact in addressing critical poverty conditions; development interventions are designed in an appropriate and responsive way, making use of appropriate technology when feasible, and aligned with the peoples capacity to implement and sustain the project over time; capability of local people to manage community-based monitoring of changes in local conditions are enhanced by connecting locally defined criteria to locally defined indicators (that in turn can feed into nationally accepted poverty indicators), bringing development management effectively into the realm of local community activities.

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3.2.2.3 What are the results of a criteria setting activity process?

In operational terms, the process of criteria setting produces a set of development criteria that can be used to guide (1) identification of municipal-level critical poverty conditions and their causes; (2) allocation of development funds / development financing; (3) design of development projects and interventions, and; (4) continuing monitoring and evaluation. The development planning areas mentioned above are traditionally the realms of experts. However, it has been shown in numerous instances that the direct and active participation of poor people in development processes greatly increase the chances of success of development projects. Conducting criteria setting in a participatory and inclusive manner also facilitate an experience of meaningful dialogue between poor people, local governments, and other stakeholders on poverty conditions and causes within local communities and across community boundaries. It also provides local people with the opportunity to review local development plans and challenge current assumptions guiding local development planning. By empowering communities to meaningfully participate in this process of dialogue, local people are placed in a better position to negotiate how, where, when, and in what form development should take place.

3.2.2.4 What are the objectives of the MIBF for CSW?

In the context of the KC:KKB project, the MIBF for CSW shall be a venue for local volunteers and other stakeholders to; 1. Collectively discuss local and broad municipal-level poverty conditions and their causes, where the discussion shall be; a. Informed by community-level identification and analysis of local poverty conditions and potential solutions from the PSA activities; b. Informed by other data available at the municipal level; 2. Agree on a list of critical poverty issues that need to be addressed at the community level, where the agreements are; a. Based on collective analysis of local poverty conditions synthesized at the municipal level; b. Informed by existing development plans (MDPs) and available local resources; 3. Agree on the broad development vision and/or key directions that will guide development investment, and; 4. Agree on a set of development criteria for selecting the most appropriate and responsive development interventions to address the identified poverty issues.

3.2.2.5 What are the outputs of the MIBF for CSW?

The output of the MIBF for CSW should include the following; a. A consolidated profile of the municipality based on the different barangays PSA results. This should be enhanced by other data available at the level of the municipality; b. A prioritized list of community problems that need to be addressed. This should be based on the results of the consolidated municipal PSA outputs.

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c. A range of proposed interventions to address the prioritized problems, which shall feed into the project design and development process. d. A set of development criteria for determining appropriateness and responsiveness of development interventions, which will serve as basis for prioritizing development projects for implementation during the MIBF for Project Selection and Resource Allocation.

3.2.2.6 Who can participate in criteria setting?

As an MIBF, the CSW is a public gathering. The main actors in the CSW include the following;

Barangay Representation Teams (BRTs) These are three volunteers elected by

their respective barangays assemblies to represent the barangays in the activity. They shall act as the primary decision makers. The process of decision-making shall also be decided by them.

The Municipal Mayor who shall convene the forum and ensure that members of the MIAC and other MLGU representatives attend. Members of the MIAC who shall provide technical assistance and inputs on the analysis of the PSA results, on the identified problems and issues, and on the range of possible solutions. The MIAC can also provide information on local development plans and directions, and on the availability of resources to finance development projects to BRT members when necessary. Community-Based Organizations and Non-Government Organizations
operating in the community. These groups can provide an alternative perspective to the development issues being discussed, and can be a good source of program reality.

Representatives form Local Special Bodies such as the Local School Boards, Peace and Order Councils, and so on, who can provide distinct, sector specific perspectives and ideas. Representatives of National Government Agencies implementing programs in
the municipality. These can be an excellent source of information on specific areas of concerns like agriculture. Engaging them in the activity can also minimize potential duplication of projects and lead to improved convergence of anti-poverty efforts and programs.

As a public event, there is an inherent educational value to the conduct of the CSW. Hence, ordinary people should be encouraged to attend, observe, and participate in the proceedings. There should not be any a priori exclusion, and anyone in the community can come and participate.

3.2.2.7 How does the process of criteria-setting proceed?

As stated earlier, criteria setting in the KC: KKB project is undertaken through an MIBF. The first thing that will be evident is that the ACT will need to facilitate a number of processes

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within the forum itself in order to produce the expected results and achieve the objectives of the activity. Broadly, these processes include; a. Sharing of the results of the PSA process per barangays; The first step in the criteria setting workshop is for each barangay to present the results of their PSA process, specifically, the identified development issues and poverty problems, and the range of options and solutions to address each of the problems. Please note that each problem may require the implementation of multiple solutions. This should be properly reflected in the PSA results presentation. Barangay volunteers can also present the PSA results in creative ways through drawings or pictures, and even Community Theater. b. Synthesis and consolidation of the PSA results into a municipal profile; After each barangay has presented their PSA results and the range of issues and development challenges, these are then plotted onto a municipal map of development issues. One way this can be done is through the use of multi-colored meta-cards, where each card stands for a general problem area, such as health or agricultural productivity, or water and sanitation, and so on. The specific form of the problem encountered in the barangay, such as high-incidence of respiratory illness among children 0-5 years old are then written on the card corresponding to the general problem area to which this specific problem belongs, in this case, health. Another way this can be done is through the preparation of thematic maps of specific areas of concerns and the geographic area of coverage. A water-less area map, or malnutrition incidence map can be prepared for this purpose. If plotted onto acetates, these maps can even be superimposed on each other, revealing specific areas where most multiple problems are faced. The first method can be done during the CSW itself, while the second will require preparation of the thematic maps by a group of PSA volunteers coming all barangays prior to the CSW. c. Presentation and harmonization of the consolidated PSA Map of Development Challenges and the Municipal Development Plan; After the consolidation of the PSA results, the municipal LGU will be presenting the municipal development plan (MDP). The purpose of this exercise is for the municipal LGU and the community volunteers to identify which problems will be responded to by the MDP, and which problems need to be further addressed. Thus, the areas where problems and plans converge or diverge, as well as recommendations, will need to be developed. This is also a period where the volunteers and the MLGU engage in dialogue about priorities, and even potential areas of the MDP which can be reviewed and/or re-aligned. d. Determining the development vision and broad development directions and priorities based on the remaining predominant critical poverty conditions; After the discussion on the municipal development plan, the CSW proceeds to the identification of the municipal development directions. Here the facilitators guide the participants in reviewing the results of the PSA consolidation, and in determining what the development priorities will be. More often, development directions are determined based on

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what the predominant problems and issues are. If the most expressed problem is low income from agriculture or its other forms, then the development direction can be Increasing income from agricultural activities or Increasing farmers income by enhancing agrarian productivity. Please note that there can, and most likely will be, more than one development direction for any given municipality. e. Identifying the criteria for selection of specific development projects for KC funding; Having laid out the broad development directions from the consolidated PSA results harmonized with the MDPs, the next step is to determine the criteria for selecting which community project will be provided with funds from the KC municipal grant pool. The different communities will be preparing community project proposals during the project development stage, which will be discussed in the following sections. These proposals will be the subject of prioritization during the MIBF for Participatory Resource Allocation (MIBFPRA). The criteria which will be determined during the MIBF will be the basis for selecting which of these proposals gets approved for KC funding. The most obvious criteria will be consistency with the development directions set, meaning that the proposals should be in line with the broad development direction outlined in the previous section. Other criteria may include poverty incidence, and so on. f. Determining the form, processes and procedures, mechanisms, and rules of decorum for the MIBF for Participatory Resource Allocation;

Once the criteria are identified, the last step is to discuss and agree on the form, processes, and mechanisms for the actual prioritization process in the MIBF for PRA. This should include discussions on such questions as; 1. What is the form of the MIBF for PRA? Should it be a straight meeting, or can other creative forms be adopted, such as a municipal development festival? 2. How should the proposals be presented? In a straightforward presentation (which will be long and boring) or in a creative manner? Should copies of the proposals be circulated to each barangay prior to the forum? If the form is a development festival, can the barangays set up booths and present their proposals there? 3. Who can participate in the forum? During the deliberations? During the selection? 4. How should deliberations on the proposals proceed? 5. How should the proposals be ranked? What methods will be used? Should it be by criteria or in totality? By straight voting (yes/no) or by assigned weights? 6. When will the prioritization be conducted? What time should it start? What are the mechanics for the presentations, deliberations, and selection? 7. What are the logistical requirements? Can these be used to mobilize community participation in the preparation of the event? This last point in particular is very important. In the last analysis, the MIBF for PRA is the peoples event and not the projects nor the ACTs activity. Therefore the community volunteers, and even the municipal LGU, should be made to actively engage in the preparation process. The ACT should be able to hype enough interest and enthusiasm about the MIBF for PRA such that the people themselves own the preparation for the event, and mobilize for it. In this way, the ACT can focus on the content and management of the facilitation process rather than on the technical details which the people can already take care of themselves.

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3.2.2.8 What methods are used to facilitate criteria setting?

A host of methodologies can be employed to propel these processes during the forum. These can include; Creative presentations of PSA results per barangays; Small group work on the Municipal PSA consolidation; Thematic mapping of issues or development problems using the municipal map as basis. Plenary discussions for decision making and reporting of small group work; Workshops to draw the prioritized list of problems, the possible development interventions, and even indicators; And other methodologies that the ACT can design;

Whatever the methodology employed, it is important to bear in mind that the method should contribute to facilitating the process in order to produce the desired results and outputs. Each method will require their own set of rules and will impose their own set of requirements to both facilitators and participants. This will have to be factored into the design of the MIBF for CSW.

3.2.2.9 How do you prepare for facilitating the CSW?

While facilitation of the CSW is the task of the Area Coordinator, it is the responsibility of the whole ACT to ensure that the activity runs smoothly and the results are achieved. While this is a function of facilitation, it is only 10% so. The other 90% is a function of preparation. The following are some useful ideas to consider prior to conducting the CSW; Do your groundwork! Remember the cardinal rule in community organizing. People come to an activity if they have a reason to come. They need to have a compelling enough reason to come and that reason have to be a personal one. There is a big difference between inviting someone to attend a meeting and ground working someone to come. In the second, people need to be convinced enough that they have a personal stake in the event to actually look forward to attending. This requires that you have a good insight on who you are groundworking, and how you think they can contribute to they activity. As a rule, organizers who fail to integrate with people also do bad groundwork, or cant do groundworking at all. Do your legwork! This means reminding people whom you have already ground worked of their commitment to come to the meeting. Unlike groundworking, this is more of a quick, straightforward reminder with little small talk. This is usually done at least two days before the activity. Draft your facilitation plan. This is your roadmap to achieving the objectives and outputs of the activity. Review it with your team. Run down it, revise it, and review it again until you get it right! Bear in mind that a facilitation plan is there to assist you in making the dialogue between the participants easier. The plan does not revolve around you but around the participants. They, and not just the objectives and outputs of the activity, should influence how the plan is crafted. The number and typology of your participants also have to be considered. Bear in mind that some people or groups will require a more concerted exercise of your facilitation skills than others. Factor this into your plan. Choose your methodologies carefully! Simulate them so you get a good feel of how it will run, what the potential problems and gaps are, how long it will take and how tight or

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loose the time requirements are. Remember that there is an inherent exclusion element in all methodologies. For example, meta-card activities naturally exclude those who cannot write or read. In areas where there is a small IP minority, plenary sessions may not be able to capture their perspectives adequately. Pay attention to details! Too often, many activities fail because of insufficient attention to details during the preparation stage. Pay close attention to details in planning for the activity. Determine what data or information you need for the meeting, and acquire and study these well in advance. For the CSW, the AC will need to have the PSA results from each of the barangays, and should have studied these prior to the meeting. The AC should also have acquired and read the municipal development plan. Prepare and submit your activity proposal well in advance. Check your logistical and other requirements against your facilitation plan! Check what materials you will need and in what volume. See what kind of venue you will require. Make a checklist with your team and make sure that a person is assigned to each task. Make the preparation participatory! Involve as many people as possible in the preparation of the activity, beginning with the people in the communities.

BOX: A note on Development Indicators as criteria for identification and selection of CDD interventions (side bar) What are indicators? How are indicators chosen? What are the basis for choosing appropriate indicators? What are the 13+1 Indicators of Poverty? How can these be translated into criteria for CDD interventions identification (will provide some examples, i.e. Proportion of household without access to safe water as Percentage of beneficiaries with improved access less than 20 meters away from tap stands compared to previous (design consideration).

3.2.2.10 How do you sustain interest in criteria setting (beyond ritual)?

Since the over-all purpose of criteria setting is to identify and select what parameters for development, its applications are wide. The following are examples of specific instances where the identification of development criteria will be very helpful; Community visioning Community forums for popularization Community profiles Developing master plans / development planning Enhancing PSA outputs Location (or special place) mapping (pockets of poverty, areas of exclusion, etc) Improving resource maps Conducting thematic mapping (i.e. land holdings, water service area, eco-zones, etc) Creating community income and expenditure statements Forming action teams (i.e. Ecology Team, Neighborhood Watch, etc) Sustainability monitoring and evaluation Others

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3.2.3 Project Planning and Development

In KC community driven-development (CDD), community members are given control over decision-making and allocation of development investments. In this regard, the appropriateness of both choice and design of interventions to address identified development challenges constitutes a critical element in the success of the CDD effort. In order to ensure community-projects are designed and developed in an appropriate and responsive manner, the KC project invests heavily in building local capacities to engage in effective project design and development. This is undertaken through the Project Development Workshops (PDW).

3.2.3.1 What is a community project in the context of KALAHI-CIDSS?

A project is an organized set of activities to address a defined problem or condition, and/or attain a desired condition. It is different from a program because a project has a definite timeframe while a program is typically sustaining. A program can also have many component projects, while projects have component activities divided into major clusters, according to project objectives. A project is also different from a strategy, which is the basic methodology for implementing the project; In the context of KALAHI-CIDSS, a community project performs the following critical functions;

a. Community projects serve as a learning tool.

In the course of identifying appropriate projects to address identified development challenges, communities build local understanding of poverty conditions existing in the community. In the course of implementing community projects, leaders, volunteers, and even ordinary community residents acquire new skills and knowledge. But more importantly, community residents are provided with a rich environment to explore ways of working collectively guided by the principles of participation and inclusion.

b. Community projects are convergence points.

They provide a focus for concerted, systematic community action on development challenges and the pooling together of resources and technical expertise of different development agencies and stakeholders. They also provide a venue for direct, creative dialogue between providers of technical assistance (such as LGUs, NGAs, and NGOs) and community residents. Properly designed community projects effectively targeted at critical development challenges contribute in a direct way to reducing local poverty. The continuing community action generated by effective community projects (such as operation and maintenance, and eventual expansion activities) also provide opportunities for sustained local development.

c. Community projects are instruments for poverty reduction.

3.2.3.2

What is Project Development?

In the context of KALAHI-CIDSS, project development is the process of determining and designing the most appropriate and responsive solution (or set of solutions) to community

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problems and development challenges. Development Cycle.

This process proceeds through the Project

3.2.3.3 What is the Project Development Cycle?

The project development cycle outlines four critical areas that need to be considered in developing a community project. These areas cover the following; a. Project Identification and Selection b. Project Development c. Project Implementation and Management d. Project Sustainability The key points for each area will be further discussed in the succeeding sections.

Key Sustainability Elements SP Sustainability Framework Review of Sustainable Development

PSA Outputs CSW Results

Project Project Sustainability Sustainability

Project Identification and Selection

Categories of Project Types

The PROJECT CYCLE

Considerations for Development of Community Project Proposals

Social and Environmental Safeguards

Community Finance Resource Mobilization Community Procurement

Project Implementation and Management

Organizational Arrangements for SPI Community Mobilization

Appropriate Technology Feasibility Study

Project Project Development Development

Simple Economic Analysis Resource Requirements and Sourcing

Implementation Modalities for Infra. Projects

Orgl. Planning (ODM) Soc/Envi. Safeguards

Volunteer Development

Figure 4: The Project Development Cycle

3.2.3.4 What types of projects can be undertaken in the KALAHI-CIDSS?

The KALAHI-CIDSS operates on an open menu system. This means that, outside of the negative list, the communities are the ones to decide what projects they will implement. In general, all project under the KALAHI-CIDSS can be categorized under three broad project types. These include the following;

Public Goods/ Access projects these are projects which intend to deliver a public
service and/or address an issue of access to basic services. These include most infrastructure projects such as roads and bridges, drainage works, irrigation systems, water systems, public school buildings, public health stations, and others.

Community Enterprise projects these are projects which intend to directly contribute to increasing income of its intended beneficiaries. Examples include all income-generating projects and common-service facilities which intend to provide services for profit for users and members. Human resource development projects these are projects which intend to increase local capacities and capabilities. While the latter cover trainings projects, the former can include advocacy projects such as those for asset reform (i.e. activities intended for natural resource protection or land reform), since their primary intent is to increase capacity of beneficiaries to meet needs by establishing ownership and control of means of production.
Due to the complexity of poverty problems facing local communities, it is impossible for a specific project type falling under as single category to address a single development challenge. More often than not, the resolution of development problems will require a combination of project types and interventions.

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3.2.3.5 What is Project Development Workshop (PDW)?

In the KALAHI-CIDSS:KKB Project, the Project Development Workshop is a training activity that involves a hands-on capability building process, where community volunteers discuss and are provided technical assistance inputs on the 4 key areas of the project development cycle.

3.2.3.6 Why do we need to conduct the PDW?

As a project adopting the CDD strategy, one of the major goals of KC is to empower local communities to address development challenges. Part of this process of empowerment is the building of local capacities to design and implement development projects. In the course of project development, volunteers will be faced with such concerns as selection of appropriate interventions, which may vary from infrastructure projects to income generating projects or human resource development projects. They will also discuss possible effects and impact of proposed projects or technologies and design, in the case of infrastructure projects. They will also be made to evaluate technical and financial feasibility of proposed interventions, as well as reckon with evaluating local capacities for implementation, operation, maintenance, sustainability, and even potential expansion. The PDW provides an environment where people will learn to decide on the appropriateness and technical feasibility of interventions based on existing resources and capacity. In a sense, the PDW is the first step in the project development and planning process, which will culminate in the preparation of integrated proposals at the community level, which will be the basis for prioritization during the MIBF for PRA. Technical assistance inputs on the preparation and packaging of simple community proposals will also be provided during the PDW. As the activity is essentially a training session, the actual project development activities will be undertaken in a series of parallel activities at the community level. The formal workshops in the PDW will only serve as an orientation to the various aspects in development planning while most of the activities are done at the community.

3.2.3.7 What are the objectives of the PDW?

The objectives of the PDW include, but may not be limited to, the following; 1. To orient local volunteers on the critical areas of the KC Project Development cycle; 2. To provide local volunteers with the basic knowledge of the key points that need to be considered in the preparation, design, and development of community projects, and the packaging of community project proposals; 3. To create a venue for creative dialogue between community volunteers and local technical assistance providers, in particular local government unit MIAC members, on the design of development interventions. This will hopefully provide opportunities for continuing MIAC engagement at the community level during the actual community-level project development activities.

3.2.3.8 When is the PDW conducted and for how long?

The PDW is conducted immediately after the Criteria Setting Workshop. Alternately, it may also be conducted running parallel to the CSW. However, the ACT should bear in mind that

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elements that feed into the selection of appropriate technology and assessment of community capability are already available from the social investigation and PSA process. In terms of duration, the PDW is intended to run for three days. However, there are instances where other ways of conducting the workshop may be designed by the ACT, especially in instances where there are many barangays, and where the ratio of participants and facilitators are not conducive to hands on, focused learning. Since KALAHI-CIDSS Project is time-bound, stakeholders should observe the twelve-month cycle duration. Hence the project development and planning phase is expected to be completed within the two-month period following the CSW and PDW, after which the prioritization in the MBF for PRA follows.

3.2.3.9 Who are involved in the Development Planning and Workshops?

The key players during the planning workshops are interested community members, as appointed by the development and planning committees. These may consist of the existing CBOs (e.g. womens group, farmers cooperative, etc.), Barangay officials, technical staff from the municipal government, NGOs, Service Providers and other stakeholders in the area. The ACT will be the main facilitator for the activities.

4.2.3.9.1 What are the roles of stakeholders in the Project Development process? Planning committees in the absence of an existing CBO in the barangays, the BA may select volunteers as members of various committees needed depending for a specific type of intervention. Committees may vary depending on the technical, financial, environmental, social and operational and maintenance aspects of the intervention. This will ensure wide participation from community members who are interested to work on the packaging of an integrated proposal. Community based organizations any active CBOs present in the community may
be appointed by the Barangay Assembly as the lead persons in the planning body for the sub-project. It is assumed that these CBOs have gained experience in project planning and proposal-making.

Barangay Council is the oversight body in the development planning of the community. They can be tasked to monitor the progress and provide support for the planning activities MIAC members are technical staff from the MLGU that can assist and guide the planning committees. They may also assist the community members in the preparation of some technical plans or capability-building plans. NGOs and Service Providers can also provide the needed technical expertise to
assist the planning committees in the preparation and finalization of proposals. An NGO working on agrarian development issues can be a source of invaluable assistance in the development of proposals on agricultural productivity.

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Area Coordinating Team the lead Facilitator who will ensure that workshop outputs
are carried out properly, depending on expertise per sub-project types. Listed below are the roles of the ACT.

Deputy Area Coordinator

Assists in identifying options for appropriate interventions/technology/designs for proposals with infrastructure components or those with legal procurement requirements; Assists in the preparation and review of technical plans and specifications for infrastructure projects that are suitable for the community; Together with the CF, provides guidance on potential adverse environmental and social impacts of proposed infrastructure projects, following environmental and social safeguards; Ensure cost estimates for infrastructure components are within the regional cost parameters; Provide coaching on technical and infrastructure elements of community proposals to other members of the team, as the need arises, and; Coordinate with other technical staff (e.g. Municipal Engineer, Service Providers) in the provision of technical assistance to local volunteers and communities;

Roving Bookkeeper
Assists the team and community volunteers in the preparation and review of feasibility study, particularly the financial and economic aspect of the proposal; Assists the CF and AC in conducting organizational diagnosis of sub-systems related to finance; Ensures that LCC commitments are properly documented, and Provide coaching to team members on financial matters.

