Kalahi CIDSS Project Manual

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SUB-MANUAL

CEAC Field Guidefor KALAHI-CIDSS Area Coordinating Teams


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SUB - MANUAL

Field Guide

COMMUNITY EMPOWERMENT ACTIVITY CYCLE

Kapit-Bisig Laban sa Kahirapan – Comprehensive and Integrated Delivery of Social Services

KALAHI-CIDSS PROJECT

05 March 2012


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Field Guide for KALAHI-CIDSS Area Coordinating Teams i

INTRODUCTION

This document is a sub-manual to the Operations Manual of the Kapit-Bisig Laban saKahirapan – Comprehensive and Integrated Delivery of Social Services or KALAHI-CIDSS

(KC) Project. It is a field guide to help you facilitate Community-Driven Development

(CDD) through the enhanced KC Community Empowerment Activity Cycle (CEAC). Pleasenote 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” doesnot work, and that the role of so called “development actors” is not to bring developmentto 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 tonurture and build on this potential so that, in the end, the people will say, to paraphrase

a bit of ancient Chinese wisdom, “We have done it ourselves!” .

This field guide provides you with the broad overview of CDD as applied by the KALAHI-

CIDSS Project through the CEAC, along with specific guidance that will help you, theArea Coordinating Team (ACT, facilitate the many different components that go alongwith implementing the CEAC’ s many activities.

The use of the word “guidance” rather than “instruction” is also deliberate. These notes

are design to lay down the general, minimum requirements for each major activity in the

CEAC. It cannot and does not pretend to have precise applicability in all situations. Youare expected to develop implementation processes according to context-specific

conditions. This is a prime requirement of Community-Driven Development (CDD)

efforts. You should also bear in mind that while the Area Coordinating Team (ACT) actsas 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, theCEAC is expected to evolve according to the specific conditions within each municipality,

barangay, and community. This document should serve to guide you through thisprocess of evolution in the course of the three-year KALAHI-CIDSS engagement in themunicipality 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 youwith at least a broad outline of how to plan and manage this evolution, then it wouldhave achieved its purpose.

Additional, more specific guidance on to implement specific activities along the

Community Empowerment Activity Cycle or the CEAC are contained in a separate

Toolkit, where you can find various instruments that you can use in the many activitiesyou will implement.

On a last note, while facilitating the CEAC is the task of all, the ACT performs a very

important “conducting

” role. Bear in mind that while the conductor does not make the

individual sounds, he or she does guide how and when the sounds are played, and thus,in a real sense, “create” the music.


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ii Field Guide for KALAHI-CIDSS Area Coordinating Teams

HOW TO USE THIS DOCUMENT

This is a basic project document for all ACT members, but most especially for the AreaCoordinators and the Community Facilitators. This field guide is divided into six

chapters. Each chapter is further divided into smaller sub-chapters. This guide adoptsthe “question – answer” format to make the flow of information easier. You are advised

to read and familiarize yourself with the entire manual. For details on particular topics ofinterest, you may also refer to specific chapters.

Chapter 1 gives the broad overview of the KALAHI-CIDSS Project, while Chapter 2

discusses the Project Oversight and Implementation Management structures. Chapter 3discusses in detail the CEAC, the basic implementation process for implementing the KC

Project in the municipality. Chapter 4 discusses the Project’ s Grievance Redress System

or GRS, while chapter 6 discusses in detail the strategies that the Project employs toensure greater sustainability of Project interventions. Lastly, chapter 6 provides a

detailed discussion of the “Makamasang Tugon” LGU-led incentive cycle for good

performing LGUs who successfully graduate from the three CEAC cycles.

This field guide deals primarily with the social processes involved in the Project. In orderto completely understand KALAHI-CIDSS Project, it is necessary that you read other

project-related manuals on:

ü Project Operations Manual and Sub manuals on:

• Rural Infrastructure

• Community Finance• Community Procurement

• Grievance Redress• Organizational Development and Management

• Simple Economic Analysis, among others

Finally, please take the time to study other materials on CDD and facilitation of

participatory development processes from other agencies and/or sources. The Internet is

a resource for additional readings on development. You may also visit other governmentagencies working in rural development, or on the internet, particularly the websites ofthe World Bank (WB) and its Knowledge Development Centers (KDCs). There are a lotof good materials there for further understanding rural poverty, and CDD.

Remember that learning needs effort and discipline. You must be motivated to discovernew things. This strong desire to learn is important in order to prepare you in meetingthe community members.


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Field Guide for KALAHI-CIDSS Area Coordinating Teams iii

LIST OF ACRONYMS

AC - Area Coordinator

ACT - Area Coordinating Team

AR - Accountability Review

ARB - Agrarian Reform Beneficiaries

ARC - Agrarian Reform Communities

BA - Barangay Assembly

BAP - Barangay Action Plan

BAWASA - Barangay Water Users Association

BC - Barangay Council

BDC - Barangay Development Council

BDP - Barangay Development Plan

BRT - Barangay Representation Team

BSPMC - Barangay Sub-Project Management Committee

CAA / CAB - Conflcit Affected Area / Conflict Affected Barangay

CBE - Community Based Monitoring

CBIS - Capacity Building and Implementation Support

CBL - Constitution and By-Laws

CBMT - Community-Based Monitoring Team

CBO - Community-Based Organization

CDD - Community -Driven Development

CDP - Comprehensive Development Plan

CEAC - Community Empowerment Activity Cycle

CENRO - Community Environment and Natural Resource Officer

CF- Community FacilitatorCO - Community Organizing

CSW - Criteria Setting Workshop

CV - Community Volunteer

DA - Department of Agriculture

DAC - Deputy Area Coordinator

DAR - Department of Agrarian Reform

DBM - Department of Budget and Management

DepED - Department of Education

DILG - Department of the Interior and Local Government

DOF - Department of Finance

DOH - Department of HealthDRR - Disaster Risk Reduction

DSWD - Department of Social Welfare and Development

FAP - Foreign Assisted Project

FGD - Focused Group Discussion

GRS - Grievance Redress System

ICC - Indigenous Cultural Community

IP - Indigenous People


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iv Field Guide for KALAHI-CIDSS Area Coordinating Teams

LIST OF ACRONYMS

KALAHI-CIDSS

-

Kapitbisig Laban sa Kahirapan - Comprehensive and Integrated

Delivery of Social Services

KC - KALAHI-CIDSS

KCAF - KALAHI-CIDSS Additional Financing

KDC - Knowledge Development Center

KDP - Kecamatan Development Program

KPI - Key Performance Indicator

KRA - Key Result Area

LCC - Local Counterpart Contribution

LDC - Local Development Council

LDIP - Local Development Investment Program/Plan

LET-CIDSS

-

Localized Decision Making, Empowerment, Transparency, Community

Prioritization, Inclusiveness, Deman-Driven, Simple, and Sustainable

LGC - Local Government Code

LGU - Local Government Unit

LSB - Local Special Bodies

M&E - Monitoring and Evaluation

MAC - Municipal Area Coordinator

MAO - Municipal Agriculture Officer

MCT - Municipal Coordinating Team

MDAC - Municipal Deputy Area Coordinator

MDC - Municipal Development Council

MFA - Municipal Finance Analyst

MHO - Municipal Health Officer

MIAC - Municipal Inter-Agency Committee

MIBF - Municipal Inter-Barangay Forum

MIBF-EC - Municipal Inter-Barangay Forum Executive Committee

MLGOO - Municipal Local Government Operations Officer

MLGU - Municipal Local Government Unit

MM - Municipal Monitor

MOA - Memorandum of Agreement

MPDC/O - Municipal Planning and Development Coordinator/Officer

MPIP - Municipal Project Implementation Plan

MSC - Municipal Steering Committee

MSIT - Multi-Stakeholder Inspectorate Team

MSWDO - Municipal Social Work and Development Officer

MT - Makamasang TugonMTF - Municipal Trust Fund

MTPDP - Medium-Term Philippine Development Plan

NAPC - National Anti-Poverty Commission

NCIP - National Commission on Indigenous People

NEDA - National Economic Development Authority

NGA - National Government Agency/ies

NGO - Non-Government Organization


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Field Guide for KALAHI-CIDSS Area Coordinating Teams vii

TABLE OF CONTENTS

INTRODUCTION i

LIST OF ACRONYMS ii

CHAPTER 1: OVERVIEW OF THE KALAHI-CIDSS PROJECT 11.1 What is the KALAHI-CIDSS Project? 3

1.2 Why KALAHI-CIDSS? 3

1.3 What are the over-all development objectives of the KALAHI-CIDSS Project? 4

1.4 What are the principles that guide the project? 5

1.5 How will the KALAHI-CIDSS Project attain its objectives? 6

1.6 What does the KALAHI-CIDSS aim to achieve by these strategies? 7

CHAPTER 2: OVERSIGHT, IMPLEMENTATION, AND COORDINATIONSTRUCTURES

11

2.1 What is the KALAHI-CIDSS Implementation and coordination structure? 132.2 What is the Area Coordinating Team? 16

2.3 What roles and functions do members of Local Government Units play in the

KALAHI-CIDSS Project?

