participatory land use planning

Facilitator’s Guide to Participatory Land Use and Development Planning

Environment and Rural Development (EnRD) ProgramDecentralization Program

This document has been produced with the financial assistance of the EU. The views expressed herein can in no way be taken to reflect the official opinion of the European Union.”

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Facilitators’ Guide to Participatory Land Use and

Development Planning

November 2010

2 Facilitators’ Guide to Participatory Land Use and Development Planning

Facilitators’ Guide to Participatory Land Use and Development Planning

Copyright 2010 Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH

Published by:

German Technical Cooperation9/F PDCP Bank Centre, cor. V. A. Rufino and L.P. Leviste Sts.Salcedo Village, Makati City, Metro Manila, PHILIPPINESTel. No. +63 02 812-3165 loc 17http://www.gtz.de

ISBN

Our project partners:

Deutsche Gesellschaft fürTechnische Zusammenarbeit (GTZ)GmbH

Housing and Land Use Regulatory Board (HLURB) – Regions 6 and 8

Department of the Interior and Local Government (DILG) –

Regions 6 and 8

Province of Leyte

Municipality of Tolosa Municipality of Tanauan Municipality of Silago

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ContentsForeword 4

Acknowledgement 5

Acronyms and Abbreviations 7

Introduction to the Guidebook

What the Guidebook is about 10Who the Guidebook is for 11Why the Guidebook was developed 12How the Guidebook is organized 14How the Guidebook is used 18

Steps in Participatory Land Use and Development Planning Process 1 Orientation and Mobilization of Local Governments and Communities 212 Assessment of Community Resources 413 Plan Preparation 714 Plan Legitimization and Adoption 915 Plan Monitoring and Evaluation 99

Useful Resources 107 Glossary 113

Annexes (Please refer to interactive CD)


ForewordIn 2006, the GTZ Environment and Rural Development (EnRD) Program as well as the Decentralization Program supported the participatory land use and development planning (PLUDP) process in Leyte Island in response to the clamor of LGU partners to build their capacities in shaping their development path. We have witnessed a great deal of progress since then. Over the last three years, the application of PLUDP has seen a number of innovations from its LGU applicators, foremost of which is ensuring the integration of local data into the LGU mandated plans – the Comprehensive Land Use Plan and Comprehensive Development Plan.

The request from more LGUs for popularizing the PLUDP inspired the EnRD Program to strive for efficiency in its processes so that additional municipalities can apply it at least cost. With this Guidebook, other LGUs interested to undertake participatory land use and development planning may have a handy toolkit to use. Similarly, the Guidebook has listed other resource materials that can be referred to by its users.

We also sincerely appreciate the various individuals, institutions, and organizations such as the HLURB, DILG, the province of Leyte, and the municipalities of Tolosa, Tanauan, and Silago which have all worked together to create this important resource material. But our journey has just begun. We encourage everyone to stay on course as we pursue the vision of more empowered local communities in the future.

Dr. Walter Salzer Dr. Herwig MayerProgram Director Program ManagerEnvironment and Rural Development Decentralization Program

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AcknowledgementThis Guidebook would never have come to pass if it were not for all the Leyte Island provincial and municipal planning facilitators who took the concept of Participatory Land Use and Development Planning (PLUDP), translated it into action in the barangays and innovated on the processes and tools.

In particular, we thank the Municipal Mayors of Tanauan, Atty. Roque Tiu; Tolosa, Mr. Hilario Caadan; and, Silago, Mr. Manuel Labrador Sr., for their leadership in implementing the concept; as well as their respective Municipal Implementing Team (MIT) Leaders, Regilda dela Cruz, Cecilio Marilla and Leodelin Ansalde for painstakingly applying the PLUDP concepts in the barangays and municipalities. . Special mention is likewise given to Ms. Lucia Oronos of the Province of Leyte Implementing Team for introducing the eco-systems approach in the over-all concept of the PLUDP.

To those who read the earlier drafts of the Guidebook and provided comments and feedback from our National Government Agency partners: Housing and Land Use Regulatory Board (HLURB), Ms. Zenaida Estur and Ms. Rose Bermejo (Region VIII and VI); Department of Interior and Local Government (DILG) Provincial Director, Ma. Joy Marideth Madayag (Region VI); Director Manuel Gotis and staff of the Bureau of Local Government Development (BLGD); and to our colleagues in the GTZ, Ms. Johanna Willems and Mr. Norbert Frieters, our debt of gratitude for your role in the evolution of the final product.


We also wish to acknowledge the outstanding work and creativity of Ms. Filma C. Calalo, University Extension Specialist, and her project partner, Mr. Bernabe M. Remoquillo, Graphic Artist, both from the University of the Philippines Los Baños, for transforming our experiences with PLUDP into a handy resource material that we believe would be more meaningful to our LGU end-users.

And finally, deep appreciation is extended to Dr. Andreas Lange, Chief Advisor for Local Governance for the directions given in the treatment of this Guidebook; and Sr. Advisors Cecilia Astilla and Dolores Nuevas, for methodically ensuring the quality of content of the Guidebook.

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Acronyms and Abbreviations AIP Annual Investment ProgramBC Barangay CouncilBDC Barangay Development CouncilBDP Barangay Development PlanBAIP Barangay Annual Investment PlanBDIP Barangay Development Investment PlanCBMS Community Based Monitoring SystemCBO Community-Based OrganizationsCDP Comprehensive Development PlanCLUP Comprehensive Land Use PlanCSO Civil Society OrganizationsCVW Community Volunteer WorkerDA Department of AgricultureDAO Department Administrative OrderDAR Department of Agrarian ReformDBM Department of Budget and ManagementDENR Department of Environment and Natural ResourcesDRM Disaster Risk ManagementDILG Department of Interior and Local GovernmentEIS Environmental Information SystemELA Executive and Legislative AgendaEMIS Environmental Management Information

SystemENR Environment and Natural ResourcesENRO Environment and Natural Resources OfficeEP Ecological ProfileGFI Government Financing InstitutionGIS Geographic Information SystemGPS Geographic Positioning SystemHLURB Housing and Land Use Regulatory BoardIRA Internal Revenue AllotmentIRR Implementing Rules and RegulationsJMC Joint Memorandum Circular

Acronyms and Abbreviations


LCE Local Chief ExecutiveLCP League of Cities of the PhilippinesLDC Local Development CouncilLDI Local Development IndicatorLDIP Local Development Investment ProgramLGC Local Government CodeLGU Local Government UnitMHO Municipal Health OfficeMLGOO Municipal Local Government Operations OfficerMPDO Municipal Planning and Development OfficeNAMRIA National Mapping and Resource Information

AuthorityNGA National Government AgencyNGO Non-Government OrganizationNPFP National Physical Framework PlanNSO National Statistics OfficeODA Official Development AssistancePA 21 Philippine Agenda 21PDPFP Provincial Development and Physical

Framework PlanPLUDP Participatory Land Use and Development

PlanningPPA Program/Project/ActivityPPDC Provincial Planning and Development

CoordinatorPPDO Provincial Planning and Development OfficePPFP Provincial Physical Framework PlanPO People’s OrganizationsRHU Rural Health UnitRPFP Regional Physical Framework PlanRPS Rationalized [Local] Planning SystemSB/P Sangguniang Bayan/Panlungsod

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This Guidebook is about facilitating participatory land use and development planning by communities, for their communities by municipal facilitators. There is the strong belief that development planning is best initiated at the local level where the active participation of the local community is engaged.

The process of decentralization aims to promote meaningful people’s participation in development planning and decision making – processes that serve not only as primary avenues for improved delivery of services but also as a means by which to empower communities. It is especially important to encourage the broad participation of the diverse population groups, especially of marginalized groups whose needs and interests tend to be overlooked.