Community Facilitator
Ensures mobilization of planning committees; Mobilizes volunteers for critical analysis on the range of interventions that can be integrated in the proposal. Facilitates organizational formation for operation and maintenance arrangements (if no CBOs are present); Provides technical assistance to community volunteers in ensuring required documents are complied with; Conducts periodic consultations to follow-up BAP and BDP implementation plan;

Area Coordinator
Ensures proper, timely and close coordination with local government units, NGOs and CBOs on any activities and assistance to be provided for the proposals. Facilitates provisions of technical inputs during workshops and Ensure objectives are understood and appreciated by the planning committees.

3.2.3.10 How does the PDW flow and what topics need to be discussed?
Since community volunteers will proceed through the project development cycle outlined in section 4.2.3.3., it is critical for the community volunteers to be oriented on the key elements

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of each area of the project cycle. However, the ACT should guard against too much detail in their discussions. It would be much better if the volunteers can be presented with examples which they can undertake themselves in an exercise using the simulation method. The following are the critical topics per area of the development cycle;

3.2.3.10.1 Project Identification and Selection

3.2.3.10.1.2 Why is proper project identification and selection important in the KALAHI-CIDSS?
Effective project identification and selection is the most critical part of project development, for the following reasons;

Complexity of poverty issues: Local poverty problems and development challenges

are often complex. While the effects are immediately observable and felt by community residents, their causes often transcend local boundaries and originate in broad policy issues connected with regional, national, and even international economic policies, governance issues, and investment priorities. Affecting a lasting and meaningful solution to poverty issues therefore require an understanding of these connections.

Limitations of standard project designs: No solution can claim to being a cure-all for all, or even most, of the problems in the community. Most poverty problems in fact require the implementation of a broad range of solutions. Understanding the inherent limits of any one solution will ensure that implementers recognize other solution tracks, identify the requirements for designing and implementing parallel support interventions, and calibrate project implementation accordingly. Development resource and financing limitations:
Addressing development challenges entail costs, and while resources are always limited, most critical poverty problems occur in areas where the availability of resources to fund development efforts are either negligible, or access to these resources are made difficult by a host of factors. In the face of limited resources, determination of the most appropriate projects that will provide the most benefits with the limited inputs becomes critical.

Social and Environmental Safeguards: Solutions are not without risks. Almost all
roads and bridges projects will require earth moving, which can adversely affect natural ecosystems and limit the intended impact of the project in the long run. Other projects can produce effects unintended and unforeseen during project design. Understanding how specific projects will impact specific social groups, or the larger ecosystem, is a critical input in project selection.

3.2.3.10.1.2 How does one facilitate project identification and selection?

In projects like KALAHI-CIDSS:KKB which employ community-driven development as a primary strategy, development workers facilitate project identification and selection by local communities. There are no hard and fast rules to problem identification and selection. However, the CDD principle of making development investments responsive to informed demand specify two critical parameters for determining if the demand of local communities for a specific form of intervention to address poverty issues is appropriate and realistic.

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These include (1) informed, meaningful choice, and (2) community identification of local contributions to investment and recurrent costs. In the KALAHI-CIDSS project, facilitating informed, meaningful choice can be effectively facilitated by undertaking a review of the PSA results, specifically the problem analysis tools, as well as such as a review of the development criteria and directions identified during the MIBF for Criteria Setting; Facilitating community identification of local contributions to investments and recurrent costs should cover community discussions on the following points; a. Capacity and willingness of community to provide counterpart during project design and implementation, in whatever form; b. Capacity of community to implement the intervention, or operate and maintain the system (for infrastructure projects), and; c. Willingness of the community to support continuing implementation or O&M needs for resources;

3.2.3.10.1.3 selection?

What are the key considerations in project identification and

1. Review of PSA outputs, in particular, the matrix on key community problems and the
range of proposed solutions; (insert matrix here)

2. Review of the CSW results, particularly the agreed municipal development directions; 3. Discussion on the categories of project types in the KC project, which was discussed
in section 3.2.3.4.

4. Discussion on the key environmental and social safeguards (and the KC project
negative list INSERT HERE) as an element in the selection of project type; The discussion on Project Identification and Selection should result in the review of the PSA results (matrix of problems and solutions), and the identification of the key development challenge that the barangay has identified as the priority problem, and the range of solutions to address the same, following the inputs on project type categories and environmental and social safeguards. This shall then feed into the discussion on the second area of the cycle on project development;

3.2.3.10.2 Project Development

The area on project development constitutes the main section of the PDW and covers critical topics related to the design of specific components and of the proposal as a whole.

3.2.3.10.2.1 What are the key considerations in the design of community projects?
The following are the key areas that need to be considered in designing appropriate and responsive community development projects;

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A. Project Feasibility:
The purpose of undertaking a feasibility study is for the community volunteers to acquire both an overview and deeper understanding of the primary issues related to a project idea or activity. In a nutshell, the objective of the feasibility study is to identify any make or break issues that would prevent the project from succeeding. In simple words, it seeks to answer he question Does the project make sense in view of the development challenge it seeks to address? Please refer to the attached annex on the preparation of feasibility studies.

B. Selection of appropriate design (for community projects with an infrastructure sub-component);

Coming up with an appropriate design is based on several factors such as: type of users, local resources available and the geographical location of the community. (Refer to Box 8.1 for some case examples)

a. Type of users - The planners

have to consider the type of users (e.g. women, children, persons with disability) to be more socially responsive.

Box 8.1 Case Scenario in selection of interventions

Example 1. The technical staff presented the standard technical design of a classroom building to be constructed in a far-flung area. The technical specifications indicated concrete structures and a steel design for trusses. However, the Barangays location posed some difficulties on accessing and hauling of these materials. As a result, delays in the procurement process, problems in hauling and the unavailability of laborer and animals cause further delays in the construction. The technical staff should have decided to modify the specification on the materials. Perhaps, good lumber available at the community can be utilized. The structure would then be more socially acceptable as observed by the community members. Maintenance would also be easily done since the materials used are readily available at the community. Example 2. A community, composed of 75 households, have requested for a rural access road to their far-flung barangay. The desired design would be: the standard design of a barangay road spanning over five kilometers, where the existing transport vehicles are a few motorcycles and one jeepney. Is the proposal economically viable and cost-effective considering the investment cost? Can the community members maintain the total length of the road after its completion? Where will community members get their maintenance fund? Is the fund sufficient to cover the costs? What is the environmental impact of the road construction activities? Do they have the capability to mitigate the negative effects of the sub-project? These are some of the talking points for the facilitator during the planning and design stage. Answers to the above questions should provide the basis for applying design options. These options have to consider usable and appropriate technology to address the communitys need, which is a problem of access. The capability of the community to manage and maintain have also to be considered and established. The Facilitator has to be ready with all possible options on the type of technology to be recommended, which must be based on the topography, geographical location and the socio-cultural practices in the area.

b. Local

resources

available

Selection of an appropriate design could be awkward in the sense that there are available standard designs for some selected structure or interventions. However, in the selection process, it is important to consider whether these standard designs can be applied to local conditions. For some, standards could mean technical specifications of materials to be used for such intervention. These technical specifications may not be applicable in some communities but the standard functional design, or the purpose for which it is applied, can be the same.

c. Geographical community -

location

of

This involves identifying a wide range of applicable options based on the geographical location and the socio-cultural orientation of the community.

C. Simple Economic Analysis:

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Simple economic analysis is the process of determining a projects viability in terms of its net contribution to the society as a whole. It compares the economic benefits and costs of a subproject, which are given economic monetary values to allow comparisons. However, economic analysis looks beyond financial considerations such as revenues and profits, but treats these as important considerations. Simple economic analysis can be performed before the implementation of a subproject using projected benefit and cost streams, and can also be used as basis for approving a subproject or redesigning it if it fails to meet set standards for economic viability. For more details, please refer to the attached annex on undertaking simple economic analysis.

D. Determining social and environmental impact and the corresponding mitigation measure:
While development is a right that should be enjoyed by everyone, the reality of social inequality, where social relations defined by hierarchies divide people between the privileged and discriminated, the powerful and the powerless, the center and the marginal, continue to persist. For this reason, ensuring adherence to social and environmental safeguards set by both the project and various Philippine laws is a critical aspect of project design. This covers the following two elements;

The principle of Social Inclusion, grounded at promoting the attainment of a better life
for all, especially the marginalized groups, by (i) protecting peoples rights and creating opportunities for the development of peoples abilities and individual strengths; (ii) removing all legal and cultural barriers to the attainment of full human development, and (iii) reducing the vulnerabilities of the marginalized through a system of social protection, and by engaging them in the development process, and;

The principle of sustainable development and environmental protection, where

there exists an explicit recognition of (i) the specific and prime vulnerability of the poor to environmental hazards, and (ii) the centrality of protection of ecological integrity as a requisite to sustained development; The Project, in adherence to the provisions of the Loan Agreement (LA) and existing laws of the country, observes the social and environmental safeguards policies set forth during project implementation. Therefore, it is imperative to know the different components of the project safeguards in order to guarantee that the policies are being followed at the community level. The major aspects of Project Safeguards are as follows:

Social Safeguards the LA for the Project specifically Schedule 5, parag. 6 (d)
requires adherence to certain social aspects of the sub-project. One of the Bank Policies requires the proponent Barangay to observe activities during the selection and implementation phase of sub-project. This covers the following: Land Acquisition, Resettlement and Rehabilitation of Project Affected Persons (PAPs) and the Indigenous Peoples (IPs) concern. The policy also gives importance to respecting cultural practices in IP areas, establishing ownership of property to be used for the sub-project, and giving just compensation for people affected by the proposed sub-projects.

Environmental Safeguards - This covers the compliance to existing laws on as required by the Environmental Impact Assessment (EIA). Proponent and project staffs have to understand the importance of this aspect relative to their proposed sub-project.

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The EIA defines the category in which the sub-project belongs, and enumerates certain documentary requirements. These requirements are: either an environmental compliance certificate (ECC), a certificate of non-coverage (CNC) or simply an environmental management plan (EMP). It is also expected that the facilitators, particularly the technical staff, will assist the community volunteers in determining the anticipated negative impact of the sub-project and define appropriate mitigating measures for such. Reference material containing information on the possible impact for each type of subproject, and some suggested mitigating measures have been disseminated to the regional field offices, through the regional engineers. For a more detailed discussion on Project Safeguards, a facilitators guide on how to conduct an orientation can be found in Annex 11 of Step 6 of the previous ACT Manual.

E. Determining resource requirements and sources:

Community projects are not without costs. Determining what resources are needed, how much these are, and where they can be accessed, constitute a major area of concern in developing community projects. In order to build community ownership and ensure viability and sustainability of community projects, the KALAHI-CIDSS adopts a cost sharing scheme where all interested stakeholders contribute to the implementation of the community project. Specifically, the municipality is expected to shoulder around 30% of the total KALAHI grant to be for the implementation of the sub-projects. It is also expected to provide this counterpart contribution for three cycles. Other forms of contributions, as stipulated on the Memorandum of Agreement signed between the project and the MLGU, have to be fully documented and accounted for. These have to be classified as either intended for subproject implementation (SPI) or for capability building and implementation support (CBIS).

Local counterpart contribution - common forms of local counterpart contribution (LCC) are cash or contributions in-kind. In-kind contribution could either be in the form of monetized labor, materials available at the community to be used for the sub-project, or equipment committed by the local government units. Cash counterparts are either coming from the barangay internal revenue allotment (IRA) or from municipal and provincial assistance. On some cases, congressional representatives also provide financial assistance to communities. For these types of cash contributions, it is necessary to verify the availability of this commitment before the approval so to avoid delays during the subproject implementation. F. Determining community mobilization, and corresponding organizational development requirements for implementation (determining the capacity of the community to implement the project):
The section on community organizing and the formation of CBOs are critical considerations for determining community mobilization and organizational formation requirements for project implementation. Additionally, in relation to the preparation of technical designs for community projects with infrastructure sub-components, Service Providers3 must consider the capability of the community to implement and operate the structure and system proposed. In some cases, community members and stakeholders tend to over commit and
3 An individual or group of individuals who will provide technical assistance to community members during the preparation and finalization of their proposed interventions. The Service Provider must have an extensive experience and knowledge on his field of specialization.

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identify responsibilities that are beyond their capacity in order to get approval of their proposed intervention. This condition has proven to be a futile exercise in the implementation. The design intervention has to be the within the implementing capacity of the locality so as to maximize collective participation from most of the community members.

3.2.3.10.3 Project Implementation and Management

3.2.3.10.3.1 Why is a discussion of project implementation and management necessary during project development?
As previously discussed in the section on project identification, a critical requirement for sustaining a CDD effort is the capacity and willingness of the community to provided counterparts to project implementation and recurrent costs. By providing their share of the cost (both monetary and non-monetary) of implementing, managing, and operating subprojects, community ownership is established. By taking a deeper look at the implementation, management, and operationalization requirements of the proposed project, community volunteers are also provided with an opportunity to juxtapose needs and wants, and local capacity and resource availability, effectively providing a sense of program reality to project design and implementation, management, and operationalization arrangements. Capacity for operationalization, however, include not only existing capacity, but also capacity that can be built in the course of project implementation. Reckoning project implementation, management, and operationalization during project development and design will also provide community volunteers with an opportunity to take stock of existing capacities as well as a realistic understanding of capability-building needs which must be addressed in the course of implementation.

3.2.3.10.3.2 What are the key considerations in project implementation and management?
The following need to be carefully considered during project preparation in order to ensure effective project implementation management.

A. Community Mobilization
A reckoning of the level of community mobilization required to implement, manage, and operate and maintain the community project is a critical element that must be factored into project design, especially of the implementation aspect. It must be remembered that in a CDD effort, it is the people themselves who must take charge in implementing development interventions which they themselves identify. The capacity of local people to implement development projects does not only refer to the technical competence of local people to undertake the construction of a water system or implement a capability-building intervention on sustainable farming technology. It also includes the capacity of local communities to break down the tasks required, identify the organizational needs to deliver these services, and organize themselves according to the

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required work. While implementation of development projects are also undertaken in collaboration with other stakeholders, even mobilizing and managing stakeholder commitment and participation requires organized effort by community members. Thus even this requires organization. Section 3.1.5 on Social Mobilization discusses the role of community organizing and the formation of community-based organizations, or engagement of existing CBOs in areas where these exist, in the KALAHI-CIDSS Project. In addition, the following needs to be considered in project development relative to social mobilization; 1. 2. 3. 4. Organizational Arrangements for project implementation; Volunteer development; Implementation modalities for infrastructure components; Organizational Development and Management for project operationalization, management, maintenance, and sustainability;

B. Resource Mobilization
Having projected what the project will cost and determining where these resources can be accessed, the next point that needs to be established is how these resources can be delivered. This includes clarifying what the specific tasks and activities need to be undertaken to ensure resources are either delivered (based on stakeholder commitments) or effectively accessed from previously identified sources. Based on project experiences, availability of resources constitute a major cause of project implementation delays, attributed to; (i) (ii) over commitment of LCC; lack of proper coordination for the delivery of stakeholder counterparts.

The second have included such issues as the non-availability of the labor force during implementation although these have been previously committed by community members themselves during project design and development In other cases, municipal LGU stakeholders fail to deliver committed equipment, pointing to problems of ineffective scheduling. Also, releases of cash commitment can also be delayed, leading to delays in the implementation of critical activities. In order to avoid similar problems during implementation, context-specific strategies should be developed in order to ensure that resources are available during implementation. These strategies should be the focal point for discussions on resource mobilization during project design and development.

C. Community Procurement
Depending on the complexity of community project proposals, some components, particularly those which require the construction of infrastructure facilities or the purchase of equipment, will require the community to engage procurement activities. A hands-on training on community procurement processes should be conducted so that community volunteers can better factors these into the design and development of project proposals. The training can focus on a broad overview of the community procurement process and the required parameters, procurement packaging, familiarization of forms, and

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exercises on the actual conduct of procurement. For a more detailed discussion of various procurement methods applicable to the Project, refer to the Community Procurement Manual.

D. Community Finance Management

One of the key features of CDD involves making resources available to local communities for the implementation of development projects. In the KALAHI-CIDSS project, this is undertaken through direct fund transfers to a community account, guided by the one-fund concept. This means that all resources from all stakeholders are pooled into a single community account which the community directly manages. For this reason, it is critical for community members and local volunteers to have a basic understanding of community finance management and accounting procedures to ensure that these resources are efficiently utilized for their intended purpose. The required activities and tasks for managing resources for community projects should be factored into project design and development. Fore more detailed discussions on the Please refer to the Community Finance processes and procedures, and the projects various fiduciary safeguards, please refer to the Community Finance Manual.

3.2.3.10.4 Project Sustainability

The last critical area for consideration in project design and development is the area of project sustainability. In the KALAHI-CIDSS, project sustainability refers to the capacity of communities to continually deliver the intended benefits, or continually provide the intended services, of a specific community project. For infrastructure projects, sustainability does not only refer to sustaining the physical infrastructure, but rather to the ability of communities to ensure that the services for which these structures were built are continually delivered to their intended beneficiaries, in the same or even better quality, over time. While both the preparation of feasibility studies and simple economic analysis can provide us with inputs in determining potential sustainability, a critical component of the definition above relates to community mobilization and organization for sustained service delivery by local community projects. In addition, KALAHI-CIDSS sustainability framework (note: insert sustainability framework here) identifies three components that directly relate to sustainability of community projects. These include;

3.2.3.10.4.1 Group / Association Formation and Development;

This includes such concerns as (i) community mobilization and organizing concepts discussed in previous sections; (ii) organizational assessment and ODM for sustained project operationalization and maintenance; (iii) resource mobilization and financial management, and; (iv) development of organizational culture.

3.2.3.10.4.2 Institution Building and Development;

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This component includes such activities and tasks as (i) accessing and mobilizing technical assistance and support from stakeholders; (ii) linkage and networking, and (iii) policy development and advocacy to create enabling environments for the sustained delivery of benefits of projects directly operated and managed by community people themselves.

4.2.3.10.4.3 maintenance;

Project

design

and

development,

implementation,

and

This component covers such concerns as (i) capability building and technology transfer; (ii) project planning, implementation, and monitoring, and evaluation processes and systems; (iii) project operationalization and operation and maintenance activities, and; (iv) cost recovery systems and schemes.

3.2.3.10.5 The Community Project Proposal and the Sub-Project Concept Form
3.2.3.10.5.1 Where will the inputs on the Project Development Cycle lead to?
The inputs and subsequent discussion on the key elements of the project development cycle should lead to the preparation of community project proposals to address the priority development problems of the barangay. The development and finalization of this proposal and its accompanying documents and plans will be the major output of the project development phase of the CEAC, and will be the basis for prioritizing of community projects during the MIBF for PRA.

3.2.3.10.5.2 What is the format of the Community Project Proposal?

The Community Project Proposal should necessarily be simple in form but provide enough information for the prioritization process during the MIBF. The proposal itself can follow a question answer format (or a Q&A) but should cover at least the following five major parts;

1. The problem statement:

The problem statement section can cover such questions as (i) What is the situation in the community?. This will provide a short context; (ii) What is/are the problem/s or development challenge/s faced?, and (iii) How does the problem/development challenge affect the community?. The goal of this section is for the community to explain their condition and the development challenge they face, and its cause/s and effect/s through actual, concrete felt experiences.

2. The proposed solutions:

The proposed solutions section should effectively answer the question What needs to be done (proposed solutions) to address the problem?. The proposed solutions can be

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formulated as objective statements. The ACT should take note that most problems require multiple solutions. The solutions matrix (note: attach solutions matrix here) can be used to explain how each solutions track contributes to solving the problem and achieving the development goal of the proposal.

3. Implementation plans and arrangements:

This section should answer the question How will this proposal be implemented in order to achieve its objectives?. Other questions that should be considered here can include (i) What are the key activities to implement this project (and even each component)?; (ii) What is/are the organizational arrangements for implementation?. This latter should cover such concerns as Who will implement?, What are the decision-making arrangements and processes? , What are the control systems and transparency arrangements?, and so on. The goal of this section is for the community volunteers to describe how the project and its specific components will be implemented, who will be tasked to implement specific activities and oversee the implementation of the project as a whole, and what the implementation systems, processes, and procedures are. The previous sections on community mobilization can provide vital inputs in this regard.

4. Sustainability plans:
This section should address the question of sustaining project benefits in the long run. Some of the key questions that need to be considered here should relate to the following key areas of project sustainability previously discussed, including (i) Organizational Development and Management arrangements for implementation and management (ODM); (ii) Development of local technical skills and competencies for implementation, operation and maintenance (for projects with infrastructure and/or equipment components), and management, and; (iii) Resource mobilization and accessing, and financial development and management.

5. Component for KALAHI-CIDSS funding:

This last section will focus on the specific component that will be proposed for funding from KALAHI-CIDSS. As explained earlier, no one solution can claim to be a cure all for a community problem, and that a development challenge (such as low income from agricultural activities or increasing morbidity of children 0-5 ears old) may require the implementation of multiple solutions. These solutions can range from construction of an irrigation system or community health facility to the conduct of education and capabilitybuilding interventions on bio-intensive farming technologies or primary health care and nutrition. All of these solutions will have to be incorporated into the proposal, and will constitute the proposals different solution tracks or components. Each of these components will require some form of resource mobilization and investment. The community may opt to propose the cost of the whole proposal for KC funding, especially if the proposal does not include an infrastructure component which entails big costs. The community can also propose a specific component for KC funding, with the cost of other components for accessing elsewhere. Once the component for proposed KC funding is identified, this component will then be the subject for the preparation of the Sub-project Concept Form (or SPCF). A simulation on the

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preparation of the SPCF should also be included in the topics for discussion during the PDW. Please refer to the attached SPCF for more details.

6. Proposal Attachments
The community proposal itself does not need to be overly long and complicated. Depending on the nature and content of the interventions included in the proposal, the following documents will have to be prepared and included as attachments.