18

2.4 How are communities engaged in the Project? 20

CHAPTER 3: OVERVIEW OF THE COMMUNITY EMPOWERMENT ACTIVITY

CYCLE (CEAC) 23

3.1 What is the Community Empowerment Activity Cycle? 25

3.2 What is the “Makamasang Tugon” (MT) cycle? 28

3.3 What are the stages of the CEAC, and the activities in each stage? 29

3.4 How will vulnerable groups be engaged in the CEAC? 34

3.5 What are the objectives, expected outputs, and requirement for each stage? 363.6 How does each stage progress across cycles? 40

CHAPTER 4: GRIEVANCE REDRESS SYSTEM (GRS) 45 4.1 What is the Grievance Redress System? 47

4.2 What are the principles of the GRS? 47

4.3 What are the common bases for grievance in the Project? 48

4.4 What are the different types of grievances? 49

4.5 What is the grievance handling process? 50

CHAPTER 5: SUSTAINABILITY 53 5.1 What is sustainability? 55

5.2 How do we ensure sustainability of CDD interventions? 55

5.3 Institutionalization 56

5.4 Promoting Inter-Agency Convergence for Community-Driven Development 60

5.5 Organizational Formation, Development and Community-Based Organizationstrengthening

63

5.6 Sustainability Evaluation for Completed Sub-Projects 73

5.7 Sustainability Planning 76


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viii Field Guide for KALAHI-CIDSS Area Coordinating Teams

CHAPTER 6: HARMONIZING CDD WITH THE LGU PLANNING PROCESS

THROUGH THE MAKAMASANG TUGON81

6.1 What is “Makamasang Tugon” 83

6.2 What are the goals and objectives of MT? 83

6.3 Who are eligible for MT? 83

6.4 What are the features/components of MT? 836.5 How are municipalities enrolled into MT? 86

6.6 How is MT implemented? 87

6.7 What is the role of the Municipal Monitor in MT? 87

TOOLKIT

Introduction 87

Facilitating Social Preparation Activities 89

Guide to facilitating the KALAHI-CIDSS Municipal Orientation 95

Guide to conducting Social Investigation 103

Guide to facilitating Barangay Assemblies in the KC Project 115

Guide to conducting the 1st Barangay Assembly 121

Guide to conducting Participatory Situation Analysis 129

Guide to facilitating Community-Based Monitoring and Evaluation in KC 165

LIST OF FIGURES

Figure 1 : KALAHI-CIDSS Logo 3Figure 2 : Project Management Structure 13

Figure 3 : Community Empowerment Activity Cycle (CEAC) 25Figure 4 : CEAC 3 cycle progression 26

Figure 5 : Social Preparation Activities 29Figure 6 : Project identification, selection, and planning activities 30Figure 7 : Project approval activities 31

Figure 8 : Project implementation, operation, and maintenance 33

Figure 9 : Transition activities 33Figure 10 : KC Institutionalization Framework 57

Figure 11 : Inter-Agency Convergence Framework 60

Figure 12 : Municipal Inter-agency Convergence Structure 61Figure 13 : Makamasang Tugon Framework 83

Figure 14 : MT Key Features 85Figure 15 : Process for selecting MT MLGUs 87

LIST OF TABLES

Table 1 : KALAHI-CIDSS (KC) Results Framework 7

Table 2 : KC Intermediate Outcomes by component 8

Table 3 : Roles and Functions of ACT members 17Table 4 : Progression of Objectives and ACT-LGU roles across 3 CEAC cycles 26

Table 5 : Objectives, expected outputs, and requirements per CEAC stage 36

Table 6 : Progression of each CEAC stage across 3 cycles 40Table 7 : Community Volunteer (CV) groups formed along the CEAC 64

Table 8 : Criteria and Indicators for MT eligibility


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Field Guide for KALAHI-CIDSS Area Coordinating Teams ix

LIST OF BOXES

Box 1 : Who are the Poor? 3

Box 2 : KC adopts people-centered values 4

Box 3 : Principles as guides to action 5

Box 4 : What is CDD? 6Box 5 : Essential elements of a team 16Box 6 : Is technical assistance a violation of community decision making? 48

Box 7 : What is the role of CBOs in CDD? 64

Box 8 : The Vision, Mission, and Goal (of organizations) 68Box 9 : Elements of a good organizational plan 68


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Field Guide for KALAHI-CIDSS Area Coordinating Teams 1

CHAPTER 1

THE KALAHI-CIDSS PROJECT

What is the KALAHI-CIDSS Project?

Why KALAHI-CIDSS?

What are the over-all development objectives of the KALAHI-CIDSS Project?What does the KALAHI-CIDSS aim to achieve by these strategies?

What are the core principles of the KALAHI-CIDSS Project?


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2 Field Guide for KALAHI-CIDSS Area Coordinating Teams

FOR THE AREA COORDINATING TEAM

This serves as an introduction to the Kapit-bisig Laban sa Kahirapan-Comprehensive and

Integrated Delivery of Social Services (KALAHI-CIDSS Project).

SUMMARY

This chapter is divided into eight sections. The first part begins with a discussion of whatKALAHI-CIDSS Project is about. The second part talks about the importance of the

project in the government’ s effort to reduce poverty in the provinces. The third partdiscusses the objectives of the project. The next part talks about the ways on how to

achieve the stated objectives.

The fifth part discusses the aims of the strategies. The succeeding parts talk about theprinciples and structure of KALAHI-CIDSS Project. The last part discusses the roles

eand functions of Local Government Units (LGUs) in the success of the project.

IMPORTANT REMINDERS

Look at other documents. Some important information is found in the ProjectAppraisal Document (PAD), Project Operations Manual and the Local Government Code.

Read them for complete information on the design of KALAHI-CIDSS Project.

Update yourself. For updates about KALAHI-CIDSS Project, please check the website of

the Department of Social Welfare and Development (DSWD) at www.dswd.gov.ph.However, all official updates or strategic adjustments and innovations on the Project will

be duly communicated through written administrative or department memorandum.

Apply the concepts. Each member of the ACT should study how these concepts and

principles apply in the context of their specific tasks and duties in line with each other’ s

specific function.

http://www.dswd.gov.ph/http://www.dswd.gov.ph/


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1.1 What is the KALAHI-CIDSS Project?

KALAHI-CIDSS stands for the “Kapit-bisig Laban saKahirapan – Comprehensive and Integrated Delivery of

Social Services. It is the main poverty reduction program

of the Government of the Philippines that seeks to applyparticipatory, community-led and community-driven

approaches proven to be effective in community

development work. KALAHI-CIDSS consolidates thelessons and strategies applied by two national programs

that have manifested a high degree of effectiveness in

poverty alleviation as compared to other state-ledinitiatives: the Comprehensive and Integrated Delivery of

Social Services (CIDSS) Program of the DSWD of theGovernment of the Philippines, and the Kecamatan

Development Program (KDP) of the Government of

Indonesia.

