a guidebook on capacity development agenda formulation

(2010 Revised Edition)

Foreword

Managing Knowledge for ImprovedPerformance in Local Governance

Capacity Development : A New Perspective

7 Steps in Capacity DevelopmentAgenda Formulation

Taking Up the Challenge toInstitutionalize Change

Contents

Annex in a CD

Acronyms

13

25

35

59

1

2

3

4

Preface

Acronyms CBMS Community Based Monitoring System

CD Capacity Development

CDP-ELA Comprehensive Development Plan- Executive and Legislative Agenda

CIDA Canadian International Development Agency

CLUP Comprehensive Land Use Plan

DILG Department of the Interior and Local Government

GeRL Ka Ba? Gender Responsive LGU Ka Ba?

KCO Knowledge Centric Organization

KM Knowledge Management

LGA Local Government Academy

LGOOs Local Government Operations Officers

LGPMS Local Governance Performance Management System

LGRC Local Governance Resource Center

LGNRC National Local Governance National Resource Center

LGSP II Philippines-Canada Local Government Support Program Phase II

LGU Local Government Unit

SCALOG Systems on Competency Assessment for Local Governments

SLGR State of Local Governance Report

TWG Technical Working Group

UNDP United Nations Development Programme

Managing Knowledge for Improved Performancein Local Governance

1Nan et ipsa scientia potestas est.

Knowledge is power

Oscar Sir Francis Bacon

Knowledge Management or KM is the

acquisition, storage, retrieval, creation,

sharing, use, application and review of a

group or organization’s explicit and tacit

knowledge in a systematic manner to achieve

organizational goals.

Knowledge Management is about getting

the right knowledge to the right people

at the right time.

KM is not only about information in its

various physical forms. It also includes

tacit knowledge, which is intangible

and resides as intellectual capital of

individual experts and practitioners. KM

is therefore also about connecting those who

know with those who need to know.

KM offers a direction for organization to:

- manage information and

knowledge that it knows it

already has

- manage knowledge that it

does not yet know that it has

- create new knowledge or

innovate

What is the value ofmanaging knowledge inpromoting excellence inlocal governance?

One of the key principles in good

governance is promoting a culture of self-

assessment for improved local government

management and performance. The local

governance sector should increasingly have

A Word on Knowledge Management and Good Local Governance

10

Knowledge is information that isprocessed with experience andassumptions and applied foreffective action.

Knowledge

PerformanceParticipation Partnership

For a more comprehensive information on knowledge managementin local governance, refer to the Annex with CD version ofCommunities that Learn! A Local Governance Knowledge

Management Framework.

11Managing Knowledge for ImprovedPerformance in Local Governance

the capacity to learn from itself and

harness the incremental lessons learned

for more effective, efficient and

responsive governance. And knowledge,

when created, shared, applied and

used, has a far-reaching influence in

developing a culture of learning in local

governance.

Capacity Development Planning is a

process that involves the utilization of

knowledge for improved LGU

performance. It is about acquiring,

analyzing, sharing and using vital

knowledge in order to strategically

address competency gaps and

organizational weaknesses so that

improved capacity is able to input or

lead to strengthened LGU

performance.

Knowledge Management

(in the context of actual governance and public administration processes)Figure 1

SituationalAnalysis

PlanningM/E

Implementation

Policy DevelopmentProgramming

Budgeting

1

DILG and LGA as Knowledge-Centric Organizations:Synergy, Convergence and Innovation

12

T he support of the Department of the

Interior and Local Government (DILG) to

the local government sector has

governance initiatives within the DILG and with

other national government agencies are all

examples of KM in action. As the training arm of

DILG and the National Local Governance National

Resource Center (LGNRC), the Local Government

Academy (LGA) is a knowledge hub as it plays a

lead role in building capacity development

programs and strategies for local governments and

DILG personnel.

KM is a way of doing things. DILG as an

organization effectively integrating KM in its

operations becomes a Knowledge Centric

Organization (KCO), one that values people and

the organized use of existing experience and

information to reach its goals. Ultimately, KM is

not exclusively about tools and technology but

about people and what they can and want to do

with their knowledge. KM is also a mindset that

in anchored on a culture of learning and

knowledge sharing where there is no monopoly of

considerably evolved over the last few years. The

overall common thread, however, has been one of

DILG taking a stronger leadership role in the

coordination of issues affecting local governance

with a general shift from regulation and

supervision to coordination and facilitation. In

fulfilling its mandate as a catalyst for excellence

in local governance, DILG has been practicing

Knowledge Management through its numerous

initiatives without necessarily labeling it as such.

The use of LGU performance data, the

identification, documentation and replication of

exemplary practices, the enhancement of local

planning system based on the feedback and

experiences of local governments and other

stakeholders, the establishment of the Local

Governance Resource Centers (LGRCs) across the

country, and the convergence and synergy of local

PerformanceManagement

Partnerships& Resource

Management

Policy & LGUOversight

CULTURE OFPERFORMANCE

STRONGENABLING

ENVIRONMENT

13

Convergence in DILG Operations*

Strategic Functions Performance Management

Policy & LGU Oversight Partnership &

Resource Management

Key Contributions Excellence in Local Governance

Innovation and Learning Quality and Effective Service Delivery

Strengthened Local GovernanceEnabling Environment

Values Culture of Performance

Participatory Processes Strategic Leadership

Programs LGU Performance Management

Capacity Development Replication

Advocacy & Public Education Development Planning

Local Governance Resource Center

PARTICIPATORYPROCESSES

QUALITYSERVICESDELIVERY

LEADERSHIP

INNOVATION& LEARNING

*SOURCE: Philippines-Canada Local Government Support Program Phase II (LGSP II), Sustaining theGains of LGSP’s Support to the DILG and Partners, August 2006, Pasig City, Philippines

knowledge and people are recognized

for the value of their own contributions

and encouraged to share and utilize

knowledge. With KM as a strategy, DILG

is building convergence and synergy in

its operations to maximize its

contribution to the local government

sector. Figure 2 illustrates how the

notion of KM is central to DILG

operations as well as how many DILG

functions and programs

relate to each other

and can be situated in

a yearly cycle of inter-

dependence.