The Sub-Project Concept form which all proposals will necessarily have as this is the
basis for determining the cost of the specific component proposed for KC funding;

Feasibility Study - especially for Community Enterprise projects, including those with common service facility components; Simple Economic Analysis - especially for
projects with common service facility components; infrastructure projects or community

Action Plan - especially for Human Resource Development (HRD) or Community Enterprise projects; Program of Works or POW - especially for Infrastructure or Community Enterprise with
common service facilities;

Procurement Plan - especially for Infrastructure or Community Enterprise projects with

common service facilities or equipment purchase requirements;

Technical Plans - especially for infrastructure or community enterprise projects with common service facility components; 3.2.3.11 What are the major outputs of the PDW?
At the end of the PDW, the community volunteers should have; 1. Identified and/or finalized the priority problem and priority development project of the barangay, as well as its major components; 2. Simulated the drafting of a community project proposal, using the lessons learned from the technical inputs on key areas of the Project Development Cycle; 3. Simulated the drafting of the Sub-project Concept Form from the Community Project Proposal; 4. Drafted a community project proposal of their proposed community project, highlighting major areas for further development, and 5. Drafted a two-month action plan for project development activities to be undertaken by the barangay;

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3.2.3.12 What community activities need to be conducted within the two month project development period after the PDW?
As explained in previous sections, the project development process lasts for approximately two months. During the whole planning period, basic Project requirements have to be met, and numerous activities are conducted at the community level for the development of the project and the preparation of the community project proposal. Since the KC Project fosters an open menu of interventions, it is expected that various proposals shall be identified. As communities are expected to come-up with different projects, these project development activities will necessarily vary across communities and barangays. However, some common forms of activities will need to be conducted by all barangays. These include, but may not be limited to, the following;

3.2.3.12.1 Community consultation meetings

A number of things need to be consulted with the whole community during the project development process. These range from the prioritized problem and choice of interventions to the costs, designs of infrastructure components if these are required, implementation, operationalization, and management arrangements, and so on. A host of strategies and processes can be employed to propel these activities, including the conduct of barangay assemblies, purok and sitio meetings, information drives, cluster meetings, house-to-house consultations, and so on. While often tedious, this is nonetheless an important requirement since the participation of the entire community is required for the development effort to succeed. At the very least, the conduct of consultations will ensure that no group is excluded from the development process.

3.2.3.12.2 Site/field validation

There are two levels of site validation. One is conducted by the technical staff prior to the PSA. The other is conducted jointly by community volunteers (representatives to MIBF) before the approval phase in the Municipal Forum. The first type provides information needed to identify an appropriate technology of intervention. The latter, which is a joint validation, serves as an input to the MIBF representatives who will justify, analyze and later approve the proposal based on its responsiveness to community needs. A prescribed Report Format (Site Visit Report) will facilitate the technical staff in establishing initial data for analysis on the proposed sub-project. For non-infrastructure interventions, technical staffs conduct pre-assessment of the proposal. For income- generating sub-projects and other non-infrastructure interventions, feasibility studies have to be prepared.

3.2.3.12.3 Resource Mobilization

The Project adopts a scheme for ownership claiming, which will ensure the viability and sustainability of the intervention. This is done through cost sharing from all interested stakeholders who, in one way or another, can contribute to the implementation of the subproject. The required resources to implement the proposed project and its different components will have to be mobilized from the identified sources, and commitments secured. Possible activities in this regard can range from meetings with the municipal

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mayor, the local congressman, and even the governor to secure local counterpart commitments. It can also include house-to-house activities to secure in-kind contributions from community residents. It may even include dialogue with local NGOs, National Government Agencies (such as a training session on bio-intensive farming from the DA) and other Funding Agencies to access resources or technical assistance and support. The ACT should ensure that the communities take full stock of the range of options available to them to access resources to implement their project.

3.2.3.12.4 Organizational development formation

Along with the preparation of the technical and financial aspect of the proposal, the Facilitator must also guide the community in the formation of community based organizations or strengthening existing CBOs. This is to ensure that project implementation, operationalization, and operation and maintenance arrangements are known and agreed on by the community members.

3.2.3.12.5 Preparation and finalization of packaged proposal

All of the activities conducted and outputs have to be integrated into one proposal. The results of exercises during selection process shall be transformed into a set of plans and drawings understood by the community. In some cases, like infrastructure sub-projects, the cost of the intervention maybe less than the established regional parameter, due to the use of appropriate technology that was adopted by the community. The plan needs to include the schedules of the following activities; (i) trainings to be conducted, (ii) utilization of equipment, (iii) labor force distribution, (iv) Procurement activities, and (v) implementation period. For common infrastructures, the Project has established acceptable duration to be observed during construction. For common service facilities, IGPs and non-infrastructure, the set of documents shall be incorporated in feasibility study. Required permits, clearances and certifications must also be complied before the final approval of the proposed interventions. The matrix below shows the minimum set of requirement for approval depending on subproject types:

Infrastructure support
1. Technical plans and drawing details 2. Survey plans (Horizontal & vertical controls) 3. Specifications to be adopted 4. Program of Works (POW) and detailed cost estimates 5. Environmental Management Plan

Common Service Facility Other non-infra & IGPs non IGPs

1. Technical plans and drawing details 2. Specifications of equipment/machine 3. Cost estimates and POW 4. Feasibility Study 1. Feasibility Study

and

5. Environmental Management Plan

6. Water Potability Test result (water system)

6. Acquisition documents (e.g. Deed of Sale or Donation for the site)

2. Investment Cost estimates and POW 3. Permits and Clearances required 4. Certifications or proofs of commitment (e.g. bank deposit slip) 5. Operation and Maintenance arrangements (Roll-out Plans) 6. Cost recovery scheme

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7. Acquisition documents (e.g. Deed of Sale or Donation) 8. Permits and Clearances required 9. Certifications or proofs of commitment (e.g. bank deposit slip) 10. Procurement package/s 11. Operation and Maintenance arrangements (to include Tariffs)

7. Permits and Clearances required 8. Certifications or proofs of commitment (e.g. bank deposit slip) 9. Operation and Maintenance arrangements 10. Cost recovery scheme or Tariff computations 11. Marketing Plan

7. schedules of activities

3.2.3.13 Tips for the ACT in the conduct of Project Development and Planning workshops, and in the Project Development period
The ACT should bear in mind the basic principles of the Project in order not to get lost in the multitude of activities during Project Development. Remember that the workshops and exercises will gear people to participate towards the completion of their proposals. Listed below are some of the tips that will guide the project staff in accomplishing tasks during project development;

Dos:
Secure and read other reference materials related to technologies on various types of interventions. Dont be contented on the limited materials provided by the Project. Have patience in conducting workshops and consultation meetings with the community members. Learn to accept realities and provide wide range of options in solving issues and tasks ahead. Get out of the box! Always organize the activities/tasks to be assumed. Prepare your work or session plan for any activity. Prepare the necessary materials and be ready with the presentations before going to any workshops. Prepare list of advantages and disadvantages for any recommendations you have. This can be shared to the community members for them to come up with an informed decision according to their demands. Review the quality of outputs. Inconsistencies and incomplete outputs could lead to tiresome and time consuming activities. Considering that there will be a lot of activities during the period, you have to set your priorities. List down all the major outputs and monitor the status of compliance. Always prepare an alternative set of action plans to accomplish the task. Conduct tactic sessions when necessary. When in doubt for any actions to be undertaken, dont hesitate to call for assistance.

Donts:
Do not hesitates to ask other team members for feedbacks on the concluded activity. This will help you improve the next activities. Learn to master your craft!

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Do not saddle the task alone. Remember this is a community-driven development Project, seek assistance with concern committees and other development partners. Do not submit documents that are incomplete and inconsistent with other related documents. Do not disregard commitment offered by the women sector to help the planning activities.

Annex 1. Technical Assistance Fund

A.1 What is Technical Assistance Fund?
TAF, as it is popularly known, is a fund provided by the KC project during the planning stage or even during construction period to provide support to community in the preparation and implementation of their sub-projects. It is taken from the Community Grant amounting to Php9,000.00 intended for each barangay willing to avail the assistance.

A.2 Why is there a need for TAF?

Considering the open menu features of KC, there will be proposed interventions that will require technical expertise that are not available in the community. TAF will be used to compensate the outputs of technical person/s willing to engage with the volunteers.

A.3 When to avail the TAF?

After the selection process and the communities have decided on the type of interventions and technologies that they will propose to implement, during the 2nd Barangay Assembly meeting, this can be raised for discussion. If the proposed intervention is within the list of eligible for funding, the barangay concerned will be required to open an account where the Php9,000.00 will be deposited by DSWD. During the implementation, the planner failed to include in the estimates the cost for testing of water potability for an underground source, the TAF can also be access to shoulder payment for laboratory examination for the chemical and physical characteristic of underground water source.

A.4 Who can avail the TAF?

During the social investigation stage, part of the output of the Deputy Area Coordinator is an inventory of possible Service Providers. From the list of Service Providers, the community will select the needed expertise based on the type of proposed interventions. Not all proposed interventions can be funded by the TAF. Common infrastructure sub-projects that have standard designs (e.g. Day Care Center, Health Stations, School Buildings) are not eligible for TAF. In case that common sub-project is proposed by several barangays, the amount of TAF will be equivalent to the number of barangays involved times Php 9,000.00. The barangays will elect a lead barangay who will manage the fund and the engagement with the Service Provider/s.

A.5 What are the required documents to avail the TAF?

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There are only three (4) requirements for TAF: Eligibility Checklist to be administered by AC or DAC Resolution from the Barangay Assembly for the use of TAF Contract of Service between the Planning Committee Head and the Service Providers. Bank account opened by the barangay.

A.6 What are the expected outputs of the Service Provider/s?

Depending on the type of interventions and the needs required by the community, the Service Provider will have to deliver their outputs before the 1st MIBF. The engagements of Service Providers are expected by the time technical workshops are conducted. This is required for them in order to understand their engagement and the timelines for completion of their outputs.

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3.2.4 The Municipal Inter-Agency Committee (MIAC) Technical Review of Community Project Proposals
3.2.4.1 What is the Municipal Inter-Agency Committee (MIAC)?
In the course of activities during the PDW, the ACT should remember that they are not the only source of support and technical assistance in the identification, development, and preparation of community project proposals. You do not need to saddle these tasks alone. The municipal local government unit also maintains a pool of technical staff that it mobilizes in the preparation, development, and implementation of its various programs. In order to maximize involvement of municipal LGU stakeholders, build convergence of programs and interventions, and promote institutionalization of the CDD processes of the KALAHI-CIDSS, the team must be able to either form or enhance mobilization of the Municipal Inter-Agency Committee (MIAC). This is a gathering of municipal technical personnel representing the various departments and programs of a municipality.

3.2.4.2 What is the composition of the MIAC?

Depending on the municipal context, the MIAC can be composed of the following MLGU personnel; The Municipal Mayor as MIAC Convenor The Vice-Mayor (or a member of the Municipal Council who shall represent the Sanggunian Bayan) The Local Poverty Reduction Action Officer (LPRAO) The Muncipal Planning and Development Officer (MPDO) The Municipal Budget Officer The Municipal Engineer (ME) The Municipal Health Officer (MHO) The Municipal Agrarian Reform Officer (MARO) or the Municipal Agriculture Officer (MAO) The MIAC can also include members of locally mandated organizations and local special bodies, which may include the following; The Municipal Development Council The Local School Board The Local Health Board The Local Peace and Order Council The Local Disaster Coordination and Management Council And others Representatives of National Government Line Agencies (NGAs) implementing programs in the municipality may also be enjoined to participate in the MIAC. These can include representatives from the following offices; The Department of Agriculture (DA) The Department of Agrarian Reform (DAR) The Department of Health (DoH) And others

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3.2.4.2 How can the MIAC be engaged in the KC project?

The creation or strengthening of the MIAC is one of the key responsibilities of the Area Coordinator. The MIAC is critical because it shall be the venue for participatory decisionmaking at the municipal level. It will also facilitate the eventual institutionalization of KALAHICIDSS. The organization of the MIAC is included in the list of responsibilities agreed to by the participating LGUs. The role of the area coordinator is to facilitate the formal organization of the MIAC and provide continuing technical assistance to ensure that it functions. Although a secretariat may be designated, the Area Coordinator makes sure that adequate assistance is provided particularly during the first two years. Ensure that members of the MIAC get proper authority to represent their respective offices by a Special Order from the Mayor. Members of the MIAC can be engaged in a number project of processes and activities, including;

PSA Members of the MIAC can be invited to observe and provide inputs and crossvalidate information provided by local volunteers in the PSA process. Since information provided by local people are usually perception-based, the qualitative information that can be provided by specific MIAC members can provide a good balance, or provide objective support to, data provided by local people. CSW Since the barangays PSA processes are usually limited to conditions within the barangays boundaries, MIAC members, in particular the MPDO and the LPRAO, can be a vital source of information for broad and strategic development challenges that cut across barangays. This will be extremely useful during the consolidation of barangays PSA results into a municipal profile of development challenges. PDW Individual MIAC members can provide technical support and assistance in the
development of community proposals of individual barangays. If the proposal is about agricultural development, both the MARO and the MAO can provide vital technical assistance in designing activities and interventions. The Municipal Engineer and members of the engineering office can assist local communities in preparing technical plans for projects with infrastructure components. The Municipal Budget Officer can provide information on potential sources of financing for proposed development proposals. Towards the end of the project development process, the MIAC should also be gathered together to undertake a MIAC Technical Review of proposals. Since proposals will be more integrated and comprehensive, the specific competencies and mandates of a number of MIAC members may be needed to review a single proposal, depending on the specific components. This will be further discussed in the next sections

MIBF The MIAC members should be present during the MIBF and provide technical
assistance in the MIBF processes during prioritization. However, the MIACs role in the MIBF for PRA should be limited to provision of technical assistance and support. It is the role of the community representative in the MIAC to undertake the prioritization of proposals.

SPI The numerous activities during sub-project implementation will accord the MIAC with many opportunities to engage with local people at the barangays. The MIAC is expected to provide continuing Technical Assistance support and monitoring during the SPI process,

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depending on the thrust of he proposal and on the specific expertise and mandates of individual MIAC members. In addition, the MIAC can also serve to provide vital support in the lobbying work required for the release of municipal local counterpart contributions and on the integration of community proposals in both the Barangay Development Plans (BDPs) and Municipal Development Plans (MDPs). Just as it is the CF is expected to organize members of the local community, the AC is also expected to organize the MIAC in the provision of technical assistance. Municipal-level stakeholders are the ACs public, and organizing them to support project activities is the ACs prime responsibility.

3.2.4.3 What is the MIAC Technical Review of Community Project Proposals?

As discussed above, the MIAC technical review of community project proposals is a municipal-level activity. Its purpose is provide communities with an opportunity to secure additional inputs and technical assistance from the MIAC and other TA providers in the finalization of community proposals.

3.2.4.4 When is the MIAC Technical Review conducted?

The MIAC Technical Review is conducted at the end of the Project Development stage prior to the MIBF for PRA. Depending on the municipal context and number of barangays, the technical review can last anywhere from two to three days.

3.2.4.5 Who participates in the MIAC Technical Review?

Participants to the MIAC Technical Review should include the following; Members of project development committees Members of barangay representation committees MIAC members and other technical assistance providers. The Area Coordinating Team Members of the RPMT

3.2.4.6 How is the MIAC Technical Review conducted?

There is NO standard process for the MIAC Technical Review. The following methods can be used; Straight reviews in plenary, where volunteers present proposals for review; Small group workshops according to project proposal type; Clustering of communities according to project proposal types; Collective site validation and cross-visits of PPTs and BRTs; Other creative methods the ACT may design; In addition, the community project preparation teams may opt to provide MIAC members and other TA providers with advance copies of proposals to more efficiently manage time during the actual technical review. Collective site validation is also recommended to be undertaken as part of the MIAC technical review process.

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3.3 Project Approval Stage

3.3.1 MIBF for Participatory Resource Allocation
3.3.1.1 What is the MIBF for Participatory Resource Allocation?
The MIBF for Participatory Resource Allocation is the mechanism by which various project stakeholders engage in dialogue on development problems and interventions, and come to a collective agreement on the critical development challenges that need to be addressed, the order of priority in addressing the same, the forms of interventions that need to be implemented, and the allocation of resources for these interventions.

3.3.1.2 Why conduct the MIBF for PRA?

The following outlines the rationale for the conduct of the MIBF for PRA; Development can only be meaningful and sustainable with the full, active participation of an empowered citizenry. This is the root of the projects emphasis on communitydemand. The MIBF for PRA concretizes the role of the citizenry in establishing the demand for development through community proposals to address development challenges, as well as their role in development planning through the participatory allocation of resources to address the same. In a real sense, the MIBF for PRA helps to establish people empowerment and participation as necessary components in effective poverty reduction. The MIBF for PRA also serves as a negotiation venue between communities (who feel the effects of poverty conditions the most) and local government units (who are charged with allocating funds for development) for criteria-based allocation of development investments; In the course of determining resources to support proposed development projects, the KC:KKB municipal block grant constitutes one source of funds. It is not the only source. In the process of reviewing and enhancing current development plans, and approving proposed interventions (projects) to address community problems, the MIBF for PRA also serve as the venue for allocating the KC:KKB municipal block grant. The MIBF shall determine how the municipal grant will be allocated, and which development projects shall be provided with fund support from the KC project. Enhancing integration of development efforts and more effective utilization of available technical expertise of other development agencies (NGAs, NGOs) operating in the municipality (putting these to bear on community development projects in a more strategic way);

3.3.1.3 What are the objectives of the MIBF for PRA?

The MIBF for Participatory Development planning and resource allocation is guided by the following objectives; 1. Review of consolidated PSA results (from CSW).

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2. Review of current municipal development plan. 3. Review of development criteria (from CSW). 4. Formalize identification of critical poverty areas and development gaps (based on CSW outputs) 5. Prioritize problems based on CSW criteria (to form part of the CSW output) 6. Identify development options to address prioritized problems

3.3.1.4 When is the MIBF for PRA conducted and how long does it run?
The MIBF for PRA is conducted approximately 2 months after the conduct of the PDW, on a day agreed upon during the Criteria Setting Workshop. The length of the forum itself is dependent on many factors, such as the number of barangays, the form of the forum, and so on. While the indicative time allocation for the forum covers one whole day, it will be up to the volunteers to set the date and period for the forum.

3.3.1.5 Who should participate in the MIBF for PRA?

As an MIBF like the CSW, the MIBF for Participatory Resource Allocation is an open, public forum. The range of people who can participate in the MIBF process can include, but may not be limited to, the following; Barangay Representation Teams Project development committees The Municipal Mayor Municipal Inter-Agency Committee members Municipal Council members Representatives of other NGAs operating in the barangay Representatives of NGOs and CBOs Community residents How these different groups will participate in the actual MIBF process, as well as the level of their participation, will have to be discussed and approved during the CSW.

3.3.1.6 What are the outputs of the MIBF for PRA?

The outputs of the MIBF for PDPRA should include, but may not be limited to, the following; A more comprehensive municipal profile Community project proposals reviewed for prioritization; The prioritized list of community project proposals for KC funding (in the form of an MIBF Resolution); Community proposals (especially non-prioritized proposals) for inclusion into the municipal development planning process (may also be in the form of an MIBF Resolution addressed to the Municipal Development Council); Formation of the MIBF Executive Committee (as the need arises)

3.3.1.7 What is the MIBF Executive Committee?

In the course of project development and the preparation of community project proposals, the timeframe for completion of specific community proposals and their corresponding requirements will vary depending on the nature of the project being proposed. Some proposals for projects which do not have infrastructure components may take a shorter

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period to develop, while proposals of other projects which require the implementation of more complex infrastructure components, such as a water system straddling two barangays, or a farm to market road, may take a longer time to complete. This means that for some projects which have complex infrastructure requirements, the proposal itself may be complete at the time of the scheduled MIBF for PRA, but some documents like technical plans and permits, may still be in the process of completion, or in the case of permits, are yet to be secured. This however, should not prevent the proposal itself from being deliberated on or even prioritized during the MIBF for PRA. If a proposal or proposals with incomplete documents and requirements is prioritized during the MIBF for PRA, the MIBF may opt to allot additional time for the proponent barangay/s to finish completion of all requirements. However, rather than re-schedule another full MIBF, an executive committee may be organized instead. Once organized, the MIBF-EC becomes the mechanism for reviewing MIBF-prioritized proposals with lacking supporting documents at the time of the scheduled MIBF for PRA. Depending on the scope of authority the MIBF prescribes to the committee, the MIBF EC may certify completeness of the prioritized proposal upon review after the prescribed period or, if the proposal remains incomplete, the MIBF can certify that the proponent barangay has defaulted, in which case it may be empowered to review the next ranked proposal as to completeness, and if found to be so, award the funds previously allocated to other prioritized but defaulted barangays. Note that the MIBF EC DOES NOT PRIORITIZE PROPOSALS. This is a function of the FULL MIBF. What the MIBF EC does is to review prioritized but incomplete proposals, and follow the order of prioritization of proposals set by the MIBF. The responsibilities and powers of the MIBF EC emanate from the MIBF, which has the sole responsibility to define and limit the extent and scope of the responsibilities of the MIBF EC.

3.3.1.8 How is the MIBF for PRA conducted?

There is no standard, prescribed process for the conduct of the MIBF for PRA, and the ACT is encouraged to develop creative, context-specific ways by which the MIBF can be facilitated. However, a number of key elements should be present in whatever process the MIBF adopts for prioritizing community proposals. These include the following; Presentation and creative dialogue on the consolidated PSA results, the municipal development plan, and the municipal development directions from the criteria setting workshop (CSW); Presentation, deliberation, and finalization of the development criteria and prioritization process and mechanisms developed form the CSW; Presentation of and creative dialogue on community project proposals; Prioritization of proposals using agreed process and mechanisms; Preparation of MIBF Resolutions; Formation of the MIBF EC, if necessary;

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3.3.1.9 What methods can be used to facilitate the MIBF for PRA?
There is no prescribed form or method for conducting and facilitating the MIBF for PRA. The ACT is encouraged to develop creative ways by which the process of participatory resource allocation can be conducted following project principles of participation and inclusion. The most common form is the meeting. However, this form has its limitations, especially for large municipalities where a number of days would be required to review all proposals. Other more creative ways can include; Clustering of barangays; Holding of Development Festivals; Use of creative presentation methodologies; Workshpps and open-space discussions; Other, more creative methodologies. Whatever the form and methodologies used, the ACT must ensure that these are consistent with project principles, and the specific mechanics of the process are widely understood and agreed by all stakeholders.