The Medium-Term Philippine Development Plan (MTPDP) 2004-2010 identifies KALAHI-CIDSS as one of the main government programs on community empowerment and

poverty reduction (MTPDP Chapter 12). The most recent Philippine Development Plan

(PDP) for 2011 to 2016 further emphasizes the need to expand the community-drivendevelopment strategy of the KALAHI-CIDSS (Chapter 8, Philippine Development Plan2011-2016), where empowerment is promoted through active community participation

during the design, implementation, and management of development activities that aimto reduce poverty and place control over resources in the hands of the community

especially the poor.

1.2 Why KALAHI-CIDSS?

There remain a lot of poor people in the Philippine countryside. The poor is unable to

meet basic needs required for a decent quality of life because of, among others:

ü Low farm harvests, high farm inputs thereby producing less income

ü Unavailability of employment and the absence of facilities to help increasecurrent income levels

ü Absence and/or restricted ownership of lands.

Fig. 1 KC Logo

Who are the POOR?The poor are those members of the community who aredeprived of …

P articipation in decision-makingO pportunities and access to basic servicesOwnership of assets to allow sustained incomeResources to meet basic needs

Box 1 Who are the poor?


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ü Natural and man-made disasters

that affect life and livelihoodactivities.

ü Limited/no access to basic

services leading to poor healthconditions, low literacy, and

others;

ü graft and corruption andunresponsive governance;

ü Pervasive powerlessness of thepoor, Indigenous People, Women

and Children, the Elderly, and

others.

Poverty can be characterized as a condition

of deprivation, where poor people are deniedparticipation in decision making on policies

that affect their day to day life, opportunities and access to the most basic of socialservices, ownership of assets that can be used to create wealth, and resources to meet

basic needs.

As can be gleaned from above, the poor’ s lack of participation and control in improving

their current state make the poor, poorer. This underscores the need to focus onimproving avenues and processes for direct participation of the poor in developmentactivities, and improving governance, as necessary requisites to sustained poverty

reduction.

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

Project?

As outlined in the Kalahi-CIDSS Project Operations Manual (version 20 April 2011), the

Project will contribute to three goals: (a) reduced poverty; (b) improved participatorylocal governance; and (c) improved social capital. KALAHI-CIDSS’ s contribution to the

three goals will be achieved through the attainment of the following Project objective:

“Communities in targeted poor municipalities are empowered to achieve

improved access to sustainable basic public services and to participate in more

inclusive Local Government Unit (LGU) planning and budgeting” .

In support of this objective, the Project shall aim to;

Empower local communities by developing capacities of community members and

instituting community-based mechanisms that will allow the people to decide on issuesaffecting their own development. Vulnerable groups like the women, Indigenous

Peoples, farmers, fisher folk, and communities in conflict are given priority by including

them in the decision-making process especially on matters pertaining to allocation anduse of resources.

Improve local governance, (both at the barangay and municipal levels), byrevitalizing mechanisms that encourage community consultation, transparency and

accountability, especially on processes around local development planning and the use oflimited resources to address community-identified local priorities, following the principles

“The KALAHI-CIDSS will adopt people-centered

approaches to problem solving. It will fosterthe movement of actors from being mere

"subjects" who are passive beneficiaries ofstate assistance, to becoming active citizenswith rights and responsibilities who takecontrol of their destinies. At an institutionallevel, the project design will take into account

the ways in which unequal access to politicaland 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 toidentify the current obstacles and suggest new

ways of dealing with winners and losers in thedevelopment process.”

Project Appraisal DocumentAugust 23, 2002

Box 2


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of good governance as mandated by the Local Government Code or LGC (Republic Act

7160).

Reduce Poverty by providing funds for projects that the community itself identifies,

designs, and implements, based on priority needs identified by the communitiesthemselves. It is assumed that with empowered communities and improved local

governance, development projects implemented by communities will be relevant,

successful and sustainable.

1.4 What are the principles that guide the Project in theoperationalization of the strategies?

As a community-driven development Project, the implementation of KALAHI-CIDSS andconsequently, your actions and the activities which you will design and facilitate, should

be guided by the following principles, with the acronym LET-CIDSS:

Localized decision-making

The Project allows community members todiscuss and decide on important issues thataffect them including the formulation andimplementation of projects and otherinterventions that will address problems they

themselves identified. The Project guaranteesthat communities are the ones that prepare

and prioritize community projects for funding.

Empowering

The Project invests heavily on capacity-

building activities of the communities in analyzing local conditions; designingappropriate development interventions; and implementing development projects. This is

undertaken throughout the KC Community Empowerment Activity Cycle (CEAC), a fivestage, multi-activity learning process where communities realize the use of their

individual and collective strength; acquire and develop community project management

skills, and increase their confidence in engaging local governments in periodic dialoguesto improve resource allocation and better provision and delivery of basic services.

Transparency

The Project engages active participation

from community members which is avital prerequisite to the success of all

project activities and interventions. This

engagement is seen for example, in

their participation in barangayassemblies. It is in these assembliesthat people are informed on the

physical and financial status of the

community projects and consulted oncommunity issues or problems, which

promotes responsibility and

accountability. The NGOs and mediaacts as independent monitors and the Grievance Monitoring and Resolution Mechanism

are features that support the project’ s transparency objective.

A Principle is a Guide to ACTION!

Each member of the ACT should strive not onlyto learn these principles by heart, but to also

study how these principles apply in the context

of their specific tasks and duties in line witheach one’ s specific function. These Principles

serve as the parameters for how you should i)

implement the numerous development processes and activities of the project and; (ii)

evaluate the effectiveness of processesundertaken.

Box 3 Principles as guides to Action


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Community Prioritization

The Project requires communities to participate in problem analysis, project

identification, development, implementation and monitoring. Community membersparticipate in deciding on which/what projects are to be prioritized for funding.

Inclusive and Multi-stakeholder

The Projects wants all stakeholders such as formal and traditional leaders, the differentsectors in the community and other individuals, groups or organizations to participate.

By expanding participation, the Project prevents or minimizes the emergence of a select

few “elites” who can appropriate and control the decision making process for their ownbenefit, to the detriment of others. This is why traditionally marginalized groups, such as

women and indigenous people, are given priority in all project activities.

Demand-driven

The Project calls on community members to participate in prioritizing their own needs

and problems; designing their own projects and making decisions on how resources will

be used. It is believed that projects that are developed and implemented by thecommunity have better outcomes and are made more sustainable. Project ownership is

also achieved because the community members themselves identified, developed, andimplemented the project.

Simple

The Project underscores simplicity in all procedures and requirements to promote betterunderstanding and appreciation.

Sustainable

The Project ensures that community projects have viable plans for sustainability. With

reference to Kalahi-CIDSS, viability and sustainability reflect the capacity of community

projects to continue to deliver intended benefits over a long period beyond the life of theproject.

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

The KALAHI-CIDSS Project uses theCommunity-Driven Development (CDD)

approach as its over-all communitydevelopment approach and strategy. The CDD

approach ensures that development priorities

are addressed in a participatory, collective,inclusive, and in demand-driven way. This is

done through localized decision-making during

social preparation activities, and in theidentification, development, prioritization,

establishment, and operationalization of

community projects.

The following are the key elements of the KCCDD approach:

“What is Community-Driven

Development? ”

CDD is a development approach that gives control ofdecisions and resources to community groups. These

groups often work in partnership with demand-responsive

support organizations and service providers, including

elected local governments, the private sector, NGOs, andcentral government agencies.

CDD is a way to provide social and infrastructure

services, organize economic activity and resource

management, empower poor people, improve governance,

and enhance security of the poorest.

World Bank

Box 4 What is CDD?


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1. Facilitated social preparation using highly participatory and inclusive processesand activities that (i) mobilize communities on situation analysis, projectidentification, design, approval, and implementation, and; (ii) promote

transparent and socially inclusive decision-making, multi-stakeholder and civilsociety participation, and gender equity.

2. Conduct of capacity-building activities among communities and participating localgovernment units (LGUs).

3. Provision of matching grants to fund community projects identified, prioritized,

implemented, and maintained by communities with LGU and KALAHI-CIDSS

technical assistance. The amount of indicative grant funds available tocommunities is at 450,000 pesos multiplied by the number of barangays within

the municipality.