Figure 2

Managing Knowledge for ImprovedPerformance in Local Governance1

In keeping with the thrust to build

convergence in its operations, DILG

developed an integrative strategy in its

various program designed to building

capacities of local governments for

improved performance.

The State of Local Governance Report (SLGR)

using the Local Governance Performance

Management System (LGPMS) and Community

Based Monitoring System (CBMS) results

provide the invaluable technical inputs to the

process of formulating the Executive and

Legislative Agenda (ELA) and the Capacity

The components of the Integrative

Framework are the following:

The objectives of the framework are:

Harmonize capacity development

interventions for local governments

Development Agenda (CD Agenda). Further,

assessment tools, such as the System on

Competency Assessment for Local

Governments (SCALOG) and GeRL Ka ba?, are

harnessed in Capacity Development Planning

and formulating a Capacity Development

Agenda.

With the establishment of the Local

Governance Resource Centers (LGRCs) in

DILG, a dynamic venue has been established to

facilitate the provision of capacity

development for local governments more

efficiently and strategically. It is also seen as

the mechanism that would assist and facilitate

the implementation of the Capacity

Development Agenda of LGUs through its four

dynamic services:

1) Multi-media Knowledge and information

2) Capacity Development

3) Linkage and

4) Public Education and Citizenship Programs.

For more information on the LGRCs, visit

www.lgrc.lga.gov.ph

14

Support Programs

Assessment of LGU Performance andInstitutional Competencies

Crafting of the Executive andLegislative Agenda

Provision of Capacity DevelopmentInitiatives via the DILG LocalGovernance Resource Centers

1

2

3

4

Maximize the impact of DILGinterventions

Ensure integrated programimplementation

utilization of performance management and

institutional competency assessment tools and

systematic weaving of the results for a more

in-depth and meaningful analysis.

The integrative framework in building

LGU capacities is underpinned on key

KM principles of harmonization and

convergence. It promotes establishing

synergy in the implementation of

various programs and in the utilization

of the wide range of tools and

processes. It encourages the vigorous

15

LGRC ELACD

AGENDA

CDP Review ELA Coaching

DILG Training ProgramsOther NGA Initiated ProgramsAccredited Training ProgramsOverseas Assistance Development Programs

LGPMS, CBMS,SCALOG,GeRL Ka Ba?

Other tools

LGU Capacity Development

DILG Integrative StrategyFigure 3

Assessment of LGUPerformance

andInstitutional

Competencies

Provision ofCapacity

DevelopmentIntervention

Preparationof the

Executive-Legislative

Agenda

SLGRLGU

CompetencyProfile


s catalysts for excellence in local governance,

LGOOs have a key role in promoting the culture

Locating the DILG Local Government Operations Officers(LGOOs) in Knowledge Management

16

Aof learning for excellence in local governance as they build

linkages and networks, and facilitate the process of

knowledge sharing and utilization in their respective

areas. LGOOs are strategic knowledge brokers who can

help transform and apply data and information for

effective and responsive action.

As a knowledge-centric organization, there is a need for

DILG to generate knowledge, be able to share it and ensure

that knowledge is utilized to produce results. This will

strengthen DILG’s role as a primary catalyst, knowledge

broker and facilitator of capacity development towards

excellence in local governance.

17

Knowledge Users(LGU, Citizens, NGOs, CSOs)

Evaluate

Utilize

Create

Share

Learn and Innovate

LGExcellence

Knowledge Providers(LGU, NGA, Experts, Practitioners)

Knowledge BrokersDILG, LGOOs, LGA

Knowledge Management in DILGFigure 4


his Guidebook is a simple, step-by-

step guide for formulating a gender

responsive and competency-based

was a need for a tool that would systematically

assess organizational competencies of local

governments. The LGA, with support from the

United Nations Development Programme

(UNDP), developed the Systems on Competency

Assessment for Local Government (SCALOG),

which enables LGUs to evaluate their

organizational competencies. The SCALOG

allows the LGUs to systematically conduct a

self-assessment and analyze strengths and

weaknesses in terms of the LGUs set of work

processes, structures, systems and

technologies in order to sustain or further

improve performance and organizational or

institutional capacity.

About the Guidebook: A Knowledge Tool in Capacity Development Planning

18

TLocal Government (LGU) Capacity

Development Agenda.

It is a reference for LGOOs in coaching LGUs

and their ELA teams in developing a Capacity

Development Agenda to more effectively

and meaningfully address LGU priorities and

program, as defined in the LGU local

development plans such as the ELA.

Capacity Development Planning is not new to

LGUs. It is an important aspect of local

development planning, which includes the

formulation of the Comprehensive Land Use

Plan (CLUP), the Comprehensive

Development Plan (CDP) and the Executive

and Legislative Agenda (ELA). While there

are guides for all these various plans, there

19

This learning tool is primarily

designed for Local Government

Operations Officers LGOOs of the

DILG at the regional, provincial, city

and municipal levels as they play the

role of knowledge brokers and

facilitators of capacity development

in local governance and as they

engage in coaching local governments

for improved performance.