3.3.1.10 How can the MIBF for Development Planning and Resource Allocation be sustained?
The MIBFs for Criteria Setting and Participatory Resource Allocation is a valuable exercise in participatory development planning. In the process of undertaking the MIBF for PRA, common people participate in a direct way in determining development priorities and allocating resources to implement development project and realize development objectives. Because of the highly participatory, collective, and inclusive nature of the MIBF where the people develop their own criteria in creative dialogue with their local governments, the MIBF concretizes direct, participatory democracy in concrete ways. The experiences and lessons learned in the process feed directly to improving participatory planning and eventually to potentially improving local governance systems. The function both MIBF plays in the development planning and resource allocation process has concrete parallels in the development planning and resource allocation processes outlined in the Local Government Code of 1991, in particular the function of the Municipal Development Council. In the course of the three-year project implementation timeline within a given KC Municipality, the MIBF should evolve to enhance the functionality of the MDC particularly on the areas of public participation and inclusion. The ACTs are encouraged to explore the relationship between the MIBF for PRA and other formal local governance processes leading to enhancing local governance structures (particularly the BDC and MDC), and develop strategies to slowly integrate both processes in the course of the three-year KC engagement.

3.3.2 Joint MIBF-Municipal Development Council Engagements

The prioritization process of the MIBF for PRA will lead to the provision of KC funds for prioritized barangays. These communities shall then begin with the process of

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implementing their community projects. This will be discussed in the next section on the project implementation stage. However, the prioritization process will also, in most cases, lead to the non-prioritization of other community proposals. These shall then be the basis for continuing MIBF-MDC engagements for the incorporation of these proposals into the Muncipal Development Plan, and the accessing of resources to fund these projects from other sources. Before the MIBF for PRA ends, the ACT should ensure that schedules for a joint meeting of the MIBF (or the MIBF EC) and the MDC are established in order to explore possibilities for incorporating non-prioritized proposals into the municipal development plan, as plan for accessing resources to fund other community development interventions. The joint MIBFMDC should also define how the MDC can engage in monitoring and providing continuing support for the implementation and eventual operationalization of prioritized proposals and projects.

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3.4 Project Implementation Stage

3.4.1 Sub-project implementation management
3.4.1.1 What is Sub-Project Management?
Project management is a carefully planned and organized effort to accomplish a specific (and usually) one-time goal or objective. It involves: developing a project plan, where project goals and objectives are defined; specifying tasks and resources needed to achieve the goals; and associating budgets and timelines for completion. It also includes implementing the project plan. During this phase, careful controls are established so as to stay on the "critical path", that is, to ensure the plan is being managed according to the goals and timelines set. Project management usually involves several major phases such as: feasibility study, project planning, implementation, evaluation and support/maintenance.4 There may be various titles for these phases. In short, the five major activities in project management are;

a. planning specifying how to achieve objectives b. organizing providing the authorities and leaders necessary to carry out the
activities

c. staffing recruiting, selecting and developing human resources d. directing channeling human behavior towards the accomplishment of objectives
and

e. controlling determining performance against objectives and taking action when necessary. 3.4.1.2 What are the components of SPM in KALAHI-CIDSS:KKB Project? Pre-implementation workshops in preparation for the implementation of sub-projects,
various community trainings are conducted after the MIBF. These include project management, community finance, infrastructure (for projects with infrastructure components), procurement, leadership, volunteer mobilization, and other context-specific training requirements. In these workshops, committee members will learn basic principles in managing sub-projects. For more details on the conduct of community trainings, refer to section 6.6.

Sub-project implementation this is where approved interventions are implemented, with the active involvement and participation of stakeholders under the supervision of concerned technical staff. Implementing committees will try to meet objectives given the time and scope of activities identified. They will manage the costs involved, including the delivery of various commitments and the risks that come along with it. Hands-on training on various technical skills (e.g. community mobilization, advocacy, plumbing, simple bookkeeping, etc.) will be conducted while the implementation is on-going. This is in preparation for project sustainability or, in the case of projects with infrastructure components, the operation and maintenance component after the completion of the facility.
4

Project Management by Carter McNamara

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3.4.1.3 Why the need to manage the sub-project implementation?

Though the interventions for implementation may be specific, there are other aspects that stakeholders need to observe. The complexity of tasks may vary, depending on the type of interventions and involvement of a varied set of people and organizations. It is important that everyone involved should closely coordinate to avoid misunderstanding and delays in the implementation. Managing the assigned tasks, controlling fund utilization, ensuring compliance to safeguards policies and quality of works, assessment of output and monitoring the progress of implementation of tasks and activities are some of the essential elements for success. The people assigned to any of these responsibilities must be trained for this purpose. In the end, empowered communities will appreciate the outcome and will continue to manage the operationalization and maintenance activities of their interventions or facilities, as the case may be.

3.4.1.4 Who are involved in the implementation?

Considering the various aspects of implementation, it is expected that additional community members will actively participate in the implementation stage. Working committees established during the planning stage are now expected to perform their assigned tasks. The following are the expected roles of participants during the implementation stage:

An over-all management committee or a Barangay Sub-Project Management Committee (BSPMC) - the over-all Manager during sub-project implementation. They will
regularly report to the Barangay Assembly on the status of accomplishments and other concerns or resolutions.

Finance Team assigned to ensure adherence to financial processes, proper

documentation and filing of records of financial transactions.

Procurement Team (in the case of projects requiring purchase of equipments, supplies,
and /or services) tasked with ensuring timely procurement activities of goods/materials and procuring works through shopping, bidding or any applicable method.

Monitoring and Inventory Team (especially for projects with an infrastructure

component, but may also apply to projects requiring purchase of supplies or services) will guarantee that delivery of materials, supplies, and / or service and its utilization are properly accounted and monitored. Participates in the inspection of construction works (as the case may be) within the barangay or with adjacent barangays whether the construction work is undertaken either by force account or by contract.

Specific Task Teams, or Work Teams, or Sub-project Implementation Teams

in-charge in the actual physical implementation of the approved task, intervention, activity, or technology (depending on the type of task, whether construction, or the conduct of a specific activity such as a dialogue or mobilization).

Operation & Maintenance group (especially for infrastructure projects involving the
construction of a facility intended to deliver a public service) depending on the type of intervention, selected O&M members have to work for the finalization of their responsibilities and decide on tariff for collections. For barangays without CBOs, it is expected that

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organizations formed are now ratifying their by-laws, policies and have established a set of officers.

MIAC members will provide technical assistance to community members depending on

their field of expertise (e.g. Mun. Engineer for infra, Agriculturist for agro-industrial and income-generating projects, etc).

ACT members will guide the committees and its members on the compliance of Project requirements and at the same time provide them appropriate information they can use for decision making. Listed below are the roles of ACT during implementation: Deputy Area Coordinator
Ensure that civil works are implemented as planned, with acceptable quality testing results and within the agreed timetable. Conduct close supervision on the compliance of social and environmental mitigating measures listed on the EMP. Assess status of sub-projects and facilitate steering of implementation team in the preparation of required reports. Ensure that reports are understood by the community. As the technical staff in the team, procurement is expected to be managed and supervised with diligence. Conduct a regular ex-post fiduciary review of at least 20% for completed transactions.

Roving Bookkeeper
Guide the community volunteers on the accurate financial entries and assist them in monitoring the delivery of commitment and other financial transactions. Facilitate the establishment of a good recording system at the community level Assist the Finance Team/Committee in managing the flow of funds in the barangay account Assist the DAC in the conduct of ex-post fiduciary review.

Community Facilitator
Guarantee the mobilization of working committees and ensure close coordination among them. Develop and implement capability-building programs in all barangays, particularly the one included in the package of approved proposals. Mobilize action groups formed to work on other issues and BAP priorities. Facilitate community volunteers during the conduct of sub-project inspections and assist them in resolving concerns during BAs and BSPMC meetings.

Area Coordinator
Facilitate the MIAC support provision and monitoring. Close coordination with LGU and other stakeholders for the timely release of their LCC commitments. Ensure that O&M arrangements for all prioritized barangays are finalized before the conduct of sub-project inauguration. Facilitate conduct of periodic meetings and tactic sessions with ACT to update on status of SPI and address emerging concerns. Keep track of disbursement targets and the timely submission of required and completed documents and reports.

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3.4.1.5 Why is there the need to mobilize the community members?

A basic principle behind a CDD project like KALAHI-CIDSS, is mobilizing the stakeholders to enhance participation among its members and for better community control. It is important to include the community members in project management for them to have a sense of ownership. Since the people were involved during the planning workshop, it is essential that they be also involved in the implementation stage. This will ensure the sustainability of the intervention after its completion. The implementation of technical aspects of a project can also lead to the acquisition of new skills, or the enhancement of existing skills. In some cases, this can even lead to improved chances for employment, especially in the case of skills acquired in the implementation of infrastructure facilities.

3.4.1.6 What are the major activities during implementation?

Various project-specific types of intervention will be implemented by various communities. Rural infrastructure, social services, common service facilities, and income-generating projects require their own distinctive approaches to implementation. The following section will discuss some of the specific activities of sub-project categories:

3.4.1.6.1 Public Goods and Rural infrastructure interventions

This type of sub-projects include road access and bridges; village water supply systems; vertical structures such as buildings; flood control, drainage and other related appurtenances; small irrigation canals; community shelters and other vertical and horizontal structures that the community may have identified. Most of the activities may be similar but the scope of works and duration for implementation should differ. Listed below are the common major activities to observe during implementation period;

Planning the works and assigning people to do the task this involves
identifying and documenting the specific activities that must be performed in order to produce delivery of works. There is the need to maximize the labor force available and to provide employment opportunities at the community level. Engineers have to be ready with the work and manpower schedules to manage the distribution of workers. Matching of available skilled workers to the works to be undertaken has to be analyzed by the Engineers. If required skills are not available at the village, the management committee may decide to explore securing it in other barangays. Facilitators can assist the implementing committees and Engineers by mobilizing the interested volunteers/workers during implementation.

Organizing the work activities must be accurately sequenced in order to support later development of a realistic and achievable schedule. In most cases, there will be item of works to be simultaneously undertaken to meet the desired timeline for completion. It is therefore necessary for the supervisor to manage the level of complexity during this period. Ensuring that required resources and manpower are available will expedite completion of the work. The timing of weather conditions has also to be factored-in during the scheduling in order to come up with a realistic completion date. Directing activities this is the critical stage of the implementation. Technical instructions or activities to be undertaken by the community volunteers and workers must be explained very clearly and must be understood by them. Engineers must be specific on the instruction and be very explicit in explaining the possible outcome, implications of the works and as well as expected completion dates.

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Controlling project execution - this process provides the project with necessary
flexibility to update schedules, make revisions, install corrective actions and document the lessons or experiences learned. Implementing committees and project supervisors have to learn to control the time of implementation, cost of investment, the quality of the execution and managing the risks involved. The risks could be either in the aspect of procurement process, financial transactions or environmental impacts from the work activities. Mitigating measures have to be executed promptly to minimized further damage.

Tracking progress and reporting system for effective management, this

activity shall establish a system for tracking progress of implementation and a tool for regular reporting. In KC project, simple progress and monitoring reports are submitted regularly as required. Posting of reports at the ACT and BSPMC offices are essential for examining the performance during implementation. This activity practices the transparency principle and fosters responsibility sharing among community members.

Analyzing the results generated reports must be analyzed as to whether the

accomplishment or performances are within the expected timelines and parameters. Once the sub-projects incurs delays, the causes are analyzed and solutions and collective actions are agreed upon.

3.4.1.6.2 Community Enterprise and IGPs (including those with common service facilities component)
Interventions on these types of category include; rice and corn milling; pre and post harvest facilities; meat processing; community banca (small motorized outrigger); and other income generating sub-projects identified by the communities. The following section lists some of the common activities to be undertaken during the implementation stage.

Building structures (where required) structures included in the package of proposal shall observe similar activities to that of constructing rural infrastructures. Installation of machinery (where required) when machinery support is
required for the proposal, it is important to ensure that appropriate specifications were delivered. If after-sale services includes the installation of the machinery by the supplier, it would be better if people who will operate the equipment be trained. Defective equipment should be rejected and should immediately be replaced by the supplier. No payment must be made unless there is full satisfaction on the performance based on the expected output.

Production and marketing readiness these aspects have to be guaranteed in order for the intervention to operate as planned. Based on the feasibility study conducted, community members have to ensure production inputs are ready after the installation of required equipment and machines.

3.4.1.6.3 Human Resource Development interventions

Most of the activities for public goods and rural infrastructure also apply in HRD interventions. In addition, capability-building and training, and advocacy are also critical elements to most HRD projects.

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3.4.1.6.4 Capability building of volunteers

All of these interventions will require the conduct of community trainings while implementation activities are on-going. Existing skills of CBOs present at the community can be enhanced to maximize their participation. Continuous capability building activities will not be limited only during planning but even more during implementation and operation stages.

3.4.1.7 How do sub-projects stay within the timeline?

Managing sub-project implementation requires patience and an effort to understand the complexity of various activities built-in in every sub-project type. The excitement of community members in implementing project to address long time needs have to be sustained so that they will not lose interest in the various activities. However, procedural lapses can be committed in the course of implementation. Some take the form of failed or delayed submission of reports, and lack of analysis on the project implementation status. The section below cites some of the most common challenges that the stakeholders have to overcome during implementation.

3.4.1.7.1 What are the common causes of delays in implementation?

Part of good planning should be the anticipation of possible delays in the implementation stage. However, there are unavoidable circumstances that will delay the implementation. Some common causes and its implications are; Lack of authority and directions for work activities resulting to confusion among volunteers Poor cost and data gathering and low productivity of manpower Poor communication and coordination among stakeholders Poor allocation of resources (e.g. non-delivery of LCC on time) Improper scheduling of work activities Incompetent workers and inadequate manpower (most especially felt in infrastructure construction works) Disorganized record keeping

3.4.1.7.2 What are some of the consequences of poor project implementation management?
For any decision and actions made, there are always repercussions involved. Some implications of the abovementioned delays were noted from previous experiences in the project and in the community. These are; Conflicts between project participants/stakeholders Escalating materials and equipment costs Incurred cost overruns (shortage of funds) Reduction in benefits due to revisions of plans and specifications to suit available funds Damaged Projects image and community respect to leaders Diminished interests to participate in other activities Penalties for succeeding cycles

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3.4.1.7.3 What measures can be adopted to avoid delays and stay within timelines?
Important activities that the project staff and stakeholders have to remember while implementing sub-projects. and avoid delays in implementation, can include the following;

Establish accountability of committees and work teams by assisting the

selected leaders in the decision making. Ensure leaders have good sense of authority; possess required skills for the position, are respectable and credible to the people.

Conduct regular monitoring of activity output. In infrastructure works, this can include establishing cost control system (value of work accomplished and incurred expenses vs program costs). In other projects, this may entail regular meetings of work teams. Conduct regular meetings and update the committees on status of
accomplishment vs planned targets (e.g. explain the activities completed and the succeeding works and its requirements)

Set-up system of reporting and information sharing to guide community members on the activities on-hand. (ex. posting of required manpower/skills for succeeding week/s, ) This will provide community members enough time for family interaction, work on their farm and other off-farm activities.
Technical staff has to provide clear and appropriate guidance on the tasks and activities to be undertaken by specific group of volunteers. When necessary to give out instructions, write the instructions in the logbook and ensure that it is understood by the volunteers and workers. Ascertain that the specific instructions are understood and can be delivered by the community members.

3.4.1.8 What are the transparency mechanisms in SPM?

In every project, reports are required to monitor and review the progress of its implementation. Similarly, KALAHI-CIDSS has its own and distinct report requirements to be complied with on a regular basis. These reports are part of the accountability and transparency principles of a CDD project. Please refer to the Monitoring and Evaluation Manual (M&E Manual) for the required project reports and instructions on how to fill-up the same. In addition, listed below are some of the compulsory field reports specific to infrastructure projects required by the Project:

3.4.1.8.1 Monthly Reports

Individual sub-projects are required to submit monthly reports on;

Sub-project Work Schedule and Physical Progress Report includes the

work items to be undertaken, the corresponding unit cost and weighted percentage. On it is the schedule/duration to accomplish work items and the issues and actions taken for the period. This can help the committee to analyze if the performance of the sub-project is ahead of schedule or incurring delays on a particular activity. (Annex ___)

Environmental Management Plan Report to monitor the compliance of

planned mitigating measures for the anticipated negative impact. Documentation of at

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least two issues per sub-project type is to be carried out to satisfy the Projects requirement. There is a regular audit conducted by an Island cluster Environmental Officers to check the compliance of the reports. (Annex __)

3.4.1.8.2 Completion Reports

To manifest that the sub-projects were undertaken in accordance to plan and within budget costs, the following documents are proof; Joint Inspection Report prepared before the conduct of final inspection and serves as Punch List to rectify unacceptable works and to complete the remaining on-going pay items. The report is also required when requesting the final release of grant funds. (Annex __) o Final Inspection Report conducted and prepared after the completion of the sub-project. The report covers the physical structures constructed by the communities. o Sub-project Completion Report a comprehensive report to be prepared by the ACT and BSPMC after the completion of the sub-project which covers the activities and experiences learned while implementing the interventions. (Annex __)

3.4.1.8.3 Mutual Partnership Agreement (MPA)

The MPA is a set of documents prepared and agreed by the involved stakeholders prior to the inauguration of completed sub-projects. It is a binding document where responsibilities of each stakeholder will have to be observed during the operation and maintenance period. It is expected that the formulation of roles and responsibilities done was in consultation with concern participants.

3.4.1.8.4 Ex-post Fiduciary review

This is an activity conducted at community level to review the procurement and financial transactions undertaken by the volunteers. The culmination of the activity is a reflection session by the participants on the result of review. The and agree on appropriate actions to avoid committing similar lapses on succeeding transactions. At the end of the implementation stage, it is expected that community members are able to make claims on the experiences and learnings from the exercises. They will be proud of the feat they have accomplished on the patience they have showed.

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3.4.2 Operation and Maintenance (O&M)

3.4.2.1 What is Operation and Maintenance?
Operation and Maintenance or more simply O&M is defined as the process of managing the continued implementation of a community project in a way that ensures the sustained delivery of intended benefits of the project to its intended beneficiaries. By this definition, you will note that the term covers a wider area of use to include not just infrastructure projects but also the other project categories mentioned in section 3.2.3.4. While the term has been traditionally used to refer to that post-project implementation stage where community members begin to operate a constructed infrastructure facility (as is the sense used in the Rural Infrastructure Manual), the term has now been broadened to refer to that stage in project development and implementation where community residents begin to deliver the projects intended service, which now need to be sustained.

3.4.2.2 Why give emphasis to O&M?

From the definition above, you will notice that the idea of O&M is tied in a critical way to the idea of sustainability, which will be discussed in length in chapter 5. Efficient and effective operation and maintenance activities will contribute to ensuring sustained benefits of interventions, while the failure to effectively operate and maintain development interventions lead to loss of investments and the opportunity to contribute to poverty reduction. Worst, the failure of communities to operate and maintain structures after completion or to sustain the momentum of human resource development and community enterprise projects after startup inevitably contribute to worsening feeling of inadequacy or incapacity among local people, or deepen perceived animosity between communities and local governments, when the later are perceived to have been a contributing factor to the failure of interventions. On the side of the community, this can potentially lead to non-participation in other development interventions, effectively contributing to disempowerment. On the side of LGUs, a project that is designed to be people-led and community-managed but which consequently failed provides a neat argument against too-much community participation, and a convenient excuse for development planning by experts. For these reasons, emphasizing O&M requirements and tasks are a critical element in the success of CDD interventions and the attainment of the KALAHI-CIDSS development objectives.

3.4.2.3 What are the key elements in successful O&M?

In the KALAHI-CIDSS: KKB project, the success of operation and maintenance activities for community development interventions is largely influenced by the processes inherent in project development as discussed in section 3.2.3. This includes such processes as selecting the right set of interventions to address a given development challenge, the choice of the appropriate level of technology based on context-specific factors, and the depth of analysis of the level or organization, resources, and work required to undertake implementation, operation, and maintenance. Assuming all of these have been properly thought of and factored into the design of the intervention, the following will then constitute key task areas in preparing for operation and maintenance;

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Organizational Development which includes community organizing, determining

membership and leadership, determining organizational form, establishing committees, establishing lines of coordination and decision-making, creating rules, processes, and policies. This also includes determining organizational needs, and establishing linkages and networks to address these needs.

Capability building and training This includes determining technical competency

requirements and planning for how these can be delivered, when, and by whom. Note that all projects, even those for advocacy and asset reform, will require some sort of capacity building on the part of the people who will propel the effort (such as para-legal training, or dialogue and mediation, and so on).

Resource mobilization which includes determining what resources will be required to

continually run the project and deliver the service, how much these will be, where they can be accessed, and when they will most likely be needed. Each of these elements will require the carrying-out of specific tasks and the conduct of specific activities. What these tasks and activities are will be largely determined by what the objectives of the project are, what the project intends to produce by way of service or benefit, and the specific socio-economic and socio-political context. Since O&M ultimately deals with project benefits, the latter most especially constitutes an all-permeating influence in how each element plays out in the community. You must therefore have a good understanding of your specific context in order to more effectively manage interventions for O&M.

3.4.2.4 What are the key roles of project stakeholders in ensuring continued O&M of CDD initiatives?
As the major stakeholder in any CDD effort, volunteers in local communities must be capacitated to enable them to (i) effectively undertake mobilization activities to generate active involvement in operation and maintenance activities, (ii) develop effective monitoring mechanisms and processes, (iii) undertake day to day project operations management, and (iv) effective mobilization of resources to support continuing project operation. Local government units, on the other hand, should also be capacitated so that they can (i) provide technical assistance to operation and maintenance activities of local communities, (ii) access resources if not provide resource augmentation to community O&M activities, (iii) lead in the establishment of enabling environments for direct community management of development projects through policy reform, and (iv) assist local communities in monitoring activities on O&M. Capacitating both local communities and LGU partners for them to be able to accomplish these and other tasks is the primary responsibility of the Area Coordinating Team.

5.4.2.1

When should O&M Mechanisms be installed along the CEAC?

The following are a few examples of how O&M considerations can be plotted in the course of implementing the CEAC. The ACT is enjoined to explore other ways by which we can ensure that completed sub-projects will be effectively operated and maintained in order to deliver their intended benefits.

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Participatory Situation Analysis Effective operation and maintenance is tied in a critical way to how community problems are analyzed, and how the ranges of solutions are identified. If the wrong problem is identified, people will not mobilize to support whatever solutions are carried out. In addition, if local conditions are analyzed properly but the solutions are not responsive to the problems, the people will also not mobilize to support these interventions. Concepts and principles of sustainable development should be a critical element of the PSA process, and suggestions on interventions to address community problems should be framed against these concepts and principles. One way this can be done is to introduce a community visioning exercise where the volunteers come up with an image of what a developed community means for them. Solutions to identified problems can them be framed against this vision. Criteria Setting Workshop Project operations management and sustainability do not
necessarily need to be used as a criterion for prioritization of projects, as these are key project development requirements. It is assumed that all projects under KC should be sustainable. It is also assumed that projects developed under KC include arrangements for effective operations management and maintenance. If projects do not have these elements, they should not be included in the prioritization process at all, and should be re-designed to meet this requirement.