Current processes of decentralized planning (and decision making) emphasize the role of different levels of local governments where plans formulated are meant to be integrated and multi-sectoral. To achieve this, local governments express strong commitment to a more bottom-up and participatory way of identifying locally appropriate interventions. This means allowing local communities to appreciate their own resource endowments and thus providing them opportunities in considering these resources in the design of a multi-sectoral development plan they themselves will formulate. Such a plan is developed not in isolation but is linked into higher level, more comprehensive and integrated development plans as the Comprehensive Land Use Plan (CLUP) and

Introduction


the Comprehensive Development Plan (CDP). The information requirement that forms the basis for these two major plans is best derived from the barangay, facilitated by the use of participatory and consensus-building approaches allowing ease of integration of the Barangay Development Plan into the CLUP and the CDP.

What the Guidebook is aboutThis Guidebook specifically describes participatory land use and development planning (PLUDP) as a step-by-step process which actively involves the barangay in data validation, problem analysis and prioritization of needs, formulation of a community vision and mission, formulation of sectoral goals and objectives, and preparation of a comprehensive 6-year development plan. Moreover, this Guidebook lays the foundation for the integration of the barangay data into the higher level plans which will be fully described in a subsequent volume.

An essential feature of this participatory planning process is planning for land and other natural resources in the barangay whose value has often been limited by the characteristics of traditional planning. Participatory land use and development planning which helps communities initiate and set their own agenda particularly on the best use of their own resource endowments, is therefore more sensitive and responsive to the needs of local communities.

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Who the Guidebook is forThe Guidebook is intended for use of a multi-disciplinary team of facilitators (aptly referred to here as the LGU Implementing Team) identified from the municipal local government unit (MLGU) which is mandated to assist the barangay in the planning and preparation of their Barangay Development Plan BDP.

To facilitate the planning process, the LGU Implementing Team should have some knowledge and experience in the following areas:

A general knowledge of the development planning process;

Familiarity with local context; Basic principles of communication and facilitation; Use of participatory tools and techniques; and Ability to document a planning process.

Why promote local land use and participatory development planning?

To identify the practical and the strategic needs of diverse population groups;

To improve the quality of plans; To improve the quality of services; To promote community action.

Introduction


Why the Guidebook was developedUnder the Local Government Code (LGC), each local government unit must have a multi-sectoral development plan to be developed by its corresponding local development council. At the barangay level, it is the Barangay Development Council (BDC) that is mandated to prepare, implement, monitor and evaluate development programs and projects.

While the barangays have been given the responsibility to formulate their own development plan, this is almost not done or undertaken. This is perhaps due to the limited capacity of the BDC (or in some cases, the Barangay Council) on planning as well as of the other technical aspects. Many of these are not properly prepared with respect to technical feasibility, social acceptability, financial viability and environmental soundness, primarily because of the technical limitations of the barangay officials who prepare the plans. Further, the process of developing many of these plans is not always consultative, because it may not involve the different constituents concerned - such as women and men, minorities, senior citizens, youth - and resource holders during the identification and prioritization process. Thus, many of the projects are not implemented or, if they are implemented, they do not result in the targeted objectives or match the vision of the community.

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A participatory development planning process for Plan formulation has been introduced to respond to the above-cited limitations. The application of this process is deemed important as it attempts to make planning as well as the allocation of resources more responsive to local people’s needs – improving the quality of services, while promoting community action and involvement in planning and managing local development.

Experiences in the field have shown that participatory approach has led community members to enjoy increased levels of self-esteem, expanded abilities to realize capacities and a heightened sense of appropriation towards programs, projects and activities. It is therefore especially important to support the equal participation of marginalized community members.

Participatory land use and development planning is a process that aims to elicit a high level of participation by the community. Within this context, participation goes beyond mere provision of data, manpower or assistance. It implies the sharing of responsibilities, negotiating, empowering and emotional commitment between the barangay and municipal facilitators. And most importantly, it is a learning process!

Introduction


This current initiative on participatory land use and development planning may start a process where Barangay Development Councils, with strong participation of a number of barangay constituents, will truly perform its duty and Barangay Development Plans will truly reflect the ideals and aspirations of the people.

How the Guidebook is organized

This Guidebook is organized into sections as follows: Section 1 provides a brief overview of the Guidebook, its purpose, who is it designed for, how it is organized, and how it is to be used.

Fig. 1. Participatory development planning as a cyclical learning process.

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Step 1

Step 2

Step 3

Step 4

Step 5 Plan Monitoring and Evaluation

Plan Legitimization and Adoption

Assessment of CommunityResources

Orientation and Mobilization of Local Governments and Communities

Plan Preparation

Up to three (3) days

Up to five (5) days

Up to five (5) days

Up to three (3) days

Every quarter

Section 2 outlines the steps in participatory land use and development planning. This section is divided into the following five steps with their time estimates:

Introduction

The illustration next page outlines these steps.

Each step as described in the Guidebook is provided with:

a brief overview of the step; a set of objectives; a description of the major activities involved; and participatory planning tools that can easily be

adapted.

Section 3 which is a Guide to Useful Resources will enable facilitators to review publications and other materials for more information on specific topics.

Section 4 is the Glossary. While the Guidebook tries as much as possible to avoid the use of jargons, this, of course, is just not possible. Wherever specific terms are used, the definitions are then collected in the Glossary.

Section 5 includes Annexes with references to other resources which may be reproduced as handouts for, or used in training activities with all those who may be involved in participatory land use and development planning.


Participatory Land Use and Development Planning Process Roadmap

Orientation of Liga ng mga Barangay (Association of Barangay Captains or ABC)

Step 1Orientation andMobilization of

LGs and Barangays

Step 2Assesment of

BarangayResources

Step 3Plan

Preparation

Step 4Plan

Legitimizationand Adoption

Step 5Plan Monitoringand Evaluation

Courtesy call to and orientation ofBC of volunteer barangay/s

Specification of basic data and

information required in Barangay

Development Plan (BDP) preparation

Inventory of available data and

information (including maps)

Identification ofdata gaps

Triangulation of population/ demographic trends, spatial patterns and changes, etc.

Barangay VMG formulation

Review of current/ available revenues

Plan legitimization through Barangay

Assembly

Plan adoption through barangay

resolution

Plan endorsement to the Sanggunian

Bayan (SB)

Monitoring planimplementation

Monitoring PLUDPreplication process

Plan integration to municipal comprehensive land use and development plans

Development strategies

formulation

Program/project prioritization

Programmingand budgeting

Formulation of operational/implementation plan

Problem/issue prioritization

Goals/objectives formulation

Problem analysis; inter-and cross-sectoral validation

Community orientation through Barangay Assembly

Reconstitution/re-activation of BDC by LGU-IT and MLGOO

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Throughout the Guidebook, icons are used to draw the municipal facilitators’ attention to important concepts, ideas, reference materials, and tips or suggestions.

REFERENCE MATERIAL The Guidebook is based on numerous references which contain many useful tools and instructions for conducting the various activities. When you see this icon, you will be directed to a specific reference material for further details. TIPS This icon will tell you of useful ideas and/or suggestions on how to deal with a particular issue or task.

TOOLS The use of participatory tools and methods is integral to participatory land use and development planning approach. The tools facilitate the performance of certain tasks carried out during planning particularly the assessment of community resources and in the utilization of the results of the assessment. IMPORTANT This icon gives you important reminders or warnings on a particular issue or task.

ANNEX This icon refers you to the Annexes for a particular topic or for further instructions on a step or activity.

Introduction


How to use the Guidebook

The Basic Package

A minimum set of data requirements is needed in the formulation of the Six-Year Barangay Development Plan. We refer to this here as the BASIC package since the basic information can be derived from secondary sources and then validated. Only in instances where the barangay lacks the required data or information that primary data collection is undertaken. Undertaking the basic package ideally takes about 10-15 days to complete the PLUDP per barangay.