The samples cases illustrated in this

Guidebook are actual results of the

process undertaken by an LGU and

for purposes of this Guidebook is

labeled as LGU XYZ (located in

Region 3).

This tool is a companion piece of the

SCALOG Manual and the Manual on Local

Planning Process: Focus on the CDP and

ELA. The steps in this guidebook take off

from the SCALOG process and results,

which are informed and guided by the

LGPMS. LGPMS and SCALOG provide useful

data and information that can be utilized

for an in depth analysis of an LGU’s state

of local governance, its development

administration program and institutional

capacity.

In addition to LGPMS and SCALOG, the

formulation of a capacity development

agenda also takes into consideration

results of other tools that may be used to

assess organizational competencies and

enrich the results in undertaking SCALOG.

The range of tools, when utilized together,

will be beneficial to the local governments

in determining capacity development

priorities

Assessing organizational competencies is a

crucial aspect in the process of

formulating an LGU short term plan such

as an ELA. Thus, this guidebook is also an

important and useful material in the

context of local development planning,

specifically in formulating a CDP or an

ELA, which provides the strategic basis for

identifying priority capacity development

agenda. In particular, this guidebook

supports the section on Determining

Capacity Development Needs for Plan

Implementation or Step 6 in the ELA

process. The Capacity Development

Agenda will help define the necessary

capacity requirements for effective and

efficient implementation of the priority

LGU programs and projects.


Capacity Development: A New Perspective

2The only way to make sense out of change is to plunge into it, move with it, and join the dance.

Alan W. Watts

It is important to better understand

capacity development to contextualize

Capacity Development Planning in local

governance. The evolving definition of

capacity development includes the

following:

· Capacity development is “… any system,

effort or process… which includes among its

major objectives strengthening the

capability of elected chief executive

officers, chief administrative officers,

department and agency heads and

programme manager in general purpose

government to plan, implement, manage

or evaluate policies, strategies or

programs designed to impact on social

conditions in the community.” (Cohen,

1993).

· Capacity strengthening is an ongoing

process by which people and systems,

operating within dynamic contexts,

enhance their abilities to develop and

implement strategies in pursuit of

their objectives for (Lusthaus et al.

for IDRC, 1995).

· Capacity building is any support that

strengthens an institution’s ability to

effectively and efficiently design,

implement and evaluate development

activities according to its mission

(UNICEF Namibia, 1996).

· Capacity building is a process by which

individuals, groups, institutions,

organizations and societies enhance

their abilities to identify and meet

development challenges in a

sustainable manner. (CIDA, 1996)

22

Capacity Development DefinedWhat is capacity and capacity development?

In its culminating publication Trekking

the Good Local Governance Terrain:

The LGSP Capacity Development Way,

the Philippines-Canada Local

Government Support Program Phase II

(LGSP II), the flagship governance

program of the Canadian International

Development Agency (CIDA) from

2000-2006, offers the view of capacity

development as a complex, holistic

process that takes place at different

levels of the system in a web of

interconnectedness. It describes an

open system with the local governance

stakeholder terrain at the individual,

organizational and institutional levels.

· Capacity development is a process by

which individuals groups,

organizations, institutions and

societies increase their abilities to

perform functions, solve problems

and achieve objectives; to

understand and deal with their

development need in a broader

context and in a sustainable manner”

(UNDP, 1997)

· Capacity development is a concept

which is broader than organizational

development since it includes an

emphasis on the overall system,

environment or context within which

individuals, organizations and

societies operate and interact (and

not simply a single organization).

(UNDP, 1998)

· Capacity is the combination of

people, institutions and practices

that permits countries to reach

their development goals …

Capacity building is... investment

in human capital, institutions and

practices (World Bank, 1998)

· Capacity is a condition of a system

that emerges out of a combination

of attributes. It refers to

collective capabilities to act and

survive, generate development

results, relate, adapt and self-

renew, and achieve coherence

(Peter Morgan, European Center

for Development Policy

Management (EDPM) May 2006)

· Capacity is the power to perform

tasks and produce output, to

23Capacity Development: A New Perspective

define and solve problems, and

make informed choices (Real

Lavergne, CIDA)

2

New Ways of Thinking on Capacity Development*

Change Unit Individual Individual, Organization and SystemMethod Build knowledge and skills Apply knowledge and skillsDesign Basis Individual Needs Organizational and System PrioritiesEmphasis Learner’s Abilities Learning EnvironmentAnalysis Strengths and Weaknesses Performance and ResultsIntervention Series of Activities Change processBeneficiaries Beneficiary Participation Beneficiary ownershipExpertise Externel solutions Local solutionsScope Organization Specific Sector SpecificPrinciple Consultation Coordination and Collaboration

Element Old New

For more comprehensive information on the LGSP Capacity DevelopmentFramework, CD strategies that worked, lessons learned and results, see

enclosed CD on Trekking the Good Local Governance Terrain:The LGSP Capacity Development Way.

According to LGSP II, capacity

development promotes excellence in

local governance by enhancing the ability

of people to improve processes,

maximize opportunities, harness and

manage resources, and develop potential

for sustainable growth1

New ways of thinking on capacity

development has expanded beyond

staff training to include the

development of public organizations

and the enabling environment, apart

from building individual capacities and

developing leadership capacities in

local governance.