Project Development Workshop - Operation and maintenance considerations are an integral component in the selection of interventions to address development challenges during the Project Development process. You should be able to facilitate community discussion on the O&M implications of projects and interventions proposed by local communities, and guide exploration on ways by which O&M issues can be addressed. Project Development and proposal preparation Operation and maintenance
considerations of identified interventions should be part of the preparation and packaging of community proposals. A sustainability plan can also be developed, covering two parts. The first can include all activities that need to be undertaken in preparation for project operationalization, following the three key elements of O&M. This should include such elements are organization building, membership-building, training needs identification for O&M, developing a training accessing plan, resource mobilization, determining organizational form and the project management structure, and so on. The second part can include the project management and maintenance plan, which will cover all activities that will be undertaken upon completion of project construction (in the case of infrastructure projects) or upon project start-up (in the case of community enterprise or human resource development projects). This can include determining routine project operations activities, who will undertake these, and how. This can also include projections of technical requirements and competencies that should be present upon project start-up, and those that can be reasonably built as the project progresses in operations. The former set of competencies should be built in the course of project preparation and/or construction of the facility or purchase of the equipment. All of these will have to be included in the preparation of the community project proposal. If the proposed project will be difficult to manage with local resources (both human and material), then the intervention which the proposed project is expected to produce, as designed, will not be feasible. Hence, the project should be re-designed and activities recalibrated.

MIBF for Participatory Resource Allocation The sustainability plan, which should include O&M concerns, will be reviewed as part of the community project proposal during the MIBF. If a proposal does not contain a sustainability plan or whose sustainability and

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O&M plan are inadequate, the MIBF may move to approve a proposal subject to conditions calling for modifications, or even disapprove a proposal altogether, in which case it will not be included in the prioritization process.

Sub-project Implementation In the case of infrastructure projects, implementation of the pre-project operationalization plan should run parallel to project construction activities. This will ensure that the structure will be used immediately once finished, and project operations dependent in a critical way to the structure or facility can immediately commence. For instance, in the case of a water system project, organizing the Water Users Association, determining membership based on users, agreeing on the policies and tariffs, and so on will have to be undertaken while the structure is being built. This may mean that in a barangay constructing an infrastructure facility, you may have to organize two volunteer committees. One will be in charge of activities relative to building the physical infrastructure, and one tasked to implement activities that will build the social infrastructure that will support operationalization of the system once completed. While the first deals with construction and public works, the other deals with community organizing. Both will have to be implemented at the same time.
For non-infrastructure type projects, setting-up the social infrastructure to support project operations will have to be weaved into the project operationalization process itself. For instance, in an advocacy campaign project for land rights (asset reform), setting up the management committee, and the campaign management systems will be part of the precampaign preparatory work. However, please note that in projects of this nature, it is often difficult to precisely peg when pre-campaign and actual-campaign activities happen. Information and education activities to popularize the issue of tenancy are a legitimate part of the actual campaign process. The key is not to get caught up in the semantics but rather to determine the proper sequencing of activities. In this instance, the O&M plan will deal largely with activities that will sustain the campaign process up to the point where the issue is finally settled to everyones satisfaction. The sustainability plan, however, should focus not on sustaining the campaign, but rather on preparing the community to manage the land and the accompanying activities that will make the land productive once tenure is secured. You will note that the focus and specific activities and processes of O&M changes according to sub-project category. However, the focus of sustainability does not change. It is up to you and the other members of the ACT to strategize, together with local volunteers, how to craft an effective O&M and sustainability plan that will fit context-specific requirements.

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3.5 Transition Stage

3.5.1 Community-Based Evaluation (CBE)
3.5.1.1 What is Community-Based Evaluation?
Participatory Community Evaluation is a reflection process where the people involved in the implementation of the various development processes of the KC project are thinking and talking about changes brought about by the project, and are involved in generating, analyzing and understanding information in order to generate lessons for future actions.

3.5.1.2 What are the objectives of CBE?

In the KC project, the objectives of the CBE process are to; Obtain the views of the community about the changes generated by the Project in terms of empowerment, good governance and poverty reduction. Seek explanations from the participants about the extent of the changes, the reasons for and the importance of the changes.

3.5.1.3 How often is the CBE conducted?

Ideally, the CBE should be conducted twice per cycle, with the first CBE conducted at midcycle and the second conducted as an end-of-cycle activity. If this is not feasible, then the CBE can be conducted at least once per cycle, at the end of the 12-month KC cycle timeline.

3.5.1.4 What are the methods and processes involved in the conduct of the CBE?
Three main steps comprise the evaluation process: 1. the preparatory activities; 2. the actual evaluation; and 3. the post-evaluation sharing with the rest of the community.

3.5.1.4.1 What are the important undertake?

preparatory activities that you need to

The following are a few of the critical activities that you should consider undertaking in preparing for the Community-Based Evaluation; Orient facilitators/moderators and documenters Review secondary information (e.g. baseline data, SI report, PSA results, accomplishment reports, and process documentation)

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Select participants it is recommended that the group be composed of 10 to 15 people. It should be made up of active volunteers and ordinary barangay residents. Representatives of each purok and marginalized groups should also be included. Select site for group discussion a suitable quiet, open, covered site should be selected with either wall space or other means (e.g. blackboard) to which manila paper and meta-cards can be fixed

3.5.1.4.2 How does the actual CBE proceed?

The following is an iterative process for the CBE. Please note that this is a suggestion that should serve as a guide only. You should be able to develop a more context-specific process and/or adopt context-specific methods to produce the intended CBE results. The CBE flows through the following six broad steps; Step 1: Warm-up Step 2: Timeline of change Step 3: Sub-group brainstorming Step 4: Categorization of change Step 5: Cause-effect diagram Step 6: Domains of change Each step is discussed below;

Step 1: Warm-up
Purpose to break the ice and to focus the discussion on change and the process of change; to explain to the participants the Participatory Evaluation Process. Time: thirty (30) minutes Materials and equipment: Guitar (optional) Conducted by: a Project staff and participant(s) Procedure: 1. Facilitator(s) and documenter(s) introduce themselves and explain to the participants the purpose of the exercise. Participants also introduce themselves. 2. The facilitator, documenter or a participant leads a warm-up or ice breaker exercise.

Step 2: Timeline of Change

Purpose: To help the participants remember the main activities undertaken by KC and identify changes brought about by those activities, and to set the information in a calendar. To demonstrate to the participants how specific activities led to specific changes to individuals and the community. Time: Three (3) hours

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Materials: Manila paper, masking tape, marking pens, meta cards Conducted by: Facilitator Procedure: 1. The participants gather around a location where a manila paper has been mounted on the wall. The manila paper should be prepared in advance in a matrix divided into months of the year. 2. The facilitator asks the participants to write down on single-color meta cards the KCrelated activities that they remember in the barangay, and the changes brought about by those activities to the individuals (another color meta cards), their family and/or community (third color cards). 3. The participants post the cards on the appropriate columns. 4. Probing questions are asked about why the activity/event took place, what were the changes brought by it, and when did each of these happen. The facilitator also asks the participants to identify the activities continued, until when, and ask why an activity stopped and/or continued. The information should be entered on the time line in the relevant months. 5. The result is a simplified sequential flow on the calendar showing how the Project activities and events have fed through to changes.
SEPTEMBER Pagkilos (activities) Bookkeeping seminar Nag-survey kung saang area ilalagay ang mga faucet Nagdugtong ng tubo galing sa source Nadagdagan ang kaalaman sa financial management Natutunan ang gawain ng engineer Tumibay ang paninindigan na magpatuloy ang proyekto. Nakapagpatuloy sa pagta-trabaho. May pananagutan; division of labor Sakripisyo sa pinansyal na usapin.

Pagbabago sa sarili (changes: individual)

Pagbabago sa pamilya o komunidad (changes: family or community)

Sample: Time-line of Change

Step 3: Sub-group Brainstorming Purpose To help the participants identify all the changes they believe have been generated by the Project. Time: thirty (30) minutes Materials: Meta cards, masking tape, marking pens Conducted by: Facilitator and participants in two groups Procedure: 1. The Facilitator asks the participants to divide into two groups arranged around two locations. 2. Meta cards and pentel pens are distributed to each group.

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3. The facilitator explains that in the previous exercise the participants had developed a picture of how a Project activity or activities had generated changes to individuals, families and the community. 4. The participants are asked to discuss among themselves what other important changes have been generated by the Project and they write down the changes on the meta cards. 5. The facilitator and documenter assist the participants in the task. 6. If the participants find it difficult to identify changes, the facilitator/documenter asks probing questions based on the prompt sheets developed for the exercise.

Step 4: Categorization of Change Purpose to make a preliminary analysis of the types of changes identified using the Knowledge, Attitudes, Practices and Wellbeing framework; to standardize the terminology on the cards, to remove irrelevant cards and to agree on the meaning of each card. (For the optional approach, the meta cards can be replaced with pocket pictures.) Time: One (1) hour Materials: Manila paper, masking tape, meta cards, marking pens, pocket pictures (optional approach) Conducted by: Facilitator Procedure: 1. While the participants are writing on the cards (previous step), the facilitator mounts a chart on the wall. There are four columns in the chart, Knowledge, Attitudes, Practices (behavior) and Wellbeing. Symbols representing each of the column headings can be developed in advance, or the headings can be written. 2. The facilitator initiates a process to place each of the meta cards in the appropriate column of the chart. 3. Another option is to develop a series of cards in advance with pocket pictures representing different types of change. These are substitutes for the meta cards.
KNOWLEDGE (Kaalaman) ATTITUDE (Pag-uugali) PRACTICES (Gawain) WELL-BEING (Kabuuhang kalagayan)

Natuto sa pag-gawa ng resource map. problem analysis, action plan Natutunan ang proseso sa pamimili ng mga materyales

Pag-kikilahok/ pag-sali sa mga pagkilos. Sakripisyo para sa barangay

Transparency sa lahat ng transaction Ang konseho sa barangay mas madalas magapatawag ng asembliya

Lumiit ang gastos dahil mayroon nang pagkukunan ng tubig. Nagkaroon ng vegetable garden.

Sample: Categorization of Change 4. The facilitator leads the processing. Meta cards with the same information are posted together and irrelevant cards are excluded. Cards can be re-written to sharpen the formulation of ideas. 5. The facilitator asks why each card is placed in a particular column. The participants must agree on the classification of all cards.

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Step 5: Cause and Effect Diagram Purpose - To arrange the changes identified in the time-line, brainstorming and categorization in cause-effect networks so that the processes of change generated by the Project can be identified. - To ensure that the facilitator and participants have a clear and shared understanding of the changes and the processes of change. - To quantify the people in the barangay who have benefited from the changes identified and, where appropriate, identify the extent of changes. - To assess the significance of the changes from the point of view of the participants Time: Two (2) hours Materials: Manila paper, masking tape, meta cards, pocket pictures (if this option is chosen), marking pens Conducted by: Facilitator (method 1) or participants (method 2) Procedure 1: 1. The manila paper from the previous exercise is moved to another wall and a blank piece of manila paper is mounted on the wall in front of the participants. 2. The facilitator asks the participants to agree on which of the changes in the Knowledge and Attitude columns is the most significant. 3. The meta card or pocket picture representing the change is moved from the sidewall and posted on the manila paper in front. 4. The facilitator asks the participants what led to the change. Is there a card on the sidewall representing this change? If there is, it is posted on the board to the left of the original card. If none, the facilitator writes a new card and posts it on the board. Draw an arrow to link the two. 5. The participants are then asked if the first posted change led to any other changes (consequences). Is there a card on the sidewall representing this change? If there is, it should be posted on the board to the right of the original card. If none, a new card is written and posted on the board. Draw an arrow between the two to represent the link. 6. The facilitator probes for indirect causes or consequences. If somebody mentions an indirect linkage, ask the person to identify the more direct cause or linkage and enter it on the diagram. Ensure that the indirect linkages (represented by broken arrows) are labeled differently from the direct linkages (represented by solid arrows). A network of cause and effect flows will develop. 7. The facilitator asks the participants to what extent they believe the changes identified have occurred. For example, if improved health service at the BHS is identified, ask what the available services are and how many have availed themselves of the services. The information is written on the diagram.

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8. Ask the participants if everybody in the barangay benefited to the same extent from the change. For example, if only people from the puroks near the BHS are benefiting from improved services, this should be noted on the diagram. 9. Repeat steps 4-8 until no more linkages can be established. 10. Both complex and simple cause and effect diagrams can be developed.

Procedure 2: In the second method, the participants are responsible for developing the cause-effect diagram. The manila paper is placed on the table or the floor instead of mounted on the wall. The facilitator and documenter closely follow how the diagram is developed and ensure that the extent of changes and the spread of the benefits from the changes are recorded.

Step 6: Domains of Change

Purpose to make a final analysis of the changes by categorizing them according to the domains of empowerment, good governance and poverty reduction Time: thirty (30) minutes Materials: manila paper, meta cards, masking tape, marking pens Conducted by: a Project staff and participant(s)
EMPOWERMENT GOOD GOVERNANCE POVERTY REDUCTION

Nagsuri sa problema ug naghatag solusyon Nag-desisyon at nag-manage sa sub-project

Paspas ang release sa pondo og insakto Ang konseho sa barangay marunong na magplano

Procedure: 1. The facilitator asks Sample: Domains of Change the participants to agree on the major domains of change arising out of the diagramming exercise. The major change domains are the Project goals of empowerment, good governance and poverty reduction. 2. Place each of the cards in the diagram on a three-column chart (columns are the domains). 3. Discuss with the participants why and how each change is a function of the domain.

Nakapatuman ug panarbaho (208 laborers) Duha ka beses maligo kada adlaw (from 2x a wk) Dili na mohakot og tubig, naay extra time sa trabahoon

Post-Evaluation Sharing with the community: The proceedings of the exercise is reported to the BA and the major outputs are discussed with the body for validation.

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3.5.2 Accountability Reporting

3.5.2.1 What is Accountability Reporting?
The Accountability reporting is an end of cycle activity where in the both prioritized and nonprioritized barangays convene and discuss the highlights of their performances during the concluded cycle. The main audience is the Municipal Inter Barangay Forum as well as the expanded Municipal Development Council. The main content of the reporting focus on, but may not be limited to, (i) sub-project implementation; (ii) compliance to counterpart commitments both at the barangay and municipal level; (iii) compliance to social and environmental safe guards; (iv) summing up of learning on CDD processes; (v) plans for enhanced participation and implementation of the cycle, and; (vi) setting directions for community development and municipal engagements in the succeeding cycles.

3.5.2.2 Why is Accountability Reporting necessary?

The Accountability reporting is done primarily to demonstrate a mechanism of transparency and inculcate among stakeholders the value of taking responsibility for actions and commitments made during the project cycle. The reporting process allows stakeholders to apply the principles of accountability. Purposely all these will lead towards improving governance which includes responsive resource allocation and consultative delivery of services, empowerment among communities, and overall poverty reduction.

3.5.2.3 What are the objectives of the AR process?

The key objectives of the AR process include the following; 1. Gauge the performance of barangays and municipalities in terms of participation, delivery of commitments and plans, operations and maintenance of sub-projects, and addressing grievances; 2. Gauge the performance of the barangay in implementing their Barangay Action Pans 3. Sum up the experience of the concluded cycle and gain insights on good and bad practices; 4. Set directions for the next cycle.

3.5.2.4 Who will participate in the Accountability Reporting

The AR is a public event and anyone can participate in the process. However, the key participants should include the following;

Barangay Level AR
BSPMC ( if barangay is prioritized) Barangay Chairperson BRT Members Community Volunteers Community Facilitator

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Municipal level AR
The Municipal Mayor or designated representative Department Heads of LGUs Members of the Municipal Inter-Agency Committee BRTs from prioritized and non-prioritized barangays At least 2 volunteers per barangay Representatives for Civil Society organizations, NGOs, and POs RPMT Members (PRM, PRC, CPS, RIE, RFA,M&E officer, KC Writer) All, ACT members CSO NGOs Others e.g media

3.5.2.5 When is the Accountability Reporting Conducted

The AR is conducted on the 12th month of the cycle from the date the Municipal Orientation was conducted. The AR will commence regardless of whether there are community subprojects still on-going or nearing completion. ACTs should NOT delay the AR just to accommodate barangays with sub-projects nearing completing. It would be best to set the target date for the AR during the 2nd MIBF.

3.5.2.6 What are the different levels of Accountability Reporting

The Accountability Reporting is done at two (2) levels, first in all barangays followed by the Municipal Level AR.

The Barangay Level AR

The Barangay Level AR is a one (1) day activity mainly to prepare and finalize the following reports: Actual accomplishment of approved sub-projects physical and financial status based on the POW and project implementation plan Compliance to Social and Environmental Safeguards (use of checklist) Status of Operations and Maintenance of Sub-projects Actual accomplishments of the Barangay Action Plans (for prioritized and not prioritized barangays) Compliance to transparency mechanisms (updated signboards, regular reporting of financial and physical status to the assembly) Status of the Grievance Redress System Summing up of experiences for the concluded cycle Plans for the succeeding cycle

The Municipal AR
The Municipal Level can be conducted in 1-2 days depending on the number of barangays per municipality. The Municipal AR highlights the following: Concurrence of the accomplishments of each barangays Delivery of LCEs commitments during the MIBF

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Summing up of leanings together with the MLGU Setting directions for the succeeding cycle

3.5.2.6 What strategies can be adopted in conducting Accountability Reporting

There are no standard processes and methods for conducting the Accountability Reporting. The following strategies may be adopted, or the ACT can develop their own strategies for conducting the activity.

Before the Municipal AR, the ACT should prepare a guide format of presentation for barangays to follow. ACTs creativity and innovativeness is encouraged.

3.5.2.6.1 Workshop /Plenary Type

During the barangay and municipal level, a workshop may be done to be able to come up with reports on the status of sub-projects and other project related activities: Review of SP Implementations: actual physical accomplishments and financial disbursement vis--vis target. Review of the actual performance of barangays in terms of attendance and participation in BAs Status of Operation and Maintenance Groups focusing on operations and organization (Organizational diagnosis check list may be used for this) Actual status of the BAP against targets Review of the GRS and how are grievances resolved Compliance to transparency and accountability requirements (updated sign boards and regular reports during assemblies Summing up experiences on the concluded cycle look into three things: what we done right, what we done wrong, and what must we start doing. The META Card technique may be used for this activity. During the presentation of status at the Municipal Level AR, validation of reports between the Barangay and municipal representatives should be facilitated through an open forum.

3.5.2.6.2 META Plan Technique

The Meta Card technique is a simple brainstorming technique to generate ideas for analysis and determine relationships. The tool requires the use of meta cards ( 18x12 cms) where in ideas or opinions are written down and categorized under set subheadings. Cards may be rearranged and placed under other sub-categories as seen fit. Color coding may be used to identify ideas in a specific category. After the Meta planning, the facilitator

Note: Implementations of sub-projects look into the actual physical accomplishments and financial disbursement vis--vis target. Accomplishments of the BAP look into the actual status against targets Summing up experiences on the concluded cycle look into three thing: what we done right, what we done wrong, and what must we start doing. The META Plan may be used for this activity.

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will synthesize the results of the workshop drawing commitments among participants on the outputs.

3.5.2.6.3 Negotiations
This strategy is best used during the barangay and municipal level planning for the succeeding cycle. Basically the idea is for Barangay Chairpersons or Volunteers to present key issues identified during the Barangays level AR answering the question what can we continue in support of the MLGU in order to make the next cycle even more effective? After presenting the key issues to the members of the MIAC, the same is requested to respond to the issues and come up with agreement before the end of the activity.

3.5.2.7 What follows after the Accountability Reporting?

After the AR has been conducted, all the outputs of the activities will now be used for planning at the RPMT and ACT level. The main areas for planning are the items stated below and all will be the content areas of the RPMT and ACT action plans. The action plans will define the next steps after the conduct of the AR and what activities/ interventions must be made to effectively deliver the plans made. Planning for next cycle activities focusing on LGU engagements moving towards doing things together (second cycle) and LGUs taking the led for the third cycle. Coordination with BLGU/MLGU regarding roles to be assumed by the same across succeeding cycles. Capability building requirements for BLGU/MLGU staff Preparation of action plans-ACT/RPMT.

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MOVING ON TO CYCLE 2 & 3

To the ACT:

Chapter

This short chapter will describe how cycle 2 and 3 of the CEAC will proceed, building on the implementation process of the 1st cycle. It only provides a broad description, as the operational details will be largely determined by conditions obtaining from the implementation of the 1st cycle. It is assumed that this will vary across municipalities. The chapter is divided into two parts, one for each subsequent cycle. Each section begins by describing how each cycle is different from the previous cycles, as well as how the role of various stakeholders are expected to evolve. The sections then proceed to discuss in broad strokes how each of the major CEAC processes will change across cycles. The ACT is enjoined to explore how activities in subsequent KC cycles will be enhanced, building on the success, and even shortcomings, of the 1st cycle, study in detail how the 1st cycle proceeded in their respective municipalities and barangays, and calibrate 2nd, and consequently, 3rd cycle implementation accordingly.