The Full Package

Since the participatory land use and development planning process adopts the ecosystems approach, data requirements therefore, also cut across various landscapes: land, water bodies, and forests. Each of these thematic areas require the formulation of more detailed development plans which the barangay can opt for particularly in preparing project proposals. These include the Forest Land Use Plan (FLUP), Participatory Coastal Resource Assessment (PCRA), and the Disaster Risk Assessment (DRA). We refer to them here as the FULL package to differentiate them from the Barangay Development Plan. The full package takes about 15-25 days to carry out.

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A Note to UsersThe preparation of this Guidebook is based on a number of documents, literature, and other materials that describe land use and participatory development planning. More importantly, the Guidebook is based on experiences of municipal facilitators on the application of the concept and practice of participatory land use and development planning process. Drafts of the Guidebook have been reviewed by experienced practitioners and LGU facilitators. Users of this Guidebook are requested to document what has worked well in their communities, and what needs improvement in the way the Guidebook was written, so that we can develop an improved edition later. You may send your comments and suggestions to:

Remember!

This Guidebook should not be seen as a rigid set of rules to be followed or a prescription for how participatory land use and development planning should be carried out. Instead, it should be viewed merely as a set of guiding principles or options for adaptation to different local circumstances. This means, in practice, users may opt not to follow the sequence exactly as they are but employ activities that will help them with particular aspects of the development planning.

While many of the tools, suggestions and illustrations used in the Guidebook are practical for all communities, some of them will be more useful if they are modified to suit the particular socio-cultural environment as well as the political conditions of the communities where the Guidebook is to be used.

German Technical CooperationEnvironment and Rural Development (EnRD) ProgramPDCP Bank Centre, cor. V. A. Rufino and L.P.Leviste StreetsSalcedo Village, Makati CityTel. No. +63 02 812-3165 local 17Website: http://www.gtz.de

Introduction

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Step 1. Orientation and Mobilization of Local Governments and Barangays


This step introduces and promotes the barangay land use and participatory development planning process. It describes a philosophy and a process that when local people take active part in development planning at their respective levels, the entailing development plans and activities will be most responsive to their real needs and consequently be considered most effective.

This initial step includes:

a Preparatory Phase which involves identifying planning facilitators from the municipality and organizing them into an LGU Implementing Team;

a Community Orientation and Mobilization Phase which establishes the commitment of both the LGU and the barangay in undertaking land use and participatory development planning.

The participatory development planning process is both a political and an institutional undertaking. As such, it requires certain conditions for success, most important of which is commitment. This steadfastness emanates from the Local Chief Executive (LCE), the different LGU Department Heads, the barangay and its constituents. The availability of LGU staff, the creation of the implementing team, the allocation of budget to undertake development planning, all these reflect a level of political will and political capacity of the MLGU to undertake the participatory development planning process.

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To achieve a successful planning process, it is important that the community has a good understanding and appreciation of the core concepts and principles of land use and participatory development planning. It is therefore important to plan activities that would create an environment conducive for the community to appreciate the importance and benefits of development planning.

1. To identify, organize, and formalize the LGU Implementing Team;

2. To introduce to Punong Barangays and Barangay Councils the concepts and principles of land use and participatory development and officially adopt the process as basis for the formulation of the Barangay Development Plan;

3. To activate/reactivate or reconstitute the Barangay Development Council (BDC) as the core barangay planning team;

4. To establish in the community a common understanding of the steps and activities of land use and participatory development planning process;

5. To encourage as much community as well as multi-sectoral participation (i.e., diverse population of the community) throughout the planning process.



Preparatory Phase

Activity 1 Organize the LGU Implementing Team (LGU-IT).

Embarking on land use and participatory development planning requires the creation of a team of planning facilitators from the municipality, identified and organized through an Executive Order (EO) from the Local Chief Executive (LCE) who designates the members of the team, specifies their tasks and functions, and approves the budget and proposed plan of activities. The major task of the LGU Implementing Team is to facilitate the formulation of the barangay development plan (BDP).

The LGU Implementing Team (LGU IMPLEMENTING TEAM) is a multi-disciplinary group of facilitators from the municipal LGU mandated by their Local Chief Executive (LCE) “to assist the barangays in facilitating the formulation of their Six-Year Development Plan starting with the barangay land use as basic input and consideration in the identification of development interventions, program thrusts and projects done in participatory and consensus-building approach.”

From: Municipal Facilitators’ Guide to Participatory Barangay Development Planning (GTZ, 2006).

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To help facilitate the process of development planning in the barangay, the LGU Implementing Team should have some knowledge and experience in the following areas:

A general knowledge of development planning process

Familiarity with local context Basic principles of communication and facilitation Use of participatory tools and techniques Basic knowledge of gender and conflict resolution Ability to document a planning process.


The size of the LGU Implementing Team may differ per municipality depending on the number and size of the barangays as well as the capability and the availability of the staff to be designated. The size of the team however, affects the speed with which the LGU Implementing Team can cover the entire municipality or to replicate the participatory development planning process in all barangays. More important is the support of the LCE which is also a determinant in the Team’s ability to complete the task!

GUIDE MATERIAL:

For other approaches in organizing planning teams, you may refer to Volume 1. CLUP Guidebook: A Guide to Comprehensive Land Use Plan Preparation (HLURB, 2006).


Community Orientation and Mobilization Phase

Activity 2 At the municipal level, conduct a general orientation on barangay land use and participatory development planning.

Before the orientation:

2.1. Draw up a list of participants.

Participants to the orientation may consist of the following:

Barangay Captains (Punong Barangays) or the members of the Liga ng mga Barangay (Association of Barangay Captains or ABCs)

Members of Barangay Development Councils (BDCs)

Representatives of the municipal government and agencies concerned

Representatives of civil society organizations or sectoral representatives

Community Volunteer Workers (CVWs)

Make sure that gender and sectoral balance is achieved!

2.2. Draft a general orientation programme. This will give the audience an idea about what to expect during the orientation. A sample programme may look like this:

2.3. Assign roles and responsibilities among the members of the LGU Implementing Team (who will do what task).

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2.4. Have a detailed plan that specifies the date of orientation, venue, as well as logistics.

2.5. Conduct the orientation as planned.

During the orientation:

2.6. Introduce the concept and salient features of land use and participatory development planning. Emphasize how this is different from the traditional planning process that most municipalities and barangays have been used to follow. Include in the discussion the potential benefits and improvements that participatory planning can bring to the barangay.

2.7. Discuss how the participatory planning process relates to the formulation of the Barangay


National Anthem Invocation Welcome Remarks Introduction of Participants and

LGU Implementing Team Objectives (of the Orientation) Discussion of the Concept of

Land Use and Participatory Development Planning in the context of the Barangay Development Plan (BDP)

Presentation of the Land Use and Participatory Development Planning Process Steps and Activities

Discussion of Cost- and Resource-Sharing Among Municipality, Barangay, and Other Possible Sources

Open Forum

PROGRAMME


Development Plan (BDP) and how the Plan is designed such that it can be integrated with the more comprehensive municipal plans (i.e., the CLUP and the CDP).

2.8. Discuss the cost and the resources that will be required in carrying out the participatory planning process in the barangay. Make it clear that the activity requires cost-sharing between the municipal LGU and the barangay. This will give the participants an idea of what to prepare for in the event that they decide to engage in the planning activity.

2.9. If an indication of interest to undertake the participatory development planning process is shown by any of the Punong Barangays present, discuss the need for the municipality to issue an Executive Order making official the facilitation of the LGU Implementing Team of the barangay planning activities as these will be undertaken on official time.

If several barangays have volunteered to engage in the participatory development planning process, it might be a good idea to conduct the orientation with the barangays by cluster. Identify the barangays to compose a cluster. Usually, contiguous barangays are best clustered together. Agree on the specific venue (which among the several barangays) and the best time to hold the orientation.

The barangay population, land area, shared resources and common problems may also be taken into account when clustering barangays. The number of barangays to be clustered may be reduced when one or two of them are big and heavily populated.