4. Institutionalization of the KALAHI-CIDSS CDD strategy within the local planning

and budgeting cycle and processes of LGUs through capacity-building of localofficials and staff, and promotion of participatory development practices. This

includes provisions of a fourth cycle, called “Makamasang Tugon” , where

deserving LGUs identified through a merit-based enrollment process are givenopportunities to further embed participation, transparency, and accountability in

local governance systems;

5. Complementation and convergence of programs and resources of national

government agencies, NGOs and Civil Society Groups, the private sector, andlocal organizations, to support community priorities, and;

CDD is operationalized in the Project through the Community Empowerment ActivityCycle or CEAC. This is a five stage, three cycle community mobilization process that

walks both local communities and the LGUs through (i) community-led investigation oflocal poverty and its causes; (ii) development of interventions identified through

informed analysis; (iii) criteria-based selection of projects for implementation; (iv)

community-managed implementation of community projects, and: (v) community-baseevaluation of results. The CEAC is discussed in detail in Chapter 3,

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

Through the strategies outlined above, the Project shall work towards achievement ofthe goals, objectives, and outcomes represented by the Results Framework below;

Table 1 KC Results Framework

Project Goal:

Target poor municipalities achieve improved performance on (a) poverty reduction, (b)participatory local governance, and (c) social capital

Key Impact Indicators:

· Improved core local poverty indicators in project municipalities, compared to without-project municipalities

· Higher percentages of households that report an increase in knowledge, skills andconfidence to participate collectively in local governance activities in project municipalities,


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

municipalities, compared to without-project municipalities

Project Objectives:

Communities in targeted poor municipalities are empowered to achieve improved access tosustainable basic public services, and to participate in more inclusive Local Government Unit(LGU) planning and budgeting

Project Outcome Indicators

· 40% of households report better access to basic services compared to KC initiation· 30% of households report increased confidence to participate collectively in community

development activities compared to KCAF initiation

· 50% of members from marginalized groups attend Barangay Assemblies

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

Component 1: Provision of grants to barangays in rural areas

Component 2: Capacity Building and Implementation Support (CBIS)

Component 3: Provision of grants to barangays in urban areasComponent 4: Project management , monitoring, and evaluation (M&E)

The following are the Project’ s Intermediate Outcome Indicators by Project Component.

Table 2 Intermediate Outcomes by component

Component Intermediate Outcome Indicators

Component 1: Grants to

Barangays in Rural

Areas

Barangays of poor

municipalities haveincreased capacity in

effective community-

based project

management,

implementation, and

operation

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

dev’ t, and M&E

· 40% of barangays have completed specific training on subproject

management and implementation

·

10% of KC PSA priorities are funded from non-KC sources · 85% of completed KCAF subprojects are implemented in compliance

with technical plans and within schedule and budget

· 85% of completed KCAF subprojects meet basic financial standards

based on the approved Finance and Administration Sub-Manual

· 85% of completed KCAF sub-projects have a sustainability rating of

satisfactory or better

Component 2: Capacity-

Building and

Implementation

Support (CBIS)

Communities and LGUs of

poor municipalitiesassisted to work more

collaboratively and to

exercise more

inclusiveness and good

governance in local KC

priority-setting, planning,

and implementation

· 80% of barangays have community development plans prepared in

accordance with the KC participatory process

· 80% of LGUs satisfactorily implement their Participatory,

Transparency and Accountability (PTA) Integration Plans in

accordance with the KALAHI-CIDSS Memorandum of Agreement

(MOA), and are committed to sustaining the PTA as part of theirsustainability plans

· 80% of barangays have some citizens, other than public officials,

participating in regular municipal-level KC resource allocation forums

· 85% of MT municipalities have established expanded MDCs for

broader consultation with civil society representatives to obtain inputs

for the Municipal Development Plans

· 80% of MLGUs provide technical assistance in KCAF sub-project

preparation, implementation, and monitoring, based on MOA

· 80% of municipalities provide their KCAF Local Counterpart


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Component Intermediate Outcome Indicators

Contributions (LCC) based on their LCC delivery plan

· 80% of registered grievances are satisfactorily resolved in line with

the KC Grievance Redress System

Component 3: Grants to

Barangays in Urban

Areas

Lessons from the urban

KALAHI-CIDSS pilot are

utilized to inform the

development of the urban

KALAHI-CIDSS project

design to be proposed

· Pilot implementation guidelines developed

·

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

Component 4: Project

Management,

Monitoring and

Evaluation

Project management andmulti-stakeholder

coordination support for

KALAHI-CIDSS

implementation are

delivered effectively

· Multi-stakeholder oversight & coordinating committees at all levels

are in place and functional in accordance with TORs

· National and regional project teams meet performance targets set by

senior project management

Monitoring and evaluation procedures, approaches, and tools are described in greater

detail in the KALAHI-CIDSS Sub-manual on Monitoring and Evaluation.

Practice Notes:

1. Prepare a short description of the KALAHI-CIDSS Project, especially of the Project

principles, and the results framework. Translate this into the local dialect, and try

to explain them to your LGU and community contacts. Get them to askquestions.

2. As you go through the Field Guide, make a note of the activities that you will

need to conduct in relation to each component. List down what the expected

outputs of each activity should be in relation to the specific indicators in theresults framework.

3. Search for reading materials and case studies on Community-Driven Development(CDD). There are many examples and excellent materials on the internet.

Assign ACT members to give a presentation on regional and/or global CDD bestpractices, and integrate this as part of your regular team study sessions.


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CHAPTER 2

OVERSIGHT, IMPLEMENTATION,

and COORDINATION STRUCTURES

What is the KALAHI-CIDSS Project’s implementation and coordination

structure? Who are the members?What is the Area Coordinating Team (ACT)?

What are the roles and functions of the LGU in the Project?

What is the Municipal Inter-Agency Committee?What is the Municipal Coordinating Team or MCT?What are the roles and functions of the community in the KALAHI-CIDSS

Project?


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This section provides guidance on the various oversight, implementation, and

coordination structures of the KALAHI-CIDSS Project. You will see that KALAHI-CIDSS implementation involves different agencies and stakeholders at different levels.

The fight against a problem as complex and deep rooted as poverty requires a wellcoordinated effort. KC is like the sword in the hands of government in this fight against

poverty. There are many parts to this sword, and each are important, but none more

important than you and your team. Your team is the cutting edge of this sword. Theentire structure is made so that your team gets all the support you need to get the job

done at the forward, business end of our poverty reduction effort.

SUMMARY

This chapter is divided into four sections. The first part begins with a discussion of thepolicy and oversight structures of the Project. The second part talks about the project

management bodies at the national and regional levels. The third part discusses theimplementation and coordination structures of the Project, while the fourth section talksabout your team, the ACT.

IMPORTANT REMINDERS

Look at, and Learn from other documents. Important detailed information on the KCstructure can also be found in the Project’ s Operations Manual, while useful informationon the various LGU units can be found in the Local Government Code and its

Implementing Rules. Secure a copy of these materials, and use them in your team’ s

study sessions.

Update yourself. For news about KALAHI-CIDSS Project, please check the website of

the Department of Social Welfare and Development (DSWD) at www.dswd.gov.ph.

Apply the concepts. Each member of the ACT should study how these structuresoperate, especially those directly relevant to your work. Each team members must also

be familiar with their individual roles, functions, and tasks. To effectively contribute to

your team’ s objectives, you must know your own role by heart.


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2.1 What is the KALAHI-CIDSS Project’s implementation

and coordination structure? Who are the members?

The KALAHI-CIDSS Project is implemented by the Department of Social Work andDevelopment (DSWD) through the policy-making, management, implementation, andcoordination structures and mechanisms represented by the figure below.

2.1.1 Policy-Making Bodies

The project has a two-level policy-making bodies. These are the National Steering

Committee (NSC) and the National Technical Working Group (NTWG).