4.1 The CEAC 2nd Cycle Implementation

4.1.1 How is the CEAC 2nd Cycle implementation different from the 1st Cycle?
Cycle 2 is arguably the most critical cycle in the 3-cycle KC:KKB CEAC. The logic guiding activities in the 2nd cycle is largely borne by the implementation of the KC Institutionalization framework (section______), which calls for progressive, more active involvement of local government units and community volunteers in project implementation across 3 cycles. Cycle 2 of the enhanced CEAC will seek to actualize these KALAHI-CIDSS: KKB CYCLE 2 CEAC engagements. Facilitation of Accountability Municipal Post-KC CommunityReporting Transition Panning Based cycle 2 activities will be Evaluation conducted by BDC identified Accountability CYCLE 3 C2 PostO&M Plan Reporting (Cycle 1) completion volunteers, representatives of Implementation Activities Municipal Meeting Transition the MIAC, and other Stage MIAC Barangay Orientation Implementation stakeholders. Monitoring & for Cycle 2 (1 BA) of SP & SPI
st

Tech. Support

M&E

SPI, ODM for O&M, and SPI M&E stage

MDC Meeting (SP Support; MDP Preparation)

Community Consultation (4th BA) Project Preparation, Selection, and Approval Stage

Social Preparation Stage

BC/BDC Cycle 1 PSA Review and Updating PSA Community Validation (2nd BA)

SP Prioritization and Approval (MIBF) MIAC Technical Review

Project Identification Stage

Criteria Setting Workshop Preparation of SP Concept

Preparation and Finalization of detailed Proposal Community Consultation (3rd BA) Pre- Implementation Workshop BDC DBP Preparation

4.1.2 What is the role of the ACT in facilitating the 2nd Cycle?

The role of the ACT will be to orient and prepare facilitators on the task of facilitating the CEAC Figure 6: Cycle 2 KC:KKB CEAC activities, provide coaching during activities, and conduct post activity processing and evaluation. Through this strategy, greater acceptance of the projects development processes will be achieved, and the

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capacity of local volunteers, community members, and other stakeholders will slowly be enhanced. Looking back at section 3.1.5.3.3 on forming new groups in the KC project, one will recall the CF task of conducting activities calling for the organization of the BDC beginning in the Social Preparation stage and culminating in the composition or re-composition of the Barangay Development Council by the time of Sub-project Implementation. This strategy will have an immediate bearing in the implementation of cycle 2 of the enhanced CEAC.

4.1.3 How does the 2nd Cycle of the CEAC proceed?

Cycle 1 weaves into cycle 2 around the time of the conduct of the 1st Municipal Accountability Review and Reporting session (Cycle 1 Transition Stage). The completion of this activity signals the beginning of Cycle 2 by way of conduct of the Municipal Meeting. Both the Municipal Accountability Review and Reporting of Cycle 1, and the Municipal Meeting of cycle two will be conducted back-to-back, in one day. The process of conducting the Municipal Meeting of cycle 2 will be slightly different form cycle 1 in the sense that more outputs are expected, in line with the KC:KKB Institutionalization Framework, but the basic design of the meeting remains the same. Prior to the conduct of the 1st Barangay Assembly in cycle 2, a meeting of the Barangay Development Council (BDC) shall be conducted to orient BDC members on the process of Participatory Situational Analysis (PSA) and Barangay Development Plan (BDP) review and updating. The BDC shall also draw-up a list of candidate volunteers for the PSA review, and potential members of the Barangay Representation Team (BRT) and Project Preparation Team (PPT) for cycle 2. The 1st Barangay Assembly (1st BA) for cycle 2 shall be facilitated by a community volunteer duly designated by the BDC. Both the BDC meeting and the 1st BA shall be conducted back-to-back, with the BDC in the morning and the 1st BA in the afternoon. The BDC meeting can also be conducted even during the transition stage for cycle 1. Please refer to the attached Cycle 2 Output Indicators and ACT Matrix as well as on the Submanual on the 1st BA for more guidance. The Participatory Situational Analysis (PSA) review and updating shall be conducted as an expanded BDC meeting, to be attended by regular members of the BDC, the BDCnominated and BA elected PSA volunteers, and assisted by municipal staff designated by the Municipal Inter-Agency Committee (MIAC). Preparatory to the conduct of the PSA review, the ACT shall gather and consolidate secondary data so that these can be used to enrich the PSA results. The BAP from cycle 2 is also updated and enhanced. For this purpose, a report on accomplishments with regards to addressing other BAP concerns from the previous cycle is a necessary pre-requisite. As in the previous cycle, the PSA review process shall end in a validation exercise through the conduct of the 2nd Barangay Assembly. The 2nd BA shall constitute the last activity of the PSA review, and shall be conducted in the afternoon of the last day of the PSA review and updating process. The conduct of the Criteria Setting Workshop (CSW) and the Project Development Workshop (PDW) shall be the same as in the 1st cycle. However, the most critical difference is in the facilitation task of the two activities, which shall be the primary responsibility of a MIAC-designated staff. The AC and DAC shall provide coaching in the

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preparation and actual conduct of the activity, as well as facilitate processing of experiences and evaluation after the activity to generate lessons and insights. The Sub-project Proposal Preparation and Finalization process will be interspersed with community consultations, MIAC technical assistance provision, and with pre-implementation training workshops such as procurement and community finance management. This process shall end in a MIAC technical review, where the MIAC shall lead in a process of examining the completeness of prepared proposals. The BRT site validation exercise shall be conducted as part of the MIAC technical review process. The conduct of a single Muncipal Inter-Barangay Forum for Participatory Resource Allocation, which will be conducted after the MIAC technical review, and should be jointly facilitated by both the AC and a member of the MIAC. The MIBF shall be followed by a Municipal Development Council (MDC) Review of Subproject Proposals. The purpose of this activity is for the MDC to mobilize support for the implementation of prioritized sub-projects, as well as review the PSA and BAP results, and the Barangay Development Plans developed as a result of the PSA process. The MDC is also expected to come up with MDC resolutions urging the Municipal LCE to release committed local counterpart contributions, and call for a review of the Municipal Development Plan to incorporate the various BDPs developed. Parallel to the conduct of the MDC SP Review, meetings to feedback the results of the MIBF to the community shall be conducted by the CFs through the holding of a Barangay Assembly, which shall be conducted similar to the 5th BA in the cycle 1 CEAC. The process of SubProject Implementation shall then follow the conduct of the BA for MIBF Feed backing. The transition period towards cycle 3 then follows.

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4.2 The CEAC 3rd Cycle Implementation

4.2.1 How is the CEAC 3rd Cycle implementation build on the 2nd Cycle?
Adoption of KC:KKB Development process is hoped to be achieved in cycle 3. This cycle shall proceed much in the same way as cycle 2, with a number of adjustments, most notably in the facilitation of major activities, which will continue to be shifted more towards project stakeholders, and less on area coordinating teams. It is also expected that both barangay and municipal local government units shall KALAHI-CIDSS: KKB CYCLE 3 CEAC be providing more resources for the CommunityPOST-KC Transition Based Accountability Plan Monitoring Evaluation Reporting conduct of major activities, including that Accountability C2 PostO&M Plan Reporting (Cycle 2) completion Implementation of the PSA review, the Activities Municipal Meeting Transition MIBF, and on MIAC Stage MIAC Barangay Orientation Implementation technical support Monitoring & for Cycle 3 (1 BA) of SP & SPI SPI, ODM for Tech. Support M&E Social provision and O&M, and SPI Preparation M&E stage BC/BDC PSA and Stage monitoring. Community BDP Review MDC Meeting for
st

SPI Support and Transition Plan Review

Consultation (4th BA)

Expanded MDC SP Prioritization and Approval (MIBF) MIAC Technical Review Community Consultation (3rd BA)

Project Preparation, Selection, and Approval Stage

Project Identification Stage

PSA and BDP Validation (2nd BA) Expanded MDC MDP Review and Criteria Setting Workshop Preparation of SP Concept

Preparation and Finalization of detailed Proposal Pre- Implementation Workshop

4.2.2 What is the role of the ACT in facilitating 2nd Cycle activities?

The role of the ACT in the third cycle will focus Figure 1: Cycle 3 KC:KKB CEAC primarily on technical assistance provision. The activities in the third cycle are expected to be implemented by the MLGU partners and local community volunteers. The ACT is expected to walk municipal partners and volunteers through the whole implementation process and in each activity, providing technical support and guidance as necessary, and conducting process monitoring to ensure the projects development interventions continually build towards sustaining CDD in the post project period.

4.2.3 How does the 2nd cycle of the CEAC proceed?

Figure ___ outlines the major stages and activities of the cycle 3 CEAC. colored red are expected to be funded from local government counterparts. All activities

The PSA review for cycle 3 shall also include a review of the Barangay Development Plans developed in the previous cycle, in order to determine effectiveness in addressing BAP concerns as well as update both the SA and the BDP. All municipal activities in cycle 3 are expected to be conducted through expanded Municipal Development Council meetings. The MDCs are expected to be expanded to include all BRTs as well as representative of other organizations, Operation and Maintenance groups, and other community associations formed as a result of previous project interventions. The

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expanded MDC is expected to be the basic mechanism for facilitating implementation of the Criteria Setting process as well as the Sub-project Prioritization and Approval Process. The MIAC mechanism for technical support monitoring shall continue to be strengthened, and a planning process for post-KC support provision and monitoring shall be developed to ensure that development process introduced and built by the project are sustained in a postKC environment.

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SUSTAINABILITY AND EXIT

To the ACT:

Chapter

This chapter focuses on the processes and mechanisms which will aid in ensuring sustainability of KC CDD interventions beyond project life. The chapter begins with a discussion on the concept of sustainability in the context of the KC project, and outlines 10 Principles for sustaining CDD interventions from the Poverty Reduction Strategy Papers Sourcebook of the World Bank. This is then followed by discussions on the four critical sustainability intervention areas of (i) Institutionalization; (ii) Convergence; (iii) Organizational Development and CBO Strengthening, and; (iv) Exit planning. While sustainability is the concerns of all members of the ACT, managing the implementation of processes and mechanisms outlined in this chapter are the primary responsibility of the Area Coordinator. Most of the activities outlined in this chapter, with the exception of CBO strengthening and O.D., are largely municipal-level activities, and hence are in the realm of the ACs tasks and functions. The question of sustainability is an ever present challenge for any development project. Addressing this concern takes on an even greater relevance in CDD interventions. As communities learn how to work together and build social structures and systems for collectively addressing rural poverty conditions, the task of the ACT shifts to ensuring that these structures and systems endure through the peoples own efforts, aided by lessons learned in KC implementation. Remember that ensuring sustainability also means planning obsolescence of project-aided structures and mechanisms. This means making ourselves obsolete. The opposite would be creating even more dependency and consequently, disempowerment.

5.1 What is sustainability?

In the context of the KALAHI-CIDSS: KKB 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. The focus of sustainability is not on the quality of construction, as all structures, no matter how strong; will eventually fall into decay if not maintained. Neither does sustainability refer to simple capacity building on the use of a certain type of technology, nor on the level of institutional support provided to community-led development interventions. To be sure, all of these are necessary elements that support local initiatives at sustaining development projects. However, without the ability of the community to creatively respond to poverty conditions, both existing and emerging, 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.

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5.2 How do we ensure sustainability of CDD interventions?

Chapter 9 of the World Bank Poverty Reduction Strategy Papers Sourcebook5 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. You will notice that a number of these principles are already built into the KALAHI-CIDSS: KKB Projects implementation and facilitation design, particularly in the operationalization of the community empowerment activity cycle (CEAC). In addition, four critical areas of intervention need to be responded to by the Area Coordinating Team in parallel to the CEAC implementation process. These include; Institutionalization; Convergence; Organizational Development, CBO strengthening and Volunteer Development, and; Exit planning;

Each of these interventions will be discussed in the following sections;

5.3 The KALAHI-CIDSS Institutionalization Framework and Key Result Areas

5.3.1 What is Institutionalization in the context of the KALAHI-CIDSS Project?
Because of the highly participatory and essentially decentralized nature of all CommunityDriven Development initiatives, these interventions naturally create tensions in highly centralized and bureaucratic governance structures and processes. Local government officials unused to popular participation, not only in the choice but even in the design of development interventions and in the allocation of development financing, will inevitably feel threatened by a development strategy that proceeds from, and calls for organized popular demand. For this reason, a key element in sustaining CDD initiatives involves building the capacity of local governments to creatively and constructively respond to the demand-driven initiatives of local communities. This is the supply side of CDD, echoed in the first principle of establishing enabling environments called for above. In the KALAHI-CIDSS Project, the process of addressing the supply-side of development is anchored on the projects institutionalization framework, where Institutionalization is
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
5

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defined 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 Why is Institutionalization necessary in the KALAHI-CIDSS Project?

A number of conditions provide the rationale for institutionalization of CDD processes introduced by the KALAHI-CIDSS: KKB project. These include; The complexity of development challenges conditions which create rural poverty are hopelessly complex, transcending not only geographic boundaries but also deeply entrenched beliefs and norms about governance and popular participation in decisionmaking. Creating lasting solutions to well-established poverty conditions require the concerted effort of all stakeholders. The need to ensure sustainability grounded on convergence of all stakeholders in the provision of technical assistance and resources to local communities undertaking CDD initiatives. Numerous studies have consistently shown how community-driven development interventions inevitably fail because of lack of institutional support to community development efforts. The KC Institutionalization process seeks to capacitate project stakeholders to effectively deliver support to local community initiatives. The need to guide transfer of CDD technology to local government unit counterparts to whom the task of sustaining project gains and benefits will ultimately fall. The KALAHICIDSS CDD technology provides an example of how direct peoples participation in development planning and resource allocation can occur, both at the barangay and at the municipal levels. However, both shortages of resources for development financing as well as socio-political dynamics can often constrain how common people are engaged in development activities. on the local government units, fo

5.3.3 What is the KALAHI-CIDSS Institutionalization Framework?

The KALAHI-CIDSS Institutionalization Framework (figure _____) broadly outlines the key elements in institutionalization and how these elements play together to ensure adoption of CDD processes in local development initiatives.
INSTITUTIONALIZATION FRAMEWORK
INSTITUTIONALIZATION LGU DEVELOPMENT PROCESSES/ PLANNING BODIES 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.

1. Mainstreaming
KC Principles and Processes and 2. Sustaining its Application in:

BAs

s B/MLGU

SB

OLCE LSBs

In the context of the Local Government Code of 1991, the process of institutionalization of CDD is reflected in; 1. How local governments Making Participatory, Community-Driven undertake participatory, inclusive Development a WAY OF LIFE !!! development planning; 2. How local governments allocated resources for development, as Figure ___: KC Institutionalization Framework well as the parameters and criteria they refer to when allocating resources, and;

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3. How local governments implement development interventions in a participatory, transparent, and inclusive manner. Since the primary responsibility for animating these process are part of the mandates of local government units, the manner by which specific local government bodies function to support CDD efforts is also a reflection of the institutionalization process. These include; 1. The Office of the Local Chief Executive of both the Barangays and the Municipality; 2. The Sangguniang Bayan or Legislative Council of both the Barangay and the Municipality; 3. Local Special Bodies such as the Barangay and Municipal Development Councils, and others; 4. The Barangay Assembly; The local governance processes and bodies mentioned above constitute key institutionalization agendas and arenas for engagement. Among the key agenda that should be put forward by local communities, with the support of the ACTs, may include, but are not limited to, the following; Policy development, which may include engagements towards; Issuance of local ordinances adopting KALAHI-CIDSS as a local poverty reduction strategy/technology at the barangay and municipal level; Issuance of policy on prioritization of targets, programs and resources based on experiences or lessons learned from KALAHI-CIDSS; Issuance of other local ordinances responsive to the priority needs of community; Issuance of ordinance for adopting MIAC as regular structure and/or its functions; Community plans integrated into local development plans. Structural Adjustments, calling for institutionalization activities aimed at; Promoting continued operations of the MIAC, beyond the project life; Integration of MIAC and its functions into MDC; Enhancing level of convergence of programs and agencies engaged in development work at the community, barangay, and municipal level; Developing more open governance systems and processes for participative development; Basic sector representation in development councils; Community facilitators being absorbed into regular plantilla or LGU staff designated to continue CDD efforts; Systems Enhancement, which may include efforts at; Adoption of participatory tools and techniques in planning and program development; More transparent resource allocation and utilization; Converged and participatory monitoring and evaluation; Continued development of innovative and/or need-based programs that are povertyfocused; More focused targeting of poverty alleviation/reduction programs and services; Resource Allocations, calling for; Progressively increasing resource requirements integrated into annual budgets; Adoption of resource sharing schemes; Adoption of participatory and inclusive resource allocation processes;

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In summary, the specific key results areas for KC institutionalization include the following; At the 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. At the 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.

5.3.4 How is institutionalization operationalized?

Since institutionalization primarily involves advocacy, the Team is encouraged to carry out the following activities: 1.1 Together with the facilitators, build a network of KALAHI-CIDSS advocates at the municipal and barangay levels who will serve as primary partners in advocating for localization of the Project. Involve the community representatives or basic sector to effectively draw more attention to the advocacy messages. Form support group/s from among the community groups, sectoral organizations, other agencies and local officials. Always update the data and share widely the information about the situation of the barangays and the accomplishments of the Project. Facilitate the formulation of an advocacy plan to ensure systematic efforts. 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. Please refer to Annex 8 for some strategies and methods.

1.2

1.3

1.4

1.5

The ACT should bear in mind 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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5.4 Promoting Convergence for Community-Driven Development

5.4.1 What is Convergence?
Convergence is the synchronization and complementation of resources and initiatives to ensure greater impact of development interventions. In convergence, all stakeholders must be enjoined to approach a common point in development interventions. It therefore requires that stakeholders and agencies engaged in convergence efforts agree to cooperate and have a common understanding and commitment to pursue a goal or an objective. In concrete, convergence may require unity of perspectives and vision; common targeting of communities and families; synchronized delivery mechanisms and sharing of resources.

5.4.2 Why converge?

Poverty is now recognized as a multi-dimensional problem, and because of this, there has been growing realization of different agencies of the urgency of responding to current social and economic realities that contribute to poverty of rural communities. However, development interventions have often been characterized by divergence rather than convergence, with different agencies implementing development projects following their own specific and narrow mandates and relegating coordination work with different agencies as an add-on task rather than an integral component of project activities. In a number of instances, this lack of convergence results in duplication of efforts, and waste of investments. With development financing always inadequate, there now exists a growing awareness that efficiency in poverty-alleviation activities can be met only by complementation of resources. Overall impact is greater than the impact generated by any one agency on its own. While the communities are assisted to organize themselves, it is also necessary that the various stakeholders at the municipal level coordinate their initiatives. The passage of the Local Government Code mandates the LGUs to achieve convergence; hence, convergence efforts should be supportive of the development vision of the LGUs. This will require the LGU to take on active roles to ensure their needs are met by the collaborative efforts.

5.4.3 What are the objectives of convergence?

In the context of the KALAHI-CIDSS project, activities aimed at enhancing convergence efforts are undertaken in order 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;

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4. Build solidarity across sectors & communities to harness potentials of the countryside; 5. Broaden and enhance technical assistance provision for CDD efforts of local communities;

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

Figure ___ 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 at promoting more practical convergence can occur.

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:

LGUs have a natural need to ensure development efforts of different agencies operating within the municipality are properly managed and integrated into Figure ___: KC Convergence Framework municipal development plans. The local government code provides a way for LGUs to address this need by specifying provisions for local development planning, and by providing local chief executives with the power, supported by the local sanggunian, to rationalize local development priorities with the specific priorities of national government agencies operating within their respective jurisdictions. KC Municipal Convergence Structure While efforts at promoting national and regional convergence in the KC project are Local Chief Executive the tasks of the national and regional Mun. Planning & Devt. Officer project management offices respectively, Mun. Social Welfare & Devt. Officer Mun. Health Officer the ACT play a very critical role in Mun. Agricultural Officer Mun. Agrariaan Reform Officer concretizing convergence efforts, and Mun. Local Poverty Reduction Action Officer Community Environment & Natural Resources Officer promoting practical convergence initiatives Mun. Local Govt. Officer Mun. Engineer at the municipal level. Figure ___ presents Mun. Budget Officer Mun. Treasurer one example of a municipal-level DepED Officer Representatives from NGO, religious sector, media, and the academe convergence structure grounded on the Municipal Inter-Agency Committee (MIAC). Municipal Inter-agency Committee (MIAC) This is an ideal form of a convergence structure, where multiple agencies are Figure __: Local Convergence Structure made to provide specific forms of technical assistance to community initiatives, or are tapped to assist local government units and community members in more strategic development planning initiaves. A simpler form can include one or two agencies working with the local government unit and a local community on a specific form of intervention in a type of issue-based convergence initiative. As an example, staff from both the Department of Agriculture (DA) and the Department of Agrarian Reform (DAR) can be tapped to collectively provide technical

Communities or Barangays

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assistance to a local community undertaking a development project focused on agricultural productivity and asset reform. Whatever the form, it is your task as the ACT to promote municipal-level convergence initiatives in support of CDD efforts of KC communities.

5.4.5 What convergence activities can be undertaken?

The first task at convergence revolves around the organization of the Municipal Inter-Agency Committee (MIAC). Section 3.2.4 above discusses the MIAC, its background, composition, and the role it plays in the CEAC. In addition, organizing the MIAC can involve three broad processes, including; 1. Social preparation, which includes groundworking of specific MIAC members, review of development interventions of different agencies working in the municipality; inventory of agencies and organizations (NGO and other civil society organizations) in the area and the resources they may have to support barangay sub-projects); undertaking stakeholder analysis; undertaking local community planning for resource and support accessing from local agencies; and community advocacy work; 2. Organization building, which can include activities like: (i) the formal organization of MIAC or where a MIAC already exists, the strengthening of the partnership especially in the provision of technical assistance and conduct of monitoring and evaluation, (ii) promoting active engagement of MIAC members in specific project activities; (iii) MIAC review and consolidation of barangay plans; (iv) installation of a monitoring and evaluation system; and (v) building the capability of specific MIAC members in the provision of technical assistance to local communities; 3. Consolidation, which can include such activities as (i) facilitating the integration of the principles and processes of KALAHI-CIDSS to local development planning and resource allocation such as in the formulation of the barangay development plan and the municipal development plan,(ii) institutionalization of MIAC functions into the municipal development council (MDC); (iii) building MIAC support for representation of communities in the MDC in additional to the barangay captains who are automatic members of the MDC; (iv) back-door MIAC advocacy to Sangguniang Bayan for a balanced strategic and bottom-up allocation of resources; (v) resource generation; and 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;

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 prorities.

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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.

Workshop to define, identify, and agree on convergence areas which can

include; Developing convergence models, such as; Geographical or spatial convergence where inter-agency coordination and support is based on area-specific considerations. One example is the 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. 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; asset reform and land tenure improvement institutional strengthening provision of small-scale infrastructure access & provision of agricultural support services technical support to communities 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.

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MANAGING IMPLEMENTATION AT THE ACT LEVEL

Chapter

6.1 The Area Coordinating Team

An Area Coordinating Team (ACT) is a composite team deployed in a municipality to implement 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. The members of an ACT are the following: 1. Area Coordinator WHY USE A TEAM? 2. Deputy Area Coordinator 3. Roving Bookkeeper 1. No single person has the monopoly of all 4. Community Facilitators the ideas for a particular job or process.