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2.10. Set the schedule for a similar orientation meeting with the volunteer barangay together with concerned barangay officials. Agree on the date, time and venue for the orientation meeting.

Activity 3 Conduct an orientation with the Punong Barangay and Barangay Council of the volunteer barangay.

This activity aims to:

formalize entry into the barangay; make barangay administration leaders understand

and appreciate the relevance of a participatory approach to development planning;

identify individuals who will actively and sustainably participate in the planning process;

make barangay planners understand their roles and functions so they can act in line with these;

seek formal commitment from barangay officials to support the planning activities.

Before the orientation:

3.1.Prepare a programme outline just as you did during the orientation at the municipal level.

3.2. Make sure that members of the LGU Implementing Team has been assigned specific task to perform in relation to the orientation activity.

3.3. Ensure that the necessary logistics have been arranged.



During the orientation:

3.4. Give an overview of planning in general and participatory development planning in particular. Introduce the goals and objectives of participatory development planning process, its salient features, the steps, flow of activities, and expected outputs.

3.5. With the rationale, goals and objectives of participatory development planning in mind, the Barangay Council should be convinced to pass a Barangay Resolution adopting the participatory approach to development planning as basis for the preparation of their Barangay Development Plan.

3.6. Discuss with the Punong Barangay and the Barangay Council, the need to create a representative planning team from the barangay which will work closely with the municipal facilitators in doing all the planning activities.

If the barangay has limited understanding of the importance of development planning specifically land use-based planning, it may be useful to include a presentation and discussion of this concept during the orientation.

Community leaders who understand the importance of resource-based development planning and the potential benefits of adopting the process to come up with their own local development priorities will be more effective at convincing people to participate in the undertaking and will be more motivated themselves to promote the process.

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It is best that the reactivation or reconstitution of the BDC be done by the LGU Implementing Team together with the Municipal Local Government Operations Officer (MLGOO).


A simple way to organize the barangay planning team is to consider first the existence of a Barangay Development Council (BDC). In principle, the BDC members should form the core group of the planning team since it is the BDC which is mandated to do planning in the barangay, hence it is important that the BDC play an active role in the process. The prevailing practice of having the Barangay Council assume the role of the BDC in development planning is therefore strongly discouraged!

If the BDC is not active or functional, there might be a need to reactivate (or in some cases, reorganize or reconstitute) the BDC by involving them actively in the planning process. It may also be necessary to hold a reorientation on the role and function of the BDC.

BOX 1. Functions of the Barangay Development Council (BDC):

1. Mobilize people’s participation in local development functions efforts;

2. Prepare barangay development plans based on local requirements;

3. Monitor and evaluate the implementation of national or local programs and projects; and

4. Perform such other functions as may be provided by law or competent authority.

SOURCE: The Local Government Code of 1991.


IMPORTANT:

The composition of the planning team from the barangay is crucial to the success of the development planning process. Having broad-based and appropriate representation of planning members will allow wider and more dynamic interaction.

3.7. If there is no way by which to reactivate or reorganize the BDC, ask the Punong Barangay to identify people who may be involved in the planning process. To ensure geographical as well as sectoral representation, it is necessary to include membership from the following groups:

Sitio or purok leaders who have been appointed to the position because of their potential to lead a sub-unit of the barangay;

Representatives of population groups in the barangay such as women, youth, indigenous peoples, farmers, fisherfolks, professionals, businessmen, etc;

Recognized informal leaders in the barangay; Community Volunteer Workers (CVWs);

33Orientation and Mobilization of Local Governments and Communities

It is important to think about who in the community will participate in the planning process. Full and total participation is not realistic, but try to maximize the number of different interest groups participating. Participation should not be limited to local leaders

or those who normally attend or run community meetings. To maximize participation, think about timing planning sessions at times convenient to the community (whether mornings, afternoons, evenings, or weekends). A pre-planning meeting provides an opportunity to think about when to meet with different groups of people and also identify the best time for community meetings when broad participation is encouraged.

A good sectoral representation. It is important to have the various population groups and sectors properly represented. This includes men and women, senior citizens and youths, farmers and fisherfolks, and representatives from different religious, ethnic and social groups etc.

Familiarity with the local area. It is advisable to include in the planning team individuals who have a certain degree of familiarity with and knowledge about the local community in terms of the landscape, terrain, people, and places.

Availability. People in the community engage in a number of activities. Sometimes the activity may coincide with the planting or harvesting season; sometimes it may be the celebration of a feast. In the case of barangay officials, it may sometimes coincide with important official function; hence most of the people in the barangay may not be available to take part in the activity.

Willingness to commit time and effort. Sometimes people may be willing to participate but lacks the time to do so because of the need to give priority to earn income rather than participate in development activities. This often hampers the active participation of the community in development activities that concern them.

Adequate understanding of the process. It is good to involve in the development planning process people who are open to learn and are willing to gain experience, knowledge and skills from participation.

BOX 2. Criteria for the selection of members of the Planning Team.


3.8. Ensure the commitment of the Barangay Council in the conduct of the planning process. It is necessary to ascertain that the barangay commits the following:

The active participation of the BDC and other barangay planning facilitators throughout the planning activities;

The cost- and resource-sharing which includes venue for training, meals and snacks during training, and travel expenses of the CVWs to and from the training venue;

Agreement on the work plan which will cover the period when the planning sessions will be conducted, the activities to be undertaken and who will be responsible for each activity or set of activities (“who-will-do-what”), and the time frame for each activity.

It may also help to discuss the following with people why they might like to participate and think about what might motivate them to participate:

Ownership, this is a development plan for and by the community, not that of any particular interest group or local authority;

Improved quality of product, the more ideas and contributions, the better the development plan will be;

Emphasize the action nature of the development plan, which will lead to change in the community;

Emphasize that the plan will be realistic, and that short term interventions will be identified so there can be rapid follow-up (if possible linked to guaranteed basic funding);

Emphasize that the planning process is intensive in the first year to get the plan developed, but is quicker in subsequent years in a plan review process.

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Activity 4 Conduct community orientation through the Barangay Assembly.


formally introduce the participatory development planning process and activities to the whole barangay;

seek barangay commitment and support to sustain the participatory development planning activities.

Before the Barangay Assembly:

4.1. Agree/Decide on the following:

Who should attend the Barangay Assembly? (Whole barangay or agreed upon representations? If the latter, what are the areas/sectors/groups to be represented and how many representatives each?

How will the people be informed about the Assembly (that is, the information dissemination strategies)

What are the specific tasks to be done and who should do what?

4.2. Consider the following topics in the presentation/orientation:

Current Community Situation The Planning Process Relevant provisions on development planning

as contained in the Local Government Code (LGC)

The Concept and Philosophy of Land Use and Participatory Planning Process

The roles and functions of the Barangay Planning Team



Actual Barangay Assembly:

4.3. Explain to the Assembly the purpose of the activity:

To orient the barangay people on participatory development planning;

To prepare them for the activities that lie ahead so that they can act accordingly (either to participate or to be fully supportive).

4.4. Briefly discuss the topics making sure that the barangay people:

understand and appreciate the relevant provisions on development planning as specified in the 1991 LGC;

understand and appreciate the participatory planning process, its rationale and features;

assume responsibility for analyzing their current situation and formulating their own development plans and programs to improve their present standard of living;

realize the benefits of adopting a participatory approach to the formulation of their development plan;

understand the roles and functions of the Planning Team.

IMPORTANT:

The orientation with the community through the Barangay Assembly is a consultative process designed to mobilize the social as well as the political support necessary for carrying out the participatory barangay development planning process.

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4.5. Present the pre-finalize venue, days and time of the participatory planning activities for validation. Make necessary adjustments based on suggestions.

Activity 5 Prepare for the planning activities.

The following preparatory activities may need to be undertaken jointly by the municipal facilitators and the Planning Team prior to the planning period:

Organizational aspects such as sending out of invitation; confirmation of participants to the planning workshop, finalizing the date, time and venue of the planning workshop.