The NSC is the policy-making body of the project. It tackles policy issues affecting

project implementation, imposition of sanctions to non-complying LGUs, and grantincentives for exceptionally performing LGUs. It is an inter-agency body headed by theSecretaries of the Department of Social Welfare and Development (DSWD) and National

Anti-Poverty Commission (NAPC), as co-chairpersons and lead conveners. Its membersinclude:

· The Secretary of the Department of the Interior and Local Government (DILG)· The Secretary of the Department of Finance (DOF)· The Secretary of the Department of Budget and Management (DBM)· The Director General of the National Economic and Development Authority

(NEDA)

NATIONAL STEERING COMMITTEE

NATIONAL PROJECT MANAGEMENT

TEAM (NPMT)

NATIONAL PROJECT MANAGEMENT

OFFICE (NPMO)

REGIONAL PROJECT MANAGEMENT

OFFICE (RPMO)

REGIONAL PROJECT MANAGEMENT

TEAM (RPMT)

AREA COORDINATING TEAM

NATIONAL TECHNICAL WORKING

GROUP (NTWG)

REGIONAL INTER-AGENCY

COMMITTEE – SOCIAL

DEVELOPMENT COMMITTEE

MUNICIPAL INTER-AGENCY

COMMITTEE (MIAC)

MUNICIPAL COORDINATINGTEAM (MCT)

PROVINCIAL DEVELOPMENT

COUNCIL SUB-COMMITTEE (PDC-

N a t i o n

a l l e v e l

R e i o n a l

P r o v i n c i a l l e v e l

M u n i c i a l l e

v e l

FIGURE 7. Project Management and Oversight Structure

Figure 2 Project Management and Oversight Structure


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· The Secretary of the Department of Health (DOH)· The Commissioner, National Commission on Indigenous People (NCIP)· The Presidents of the Leagues of Provinces, Municipalities, and Barangays· Four (4) representatives from civil society, selected through the process of the

NAPC)· Development Partners, and· Other agency representatives (as needed)

The NTWG is responsible for the provision of inter-agency technical support to the

project, facilitates coordination among various agencies; monitors and reviews projectimplementation, and facilitates resolution of technical concerns. The NTWG is the

recommendatory body for policy directions to the NSC. Its members include

representatives from the NSC agency members (DSWD, DILG, NEDA, DBM, DoF), NGOsand civil society groups, and other agency representatives (as needed). Other agency

members include the:

1. Department of Agrarian Reform (DAR)

2. Department of Agriculture (DA)3. Department of Education (DepEd)

4. Department of Public Works and Highways (DPWH),

5. Department of Environment and Natural Resources (DENR)6. National Commission on Indigenous Peoples (NCIP)

7. National Statistics and Coordination Board (NSCB)1.

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

likewise be formed by the NSC to provide both technical and policy recommendations forcertain thematic issues or concerns. Three such TWGs have already been formed underthe project. These include;

1. The TWG on Gender2. The Local Governance TWG, and

3. The Urban CDD TWG

2.1.2 Management Bodies

The National Project Management Team (NPMT) and Regional Project Management

Teams are two-level management bodies of the project at the national and regionallevel, respectively.

The NPMT is responsible for the over-all management of the project. It provides directionand 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 andPlans, Bids and Awards Committee), project operations technical staff and consultants.

The Regional Project Management Team is in–charge of over-all management of project

implementation in the region. Chaired by the Regional Director, the RPMT is composedof:

1. The Assistant Regional Director/Regional Project Manager as alternate chair

2. All division chiefs, organic staff engaged in KC implementation (the RegionalProject Coordinator, the Regional Training Coordinator, Regional Information

Officer, Project Evaluation Officer, Accounting, Supply and Admin)

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


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2.2 What is the Area Coordinating Team (ACT)?

The Area Coordinating Team (ACT) is a composite team deployed in a municipality to

implement the KC project.

They assume the most crucial role in projectimplementation directly working with the

community and other project stakeholders.Its members vary depending on the numberof barangays in a municipality.

2.2.1 Why adopt a team approach in

KALAHI-CIDSS?

The complexity of poverty reduction and thedifficulties inherent in working in the poorestand farthest rural barangays necessitate a

multi-disciplinary approach in order toachieve project objectives.

That ACT members must be interdependent i.e. each member perceives he/she needsone another’ s experience, ability, and commitment to achieve project goals.

2.2.2 What is the composition of the ACT?

The ACT is composed of hired project staff, as follows;

Area Coordinator (1 per municipality)Deputy Area Coordinator/Engineer (1 for every 25 barangays)

Municipal Financial Analyst (1 for every 25 barangays)Community Facilitator (1 for every 5 barangays)

2.2.3 What are the functions of the ACT?

The main functions of the ACT are as follows;

1. Facilitate the effective implementation of KC development processes along theCEAC

2. Build and strengthen the capabilities of (a) community members and volunteers,

and (b) LGU stakeholders, to identify, design, select, and implement communitysubprojects using the CDD strategy

3. Ensure the transfer of the CDD facilitation technology to the municipal and

barangay local government unit4. Facilitate the formation and strengthening of community-based structures and

grassroots organizations to engage in participatory, transparent, and accountablegovernance

5. Facilitate the formation of municipal learning networks for the generation and

sharing of lessons on CDD.6. Ensure that the M&E data generated by the subprojects are correct, complete,

and consistent with Project standards, and are shared with the LGU.

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 (thatis, they perceive that they need oneanother ’ s experience, ability, andcommitment in order to arrive at mutual

goals);3. The group members must be committed to

the idea that working together leads tomore effective decisions than working inisolation;

4. The group must be accountable as afunctioning unit within a larger

organizational context.

Box 5


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2.2.4 What are the specific roles and functions of members of the team?

The members of an ACT, and their general functions are as follows;

Table 3 Roles and Functions of ACT members

ACT members Functions and Roles

Area Coordinator(AC)

· Acts as the Team Leader and assumes full responsibility ofsupervising the ACT members;

· Facilitate municipal and barangay level activities;· Establishing partnerships/linkages with project stakeholders

such as LGUs, NGOs/POs, and other agencies working in the

municipality;· Ensure efficient and effective ACT operations.· Establish, develop, and implement ACT-level and field-level

operations management and monitoring systems, processes,

and mechanisms towards effective performance of the ACT

function

Deputy AreaCoordinator

(DAC)

· Supervise team members in the absence of the A;.· Provide technical assistance, together with the municipal

engineer, to community volunteers in the preparation,development, and implementation of community projectsthat involve small rural infrastructure, and in community

procurement and implementation of environmental

safeguards;· Ensure that community infrastructures built and managed by

volunteers meet KC-prescribed design, construction,procurement, and safeguards standards.

The CommunityFacilitators (CF)

· Act as the KC CEAC participation specialist and mainfacilitator of the CEAC at the community/barangay level;

· Ensure that barangay and community-level developmentprocesses and activities along the CEAC are facilitated

efficiently, with the direct participation, inclusion, and

engagement of all stakeholders;· Ensure that opportunities are provided, processes are

designed, and mechanisms are established at the barangay

level, that allow all sectors, especially the most marginalizedgroups, to engage in and benefit from project activities.

Municipal Finance

Analyst (MFA)

· Act as the primary technical specialist on community finance

at the municipal and barangay level;· Train community volunteers on financial management and

fiduciary processes;· Assist and provide TA to community volunteers in setting-up

systems and processes for community-based finance

management and fiduciary control;· Exercise quality assurance (QA) and quality control (QC) over

financial transactions relative to the request for, release andaccounting of community grants;

· Ensure that costs of subproject proposals are complete,economical, and reasonable;

· Ensure compliance to internal control measures put in placefor the economical, efficient and effective implementation of

community-approved subprojects, and to the Project’ s

financial reportorial requirements;


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2.2.5 With whom will the ACT work with?

As frontline implementers and members of the ACT, you shall be working directly withthe community, the LGUs, and other stakeholders of the project at the municipal and

barangay level. At the municipal level, the areac coordinator is expected to work closely

with the Municipal Inter-Agency Committee (MIAC) and the Municipal Coordinating Team(MCT). Both groups are further described below.