24

*Source: Trekking for Good Local Governance Terrain: The LGSP Capacity Development Way, The Philippines-CanadaLocal Government Support Program Phase II (LGSP II), 2006, Pasig City, Philippines.

1 Red Batario, et al. Trekking the Good Local Governance Terrain: The LGSP Capacity Development Way, Philippines-CanadaLocal Government Support Program, 2006, Manila, Philippines, p.20.

apacity Development becomes

strategic if it is based on a

The development of a gender responsive and

competency-based LGU Capacity Development

Agenda aims to:

Why a Capacity Development (CD) Agenda?Who is it for? What is it for?

25

Define the necessary capacity requirementsfor a gender responsive, effective andefficient implementation of the priority LGUprograms and projects

Help rationalize and strategically focuscapacity development efforts of the LGU

Provide DILG/LGA and other localgovernance stakeholders with necessaryinformation that will facilitate delivery ofnecessary technical assistance and supportto LGUs

Facilitate knowledge capital planning andbuild- up in the LGU and the DILG LocalGovernance Resource Center, providing aresponsive, efficient and accessibleenvironment for addressing LGU knowledgeand capacity requirements

Cstrategic plan of an LGU such as a

Comprehensive Development Plan (CDP) or

an Executive and Legislative Agenda (ELA).

Any effort to improve LGU capacity should

be geared towards contributing to the

attainment of its development objectives

and goals.2

A Capacity Development Agenda outlines

the capacity development strategies,

programs and initiatives that need to be

undertaken to address identified

organizational competency gaps, indicating

the target groups, specific recommended

approaches, resources required and

timeline.

1 Maria Concepcion Pabalan, et al. How to Formulate an Executive and Legislative Agenda for LocalGovernance and Development: Facilitator’s Guide, Philippines-Canada Local Government SupportProgram, 2004, Manila, Philippines.

Capacity Development: A New Perspective2

In undertaking the process of capacity

development planning and in

formulating a capacity development

agenda, it is important to take into

consideration the following principles:

Maximize the utilization of

appropriate performance

management and institutional

competency assessment tools

Do not limit analysis with the use

of one tool or process. Correlate

and validate results with other

competency assessment tools for a

more in-depth and accurate

analysis.

Mainstream gender and

participatory governance

processes in capacity development

planning.

SCALOG integrates participatory

processes such as dialogues,

consultations and consensus-

building in identifying

organizational strengths and weaknesses of

LGUs. The use of “GeRL Ka Ba?”, alongside

SCALOG, as a capacity development self-

assessment tool allows for a systematic

integration of gender in the Capacity

Development Agenda.

Include all five (5) LGPMS and SCALOG

Performance Areas in Capacity Development

Planning.

All fourteen (14) Service Areas under the

five (5) Performance Areas should be

assessed. A Capacity Development Agenda

may include all performance and service

areas, including both areas of strengths and

weaknesses. The CD Agenda will be good for

three years, aligned with the LGU’s short

term plan such as the ELA and will also be

the basis for the annual priorities of the LGU

as articulated in the annual investment plan.

Integration and Convergence are important

in Capacity Development Planning.

Capacity Development planning and

formulation of the CD Agenda is not to be

taken separately from other institutionalized

26

1

2

3

4

27

local governance programs such as

LGPMS, ELA,GO-FAR and Local

Governance Knowledge Management.

Integration is key in the process of

developing a meaningful and relevant

Capacity Development Agenda for

improved performance of an LGU.

Disjointed plans will most likely lead

to waste of resources and problematic

governance and development results.

Build consensus among development

partners in defining the kind and

extent of capacity development

It is important in capacity

development planning to determine

the answers to the following

questions:

What capacity is needed by whomand for what purpose?

How will the capacities be developed

and exercised over time?

Knowledge Management and Capacity Development PlanningFigure 5

Knowledge Users(LGU, Citizens, NGOs, CSOs)

Evaluate

Utilize

Create

Share

Learn and Innovate

LGExcellence

Knowledge Providers(LGU, NGA, Experts, Practitioners)

Knowledge BrokersDILG, LGOOs, LGA

ELA Report BackCD Agenda M/E

CDP-ELACD Agenda SLGR

5


LGPMSSCALOG

The Role of DILG Local Government Operations Officers in Capacity Development Planning

28

s facilitators of capacity development in local governance, the DILG Local

Government Operations Officers (LGOOs) play a central role in theAformulation of a Capacity Development Agenda for local governments. The following

are important considerations for LGOOs in order to maximize their role effectively

in undertaking and facilitating the process:

LGOOs must have a working knowledge of a whole range of local governance

management and planning systems, processes and tools such as LGPMS, CDP,

ELA, LGU Organizational Competency Assessment, CBMS and Gerl Ka Ba?

LGOOs must be well versed with problem analysis tools such as Problem Tree,

Objective Tree, Fishbone and Force Field Analysis among others and able to

undertake and facilitate data analysis and validation

LGOOs must have a solid grasp of capacity development and its emerging

principles and strategies as applied to local governance

Take the lead in facilitating the preparatory steps for the conduct of the

Capacity Development (CD) Planning and Agenda Formulation.

1

2

3

4

29

This includes the following important tasks:

Organization of the LGU Technical Working Group (TWG) responsible for the CD

Planning and Agenda Formulation

Data management, which requires that relevant and up-to-date data for the

process is available, secured and validated

Completion of SCALOG process

Facilitate the actual conduct of the CD Planning and Agenda Formulation

Ensure that a debriefing takes place with the LGU Technical Working Group (TWG) at

the end of the process to validate results.