Substantive aspects such as making available the documents necessary to guide participants through the development planning process such as toolkits, available maps, and other data and information necessary to proceed with an activity.

Logistics – specific logistical arrangements may include:

- Travel: Most municipal facilitators may cover substantial geographical areas, hence transport costs to and from the barangay may need to be catered for. Similarly, community members may have to incur transport costs in order to be able to take part in the planning activity. Transport must be budgeted for each day.


See Annex 1-1 for Sample Participatory Development Planning Workshop Schedule.


- Meals and refreshments: If participants are contributing throughout the day in the planning process, or if they have to travel long distances to do so, they may need to be given meals or some form of snack usually taken care of by the barangay.

- Venues: It is useful to have a core venue such as a large hall where groups can meet and materials can be left on the wall for the whole planning week. Not all barangays may have meeting venues conducive enough for the planning exercise. In such case, it might be suitable to co-opt existing venues like school halls.

- Materials and equipment for the development planning process may need to be purchased.

Facilitators must be able to adapt to the inevitable no-shows, late starts, etc. Best use must be made of the time available such as spontaneously deciding to use another tool,

reducing the tasks, etc. With increasing confidence, facilitators can use any times and groups in a creative way.

39Orientation and Mobilization of Local Governments and Communities

You now have a corps of well briefed and committed Planning Team. Well done! You are now ready to move on to the ‘real’ activities.

Some Things to Consider in the Planning Sessions:

Considering the long-running activities to be undertaken and the need to divide tasks among the members of the planning team, it may be helpful or necessary to form the group into Host Teams, the composition of which may be done at random, by area of representation, or by any other basis deemed most effective by all.

Tasks of the Host Team for the day: - Timekeeper - Recapitulation of the previous day’s activities - Physical arrangement of the workshop venue - Provide energizers/unfreezing/ice-breaker exercises Ensure that all members of the Host Team play some role.

Allow the participants to begin the day with welcome and customary greetings.

Where possible, let groups work independently, but check that participants understand the task and are carrying it out correctly.

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Step 2. Assessment of Barangay Resources


The purpose of doing a community resource assessment is to get data and information that can be used sufficiently as bases to formulate or design a Barangay Development Plan. Here, data gathering is done in a participatory way with both the municipal facilitators and the Planning Team helping each other out in the process.

The basic question to be answered in this stage of the participatory development planning process is: “Where are we right now?” Hence, this stage involves the generation of data and information in order to assess and analyze the local community situation particularly in terms of the interplay of demographic as well as spatial trends and patterns and changes in these which will highlight potentials and limitations for planning consideration. Data and information about the barangay are reviewed and validated using a variety of methods and approaches.

There are at least two ways by which to do this here: one is technical and the other, participatory. By technical, we mean assessment using data derived from surveys and records of the concerned local government units including official publications of national agencies and other entities. These data are usually based on certain indicators, standards and parameters that are vital in characterizing the community situation.

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Participatory assessment, on the other hand, is based on the outcome or results of community consultations, focus group discussions, meetings with key informants, multi-sectoral meetings, etc. This activity facilitates the generation of the needs, desires, and perception of problems and issues as well as opportunities of the different population groups of a barangay.

The data and information that will be gathered will be used to put together a description of both the current and past situations of the community and which will hope to serve as reference for later analyzing issues and problems, prioritizing needs, and identifying potential solutions, and designing possible interventions, all of which are important inputs into the preparation of the BDP.

1. To review and validate available data and information about the barangay;

2. To consolidate and analyze the data and information generated to come up with most critical issues/problems/concerns for the barangay.

Assessment of Barangay Resources


Activity 1 Specify the data and information required to draft a general profile of the barangay.

The ultimate objective of doing this barangay land use and participatory development planning is not just for the barangay to formulate a Plan. But that Plan should easily be integrated into the more comprehensive municipal plans such as the CLUP and the CDP. Therefore, it is best to start from data and information that are required in these two major plans.

It is important to note that data required of these two major plans are “portrayed” in terms of three dimensions, that is:

Sectoral Temporal Spatial

This categorization is done so that facilitators will be able to get more meaningful observations as well as identify problem situations systematically, and eventually, formulate solutions that are more area-specific.

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The CLUP requires the following information:

Demographic Social Spatial (land use) Economic Environmental Infrastructure and Utilities

The CDP on the other hand, requires an “Ecological Profile” based on data according to five development sectors, namely:

Social Economic Infrastructure Environment and Natural Resources Institutional


Sectoral-temporal data provides changes in the community over time based on certain attributes.

Sectoral-spatial data provides an appreciation of the

differences between the current status of the local area as against the larger community of which it is part of and the local area’s smaller component parts.

The Comprehensive Land Use Plan “is the long-term guide for the physical development of the local area, the framework for the management of local territories through the zoning ordinance …”

From: Volume 1 of the CLUP Guidebook (HLURB, 2007).


The Comprehensive Development Plan “is the action plan utilized by every local administration to develop and implement priority sectoral and cross-sectoral programs and projects …”

From: Comprehensive Development Plan (DILG, 2008).

To guide data collection, see Annex 2-1 for the Suggested Barangay Development Plan format.

Refer also to Annex 2-2 for the Checklist of Data Requirements.

GUIDE MATERIAL

For further discussion of situational analysis, you may refer to Volume 1. CLUP Guidebook: A Guide to Comprehensive Land Use Plan Preparation (HLURB, 2006); or the Guide to the Preparation of the Comprehensive Development Plan (DILG, 2008) for discussions on data generation and analysis.

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Activity 2 Review and validate existing or available data and information about the barangay.

Once the checklist of data to be collected is made, a review of available data and information about the barangay (including maps) would be important to determine what data and information are existing and what are lacking. By reviewing the available data, the Planning Team will have initial knowledge of the community situation. This activity will also help to save on time and resources because there is already data, information and maps to start with and work on.

One way of assuring the validity of available data and information about the barangay is through triangulation or the use of a variety of approaches.

In participatory land use and development planning process, available data can be validated through a number of ways:

1. Use of secondary sources2. Use of PRA methodology3. Participatory mapping


IMPORTANT:

In planning for development, it is important to begin with all the available information about the barangay. Secondary data is useful in order to get an initial picture of the overall situation in the community as well as determine gaps or possible contradictions in the available data.


Initial analysis and validation of available data and information about the barangay will enable the Planning Team to identify data gaps.

Review of Secondary Sources of Data and Information

Data and information about the barangay that are lacking or not available may be sourced from any of the following: Updated Community-Based Monitoring Survey

(CBMS) data Barangay Health Workers’ Monitoring Sheet The Municipal/City Planning and Development

Office and other LGU offices and departments as well as line agencies

NGOs and community-based organizations could also provide relevant and, more often, updated information.

Other data generated by national agencies and other organizations are also rich sources of useful data for planning such as:

Results of Millennium Development Goals (MDG) surveys

Minimum Basic Needs Survey Local Governance Performance Management

System (LGPMS)

IMPORTANT:

Data collation on Community-Based Monitoring Survey is also being done by the LGU Implementing Team together with the MLGOO.

49Assessment of Barangay Resources

BOX 3. Why use secondary sources?

Using secondary sources enables the Planning Team to: build an initial picture of the profile of a site; cross-check and compare information from the

assessment process with other sources of information; use information that they would not otherwise have the

resources to collect; compile information which will help in understanding

problems.

Refer to Annex 2-3 for PRA Tools and Techniques.

Use of Participatory Tools for Assessment (PRA)

If data needed are not available using secondary sources, these may be generated using PRA tools. While secondary data generated for the planning activities are mostly quantitative, it is also essential that the community is understood from the perspective of the diverse community constituents themselves. The use of participatory tools and methods is integral to land use and development planning.


When using participatory tools, the facilitators should:

Give clear instructions. It is sometimes useful to provide an example.