6.1.1 Why adopt a team approach in the KALAHI-CIDSS?

In the achievement of the KC project objectives, it is believed that multidiscipline members of the Area Coordinating Team will show the best results. That ACT members must be interdependent, that is, each member perceive they need one anothers experience, ability, and commitment in order to achieve project goals and objectives. Teamwork then is a requirement in working in a team.

2. A group of people working together have better ideas and make better decisions that people working separately. This phenomenon is called synergy. 3. Commitment to a decision or idea is greater if the team takes part in making it. People tend to resist change that is being imposed upon them and tend to support change that they helped to design. It is easier to implement change and see results when they were developed by a team.

6.1.2 What are the functions of the Area Coordinating Team members?
ESSENTIAL ELEMENTS OF A TEAM 1. the group members must have a shared goals or for reason for working together 2. 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); 3. The group members must be committed to the idea that working together leads to more effective decisions than working in isolation; 4. The group must be accountable as a functioning unit within a larger organizational context. Headed by an Area Coordinator (AC) who has extensive experience in community development work and supervision, the AC assumes full responsibility of supervising the ACT members. H/She takes responsibility that municipal and barangay level activities are undertaken as well as establishing partnerships/lingkages with project stakeholders to include LGUs, NGOs/POs, and other agencies.

The Deputy Area Coordinator (DAC) who is an engineer assumes supervisory function to team members in the absence of the AC. The DAC has the responsibility of providing technical assistance together with the municipal engineer to the community volunteers.

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The community facilitators build the capacities of the communities in undertaking participatory situation analysis, community planning, project development and implementation, organizational building, and monitoring and evaluation. The Roving Bookeeper builds the capabilities of the barangay volunteers in recording financial transactions and preparing financial reports. The Area Coordinating Team has the primary responsibility of ensuring that Key Development Indicators of the project is achieved. The AC takes responsibility in municipal level activities with the help of the DAC and Roving Bookkeeper. The CF has the full responsibility of barangay level activities. For each of the tasks of the Area Coordinating Team members, specific report requirement is expected. Refer to Monitoring and Evaluation handbook. For the ACT members to effectively carry out their tasks and responsibilities, they should possess the following requirements: 1. A strong belief in the capacity of the people. That poor people is an asset and can be partners in development; 2. An understanding of poverty as caused by structural problem e.g. inequality of resources, opportunity and access issues; 3. Clarified of their roles as catalyst of change, enabler, broker, and an advocate; 4. Can work in a team.

6.1.3 To whom the ACT should engage?

As frontline implementers, the Area Coordinating Team will be directly working with the community, with the Local Government Units, and other stakeholders of the project. For coaching, supervision, and provision of logistical support, the team should be directly engaging with the Regional Project Team Management members. Direct engagement of the National Project Management Office (NPMO) with the ACTs in the field can also happen 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.

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6.2 Conducting Tactic Sessions

6.2.1 What is a tactic session?
A Tactic Session is a specialized team meeting for surfacing issues, problems, and gaps in implementation in context-specific conditions and developing appropriate, often short-term (tactical) responses to break an implementation impasse. It has been said that a good tactic session is as necessary to a community organizer as rice is to the Filipino. This is a very precise description of the role of the TS in any community development campaign. The Tactic Session is the mechanism at the heart of a successful community organizing effort.

6.2.2 How is a tactic session different from a regular team meeting?

A tactic session is different from a regular team meeting in that the purpose of a tactic session is to find and immediate and effective solution to a specific problem. A tactic session therefore requires the existence of a critical problem that, unless resolved quickly and effectively, will hinder further progress in implementation. The TS is mainly a mechanism for creative thinking on tactics (and in some cases strategies as well) and on the effect of specific implementation problems to the whole organizing thrust. In a real sense, the TS is also a venue for group planning.

6.2.3 What is the difference between a tactic session and a strategizing session? In terms of content: Tactic sessions deal with immediate, short-term, context-specific
concerns and issues while strategizing sessions often deal with more long-term, programmatic issues and concerns cutting across a broad range of contexts.

In terms of process: Tactic sessions are often quick paced and intense while strategizing
sessions are more relaxed.

In terms of data requirements:

Tactic sessions deal with micro, context specific information calibrated to address the immediate concern or issue at hand. Often, perception-based information triangulated from different sources suffice, although hard data are also desirable.

In terms of outputs: Tactic sessions lead to concrete action plans and activities designed
to be implemented with speed.

6.2.4 Who participates in a tactic sessions?

Participants to tactic sessions are generally people who have experienced working together for some time and have at least a common understanding of the contexts being tacticized. It

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is often very difficult for outsiders to participate in tactic sessions. Also, because of the nature of the discussions involved, it is strongly recommended for community volunteers to not be involved in tactic sessions of ACTs.

6.2.5 How often is a tactic session conducted?

As mentioned earlier, a tactic session is conducted whenever a problem or issue exists that requires immediate resolution and for which the expertise of everyone in the team is required. This can be conducted either on a regular basis, in which case every team member gets to be the focus of tacticizing, or on a need basis depending on the issues at hand. For newly composed teams, it is suggested that tactic sessions be conducted regularly in the beginning to get each member of the team familiarized with the TS process,

6.2.6 How is a tactic session conducted?

While no hard and fast rules exist for the conduct of a tactic session, the TS usually begins with reports from the members of the team on developments in the work in their area. As much as possible, the area development report should be presented as concretely as possible so that other team members can get a clear picture of what is happening in the area. The TS is usually facilitated by an experienced member of the team. It is the role of the TS facilitator to direct the TS and draw on the experiences, thinking, and suggestions of the team. The facilitator leads the reporter to n analysis of the events and the developments in the area as a conclusion to the report. In the TS, area developments are viewed against previously set expected results. Analysis of events and developments focus on whether plans went according to plan. If so, why? If not, why not? Gaps are pinpointed so that lessons are learned. Successes are also pinpointed for their learning experience value. Sometimes in development work, plans do not come out as expected because of a number of reasons. Perhaps the target of the effort was wrong, or the tactics were ineffective. Sometimes the issues are more fundamental, such as the activity was beyond the experience of the people, or were not from the people in the first place but fed by the CF. The groundworking may have also been faulty or too cerebral and lacking in emotional motivation. The role of the lead person or facilitator, and of the team members as a whole, include the following; 1. To probe, never to defend or take sides, never to ask personal questions. The team must remember that the TS is not a mechanism for checking performance as there are other venues where this id more effectively done. The TS is a mechanism for objective thinking on issues and thrusts. Sulking and being defensive has absolutely no place in it. 2. To ask direct questions, never irrelevant ones. 3. To pay attention to every detail of a report as if each report was his/her own. 4. To give a well-thought-out question that can challenge and lead the reporter into a new learning.

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5. To grill or to challenge, ask questions, provoke, and give suggestions. One of the key elements to an effective TS is the grilling session. Broadly, the process proceeds with a team member presenting a pressing issue requiring immediate resolution. The word grill as a CO term used during TS refers to the act of questioning by the whole team wherein the reporter is not given a chance to make defenses or rationalizations. The main purpose of grilling is to train each other to think objectively under pressure. In a grilling session, members of the team asks open-ended questions to help the reporter to think through the situation, define and refine the context, share information that will help to frame the problem, and come up with concrete solutions (tactics) to achieve an effective breakthrough. Once the range of tactics are surfaced, these are further refined and the most effective one chosen for implementation. This is then followed by a plan of action for implementing the tactic and for monitoring achievement of the desired results.

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6.3 Conducting Reflection Session

6.3.1 What is a Reflection Session?
Reflection is the process of raising experience of action to the level of learnings. A reflection meeting is a venue for people to discuss critical experiences and distill key lessons that can be used to improve or enhance future actions.

6.3.2 Why conduct reflection sessions?

The ACT should keep in mind that their role is to facilitate change from fear to courage, individualism to community-centeredness, apathy to risk-taking, despair to hope, powerlessness to empowerment. A taste of victory or success can lead to much learning but there should be a conscious effort to sustain and internalize the psychology of empowerment in order to counter the deeply rooted psychology of learned helplessness and dependency. This is facilitated by engaging in constant action and constant reflection. In the course of engaging in the KALAHI-CIDSS development processes, both the ACT and the different stakeholders are exposed to new activities and experiences from which a wealth of lessons can be generated to feed into achieving empowerment. However, these lessons do not come out of the blue or develop on their own course. They have to culled out from the numerous details and concerns of day-to-day implementation, isolated, and elevated to the level of lessons so that they become useful for subsequent processes. This is where the value of reflection sessions come in. Without the benefit of constant reflection on experience, the KALAHI-CIDSS becomes a mere string of activities. Changes may occur in local conditions, but true development may not come about. Bear in mind that without reflection, no improvement in people empowerment can occur, because it is during reflection where the people talk of remedies in relation to the culture of silence and learned helplessness.

6.3.3 Who should participate in a reflection session?

Reflection sessions can be done on different levels depending on the type and nature of participants. Ideally, all stakeholders engaged in the project, from the ACT to the community volunteers, should engage in constant reflection on experience.

6.3.4 How often should a reflection session be conducted?

A reflection session should be conducted after every action or activity. This is a necessary step. If reflection is set aside after an action, much learning may be wasted. If this occurs, our actions become actions for the sake of action alone.

6.3.5 How is a reflection session conducted?

Reflection sessions can have many forms i.e. drama or Community Theater, scripture reading, song analysis, and others. It can also resemble a ritual or can simply be in the form of a celebration a festival, a peoples mass, a thanks-giving celebration.

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The use of carefully calibrated reflection questions on key themes can also be used to trigger critical thinking on experiences. These questions will necessarily be context-specific, but should touch on the following; What happened? What did you feel? Why did . happen? What would have happened if? How should things be done differently? Who should be .? After drawing out key reflections during the session, it would be good for the facilitator or a resource person to give a short input on a related topic such as the nature of power, the society we want in the future, about rights and privilege, the role of leaders, and others. These inputs will help to deepen the peoples learning. Much depends on the creativity of the team or person facilitating the reflection session. The discipline and tenacity of the facilitator will determine if the reflection session is maximized as a learning opportunity or it is reduced to a routine to be carried out for the sake of compliance.

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6.4 Conducting Community Trainings

6.4.1 Why the need for Community Training?
Peoples participation in the implementation of the KALAHI-CIDSS project is a necessity critical to the attainment of true community-driven development. However, people need to be capacitated on needed knowledge, skills and attitude in order to efficiently and effectively implement development interventions. The success of projects as well as sustainability depends to a large extent upon the capabilities of community leaders and members to address emerging issues and concerns in the course of project implementation. In the course of their engagement in the KALAHI-CIDSS, community volunteers and members are exposed to numerous occasions for learning. Beginning with the PSA process up to the Accountability Review, the KC project provides a rich environment for both formal and informal capability building. Managing this learning process is a critical task of area coordinating teams.

Adult Learning Psychology Adults have a wide experience and have learnt much from life. They learn most from their peers. So animators should help them share their own experience and create a situation where they are encouraged to have a dialogue to one another. Let them sit in a circle where they see each others faces so that speaking and listening can both be helped by the use of their eyes. Adults are interested and learn quickly about those things that are relevant to their lives. So the animator needs to create a situation in which they can share in the planning, choose the topics and participate in regular evaluation of what they are doing. Adults have a sense of personal dignity. They must be treated with respect at all times and never feel humiliated or laughed at before others. As adults grow older their memories may get weaker but their powers of observation and reasoning often grow stronger.

6.4.2 Who Should be Engaged in Community Training?

All project stakeholders exposed in different ways to new processes and inputs provided by the projects numerous activities. Groups and individuals from the community, e.g. barangay officials, community leaders, community-based organizations, representatives of various sectors, sitios or puroks, community volunteers and other concerned groups and individuals engaged in the project are also engaged in a continuing process of capacity enhancement.

It is essential; at this point, to differentiate between formal and informal capability building. For purposes of simplicity, this manual will only cover the formal training sessions that need to be conducted in the course of engagement of local volunteers with the KC development processes. However, the ACT should bear in mind that learning can occur at any point in the course of project implementation, and the acquisition of new skills and knowledge, and the development of attitudes can occur outside of formal training sessions. The ACT must therefore acquire the discipline of knowing when new learning are being acquired by local people.

6.4.3 What community training activities need to be conducted in the course of engagement in the KC project?
Some of the community trainings that need to be conducted in the course of one project cycle can include the following;

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1. 2. 3. 4. 5. 6. 7.

PSA tools and processes; Project Development and Proposal Preparation; Community Procurement; Community Finance; Project implementation management; Organizational Development and Management; Leadership

In addition, other project-specific and context specific trainings may need to be conducted. These can include discussions on tariff setting or the IPRA for Tribal Communities. Bear in mind that these are a small sample of the actual range of inputs provided to local volunteers and communities. Rarely also are inputs on these areas given in a single sitting during a formal training. More often, these inputs are provided through demonstration and coaching in actual, hands-on sessions. Whatever the case may be, all training sessions, whether formal or informal, follow a general process flow.

6.4.4 What are the processes involved in community training?

Community training typically undergoes a process divided into three (3) major parts namely: (i) conceptualization or characterization of training; (ii) actual conduct of the learning initiative and its administrative details, and; (iii) post training activities.

How People Learn Tests have shown that People remember 20% of what they Hear, 40% of what they Hear and See, and 80 % of what They Discover For Themselves Education should stress Learning more than Teaching. Where possible animators should create a learning situation where adults can discover answers ands solutions for themselves. People remember the things they have said themselves best, so teachers should not speak too much. They need to give participants a chance to find solutions before adding important points the group has not mentioned.

6.4.4.1 Conceptualization or Characterization of the training mainly involves:

1) Analysis of learning needs of partners vis-vis the expected knowledge, skills and attitudes that they should possess at a particular stage in the learning process; 2) The drawing of objectives which are based on such learning factors as individual vs. group needs; 3) Time in scheduling training a factor to consider for it determines its relevance; 4) Selecting direct learners/participants through identified standards.

6.4.4.2 Actual training:

Effective facilitation of learning is a key to the successful implementation of the training. The objectives of the training will be set at the level of the expectations of the participants. Realistic outputs and attainable objectives will be clarified at the start of the learning process.

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6.4.4.3 Post-training activities:

Assessment of the entire learning process is vital in any training initiative. Thus, this community training initiative will conduct formal and informal discussion with learners to gather feedback as to the activitys effectiveness in addressing their needs. This feedback mechanism will be facilitated in determining the activitys success in meeting the objectives identified as well as determining the future needs of the participants (for report requirements, please see M&E report guidelines). In the main, the community training initiative will be an opportunity for project implementers to hone their skills and acquire adequate knowledge with proper attitude towards realizing development goals. Likewise, the collective learning process will enable them to build confidence in their capabilities and boost their self-worth.

6.4.5 What are the Learning Tips in the Conduct of Community Training?
Educators must remember that learning occurs within each individual as a continual process throughout life. People learn at different speeds, so it is natural for them to be anxious or nervous when faced with a learning situation. Positive reinforcement by the instructor can enhance learning, as can proper timing of the instruction. Learning results from stimulation of the senses. In some people, one sense is used more than others to learn or recall information. Trainers or facilitators should present materials that stimulate as many senses as possible in order to increase their chances of teaching success.
From Freedom and Development A very pleasant thing about adult education is that we can learn what we want to learn what we feel would be useful to us in our lives. At school, children are taught the things which we adults decide they should be taught. But adults are not like children who sit in classrooms and are then taught history, or grammar, or a foreign language. As adults, we can try to learn these things if we wish; we do not have to do so. Instead, we can learn about growing a particular crop, about the government, about housing building about whatever interests us. We can build on the education we already have using the tools of literacy or a foreign language, or an understanding of scientific principles. Or, if we never went to school, we can start by learning about the things of most immediate importance to us better farming methods, better child care, better feeding. We do not have even to start by learning to read and write. For literacy is just a tool; it is a means by which we can learn more, more easily. That is its importance Julius K. Nyerere

There are four critical elements of learning that must be addressed to ensure that participants learn. These elements are:

1. 2. 3. 4.

motivation reinforcement retention transference

Motivation. If the participant does not recognize the need for the information (or has been offended or intimidated), all of the trainer's effort to assist the participant to learn will be in vain. The trainer must establish rapport with participants and prepare them for learning; this provides motivation. Trainers can motivate participants via several means:

Set a feeling or tone for the lesson. Trainers should try to establish a friendly,
open atmosphere that shows the participants they will help them learn.

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Set an appropriate level of concern. The level of tension must be adjusted to meet the level of importance of the objective. If the module has a high level of importance, a higher level of tension/stress should be established in the group. However, people learn best under low to moderate stress; if the stress is too high, it becomes a barrier to learning. Set an appropriate level of difficulty. The degree of difficulty should be set high enough to challenge participants but not so high that they become frustrated by information overload. The instruction should predict and reward participation, culminating in success.

In addition, participants need specific knowledge of their learning results (feedback). Feedback must be specific, not general. Participants must also see a reward for learning. The reward does not necessarily have to be monetary; it can be simply a demonstration of benefits to be realized from learning the course. Finally, the participant must be interested in the subject. Interest is directly related to reward. Adults must see the benefit of learning in order to motivate themselves to learn the subject.

Reinforcement. Reinforcement is a very necessary part of the teaching/learning process;

through it, trainers encourage correct modes of behavior and performance.

Positive reinforcement is normally used by trainers who are teaching participants new skills. As the name implies, positive reinforcement is "good" and reinforces "good" (or positive) behavior. Negative reinforcement is normally used by trainers teaching a new skill or new information. It is useful in trying to change modes of behavior. The result of negative reinforcement is extinction -- that is, the trainer uses negative reinforcement until the "bad" behavior disappears, or it becomes extinct.

When instructors are trying to change behaviors (old practices), they should apply both positive and negative reinforcement. Reinforcement should be part of the teaching-learning process to ensure correct behavior. Trainers need to use it on a frequent and regular basis early in the process to help the participants retain what they have learned. Then, they should use reinforcement only to maintain consistent, positive behavior.

Retention. Participants must retain information from discussions in order to benefit from the learning. The trainers' jobs are not finished until they have assisted the learner in retaining the information. In order for participants to retain the information taught, they must see a meaning or purpose for that information. They must also understand and be able to interpret and apply the information. This understanding includes their ability to assign the correct degree of importance to the module.
The amount of retention will be directly affected by the degree of original learning. Simply stated, if the participants did not learn the module well initially, they will not retain it well either. Retention by the participants is directly affected by their amount of practice during the learning. Trainers should emphasize retention and application. After the participants demonstrate correct (desired) performance, they should be urged to practice to maintain the desired performance. Distributed practice is similar in effect to intermittent reinforcement.

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Transference. Transfer of learning is the result of training -- it is the ability to use the
information taught in the course but in a new setting. As with reinforcement, there are two types of transfer: positive and negative.

Positive transference, like positive reinforcement, occurs when the participants uses the behavior taught in the course. Negative transference, again like negative reinforcement, occurs when the participants do not do what they are told not to do. This results in a positive (desired) outcome.

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6.5 Management Troubleshooting Tips

The success and failure of any undertakings depends largely to the way it is being manage. The continuous interactions of diverse interests among people and organizations make management very challenging and difficult. However, the interplay of these interests is a given environment that the Project must deal with. In KALAHI-CIDSS Project, management problems are in the nature of people-performance, engagement with partners, teamwork, planning and others. These tips intend to perform two functions. First, it will deal with understanding the workers, partners and working relationship and the seemingly indefinable process called management. Second, it will deal with the techniques you can use to solve common problems. Remember that working relationship is dynamic and therefore techniques could change too. This is an on-going process. The Projects implementers (ACTs and the RPMOs) should know how to make things happen through others.

6.5.1 What is Management all about?

Lawrence Appley, President of the American The only reason for you to be there as manager/supervisor is to do everything Management Association, define management as in your power to help subordinates be as getting things done through others. He said, when successful as possible. You succeed only you do things yourself you are a technician, when when they succeed you get things done through others, you are a manager. Most of us in our day-to-day F.F. Fournies management role frequently change hats. At times we close the door and do things ourselves (technician things); at other times, when we open the door and do management things. Too frequently many of us fail however, because we spend more time doing things ourselves than getting them done through others. Sometimes this is because we dont know any better, other times it is because the organization imposes tasks on us that are not managerial tasks. To be successful as a people manager, we must recognize three very important basic facts about the role of a manager. 1. Management is getting things done through others; 2. You need your subordinates more that they need you; 3. You get paid for what your subordinates do, not for what you do;

6.5.2 How to get subordinates to do what they are supposed to do?

In a survey conducted with several managers ranging from foreman to president and including every function such as administration, research, marketing, and development works, the responses to this question were as follows: 1. 2. 3. 4. 5. 6. They dont know what they are suppose to do; They dont know how to do it; There are obstacles beyond their control; They dont know why they should; They dont think it will work; They think their way is better;

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7. Not motivated-poor attitude; 8. Personally incapable of doing it; 9. Not enough time for them to do it; 10. They are working on wrong priority items; 11. They think they are doing it (no feedback) 12. Poor management 13. Personal problems These are listed in the order they are usually given by managers. What is surprising about this is that when managers and supervisors try to solve individual non performance problems they rarely select this first answer as the place to start solving the problem. Another interesting aspect of the list is that only three items point to something inherently wrong with the subordinates, such as incapacity, poor attitude or personal problems. The majority of the reasons for nonperformance are obviously there because management didnt do something right. Most of the reasons appear to be the result of a communication problem- lack of direction and lack of feedback Frequently the problem is that supervisors and subordinates understand each others, but they are not talking about what they should be talking about. In other instances they are talking about the right things, but there is no understanding. Analysis of these obvious communication failures has revealed that one of the major reasons supervisors are not as effective as they could be (for the purpose of influencing others) is because they are operating with the wrong definition of communication. Most often, communication is merely defined as transmission of information which is incorrect. The basic elements of successful and effective communication are the sender, message, channel, receiver and feedback. Underemphasizing any of these elements would result to communication failure and misunderstanding. To complete the communication process, it is not enough to just deliver the message but ensuring that the receivers understand it by their feed back on how they understood it. For you to communicate effectively for the purpose of influencing others, you must recognize that communication between people is not information transmission but thought transmission. It is a process of getting a thought from your head to their heads.