For coaching, supervision, and provision of logistical support, the team should be directly

engaging with the Regional Project Team Management members.

The ACT work with the Regional Project Management Office (RPMO) through conduct of

site visits to (i) demonstrate new processes and technologies; (ii) validate monitoringfindings, and (iii) conduct of consultation meetings with LGU staff, communityvolunteers, and other stakeholders when necessary.

2.3 What are the roles and functions of the LGU in the

KALAHI-CIDSS Project?

The provincial, municipal, and barangay local government units participate in the KCproject implementation in the following ways:

1. provide counterpart funding for

community sub-projects, and projectoperations at the local level.

2. provide personnel to work full-time to

the project and other support

mechanisms in projectimplementation

3. provide technical assistance to

barangays along the fields ofexpertise of the different units

4. acts as conveners of inter-barangayforum, and inter-agency committee meetings

5. monitor and evaluate the over-all performance of the project6. provide funding support for completed community projects, and7. facilitate institutionalization of KC processes into the LGU development planning,

budgeting, and project implementation systems and processes.

2.3.1 What are the main mechanisms by which the Municipal andBarangay LGUs engage with the Project?

The main mechanisms and structures by which the LGUs engage with the KC Project are;

1. the Municipal Inter-Agency Committee (MIAC), and;

2. the Municipal Coordinating team (MCT)


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2.3.2 What is the Municipal Inter-Agency Committee?

The Municipal Inter-Agency Committee or MIAC is a gathering of all the heads of the

various offices, bureaus, and services of the municipal LGU. The MIAC is an ad-hoc

structure formed through Executive Order by the Municipal Mayor as part of therequirements for entry of the municipality into the KALAHI-CIDSS Project.

2.3.2.1 What is the composition of the MIAC?

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

· Municipal Social Welfare and Development Officer (MSWDO)· Municipal Health Officer (MHO)

· DOH Representative· DepEd Supervisor

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

2.3.2.1 What are the roles and functions of the MIAC?

The functions of the MIAC are to;

1. Provide relevant data to the barangays to facilitate the latter’ s needsassessment and analysis;

2. Provide directions in planning based on development goals and prioritiesemanating from the national or municipal level;

3. Provide technical assistance in project planning, design, and proposal writing;and

4. Monitor ongoing barangay projects.

2.3.3 What is the Municipal Coordinating Team or MCT?

The Municipal Coordinating Team (MCT) is a composite team formed by the MunicipalLocal Government Unit (MLGU) in a KALAHI-CIDSS Municipality to support

implementation of the KC Project. It is formed through Executive Order as part of therequirements for enrollment of a municipality into the Project. Formed at the start of the

first cycle, the MCT observes and assists the ACT in implementing activities along theCEAC, and (i) gradually takes over the facilitation of the selected activities in the KC CDDprocess KC process, and; (ii) facilitates integration of CDD processes into the local

planning and budgeting process of the LGU.

2.3.3.1 What is the composition of the MCT?

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


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

2.3.3.2 What are the functions of the MCT?

The functions of the MCT are to;

1. Mobilize local government support (staff, structures, systems, and resources) for

key municipal and barangay activities along the CEAC2. Coordinate MLGU Technical Assistance provision to BLGUs and community

volunteers3. Monitor MLGU compliance to commitments in the MOA4. Strengthen MLGU and BLGU capacity to engage in participatory, transparent, and

accountable governance through mandated participatory governance structures,such as local development councils (LDC), local special bodies (LSB), and othermechanisms.

5. Facilitate the integration of MLGU training needs on CDD in existing LGUcapability building plans and activities

6. Ensure the systematic use and management of M&E data generated from the

Project; ensure that appropriate reports and other project documents are sharedand made publicly available

7. Facilitate the development and implementation of the KC Sustainability Plan.

2.4 How are communities engaged in the Project?

In the CDD strategy, the communities, through popularly elected Community Volunteers(CVs) play a direct role in implementing key project activities at the community and

municipal level. The KC Project is primarily a CV led and implemented activity, where

volunteers undertake three very important functions;

1. Lead in community research, project design and development, project

implementation, setting-up community associations, and management andoperation and maintenance of completed sub-projects.

2. Represent their communities/barangays in decision-making on projectprioritization, and;

3. Review and address grievances raised in the course of project implementation.

The ACT engages community volunteers through different community organizing

approaches and strategies.

2.4.1 What is community organizing?

Community organizing or CO is a development approach that transfers control ofresources and decision-making to the larger majority of people in the community. The

goal of community organizing is to facilitate the formation of local groups which shallserve as vehicles for the expression of collective and popular demand.


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Using community organizing techniques, the ACT forms many community volunteer

committees are formed to undertake many tasks in the KC Project.

2.4.2 What community volunteer groups are formed in the course of the CEAC

Among the groups formed during the course of KC implementation include the following;

1. Participatory Situation Analysis (PSA) Volunteer Teams2. Barangay Representation Teams (BRT)

3. Project Preparation Teams (PPT)4. Community-Based Monitoring Team (CBMT)

5. Barangay Sub-Project Management Committees (BSPMCs)

These are further described in Chapter 5, Section 5.5.3.

Practice Notes:

1. Review your roles as discussed in this guide. How will you operationalize theseroles in your day-to-day work? What is being asked of you based on the

functions outlined?

2. Review the roles and functions of the LGU in the Project. With whom in the LGU

should you work closely with? Meet with this person and explain to him/heryou’ re the Project and you functions and tasks in it. Solicit his/her ideas abouthow you can more effectively conduct these tasks.

3. Review what you know about the situation of the LGU in your assigned

municipality. What factors will hinder performance of the tasks assigned to

them? What factors will facilitate performance of these tasks?

4. Review your SI results. What organizations or associations can you tap to help inthe work? Come up with a plan for engaging these CBOs. Present it to yourteam for discussion and critique.


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CHAPTER 3

OVERVIEW OF THE COMMUNITY

EMPOWERMENT ACTIVITY CYCLE

(CEAC)What is the Community Empowerment Activity Cycle?What is the rationale behind the CEAC implementation process?What are the objectives of CEAC implementation process?How is the CEAC implemented in the KC project?What are the elements of the CEAC implementation design?

What are the stages of the CEAC?How does the role of various stakeholders evolve in the course of theCEAC?


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This chapter is an introduction to the Community Empowerment Activity Cycle or CEAC.

SUMMARY

This chapter of the field guide is divided into seven parts. The first part begins with adiscussion of the main features of the Community Empowerment Activity Cycle

(CEAC) process. The second and third parts focus on the rationale and objectives of

CEAC.

The next part talks about the procedures in implementing the cycle. The fifth and sixth

parts focus on its elements and stages. This chapter ends with a discussion of changesin the roles of individuals during the implementation of CEAC.

IMPORTANT REMINDERS

Give Life to this Manual. The CEAC is the core process for engaging the communitiesin varying situation. While the manual prescribes a standard set of stages, the pace and

techniques that you will apply in implementing the stages will depend a lot on thesituation of the community upon your entry and their reaction to each of the activity thatyou undertake. You are allowed to innovate and adjust the pacing and specific

techniques within each CEAC stage, using your stock knowledge on behavioural andother social sciences. CDD is both an art and a science. The timing and appropriatenssof your techniques based on local conditions is the art while ensuring that you achievethe objectives and principles of CDD which makes it a science.

Integrate with the community. The social investigation and your integration in the

community should allow you to calculate the perspectives of the community members.The deeper you understand the community, the better you will be equipped to animate

the various stages of CEAC in a manner that will be responsive/appropriate to their

context and ensure their optimum participation. However, do not assume that you willfully take the perspective of the community.

Look at other documents. So many simple, easy to use guides for facilitating activitiesdescribed in this manual have already been written. In fact, you may know some ofthem. Read through other materials, use them, and adapt them to your specific context.


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3.1 What is the Community Empowerment Activity

Cycle?