Facilitate the dissemination of the LGU Capacity Development Agenda as appropriate

within the LGU and to external partners, such as the Local Governance Resource Center

LGRC.

LGOOs may act as the facilitator in some casesor as a coach to the LGU Technical WorkingGroup when it takes the lead in conductingthe process


5

6

7

7 Steps in Capacity Development Agenda Formulation

3To be prepared is half the victory.

Miguel de Cervantes


The following are prerequisites in undertaking the 7 steps:

1. The LGU should have completed their:o State of Local Governance Report (SLGR) as an

output of the Local Governance PerformanceManagement System (LGPMS) tool.

o SCALOG: LGU Organizational CompetencyAssessment result with the LGU OrganizationalCompetency Profile as an output.

2. It may also help to make readily on hand results of otherperformance assessment tools (e.g. CBMS, GeRL Ka ba?) as theinformation they offer may be crucial in successfully completing theprocess.

3. An LGU Technical Working Group (TWG) has been organized andoriented with the new ways of thinking on Capacity Development.Together with the MLGOO, they should also have with a solid graspof the result of these assessment tools.

4. The Comprehensive Development Plan (CDP) – Executive and

Legislative Agenda (ELA) must also be reviewed as the CapDevAgenda represents the Institutional Capacity Sector of the CDP-ELA.

Before You Start!

333

Some considerations in organizing the

members of an LGU Technical Working

Group :

LCE to issue an Executive Order

creating the LGU Technical Working

Group preferably composed of the

following:

o Head of Human Resource

Department, as Capacity

Development Agenda

Focal Person and Head of

the TWG;

o City/Municipal Planning

Development

Coordinator, as LGPMS

and SCALOG Focal Person ;

o City/Municipal

Administrator

o Other Department Heads

o ELA Coordinator

34

Step 1

There is no “one way” to formulate a CD Agenda. The following are suggested steps with corresponding tools in

conducting Capacity Development Planning and Agenda Formulation.


Determine the Current Situation

Closely review the LGU Organizational Competency Profile (Appendix B of SCALOG-LOCA) and compare results with the indicators forconsistency. It is important that the data entered herein is validated.

Focus on the list of competency strengths and gaps as summarized in the LGU Organizational Competency Profile. Form No. 1 as illustrated,indicates the list of competency strengths and gaps per competency area.

Form 1: Organizational Assessment Result

ORGANIZATIONAL ASSESSMENT RESULT

Municipality XY

Service AreasCompetency Assessment Result (7 competency areas)

High competency Low Competency

SOCIAL GOVERNANCEPeace, Security and Disaster

Preparedness

Organization & staffing Legislative & otherenabling mecTransparencyMngt. System

Customer ServiceThe LGU streamlines its peace, security and disaster preparednessservices in terms of reduction in:

3.4.7.2.1 processing/transaction time3.4.7.2.2 number of requirements3.4.7.2.3 number of signatories3.4.7.2.4 number of steps

The LGU solicits feedback from its clients regarding its services throughinformal means (e.g., spontaneous feedback from clients, interviews andother methods that are unstructured or done randomly) Participation Lesser participation of the community in planning, projectimplementation,monitoring & evaluation.

Note:

High Competency

- 3.5 - 5.0 Low Competency

- 1.0 - 3.49

35

Step 2

Some of the tools and processes that may be used to correlate SCALOG results and enrich the qualitativeanalysis further are CBMS, GeRL Ka Ba? and other tools focused on assessing child-friendly LGUs,environmental impact and evaluating LGU financial management, among others.

7 Steps in Capacity Development Agenda Formulation3

It should be noted that the LGU Capacity Development Agenda is an integral part of the Executive-Legislative Agenda. This undertaking should have considered the following Calendar in administeringassessment tools and instruments and the formulation of the plan:

• LGPMS Data Gathering and Analysis - January to end of February• Presentation of LGPMS Result - on or before March 31• SCALOG Administration and Analysis - April• ELA Preparation Steps 1-5 - July to August

Validate LGU Competency gaps with reference to othertools that generate LGU data and information.

Form No. 2Performance Index

LOCAL GOVERNANCE PERFORMANCE MANAGEMENT SYSTEM (LGPMS) Result

MUNICIPALITY XY

Form No. 2 illustrates the performancegaps as captured under the LocalGovernance Performance ManagementSystem and describes the factorsaffecting low performance.

Service Areas PerformanceRating

PerformanceIndex (AdjectivalRating)

Factors Affecting Performance

SOCIAL GOVERNANCEPeace, Security andDisaster Preparedness

3.60 Fair

Partial functionality of POCPOC does not meet as often as necessary Lesser quality of IACPSPPartial participation in IAPSP formulationPartial participation in IASCP formulationNo M & E for IAPSP

The intention in undertaking this step is to establish the

consistency of SCALOG results with other analysis.