Let the group draw the tool themselves and facilitate discussion on key issues.

Encourage group members to share responsibility for the drawing.

Remind people that the quality of the drawing is less important than the discussion.

Think of some key questions to guide the discussions. Use local materials and encourage people to work in their

own way. Encourage the group to make the drawings large to fit in as

much detail as possible

BOX 4. Why use PRA tools?

PRA tools are useful because:

They can help people to overcome their fear of talking in groups.

Participants in the group discussion are in control and do the drawing themselves.This enables the participants to share their own views with each other, and not just with the outside facilitator.

They are fun to use, and offer a non-threatening way of sharing people’s ideas and discussing sensitive issues.

They provide a visual aid for, and record of, discussion of issues that can be complicated and sensitive.

They help to involve a number of people at once, stimulating discussion and highlighting differences and commonalities.

Careful sequencing of tools can help group members to analyze problems and discuss responses to them.

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Use of Participatory Mapping

“Maps are more than pieces of paper. They are stories, conversations, lives and songs lived out in a place and are inseparable from the political and the cultural contexts in which they are used.” Warren, 2004

Of all the participatory development methods that have been adopted, adapted and applied in a development context, it is “participatory mapping that has been the most widespread” (Chambers, 2006: p.1).

Participatory mapping is a map-making process that attempts to make visible the association between land and local communities by using the commonly understood and recognized language of cartography.

Activity 3 Discuss the concept of the Ecosystems Approach.

The aim of this activity is for participants to understand and appreciate the importance of participatory development planning based on the recognition that people is a vital component of an ecosystem and that ecological, social, and economic sustainability can only be achieved through planning processes that integrate the diverse values, aspirations, and interests of different stakeholders.


Refer to Annex 2-4 for a discussion on the concept of Participatory Mapping.


The ecosystems approach is a strategy for the integrated management of land, water and living resources that promotes conservation and sustainable use in an equitable way.

Courtesy of Lucia Oronos of the Province of Leyte Implementing Team

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TOOL: MIND MAPS

A tool used to gain the barangay’s perspective of their current spatial layout, issues which affect different parts of the community (Problem Map), their natural resources (Resource Map); as well as how it came about and possible future options to improve their living environment (Vision Map).


The ecosystem approach is embodied in a more useful concept, the “reef to ridge” approach (R2R), an integrated resource management framework that recognizes the dynamic interrelationships and interconnectedness of ecosystems from the mountains (landscape) to the seas (seascape).

The R2R approach utilizes ecologically sound methods in a bottom-up process in the rehabilitation, conservation, and management of threatened and degraded ecosystems.

Activity 4 Discuss the barangay’s knowledge of the resources in the area, the problems they encounter, and their vision of the future.

This exercise aims to:

Identify the position of key physical and natural resources in the barangay;

Identify problem areas and areas of opportunity in the barangay.


Activity 5 Discuss the history of the barangay and other significant events that have occurred over time.


· Explain the history of development in the barangay including the major events;

Identify the impacts and effects of major events on livelihoods and their implications for the future for the different ethnic, religious and societal groups;

Discuss the changing trends with respect to access to, and status of natural resources, and show how these are linked with changing quality of life/poverty and gender equality trends.

It is important in the development of plans to first have some understanding of where the community has come from, that is its basic history. This can be done by using the PRA tools called Timeline and Historical Transect where the community members develop a sequence of events in a joint manner. In this way, the barangay and the municipal facilitators gain an understanding of what has worked and what hasn’t in the community, as well as the general trends over the years, which will contribute to better plan formulation.

TOOLS: TIMELINE and HISTORICAL TRANSECT

Timelines and historical transects are simple graphic methods of representing a sequence of past events that a community considers important.

55Assessment of Barangay Resources

TOOL: TRANSECT MAP

A transect map is a method for gaining the community’s perspective of the current spatial layout of the area, as well as how it came about and possible future options.

Activity 7 Describe the existing situation of the barangay in relation to its socio-economic attributes.


Understand seasonality of agricultural and non-agricultural workload, food availability, incidence of pests and diseases, gender-specific income and expenditure, and other aspects of human activity that have established a certain trend or pattern over the course of time;

Analyze perceptions of wealth differences and inequalities in the community;

Understand the community’s agricultural production system including yield, labor, market, expenditures, and income and the contribution different community members make to the system;

Activity 6 Describe the general condition of the barangay in terms its physical attributes.


Understand the spatial layout of the community; Understand development issues in the community

and how they relate to location.


Learn about sources of income (cash and kind) in the family, how income is spent and what implication that has on the economic status of the family.

Activity 8 Analyze the services and service providers in the barangay.

TOOLS:

Seasonality Diagram Wealth Ranking Production Flow Chart Income and Expenditure Tree

Seasonality Diagram is a very useful tool for determining the patterns and trends of community life throughout the year.

Wealth Ranking is used to determine the economic attributes of the households in the barangay. It helps to investigate perceptions of wealth differences and inequalities and to identify and understand local indicators and criteria of wealth.

The Production Flow Chart is one of a range of tools that can be used to develop an economic assessment of the flow of the production system.

The Income and Expenditure Tree is a tool that helps to identify and quantify the relative importance of different sources of income and expenditures within the family household.

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Identify different organizations that are operating in the barangay, where they are, and how important and/or accessible the services they provide are.

It is very important to understand the roles played by different organizations in the community, how important they are perceived to be and how helpful or accessible they are perceived to be by the community.


TOOLS:

Venn Diagram Service Map

A Venn Diagram is a participatory method that uses circles as symbols to identify community institutions (both internal and external) and the nature of their relationships with each other, and to the barangay.

A Service Map is a participatory method that identifies location of basic service facilities in the community.


TOOLS:

Organizational Rating Matrix “Palakpak-palpak”

Organizational Rating Matrix is a participatory tool which documents the barangay’s perceptions of how local officials effectively carry out their roles and responsibilities to the community as mandated by law. How do local officials effect transparency, accountability, and participatory governance? What are their strengths and their weaknesses?

“Palakpak-palpak” is a localized version of an organizational rating tool used to highlight public officials’ values, attitudes, and culture of leadership. It highlights the positive (“palakpak”) attitudes as well as the negative (“palpak”) ones. Which of the positive and the negative dominates? What are the potentials? Are there efforts to improve on the negatives?

Activity 9 Characterize the barangay in terms of its governance mechanism.


Determine the quality and quantity of services rendered by barangay officials based on their mandates.

Local officials are mandated to work for the interests of the community. They need to know what the needs and concerns of the community are, and how the community values the quality and quantity of their services. This means getting information about results of local government actions to ensure that these officials are serving the people in the way they are expected to.

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Activity 10 Once completed, immediately process the results of the PRA exercise.


Results of the PRA exercises can be processed guided by the following questions:

“What did you accomplish?” “What data have you come up with?” “What is the implication of these data to you and to

your barangay?” “What problems/issues/concerns and potentials have

you identified from the results of the participatory exercise?”

Refer to Annex 2-5 for a brief introduction to the Concepts and Principles of Land Use.

Before the mapping exercise:

Activity 11 Introduce the concepts and principles of land use.


Actual mapping exercise:

Activity 12 Prepare the base map.

The first map to prepare is the base map. This indicates the basic features of the barangay such as the elevation (the topography), water bodies, road networks, zones, and other important landmarks.

The base map serves as the working map where the different land use categories of the barangay shall be delineated. The base map is prepared guided by the use of the barangay’s cadastral map which officially, defines perimeter boundaries.

GUIDE MATERIAL:

See Volume 1. CLUP Guidebook: A Guide to Comprehensive Land Use Plan Preparation (HLURB, 2006) for “tips” on the preparation of the base map as well as the procedural steps in perimeter survey with the corresponding land use categories and color coding.