The KALAHI-CIDSS Project follows a CDD model implemented through a five-stage,multi-activity process referred to as the “KALAHI-CIDSS Community EmpowermentActivity Cycle” or the CEAC (see figure below). The CEAC is the primary community

development processes and interventions of the KALAHI-CIDSS project.

Figure 3 Community Empowerment Activity Cycle

Transition

Community-Based

Evaluation

Accountability Review

and Reporting

Implemnt’n

of O&M Plan

Implemnt’nof SP

& M&E

Pre-Implemnt’n

Workshop

Implmt’n

SP & O&M

Plan & M&E

KALAHI-CIDSS: KKB

COMMUNITY

EMPOWERMENT ACTIVITY

CYCLE

Community

Consultation

(BA)

PSA

Barangay

Orientation(BA)

Municipal

Orientation

Social

Preparation

Stage

Criteria Setting

Workshop MIBF)

Project Development

Workshop

Community Consultations

(BA)

ProjectProject

Identification,Identification,

Selection, andSelection, and

PlanningPlanningStageStage

MIAC Technical

Review of Proposals

Preparation of

detailed Proposals

Community

Consultations

MIBF – MDC

Engagements

CommunityConsultations (BA)

Prioritization and

approval of Proposals

(MIBF)

Project Approval

Stage

MIBF-EC Review of

Pending Proposals

As a process, the CEAC is a series of activities where you create opportunities for localpeople to collectively work together in a way that is purposively progressive. Throughthe CEAC, you will guide communities through a real problem-solving process. The

process is comprehensive and systematic. It touches on the whole stream of theproblem solving process, from clarifying local situations to identifying issues, todeveloping solutions to address these issues, to actually carrying out activities toimplement these solutions, and to monitoring whether these solutions actually contributeto improving local conditions. The process is also methodical. Through the CEAC, youwill guide the community to “walk” through a process of socialization where learning isexperiential (like whole language learning), where the learning builds progressively upon

each other (through action-reflection or PRAXIS), and where learning is “life building” ,increasing awareness of rights, transparency, participation, and accountability


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There are five (5) basic stages to the CEAC. These are (i) Social Preparation; (ii) Project

Identification, Selection, and Planning; (iii) Project Approval; (iv) Sub-ProjectImplementation, Operation and Maintenance, and Monitoring and Evaluation, and; (v)Transition. These stages must be implemented in sequence. This means that a

community cannot proceed directly to project identification without having undergonesocial preparation. In addition, specific activities are likewise conducted in sequence for

each stage. These are further explained in section 3.5 below.

Each community under the project undergoes the CEAC three times, one for each cycle

of the project. This must not, however, be interpreted as repetitive implementation of ageneric cycle.

The CEAC is a dynamic process involving two levels. The first level involves all activitiesthat are built from previous activities along one specific cycle. This is further described in

the next chapter on the CEAC walkthrough.

The second level of progression occurs over the course of three cycles. This means that

implementation of each CEAC cycle changes over the course of three cycles, and that

while some activities remain the same in form, they are essentially different insubstance.

The table below describes how the objectives and roles of the ACT and MCT change in

the course of the three cycles of the CEAC. Bear in mind that this is a generalformulation of CEAC objectives and stakeholders role progression. Depending on thelevel of conditions and readiness of LGUs and the attendant local governance conditions,

the specific objectives may change across municipalities. Use this as a guide in planning

Project implementation and managing ACT operations

Table 4 Progression of Objectives and ACT-LGU Roles across the 3 CEAC cycles

Cycle 1 Cycle 2 Cycle 3

Objectives Build appreciation of

community-drivendevelopment amongcommunity stakeholdersthrough experientiallearning of CEAC

Provide beginning

Build capability of

community volunteersto undertake lead rolein selected CEACprocesses/activities

Build the capability ofLGUs to initiate and

Facilitate community

initiative to integrateCDD elements into thelocal developmentplanning and budgeting.

Figure 4 CEAC 3 Cycle Progression


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Cycle 1 Cycle 2 Cycle 3

experiences for citizensto engage LGUs indevelopment dialogue;

manage citizensparticipation indevelopment

Role sharing of

ACT

Demonstrate CDD to

stakeholders

Facilitate CEACprocesses;

Mobilize communitymembers to engage inproject activities;

Faciliate consensusbuilding and organizeddecision-making

Mentor the LGU on

the use of CDD fordevelopment

Mentor the MCT tofacilitate selected CEACactivities

Transfer responsibilityfor the conduct of

activities andgeneration of outputs toLGUs;

Establish standards forparticipation,

transparency, andaccountability;

Coach the LGU in the

application of CDD inlocal governance

Provide technicalassistance and pre-activity preparation andplanning assistance,coaching during actualactivities, and post-

activity processing andevaluation withstakeholders.

Enforce standards byconducting quality

assurance and controlon participation,transparency, andaccountability in LGUfacilitation of CDD;

Role sharing ofLGUs thru theMCT

Observe how CDD isfacilitated

Observe facilitation ofgovernment-citizenscollaboration usingCDD, through directengagement in projectactivities, andmonitoring;

Provide staff support tofield teams.

Assist in providing

technical assistance tocommunities;

Apply CDD in localdevelopmentplanning

Explore how localgovernance activitiesand bodies can beenhanced using CDDprocesses.

Introduceenhancements in localdevelopment planningthat increaseparticipation of citizens,

improve transparency,and build greateraccountability.

Embed CDD in localgovernanceprocesses andsystems

Institute changes inlocal governanceactivities, processes andstructures that promotePTA in governance.

Outputs Trained communityvolunteers on CDD;

Citizens other than

elected public officialsparticipate indevelopment activitiesat the barangay-level;

Barangay Action Plans(BAPs) informed bycitizen’ s priorities;

Community projectsthat address people’ s

Increased no. of trainedcommunity volunteerson CDD;

Increased no. of citizensother than electedpublic officialsparticipate indevelopment activitiesat the barangay andmunicipal level;

Barangay DevelopmentPlans and AnnualInvestment Programs

Increased no. of trainedcommunity volunteerson CDD;

Increased no. of citizensother than electedpublic officialsparticipate in theMunicipal DevelopmentCouncil (MDC);

Municipal Development

Plan address BAPpriorities in BDPs andAIPs;


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Mandated by both the Local Government Code of 1991 and the Social Reform and

Poverty Alleviation Act of 1997 to serve a frontline role in the fight against poverty, LGUsare given the responsibility of formulating, implementing, monitoring, and evaluatingpoverty reduction efforts within their respective areas. In order to fulfill this role, local

government units are expected to enhance governance systems in line with theparticipatory and inclusive processes of development planning and resource allocation

prescribed by the Code.

The Makamasang Tugon or MT is a fourth cyle for municipalities which have

demonstrated adherence to the principles and processes that promote participation,transparency, and accountability in implementing the first 3 cycles of the KC Project. It

is a performance-based incentive cycle that provides good performing LGUs of KC

municipalities additional grant to suport LGU efforts to integrate CDD approaches andstrategies in the preparation of local development plans and investment pograms, and

in the implementation of projects to address poverty. This LGU-facilitated CDD modality

is further described in Chapter 6.

3.3 What are the stages of the CEAC, and the activities in

each stage?

As mentioned in the introduction, each cycle of CEAC has five stages.

· Social Preparation· Project identification and development of proposals· Prioritization of proposals· Implementation of community proposals· Cycle transition

The following section describes the major activities in facilitating the CEAC. It also

provides the key considerations in relation to local context/conditions that you need toconsider in the conduct of the activities.

Stage 1: Social Preparation

Municipal Orientation (MO) – is a

public gathering of all stakeholders in

the municipality, to introduce theProject, dialogue on objectives,

outputs, and roles of various parties,and formally sign the Memorandum of

Agreement (MOA) between the MLGU

and the DSWD. The MunicipalOrientation signals the official start of

KC implementation in the

municipality.

Social Investigation (SI) – is aprocess whereby the ACT membersstart to systematically learn about the

situation of the community as well asidentify the strengths, opportunities,

Figure 5 Social Preparation activities


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and challenges that the community faces through integration, analysis of existing

reports/data and interview of key informants, among others. The teamdevelops its action plans for KC implementation based on the results of the SI.