36

Form No. 3CDP-ELA Objectives

SECTORAL OBJECTIVES (REVISITING EXECUTIVE-LEGISLATIVE AGENDA (ELA))MUNICIPALITY XY

Performance Areas /Service AreasELA Dev’t. Goals/Objectives

Goals (Performance Areas) Sectoral objectives (Service Areas)

SOCIAL SERVICES

Peace, Security & Disaster Prep.A peaceful and safe community

Form No. 3 correlates existingCDP-ELA sectoral objectivesvis-à-vis performance areas/service areas

377 Steps in Capacity Development Agenda Formulation3

Form No. 4CDP-ELA-LGPMS-SCALOG COMPLMENTATION

CDP-ELA-LGPMS-SCALOG COMPLMENTATIONMUNICIPALITY XY

CDP/ELA (SectoralObjectives

Performance Index(Weak performance areas)

Low Competency

SOCIAL GOVERNANCE

Peace, Security & Disaster Prep.Peaceful andsafe community

Fair

POC does not meet as often asnecessary

Partial participation in IAPSPformulation

Partial participation in IASCPformulation

No M & E for IAPSP

Customer Service

The LGU streamlines its peace, security and

disaster preparedness services in terms of

reduction in:

3.4.7.2.1 processing/transaction time

3.4.7.2.2 number of requirements

3.4.7.2.3 number of signatories

3.4.7.2.4 number of steps

The LGU solicits feedback from its clients

regarding its services through informal means

(e.g., spontaneous feedback from clients,

interviews and other methods that are

unstructured or done randomly)

Participation

Lesser participation of the community in

planning, project

implementation, monitoring & evaluation.

Form No. 4 establishes relationships andprovides for the complementation of theresults of the different tools andprocesses to enrich the qualitativeanalysis for each performance area/service area.

Performance Areas /Service Areas

Use one or a combination oftools and processes in analyzingthe problem/s. The suggestedtools are Problem Tree Analysis,Fishbone Analysis, Strength,Weaknesses, Opportunities andThreat (SWOT) Analysis,Alternative Analysis Approach,Participatory IssueIdentification, Pairwise Ranking

The Problem Tree Analysis isdiscribed in the suggestedtool #1.

38

Undertake analysis of the

identified problemsStep 3

See Illustration #3 for a sample of an actual case.

Using “metacards,”

list all problems. One

card per problem.

Formulate each

problem as a

negative condition. From among

the listed

problems, try

& agree on

which is the

cause &

which is the

effect.

The convergence point

for all the problems

identified is referred

to as the “core

problem” & becomes

the

overriding concern

that will have to be

addressed.

Verify the cause and

effect relationship

and agree on the

soundness and

completeness of the

problem tree.

STEP 1Identify theproblems

STEP 2Establish the cause and

effect relationshipamong the problems

identified

STEP 3Establish a

convergencepoint/s

STEP 4Review thediagram as

a whole.

How to undertake Problem analysisSuggested Tool #1PROBLEM ANALYSIS

Suggested Tool # 2B. Sample Case Using SWOT

Suggested Tool # 3C. Sample Case Using Fishbone Analysis

How to do a SWOT

· Step 1 – Information collection - In the here and now…List all strengths that exist now. Then in turn, list allweaknesses that exist now. Be realistic but avoid modesty!

o You can conduct one-on-one interviews. Or get agroup together to brainstorm. A bit of both isfrequently best.

o You’ll first want to prepare questions that relateto the specific company or product that you areanalyzing. You’ll find some questions and issuesbelow to get you going.

o When facilitating a SWOT - search for insightthrough intelligent questioning and probing

· Step 2 – What might be…List all opportunities that exist in the future. Opportunitiesare potential future strengths. Then in turn, list all threats

that exist in the future. Threats are potential future

weaknesses.

· Step 3 – Plan of action…

Review your SWOT matrix with a view to creating an actionplan to address each of the four areas.

References:http://rapidbi.com/created/SWOTanalysis.html#Definitionhttp://www.mindtools.com/pages/article/newTMC_03.htm

http://web2.concordia.ca/Quality/tools/18pairwise.pdf

Follow these steps to solve a problem with a Cause and Effect Diagram:

1. Identify the problem:

Write down the exact problem you face in detail. Where appropriateidentify who is involved, what the problem is, and when and where it occurs.Write the problem in a box on the left hand side of a large sheet ofpaper. Draw a line across the paper horizontally from the box. This arrange-ment, looking like the head and spine of a fish, gives you space todevelop ideas.

2.Work out the major factors involved:

Next identify the factors that may contribute to the problem. Drawlines off the spine for each factor, and label it. These may be people involvedwith the problem, systems, equipment, materials, external forces, etc. Tryto draw out as many possible factors as possible. If you are trying to solvethe problem as part of a group, then this may be a good time for somebrainstorming.

Using the ‘Fish bone’ analogy, the factors you find can be thought ofas the bones of the fish.

3. Identify possible causes:

For each of the factors you considered in stage 2, brainstorm possiblecauses of the problem that may be related to the factor. Show these as

smaller lines coming off the ‘bones’ of the fish. Where a cause is large or

complex, then it may be best to break the it down into sub-causes. Showthese as lines coming off each cause line.

4. Analyze your diagram:

By this stage you should have a diagram showing all the possiblecauses of your problem that you can think of. Depending on the complexityand importance of the problem, you can now investigate the most likelycauses further. This may involve setting up investigations, carrying out surveys,

etc. These will be designed to test whether your assessments are correct.

39

40

What is Objective Analysis?It is a tool to:

- describe a situation that would existafter solving a problem or problems

- Identify means-ends relationship tomeet the objectives

- Visualize the relationships in a diagram.See Tool # 2 and follow the process

described in steps

The objective analysis will facilitate the

identification of the Core Competency

Objective for Capacity Development (CD).

Hence, it is strongly suggested that the use

of Problem Tree Analysis be undertaken to

identify the problems as suggested under

the Step 3.

Obejctives are specific measures used to

determine whether or not we are successful

in achieving a goal.

When sitting down to formulate your objec-

tives, it would help to have a very clear idea

of what you want to be in the future and

what you are going to do to get there. your

obejctives therefore should be SMART!