6.5.3 How can we effectively manage meetings? Or TO MEET OR NOT TO MEET?

KALAHI-CIDSS being multi-stakeholder necessitate regular meetings to coordinate and harmonize several interests and activities of the Project. Involvement and participation of the major stakeholders is imperative for the Projects success. While Peter Drucker states that you can work or you can meet, you cant do both at the same time and that a manager spending more that 25 percent of his or her time meetings is a sign of malorganization it is not to say that when we meet too often and too carelessly is to say that we should not meet at all. At best, meetings are useful managerial tools for:

a. Getting out information in a simultaneous way to a select audience, with

opportunity for an on-the-spot questions and comments feedback session;

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b. Demonstrating and modeling the cooperative, inter-dependent work relation you

want to foster in the community and partner institutions;

c. Gathering and sharing input necessary for decision-making; 6.5.3.1 What are the different types of meetings?
Half of all the meetings we conduct are called mission meeting. This meeting is called to; a) make a decision; b) solve a problem, and; c) formulate policy. The other half is called process meeting that involves managing of information and people. The process meeting includes among others: a) information meeting- here information flow down from management, up from work units and across from unit to unit; b) team building meeting-here meeting leaders and participants demonstrate by example their strong desire to work as a team; c) transition meeting- here meetings bring together both those causing the change and those affected by it; d) orientation meeting- here participants learn whos who, and whats what, responsibility levels are assigned, changed and reinforced.

6.5.4.2 When should you NOT call a meeting?

The problem with meetings is that we always know when to call one, but we somehow do not know when it is better not to have one at all. Though meetings are important, the following should serve to guide when not to call one, along with suggestions on an alternative. It is probably better not to call a meeting if; 1. you have no clear agenda in mind; 2. youre relying on the meeting participants to come up with agenda items; (call participants well in advance of the meeting, then organize their suggested agenda items into logical agenda) 3. you want to spend the meeting getting answers to your questions from individual participants; (call the individuals) 4. you have other pressing things to do and could postpone the meeting without causing problems; 5. You plan to do all the talking in the meeting; (put your thought down in writing, perhaps in the form of extended memo. Ask recipients to call you if they have questions or concerns)

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6. You have already made your decision and want to convene the group merely as a rubber stamp; (again, use memo to communicate decisions and policies) 7. You want to get together simply to get together; (have a party, not a meeting!) 8. You need a meeting simply to show superiors youre doing something; (a bad meeting cant make a good impression.)

6.5.4.3 What right skills are needed for a successful meeting?

As a meeting leader, you have three important responsibilities. One is to guide the participants through the meeting in a way that will accomplish its purpose. The second is to encourage participation. And the third is to keep the meeting on track and on time. Here are some of the tips on how to do this: a. Before the meeting, plan and prepare the content, make up and distribute the agenda, and check out the room and equipment; b. At the start of the meeting, review the agenda and objectives and explain what role the participants have in the meeting; c. To encourage participation, ask open-ended questions, reinforce statements that highlight objectives and use examples to encourage the group to think along similar lines; d. To maintain control, ignore off-target remarks, ask questions related to the task at hand, and restate relevant points of the agenda; e. At the end of the meeting, summarize, state conclusions, and outline actions to be taken as a result of the meeting;

6.5.4 How does one determine and manage priorities?

We have wider things to do that cant be done in the same time or with same efficiency. One has to make several choices. First, what is most important? What is not? What has to be done first? Second, we must set up priorities. The best way is to write a list of all things to be done, rearrange them in order of importance, and changes or modify the list daily, weekly, or whatever is required. If you create a priority list, discuss it with your superior, and get his or her comments or suggestions. You may be surprised to find that there are other matters you are supposed to attend to, or that there are other things on your list for which you arent responsible. If you plunge ahead on your own and hope for the best, later events may reveal you left out an important item, or you spent an excessive amount of time on less important tasks, but you find out too late. Take time to write a priority list, check it out with the supervisor, revise it as the ebb and flow of daily action indicates, and keep your priorities straight and current. Most supervisors are happy to advise and guide you upward. All you have to do is ask. Your mission is the foundation of priorities. See the whole picture first, and then decide on what you needed to focus. When youre confident of where you should be headed, your priorities become clearer, and your actions take significant meaning. The complete equation looks something like this:

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Great Passion + Clear Mission = Focused Action 6.5.4.1 How can you set priorities among objectives and activities?
A rule of thumb for setting priorities among objectives and activities is: An objective or activity is imperative and has to be attacked first if it is not only important but also carries with it a sense of urgency or immediacy, especially if its urgency is tied to the important needs of others To determine how immediate or urgent an objective or activity is, the following tips will help in measuring immediacy. 1. What has to be done in order to accomplish the objectives? 2. What has to be done first in order that other things can happen? 3. What part of the process is the most complicated or the most difficult, or about which part of the process do I know least, and how long will it take to complete that aspect of the task? 4. Who needs this task completed, why it is important to him or her, and by when does he or she need it done or want done? 5. What would happen if I miss the deadlines set? What would be the negative consequences, if any, for me or for others? 6. How important is it that I meet the demands of the task, especially if the deadlines are set by someone else? Generally, there are five ways that supervisors and workers decide how to spend their time. The following are the styles. Take the time to determine which one best describes how you spend your time:

1. Urgent- Loud Things First

Youve no doubt heard the saying: the squeaky wheel gets the grease. Over time you will probably encounter a lot of squeaky wheels in the form of requests, suggestions, or complaints from people. Some of them will be valid and merit spending some of your time on them. But often, oiling the squeaky wheels in your organization and community isnt the best use of your time. Though its temptingspecially if you happen to be a people pleaser-you have to learn to discern which wheels really need grease, which ones can be greased by others, and which ones will squeak no matter what you do.

2. Unpleasant- Hard Things First

When we were young, many of us were taught to do the hard things first. Its the dinner before dessert mentality. There is some value in it, but just because something is hard doesnt mean it should be at the top of your to-do-list. You need to be able to check your motives. If you have strong work ethic, you may naturally want to get the harder things done first. But dont just start in on hard stuff before determining the value of your actions. If doing something easier is better use of your time, and then do that before you tackle a difficult task.

3. Unfinished- Last Thing First

Most supervisors work on a day-to-day schedule. And many times your to-do list is left partially undone at the end of the day. If you complete only eight of the ten items on your list, your tendency is to automatically place the remaining two items at the

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top of your list the following day. But thats not always the best use of your time. Chances are, if the two items were on the bottom of your list, they werent top priorities in the first place. And they wont necessarily be top priorities the following day either. Before you spend time completing an unfinished task from the day before, evaluate it in comparison to the other things you need to accomplish. If finishing the task is still not a top priority, place it at the bottom of your list again, and work on it after you finish more important items.

4. Unfulfilling- Dull Things First

If you subscribe to this notion, your tendency is to do the dull, mindless things first, but these things are rarely the most important.

5. Ultimate- First Things First

This is the concept of spending time only on what is ultimately needed to be done. Dont try to get more done in a day by doing easier or more appealing things. Stick with the most important and leave the rest to be done by others. Give your best timenow and every time- to your most important tasks. Although its admirable to be hardworking, its even more desirable to be smart working. The key to becoming a more efficient supervisor and worker isnt in checking off all items on your to-do list each day. Its in forming a habit of prioritizing your time so that youre always doing whats most important. When youre able to do that, it wont be long before you begin to exceed you expectations as a supervisor.

6.5.5 How does one effectively work with politicians?

A major and recurring challenge that usually confronts us is intervention from politicians. This cannot be evaded or avoided. We should learn how to work harmoniously with political leaders. We need their support and additional inputs. In fact many development workers achieved significant accomplishments by working with politicians. In general, politicians usually know more about what is going on in the community thus will decide who should benefit from available public resources. To achieve a good working relationship with politicians but prevent total elite capture, the following tips are suggested: 1. Maintain good lines of communication with them in order to develop and deepen mutual understanding and trust; 2. Be prepared to give politicians the credit for the good that happens in the Project. This takes many forms in practice, like announcing their contribution at the end of the project and asking them to announce the opening of a new project; 3. Be prepared to meet a politicians demand for actual patronage. However, when their recommenders performance turns out to be unsatisfactory, here are some useful ways to communicate with the sponsor: a. The fellow you sent me only shows up three days a week. Please replace him. b. He reports late, leaves early. Send me another. c. He is not physically well but he is willing to work. We will try him another month and see if his health improves.

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There are few advantages in entertaining patronage demand. It can improve coordination, support, and operations of the project. It will also broaden the choices with regards to those who will work in the Project. But if you want to fight a politician who wants to exploit you, here are some tips: a) Fight only on one front where you are likely to win; b) Seek to take advantage of whatever support you can muster among your clientele groups or from the media to put pressure on the antagonistic politician. But fighting back should be done carefully for the following reasons: a) It may only result in destroying your own effectiveness;
When asking for help, appeal to peoples selfinterest, never to their mercy or gratitude If you need to turn to an ally for help, do not bother to remind him of your past assistance and good deeds. He will find ways to ignore you. Instead, uncover something in your request, or in your alliance with him, that will benefit him, and emphasize it out of proportion. He will respond enthusiastically when he sees something to be gained for himself. Robert Greene

b) your superior might grow tired defending you, or; c) you might be relieved or transferred.

6.5.6 How can one do effective planning?

Planning is one of the most important functions of management. It provides direction and courses of action for the entire organization based on available and potential resources. It is a process of determining the needs, formulating the objectives, and identifying the outputs, activities and inputs needed by the Project. It defines what management and implementing staff should do and how they are going to do it.

6.5.6.1 Planning Tips 1. Begin with the End in Mind-create the future in your mind, imagine it. If the end
results or objective is clearly seen, activities, resources and strategies can be properly directed to achieve the desired objectives.

2. Plan all the Way to the End- The ending is everything. Plan all the way to it, taking
into account all the possible consequences, obstacles and twists of fortune that might reverse your hard work and give glory to others. By planning to the end, you will not be overwhelmed by circumstances and you will know when to stop. Gently guide fortune and help determine the future by thinking far ahead.

3. Manage Backward from the Future Rather than Forward from the Present. 4. Schedule uninterrupted time every day to do your planning. 5. Anticipate possible problems you could encounter in the project because of people,
material, or mechanical failures. Purposely provide preventive actions and contingency plans in important high risk situations;

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6. Each day anticipate the sequence of activities that you will do to attain the
objectives you are after.

7. Think about your entire week. How will important activities be sequenced? 8. Do your planning in paper to capture all of your ideas and to be sure none of them
get lost. We can only work mentally with about seven pieces of information without losing something. Write your thoughts down and you will be able to utilize everything you think of during your planning process.

9. Encourage your staff to create their own plan and then to explain it in detail to
you.

10. When starting a new activity, take a moment to quietly review, mentally, the steps
you will follow.

11. Set your own due dates for projects/activities earlier than the actual deadline; 12. Put schedules in writing. Publish them and follow them. 13. Create and use Gantt charts. 14. Create and use PERT/CPMs. 15. Stick Post-it-Notes on paperwork to indicate or highlight scheduling and due
dates.

16. Schedule formal planning meetings with your staff regularly; 17. Remember the 6Ps of Planning: Proper Prior Planning Prevents Poor Performance.

6.5.7 How to develop and work with strategies?

We make decisions every day that affect our long-term success. People talk about "strategy" but they have only a vague idea of how to use it to achieve success. The science of strategy teaches that success means achieving your goals in the easiest way possible. The purpose of strategy is not only to identify how to win but how to win easily with a minimum of risk. One way to think about strategy is as a powerful decision-making tool. The science of strategy came from the art of war, but its rules apply to any form of competitive environment. These methods apply to any challenges or competitive activity, including project implementation, career, and problems in your personal life.

6.5.7.1 What is a strategy?

Strategy is NOT a plan and not a "big idea." It is a well-defined process. Classical strategy consists of tools for analyzing your position, methods for identifying opportunities, and techniques for moving to new positions, and rules for using your positions to achieve objectives. The science of strategy provides a framework for understanding the complexities of situations. This framework starts with the five elements that define a competitive position. These elements are philosophy, the climate, the ground, leadership, and methods. The science of strategy analyzes positions using these five elements. The goal is not,

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however, simply analysis, but choosing the best possible action. We analyze positions to make the right decisions about what to do next. The larger context of this model is an economic view of the strategy. In terms of skills, aiming and movement are costly while claiming and listening generate benefits. The most costly form of movement is moving into conflict. Success is not only a matter of beating the challenges but making victory pay. Long term, your position must generate more benefits than the costs of selecting opportunities and pursuing them. Planning works on those little islands of stability where you can eliminate chaos. Our life isn't controlled. It is dynamic. We cannot predict what will happen. Planning was designed for controlled situations, and strategy was designed for dynamic situations; The best time to deal with bad situations is before they happen. Your own missteps hurt your progress much more than any rivals can hurt you. One of the most common missteps is overreacting to a threat or challenge. Know the rules, and recognize the moves that are most likely to get you into trouble and avoid them.

6.5.7.2 Strategy Making Tips

1. Use participatory approach to strategy making where possible; 2. Recognize the importance of thorough and accurate assessment of the current situation. A strategy will only be as good as the analysis on which it is based; 3. Strategy should be designed to provide the Project with a distinctive competitive advantage in the long term. Never lose sight of that imperative; 4. Strategic goals serve as targets for achievement. Make sure they are measurable, specific and realistic; 5. Strategy is meaningless if it is not implemented well. Ensure that you plan for implementation all along the way; 6. Never underestimate the importance of control. It is the only means of ensuring that the Project is on track;

6.5.7.3 Tips for Executing a Strategy

According to a recent Ernst and Young study, a full 66% of strategy is never executed. It is because as we all know, doing something new is hard. Organizations, and the units within them, must overcome long-standing traditions, conflicting interests, poor communication channels and untold other devils lurking deep within the bureaucratic culture. The seeds of execution problems are planted early, often during strategy formulation. The lesson here is clear: the process of defining and designing the strategy cannot be seen as distinct from creating the plan to execute it. Broad inputs from different stakeholders are necessary not only to lay out the best strategy but also in developing sense of ownership and buy-in. Yet despite executions inherent difficulties, the Project has no choice but to implement it. The following tips from Robert Neimans Execution Plain and Simple: 12 Steps to Achieving Any Goals on Time and on Budget may help you gain buy-in and focused action from your team:

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1. Design a strategy execution plan; 2. Take personal responsibility for supporting your Projects strategy; 3. Define your execution assignment in writing; 4. With your team, decide how youll carry out the assignment in practical terms; 5. Refine the plan with input from your top performers and key stakeholders; 6. Carry out the plan; 7. Build schedules, budgets and controls; 8. Make realistic, achievable demands; 9. Follow up without driving people crazy; 10. Tackle tough issues; 11. Apply your political know-how to gain the support of people whose cooperation you need but over whom you have no formal authority; 12. Use creative problem-solving on surprises;

6.5.8 IMPLEMENTATION: Practical Tips on How to Get Things Done!

6.5.8.1 After-Action ReportWhen your meeting is over (e.g. RPMT, MIAC, Bas, MIBF, etc) before you packs up, sit down in q quiet corner and make two lists: (1) everything you did right, (2) everything you did wrong. Such a report should be made on any significant activity that is going to recur in the future. Memory is treacherous and after it is over, you will have forgotten the valuable lessons you learned this time around. Your brief record of what happened and why, including recommendations for how to do it better and more quickly next time can save a lot of time and energy.

6.5.8.2 BottlenecksThis can occur in an organization of any size whenever a key person fails to take essential action, whether because of indecision, laziness, mistaken priorities, stubbornness, or overwork. If you are a victim of bottlenecks created by your boss or by others in the organization over whom you have no authority, what can you do? Plenty. You dont have to be a victim. Here are five suggestions:

a. Be a squeaking wheel- remind, hint, beg, cajole, plead, write memos. Stop
muttering to yourself and take some action. Keep in mind that to get anything done in this world you must be willing to make a nuisance of yourself if thats what it takes. One thing that can make this process palatable is to get advance permission to nag. For example, you might say, Boss, the deadline for the monthly report always seems to sneak up on us. I know how busy you are-would it be helpful to you if I remind you about the twenty-fifth of the month so you can start getting your materials together? Any boss will agree to that, of course, so now you have the mandate to initiate action: Boss, you wanted me to remind you about the monthly report. Todays the twenty-fifth. Is there anything I can do to help you?

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b. Announce that you will take action unless.If you cant bypass the system
but dont want to be stymied by delay, write a memo saying, Unless I hear from you to the contrary, here is what I plan to do This saves time for everyone involved, protects you from repercussions, and enhances your reputation as a doer.

c. Make it a matter of honor. When someone promises get a task done by a certain
date and you suspect they wont, just ask, can I have your word on that? Its surprising what a difference that simple little query makes. It signals to the other person that you are serious about the deadline. Having given their word, they have a sense of obligation that they otherwise wouldnt have.

d. Use Positive Reinforcement. On those occasions (and they may be rare) when
people do something to you on time, dont take it for granted. Thank them profusely let them know how much you appreciated their promptness. Lay it on thick. Give them the reputation to live up to. Of all the techniques for changing the behavior of others, this is the most powerful-and the least used.

6.5.8.3 Correspondence
How to handle correspondence quickly and efficiently: 1. Have incoming mail screened and sorted, if possible. If you open your own mail, sort as you open ( with wastebasket close at hand); 2. Handle each letter only once. Avoid paper shuffling. Do whatever has to be done (checking, forwarding, phoning, replying) immediately instead of postponing action. A good phrase to keep in mind is the 3-Ds: do it, delegate it, or ditch it. 3. If a brief reply is possible, write it on the incoming letter or memo, and fax or mail it back to the sender. Or make a photocopy for the file and return the original; 4. Use form letters and paragraphs for routine correspondence; 5. Use electronic mail or voice mail instead of paperwork whenever is possible; 6. If you have long memo, make an outline before writing; 7. For internal correspondence, try speed-letter forms with space for reply; 8. Dont write when a phone call will do. Especially if there is something to be negotiated or ideas to be exchanged. Use memos primarily to announce, to remind, to confirm, or to clarify; 9. Use short, terse words. Dont perpetuate polysyllabic obfuscation.

6.5.8.4 Days End

Make it a habit to end every workday by doing three things: 1. Tidy up. Never sentence yourself to start the next day with the ultimate downer, a messy desk.

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2. Evaluate your day. Mentally give yourself a grade. Ask yourself such questions as Was I proactive or reactive? Did I initiate or just respond? Did I establish a major goal for the day-and did I reach it? Did other people intrude unduly on my time, and if so how did I respond? Was I guilty of wheel-spinning activities at any time during the day? If I could live this day over, what would I do differently? 3. Plan the next days activities. Dont leave work with only the hazy idea of what youll do tomorrow. Crystallize your intentions by writing them. Youll sleep better knowing that you dont have a lot of ill-defined loose ends to take care of, and when you arrive at work tomorrow morning youll get off to a running start.

6.5.8.5 How to deal with Unfinished Business

In baseball, victory is determined not by hits but by runs. The team that gets a runner to third base and no further doesnt get credit for three-quarters of a run. Its that way with a task. Getting started is fine and carrying it forward is fine, but until the task is completed, you havent done what you set out to do. Yet many people form the habit of working for a while on a project, then setting it aside, kidding themselves into thinking that they have accomplished something. All they are doing is leaving men stranded on base. Once you start something, finish it. Dont accumulate a backlog of half-finished projects. In the words of William James, nothing is so fatiguing as the eternal hanging on of an uncompleted task. Of course there will be times when the task is too large to be completed at one time. How do you handle those situations? Simple. You divide and conquer. Break the task down into small, manageable segments (preferably in writing) and assign yourself to complete action on one segment before stopping. Then, instead of feeling that you are leaving a lot of loose ends when you put the task aside, you will feel that you have completed one phase of the project and are ready to begin the next.

6.5.8.6 Logbooks
It is better to have a short pencil than a long memory. Keep a logbook to enter the major events of your days work. Usually, five or ten minutes at the end of each business day is all that is required. The following are some of the advantages: 1. A logbook, over the long run, is your own evaluation of your progress. You can read it every month or so and assess if youre doing the right things or not. 2. It is a good place to record events, items or directions you were given verbally that later may be forgotten or misinterpreted; 3. A logbook is a handy reference if you have to write a report or chronology to explain events that developed over a longer period of time; 4. The logbook is also a record of when someone reported for work, was transferred, or resigned.

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It is to your advantage to start and maintain a logbook if you have not already done so, and keep it up to date. You never know when such a simple thing can be of tremendous help to you and to the Project.

6.5.8.7 Crisis Management

Not all crisis situations are dramatic. Commonplace events such as new work procedures, unpopular supervisory actions, problematic staff, uncooperative partners, etc can all provoke a crisis in the workplace. To deal with this, Practical Supervision offers these guidelines: Understand the precise concerns and needs of those affected by what has happened; Get your supervisor to help support you- youll need his experience and a fresh perspective on the problem; Be calm and even-handed when trying to resolve the problem. Remember that everyone wants a resolution; Dont force anyone into a corner. You may have to issue ultimatums at some point. But look at all other options first; If you have to resolve the crisis through unpopular decisions and actions, take them all at once. One bombshell is easier to deal with than an on-going series of unpopular remedies.

6.5.8.8 Coordination
The success of a project in reaching its goal depends upon the ability of supervisors and managers to coordinate individuals, staff, participating agencies and groups. Achieving effective coordination, however, is never easy. First, those who need to be coordinated often have contrasting perspectives on the problems at hand and differing interest to be served. Second, those managers responsible for coordination often do not have the power to force compliance, and therefore must rely on persuasion and influence rather than institutional authority. Third, a variety of coordination strategies are potentially available, but the appropriateness of a given strategy depends upon the specific situation and contextual variables. Coordination emerges as a problem because tasks, especially in project, have multiple interdependencies. The nature of interdependencies can vary. Some are tightly drawn and involve people interacting with each other; others do not depend on interaction, but rather on making sure that there is a proper sequence of activities. The first step in designing coordination is for the management team to decide early in the projects life which functions and tasks are central to achieving objectives and thus must receive close coordination. The second step is to consider the range of approaches to coordination that are available and how each might be deployed. There are three categories of approaches to coordination: procedures, processes, and structures. Procedural changes include requiring sign-offs on files, notification, routing of bulletins. Processes involve establishing such groups as committees, task forces, and other more informal systems of coordination. Finally, structural approaches include crating liaison positions, or instituting an actual reorganization, either of which will change the lines of authority and information flows in the organization.

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Those who are responsible for coordination often think first about structural change, and design various organizational changes. Since reorganization can be very stressful, it should usually be considered last rather than first. Because learning and experimentation are part of the project management process, flexibility is important. For this reason changes in procedures and processes are usually preferable.

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