Barangay Assemblies (BA) – as defined in the local government code (LGC) isa gathering of all residents in the barangay who are 15 years old and above. The

BA is the basic decision-making body of the project in the barangay-level, and is

also where community volunteers (CVs) are elected to undertake functions in theproject at the barangay level. The BA is conducted many times in the project. A

guide to the conduct of barangay assemblies is found in the toolkit section.

Participatory Situation Analysis (PSA) – is a process in the project where

community volunteers elected by the BA undertake community research, identifythe key problems in the community that causes poverty, and identify the range of

possible solutions to address these problems. The PSA involves three steps; (i)

the Municipal PSA Planning Workshop, where the ACT, MCT, and selectedcommunity volunteers plan for the conduct of PSA activities; (ii) the Barangay

PSA, where community volunteers undertake research and analysis of communityconditions, problems, and proposed solutions, and; (iii) Community Consultation

on the PSA results, undertaken through a Barangay Assembly, and which results

in the BA consensus regarding priority community problems and proposedresponses. The PSA results serve as the basis for many subsequent activities in

the CEAC cycle. Community organizations are also formed after the PSA toaddress issues identified.

In addition, community volunteer committees, specifically the BarangayRepresentation Teams (BRTs) and the Project Preparation Teams (PPTs) arelikewise elected during the Community Consultation BA for PSA validation. TheBRT and the PPT serve as the main community volunteer groups that lead in the

major activities of stage 2.

Stage 2: Project identification and proposal development

Criteria Setting – is a process,undertaken at an activity called theCriteria Setting Workshop or CSW,

where the BRTs elected during theBA for PSA validation gather at themunicipality, and discuss and

agree on the criteria that will beused to select the proposals to be

funded from the KC project. Theprocedure for selecting the

proposals are likewise discussed

and approved by the BRTs in theCSW.

Project Development Workshop(PDW) – is a training activity

where Project Preparation Teams

(PPT), elected by each of thebarangays during the BA for PSA validation, are taught the key processes and

tools to identify, select, and design appropriate solutions to address problems.Members of the ACT. MCT, and the MIAC provide valuable technical assistanceinputs to community volunteers that will aid them in drafting community

proposals for sub-projects which will be proposed for KC funding. The lessons

Figure 6 Project ID, Selection, and Planning


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and tools learned by community volunteers during the PDW can also help them in

developing proposals for other projects that can be proposed to other fundinggroups.

Preparation of detailed proposals - is the process undertaken by the PPT intheir respective barangays after the conduct of the PDW. Here, the PPT lead in

mobilizing other community volunteers to undertake many activities that will help

them prepare detailed and complete community proposals for sub-projects.Depending on the nature of the proposed project, PPT and other community

members undertake feasibility study, prepare project technical design, programof works, and detailed budgeting of project costs. They also undertake numerous

consultations with different stakeholder groups, do cost-benefit and simple

economic analysis, risk analysis, stakeholders analysis, and many other studies toensure that their proposals will produce intended benefits for their fellow

community members.

Throughout this process, the ACT must ensure that community volunteers are

provided with the right technical assistance in a timely manner. You must be ableto mobilize the MCT and the MIAC to go down to the barangays and provide

technical support directly to the community volunteers. In addition, the ACT can

facilitate access to additional resources for technical assistance through theTechnical Assistance Fund (TAF), a facility available to KC barangays to enable

them to access technical support in the preparation of community projectproposals. The TAF is further described in the guide to the conduct of ProjectDevelopment Activities in the Toolkit.

Community consultations – In the course of project development numerousconsultations are conducted to ensure that the community in general is keptabreast of, and consulted on key aspects of the proposed sub-project design. By

facilitating conduct of continuous and frequent community consultations duringthe project development phase, the CF ensures that elite capture– defined as the

control over decision making being apportioned by a handful of local elites toserve their personal interests- is prevented, and that the final proposal truly

reflects the will of the community, and guarantees that, one implemented, the

project will address their true needs.

MIAC Technical Review – once proposals are finished by the barangays, these

are subjected to technical review and evaluation by the MIAC. The MIAC will lookfor readiness, completeness, and soundness of the proposal, but will not decideapproving the project. That is a

function of the next stage.

Stage 3: Prioritization

Community consultations – thisis the final barangay assembly

conducted after the PPT haveaddressed issues raised during theMIAC Technical Review, before the

project proposal is passed on to

the MIBF for prioritization.

Prioritization of communityproposals - is undertakenthrough a gathering of all BRTs at

the Municipal level in the form of a

Figure 7 Project Approval activities


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Municipal Inter-barangay Forum for Participatory Resource Allocation (or MIBF for

PRA). Chaired by the Mayor and attended by a broad range of stakeholders, it isduring the MIBF for PRA that the BRTs use the criteria and procedure agreedduring the CSW in evaluating which proposal is funded through the KC process.

The MIBF for PRA results in an MIBF Resolution that lists the proposals in order ofpriority, and is signed by the head of the BRT of all participating barangays,

attested to by the Municipal Mayor.

In some cases, there will be prioritized proposals that may lack additional

documents. In this situation, the MIBF-PRA forms an executive committee whosetask is review pending prioritized proposals at a time to be specified by the MIBF.

Community consultation – in the form of a Barangay Assembly, is againconducted in all barangays to provide feedback to the community on the results

of the prioritization in the MIBF for PRA. In barangays where the project proposal

is prioritized for funding, the ACT facilitates discussion and agreement to finalizerequest for fund release (RFR) to DSWD, and prepare for project implementation,

including formation of Barangay Sub-Project Management Committees (BSPMC),In barangays where the proposal was not prioritized, the ACT should facilitate

review by the community volunteers of the project proposal and plan for

alternative activities to source funds. In addition, agreements should also begenerated on community activities to begin work on other problems and activities

identified in the PSA results. These should include formation of differentcommunity volunteers groups to take charge of different community activities.

MIBE-Executive Committee (EC) review of pending proposals – occurswhen a proposal prioritized for funding by KC is deemed “pending” during theMIBF for PRA for a variety of valid reasons. This is an optional activity. The roleof the MIBF EC is to certify that the reasons for the “pending” status of the

proposal has been complied with, or was not complied within the time set by theMIBF. In the former case, the proposal is automatically approved for

implementation. In the later case, the proposal is now considered non-compliant,and the order of prioritization to replace the proposal is followed. Remember that

the MIBF EC has no authority to decide on the prioritization, that is a role

exclusively reserved for the MIBF or the expanded MDC, in the case of succeedingKC cycles. The EC is merely an executor of the MIBF decision on prioritization, asagreed and contained in the MIBF resolution.

MIBF – Municipal Development Council engagements – These activities areconducted after the MIBF to ensure that projects which failed to get funding from

the KC grant will be integrated into the Municipal Development Plans. Activitiesalong this line include MDC meetings participated in by community volunteers to

undertake (i) review of barangay PSA results and Barangay Action Plans (BAP),and the list of prioritized but unfunded community; (ii) review of local

development plans and priorities, and; (iii) planning for inclusion of prioritized but

non-funded projects from the MIBF, and the other barangay priorities, into thelocal municipal development plans.

Stage 4: Implementation of community sub-projects

Project implementation workshop – are conducted in barangays who willimplement projects prioritized for funding by the MIBF. The ACT facilitates review

of project implementation plans, and begins to implement the initial preparatoryactivities to commence implementation of the project.


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Implementation of sub-projects and monitoring and evaluation – Projects

that get KC funding in the MIBF are implemented during this step. Communitiesopen accounts, and funds are downloaded directly into these accounts, which aremanaged by community volunteers

who are elected by the BA to formthe Barangay Sub-Project

Management Committee (BSPMC).

The BSPMC undertakes numerousactivities during this stage, including

procurement, finance management,construction (if projects involve

small rural infrastructure),

monitoring, supervision, etc.

Communities who do not get funding

from KC are assisted by the ACT inworking on other issues and

concerns identified in the PSA,through the various organizations

and commi

Documents

Kalahi CIDSS Project Manual