Step 4 Formulate the Competency Objectives .

S Specific Not a vague aspiration but a cleardescription of where you want to be

M Measurable So that you can demonstrate thatobjective can be achieved

A Achievable Within your control of influence

R Resourced Clearly linked to the resources neededto get you where you want to be

T Time-bounded Deadline!

46

Step 1: Reformulate all

negative statements in theproblem tree into positivestatements

Step 2: Form a diagram showing

means-ends relationship in theform of an objective tree.

Step 3: Reformulate Core

Objective into a CoreCompetency Objective

Step 4: Reformulate all MEANS

statements into appropriatestrategies, and END statements into

appropriate goals

Step 5: Add or do away with

strategies as appropriate.

Step 6: Review the diagram as a

whole and verify its validity and

completeness.

How do you identify the Core Competency Objective for CD?Translate the core objective as stated in the Objective Analysis to a specificcompetency that needs to be developed. See Illustration # 4 for sample ofan actual case.

The process takes offfrom the problemanalysis undertakenearlier (see SuggestedTool #1). Instruct theteam to go through thefollowing steps:

OBJECTIVE ANALYSIS

9 Steps in Capacity Development Agenda Formulation3 41

42

ENDS

MEANS

CORE OBJECTIVE

Appropriate systems inplace that make use ofstaff time & resources tothe maximum &

efficiently

Availability offunds tofinancedevelopmentprojects

Taxpayers areaware ofpaymentobligations

Expansion ofrevenuegeneration

base

Citizens havemotivation topay their taxes

Establishmentof a one-stopshop

Willingness oftaxpayers to pay

TO DEVELOP A LOCAL REVENUE PLANWITH AN UPDATED REVENUE CODE

Communication Strategydeveloped to convincecitizens of incentives and

benefits of paying taxes

Efficient systems on:-Assessment

-Collection

-Business registration

Political will to

collect taxes

The public are informedof their responsibility to

pay their taxes

LGU systemstreamlined

Presence of competent

staff complement tosupport tax collectioninitiatives

Tax campaign

developed &

implemented

LGU has

a public service

orientation

Penalties arestrictlyimplemented

Financialmanagement

system

implemented

Illustration No: 4Sample Case Using Objective Tree

Developing Core Competency Objective for CD and Strategies Using Objective Analysis

STRATEGIES

GOALS

Core CompetencyObjective for CD

ENHANCE LGU CAPACITY TO STRENGTHENLOCAL REVENUE GENERATION

STREAMLINING OF LGU SYSTEM

INDIVIDUAL-Build capacity of staff to provide

appropriate support to tax collection

initiativeORGANIZATION-Develop & implement systems in place in

terms of assessment, collection, &

business registrationSYSTEM / INSTITUTIONAL-Formulate & implement local policies,

i.e. Executive Order on streamlining and

implementation of incentives andpenalties.

BUILD CAPACITY

OF LGU STAFF IN DEVELOPING THE LOCALREVENUE PLAN

DEVELOPMENT OF A COMMUNICATION

STRATEGY aimed at:Increasing awareness of citizens and LGU leaders on the benefits of paying taxes

(External & Internal buy in)

Developing a public service orientation of LGU (Internal buy in)Strengthening citizenship & public participation

1. To convince citizens that paying taxes will improve the quality of their lives.2. To establish a one-stop shop to enhance local revenue generation.3. To strengthen citizenship in the area of revenue generation in local governance.4. To expand the local revenue generation base and identify traditional & non traditional sources

of income.5. To ensure that local revenue are allotted for development oriented & enhanced service

delivery programs & projects.

Tips

- Add new strategiesif there are relevantones that come upduring thediscussion andwould benecessary toachieve anobjective at ahigher level

- Delete strategiesthat do not seem tobe necessaryas a result of thediscussion


44

Reconcile Core Competency Objective

for CD with the priority development

agenda and capacity development

requirements as stated in the LGU

SLGR, if available. Also refer to the

LGU CDP-ELA and list the CDP-ELA

priorities per performance area, if

available.

This step is crucial and its purpose is toestablish the link of the identifiedcompetency gaps with the prioritydevelopment agenda of the LGU.

Key Questions to Ask!. Are the capacity development

requirements identified in the SLGR

consistent with the Core Competency

Objective for Capacity Development?

. Are the identified core competency

objective/s for CD aligned with the

thrust of improving the state of local

governance of the LGU?

. Would addressing the competency

gaps contribute in accomplishing the

priority program, projects and

activities of the LGU as articulated in

the CDP-ELA?

. Would efforts to address the

competency gaps potentially lead to

institutionalizing change in the LGU?

Step 5 Prioritize gaps for Capacity Development intervention.

50

Validation MatrixLGU XYZ

LGU Priority Development Agenda, CDP-ELA Goals and Priorities and CoreCompetency Objective for Capacity Development

Local Governance

Performance Areas

LGU Priority DevelopmentAgenda as stated in the SLGR(Outcomes/Outputs)

CDP- ELAPriorities

Core Competency Objective forCapacity Development (Step 7)

Governance

Administration -Revenue Generation

Enhance tax collection efficiency andRevenue Generation Activities · improve the city’s coffers · computerize payment and tax collection system · invest in local economic revenue

generating enterpriseUpdate the

Local revenue Code · conduct tax mapping operationsto

establish the tax base and identify

additional taxable properties and businesses · expand economic activities

covered by a new tax scheme

· offer better incentives to

prospective investors

Update theRevenueCode

Developtraditional

and non

traditionalsources ofrevenue

Enhance LGU capacity tostrengthen local revenuegeneration

Matrix 1

Service Delivery

EconomicDevelopment

EnvironmentalManagement


46

Step 6

6.1 Organize the Capacity Development Agenda accordingto Local Governance Performance Areas

6.2 Indicate Core Competency Objective for CD

6.3 Identify specific and appropriate capacitydevelopment strategy/approach/initiative that needsto be taken to meet the specific objective.