Sometimes cadastral maps do not clearly show the barangay boundaries, In this case, validation of the barangay landmarks should be made. This is done

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Like any land use survey, the perimeter survey is often facilitated by the use of the GPS or the Global Positioning System.

through a barangay perimeter survey which helps determine the true shape of the barangay. It also helps determine the actual boundaries of the barangay as well as the actual land uses. The perimeter survey is also done in the absence of the cadastral map.


IMPORTANT:

In the event of discrepancies or conflicts in boundaries resulting from the perimeter survey, have the results validated by the barangay captains of the concerned or affected barangays. However, resolving the boundary conflict in this sense means having the barangay officials acknowledge only the discrepancy as resolving boundary disputes takes time and a certain amount of legal battles.

Later during the planning process, the planning team will have to go back to the issue of boundary discrepancy and use this as basis for the identification of intervention. Similarly, the issue will have to be reflected and/or reiterated in the final development plan.

It would be good to train participants on the use of the GPS and have them handle the perimeter survey.


Activity 13 Prepare the thematic maps.

Use one template copy of the base map for making each of the following thematic maps.

Current Land Use map – shows the current land uses of the barangay.

Land Cover map – reflects the distribution of land uses covering the entire barangay specifically based on its existing land cover.

Protection map – shows the protection areas (or areas that need to be conserved) within the barangay.

Flooding Hazard map – identifies environmentally critical areas that require attention.

Erosion map – identifies areas where erosion usually occurs.

Tenure map – identifies areas within the barangay that are covered with various tenurial instruments.

Land Use Conflict and Issues map – specific areas within the protection and production areas where current land use is in conflict with the designated or designed function area.

The purpose of the use of the GPS in the perimeter survey is only to determine the location of the barangay, its shape and important landmarks. It is in no way suggested

that the GPS be used to establish territorial boundaries as the existing cadastral map remains the officially recognized map to establish boundaries.

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Activity 14 Do a map overlay analysis.

This activity aims to enable the participants to become aware of spatial and location issues and whose reactions and proposals will provide an all important input to the later steps in the planning processThe base map earlier prepared serve as reference map where all other maps shall be overlayed. Results of the overlay will help identify potential interventions to either conflicts or gaps that may arise as a result of overlaying the base and thematic maps.

A Map Overlay Analysis simply involves the superimposition of two or more of the thematic maps (but not too many as to avoid confusion) to identify conflict and opportunity areas as well as to define the areas which meet a given set of criteria or conditions.


Focus only on the details of the maps required of the Barangay Development Plan and NOT on all types of maps so as not to waste time.


Protection map vs. Land Cover map – to identify forest lands without adequate forest cover (e.g., those used for agriculture, grassland/brushland, etc.)

- Are there declared forest lands or areas with sleep slopes that are being cultivated?

- Are these identified protected areas properly managed/protected by the government?·

Settlements/Infrastructure map vs. Protection map – to identify settlements that are inside or at the periphery of the protection areas.

- Are the settlements located within or at the periphery of the protection areas?

- Is the direction of increasing settlement towards the protection areas?·

Drainage/road network map vs. settlements and infrastructure map vs. protection areas map vs. land cover map (could be done alternately) – 1) to determine if communities have access to existing

infrastructures; 2) to determine if the present road network has facilitated

easy access for farmers to their farms and other major establishments (e.g., market, etc.);

3) to determine if the communities have access to existing sources of water for drinking and other basic needs;

4) to determine if major infrastructures are located within or towards the protection areas.

- Do people have access to these infrastructures? Have these facilities served its purpose especially in providing easy access and better mobility of the farmers?

- Does the non-access to these infrastructures cause social conflicts or even violence?

- Are there potential water sources? That could have provided water to the communities that are not untapped? Are these sources very far from where the people are living?

- Are the major road facilities or postharvest facilities (solar dryer, mills, etc.) located within the protection areas?

ADOPTED FROM: LGU Facilitators’ Manual on Barangay Land Use Planning (GTZ, Undated); See also EU-UDP Facilitators’ Manual on Land Use Planning (2002).

BOX 5. Examples of map overlay analyses with probing questions to guide the facilitators:

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Map Overlay Analysis Matrix

Protection map vs. LandCover map

Map Overlays Issues andConflicts

Descriptions orExplanations

Implications ifUnresolved

Protection map vs. LandTenure map

Land Tenure map vs. Protection map

Others

Settlements/Infrastructuremap vs. Protection map

Use the matrix below to guide discussions. The map overlays in the first column are just examples.



IMPORTANT:

A similar process needs to be done for the other ecosystems: lowlands and the coastal including sea resources of the barangay.


Legend Conflict Areas/Decision Zones

Common Land UseConflicts and Issues

(Description)

Land Use Analysis Matrix


Activity 15 Identify common issues and concerns and categorize them according to conflict areas or decision zones.

After having done the various overlay analysis, the Planning Team will locate the areas where the identified issues and concerns are existing. Some basic questions to ask are:

“What are the common land use conflicts and issues in your barangay?”

“How do land use conflicts affect the lowlands and coastal ecosystems?”

“What are the impacts of resource use conflicts across ecosystems?”

Each area should be identified using name/title or number/letter. The Land Use Analysis matrix below can be used for the results of the discussion.

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Activity 16 Formulate the PROPOSED land use map.

16.1. Identify existing land use utilization policies established by law, by the DENR, or by any other local legislative bodies that may apply to some of the conflict areas identified earlier. This will help resolve issues which require clarifications.


IMPORTANT:

Bear in mind that the rationale for the processes which the BDC undertakes at this point is to ascertain the mandated uses of their natural resource endowments. It is in no way that the barangay attempts to formulate a land use plan as it is not mandated to do so.

In the course of their thematic mapping activity, any misuses/abuses on land resource utilization will be addressed by the interventions map which will identify what should be done as PROPOSED by the barangay to be considered in the higher level planning activity such as in the formulation of the CLUP and CDP.

GUIDE MATERIAL:

See Volume 1. CLUP Guidebook: A Guide to Comprehensive Land Use Plan Preparation (HLURB, 2006) for the basic criteria for determining the suitability of land to general land uses and the procedure for preparing the proposed land use map.

16.2. Plot the PROPOSED land use on a separate overlay and indicate estimated land area for each using the Proposed Land Use Matrix (see reference below).


Activity 17 Formulate the land use intervention map.

This mapping activity aims to evaluate the possible options for each decision zone and formulate priority strategic options in resolving the land use conflicts and issues earlier identified.

17.1. Using the results of the land use analysis, identify issues, options or alternative actions for each identified conflict area.

17.2. Identify best actions/options to address the land use conflict issues. The following considerations are important in evaluating options:

Technical considerations based mainly on physical features.

Ecological considerations based on the compatibility of the proposed land use to the general ecosystem conservation objective.

Economic costs and benefits of assigning a land use to a parcel of land.

Social acceptability of a land use assignment and of the interventions.

Vulnerability of proposed land use to climate change, disaster, or risk.

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Proposed LandUses

Conflict Issues to beResolved

RecommendedActions/Projects

Alternative Options(specific measures to

be done)

Activity 18 Report on what have been discussed. Summarize the output of the activity and introduce the participants to the next activity: the planning exercise.

Use the following matrix to record results of the discussion.


Land Use Issues and Recommendation Matrix


Prior to finalizing the land use intervention map, it would be helpful for the participants to do a “triangulation” exercise to determine the viability and soundness of the interventions they propose for the succeeding years for their barangay’s development directions based on the dynamic factor of population and the limiting factor of land and natural resources of the barangay.

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Step 3. Plan Preparation


This step is a major phase in the participatory development planning as this stage of the process makes up the core of the planning activities.

Starting from the synthesis or the “pulling together” of all of the data and information,

the process proceeds by formulating the barangay’s vision and mission; identifying issues and concerns from the analysis of the data and information earlier generated, looking for links between causes and effects of problems; and identifying ways to address them through program or project interventions.