At this point, review results of Step 7- ObjectiveAnalysis - and look closely at the identified means to beable to meet the objectives. This section will provideideas on specific and appropriate capacity developmentstrategies and approaches

Remember, capacity development is NOT just about trainingor staff development and may involve a whole range ofstrategies and approaches e.g. learning by doing, peer topeer mentoring, work place learning , on-site coachingamong others.

6.4. Prioritize the capacity developmentinitiatives as High, Medium and Low toindicate which one should be implemented

first

Core Competency Objective for CDand corresponding initiatives that arealigned with the Priority DevelopmentAgenda, Capacity DevelopmentRequirements identified in the SLGRand CDP-ELA priorities should bemarked as high in the priority list.

Review Matrix 1.

6.5. Identify target outcomes or milestonesthat would be the basis for monitoring andevaluation of the results of implementingthe CD Agenda.

6.6. Identify target individual, divisions,systems, structures and policies thatshould be primarily involved in and/orshould be addressed by the proposedcapacity development initiatives. Thesemay also include specific structures,systems and/or processes that may beinfluenced by the capacity developmentagenda and process

Develop the Capacity Development Agenda

52

6.7. Assign specific roles and responsibilities to achieve the capacityobjectives and targets

6.8. Indicate target deadline for the completion of each capacitydevelopment initiative

6.9. Draw up realistic resource requirements and indicate fundingsources, if able to identify.

Resource requirements may take various forms: human, material and monetary.Sources may be internal (from within the LGU budget) or external.

6.10. Identify potential sources of support or technical assistance.

For example, the Local Governance Resource Centers may be tapped tofacilitate specific capacity development initiatives. Similarly, nationalagencies, academia or NGOs may be harnessed. It would be helpful if theplan will indicate these potential sources of assistance.


Remember, capacity development is NOT just about training or staff development and may involve a whole range of

strategies and approaches e.g. learning by doing, peer to peer mentoring, work place learning, on-site coaching among

others.

This is how a CapDev Agenda Looks like:

PerformanceAreas /ServiceAreas

CompetencyObjectives

CapacityDevelopment

Responses(Strategies/ Ap-proaches/P/P/As)

EXPECTEDOUTPUT

TARGET BENEFICIARIES

No. Type

LevelofPriority

TimeFrame

Funding Requirement

2010 2011 2012

OfficeResponsible

Source ofSupport/TechnicalAssistance

48

Step 7 Monitor Progress of the plan and make necessary adjustments

49

1. Keep track of the progress of the milestones in the agenda and document factors that

helped or hindered the achievement of the milestones.

2. Prepare regular status report of implementation of the capacity development

initiatives, strategies or approaches.

3. Adjust the plan based on the findings of the regular monitoring being conducted.

Taking Up the Challenge to Institutionalize Change

4The best way to predict the future is to create it…

Peter Drucker

or any local capacity development initiative to be strategic and effective, it is imperative for it to be basedon the strategic plan of an LGU. Efforts to enhance LGU capacities for improved performance should bealigned with the LGU development goals and priorities. Conversely, LGU plans and priorities should beF

supported by organizational and institutional competencies for its successful implementation.

Here lies the challenge of capacity development planning. Given its crucial place in the local developmentmanagement process, it should be prioritized and integrated meaningfully and systematically in local developmentplanning. At present, capacity development planning is a less prioritized task in many LGUs. Issues around time andresources tend to set capacity development aside. Moreover, the view of capacity development as limited to trainingremoves the creativity from the process and tends to marginalize the whole range of CD strategies.

Promoting the culture of learning in pursuit of good local governance entails the need to address organizational andinstitutional competency gaps. LGUs should not ignore or deny any shortcomings. Rather, the opportunity to build aculture of self-assessment could not be more real and possible than now. Capacity development planning as aknowledge process is a way to improving LGU performance.

It is important for an LGU to prioritize vis-à-vis a whole gamut of programs and projects when formulating a CDAgenda. For example, the Core Competency Objectives for Capacity Development that align with LGPMS results andCDP-ELA priorities must be high in the list of priorities. Moreover, the CD Agenda may also address areas that wouldhelp sustain a particular performance area and make it even better. What would it take to sustain effective systemsand make them even more responsive? How can it be institutionalized?

The Local Government Operations Officers (LGOOs) play a pivotal role in promoting a culture of learning and self-assessment in local governance. The key is to understand what it takes to broker the knowledge created and madeavailable so that LGUs may be able to use it effectively to address their own needs and priorities. Knowledge capitalbuild-up or organizing the relevant data, information and knowledge needed to respond to the LGU CD Agenda is akey result of capacity development planning. The LGOO is in the best position to facilitate this process incoordination with the DILG Local Governance Resource Center. LGOOs have within their reach a wealth of tools andstrategies that would support LGUs craft a gender responsive Capacity Development Agenda.

One must not want to institutionalize change. One must choose to.

52

a guidebook on capacity development agenda formulation

Documents

includestacit knowledge

local governancethe

gettingthe right knowledge

new knowledge orinnovatewhat

local governmentgerl

comprehensive information

capacity development

information andknowledge