Visioning is a participatory process by which a community defines how they would like to be in the future. Visioning helps communities solve the issues they face and envision solutions. It is a way of enhancing positive actions being taken by the community, by enabling them to develop a ‘`picture in their mind’’ of what they want to achieve in the long term - of how they would really like things to be. With a positive image of where they want to go, it is easier to plan how to get there. It is essentially a creative experience that can generate a new way of looking at a situation. It is especially important to include the perspectives of societal groups (ethnic minorities, extremely poor, women) that tend to be overlooked in the visioning process.

Strategy is basically about three things: where you want to go, how to get there and how much it will cost. It is a long term vision, concerning broad goals and general directions. In the PLUDP context, having been through the situation assessment and analysis and the identification of issues and problems,

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the community will understand that they have to do something in order to change the situation. Moreover, the community has a sense of their current and projected revenues and savings that will allow them to prioritize what they can immediately do in the changes that needs to be done. Strategic goals and objectives are therefore needed, to guide their responses and ensure that action plans are coordinated and focused.

We deliberately talk of ‘negotiating’ strategies, to emphasize the direct involvement of the community in formulating and shaping strategies. Indeed, the formulation of goals and objectives itself is also a process of negotiation, as the different stakeholders should in principle agree ‘where to go’ (goals and objectives) before deliberating on ‘how to reach there’ (strategies of intervention) and the cost it will take (revenues that needs to finance the changes)..The Barangay Development Plan is not simply a list of programs and projects that the community wants to carry out. Its preparation is actually in accordance with certain budgeting principles mandated by law. Section 305 of RA 7160 states that “local government budgets shall operationalize the approved local development plans.’’ This means that it is the Plan which sets the community’s priority areas of services and specifies the target outputs and accomplishments of the barangay including planned financing or the use of the investible portion of the barangay’s budget to finance the implementation of those programs and projects.

Inter/cross sectoral consultations and planning workshops provide for an opportunity for the community to discuss issues/concerns and opportunities that directly or indirectly affect their respective sectors as well as in identifying possible solutions and policy options.

Plan Preparation


1. To formulate an acceptable and adoptable vision and mission statements for the barangay that is congruent with higher level VMG;

2. To identify development problems and issues;3. To conduct inter- and cross-sectoral validation of

identified development problems and issues;4. To prioritize development problems and issues;5. To agree on the development goals/objectives to

address the problems and issues;6. To formulate development strategies or

interventions to address problems and issues;7. To determine available revenues and project

revenues and other sources of funds.8. To identify and prioritize program, projects and

activities (PPAs) based on identified interventions;9. To allocate/invest the necessary funds to implement

the program/project/activities.

Activity 1 Formulate the vision and mission.

This activity aims to enable the barangay to:

gain knowledge and techniques on how to formulate their vision, mission and goals;

understand and appreciate the importance of having a VMG.

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Visioning is a consensus building technique. To do visioning within a development planning process means bringing the community together as people and recognizing their shared values and purposes, articulating them in a shared vision of their community. A visioning exercise creates a sense of ownership in community residents to the extent that they want to see their vision come in fruition over a period of years.

Plan Preparation

See Annex 3-1 for Formulating the Barangay Vision, Mission and Goal/s.

Vision statements provide a framework or hook upon which to hang ideas and information. Without an overall vision, creating goals and objectives are often unconnected to anything meaningful. Thus, visioning provides a rationale and the framework for more meaningful description of what

the community wants to be.

IMPORTANT:

It is necessary that the Planning Team discuss the vision, mission and goals (VMG) of the municipality as well as its development thrusts. This way, the barangay will be able to situate its own VMG with that of the municipality. The review of the municipality VMG is necessary so that the barangay VMG will be in congruence with, and not contradict the higher level VMG.


Activity 2 Identify and analyze problems and issues by sector.

This stage of the barangay development planning process takes off from the information generated from the PRA exercises as well as the spatial data collected from the mapping exercises.

Divide the group into sector groupings and instruct them to discuss and agree on the core problem of the people in the barangay. The purpose of this activity is for the individual sectoral groups to identify and analyze development issues and opportunities peculiar to each sector.

The participants may be grouped as follows:

Social Sector Economic Sector Environment Sector Institutional Sector Physical/Infrastructure Sector

2.1. Have each sectoral group report on their output in

the Plenary.

2.2. Summarize the output of the activity and lead them into further examining the problems and issues identified by each group.

77Plan Preparation

Some of the problems may appear to be closely related, and some may appear to be causes or consequences of another problem. When this happens, there should be further discussion on which of the statements best reflects the central problem that the group wants to address. In doing this, it helps to examine if some of the problems are actually part of other problems or consequences of those problems. If this is the case, then these should be noted for later discussion.

Peace and Conflict Analyses

The peace and conflict analysis is the analytical basis of conflict sensitive planning. This analysis should not only

concentrate on negative factors and conflict related problems but also on positive factors, conflict related capacities and potentials for peace and constructive conflict transformation. And the analysis should be development-oriented and therefore it should include those social, ethnic religious and political conflicts that impair a development processes and that have led (or might potentially lead) to unintended conflicts and violence. The results of a peace and conflict analysis are always subjective and are usually momentary snapshots. Even the agreement on a common perspective on a specific conflict analyses among different actors and stakeholder can already turn into a very conflictive and critical process.


Sector Problems/Issues

Description Cause Effect InterventionLocation(Purok)

Activity 3 Conduct a sectoral analysis (inter- and cross-) and integration to derive the most pressing and significant problems and issues.

Inter- and cross-sectoral validation provide for an opportunity for the participants to discuss issues/concerns and opportunities that directly or indirectly affect the different sectors as well as in identifying possible solutions and options.

Sectoral analysis should be summarized in a matrix form such as that found below emphasizing the findings/observations and their causes, effects/implications, and possible interventions.

Problem Analysis Matrix


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Activity 4 Prioritize problems and issues.

Once there is agreement on the major development problems, participants should prioritize them. The aim of prioritization is first to ensure that the problems are considered critical by the community. Review the problems and issues in relation to the following criteria for identifying issues that matter (ITMs):

RELEVANCE: Do the ITMs relate to the Vision and Mission? Will the solution focus on the target clients/constituents that needed the service most?

URGENCY: Are the ITMs the most urgent/first-things-first, that when not responded to immediately, will bring detrimental implications to the environment and the people or the community at large?

Example of a Problem Analysis Matrix

Plan Preparation


MAGNITUDE: Do the ITMs involve majority of the people and their concerns?

IMPORTANCE: Are the ITMs the most critical that would make a lot of difference when given solution?

DOABILITY: Realistically solvable by the people.

Practical and Strategic Gender Needs

There are different kinds of needs. Practical needs are those that arise from the daily performance

of women’s and men’s roles such as food, housing, safe water, health and educational services for children. These needs are met by involving women as beneficiaries and participants. Measures may improve the conditions of women (and men), but not their traditional roles and gender relations.

Strategic gender needs are those that relate to unequal relations of women and men such as gender division of labor, power and control. They respond to such issues as legal rights, domestic violence, equal wages and women’s control over their bodies. Interventions involve women as agents and enable them to become agents of change. Satisfying strategic gender needs can improve women’s position in society and empower them to transform gender relations.

From: DILG 2002: Gender Responsive Local Planning and Budgeting: A Guidebook for Beginners.

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Activity 5 Agree on the development goals/objectives to address the problems and issues.

Having developed a vision, the next step is the formulation of goals and objectives that will help the barangay achieve its vision. Strategic goals and objectives are therefore needed, to guide their responses and ensure that action plans are coordinated and focused.

Goal formulation or the process of determining what the people want their barangay to become is often considered the most important step in the planning process.

Plan Preparation

A goal is a broad statement of desired outcome in the medium or long term. It aims to address a general problem situation of a municipality/city as derived from the situation analysis.

Source: Volume 1 of CLUP Guidebook, HLURB (2006).

Things to consider in formulating a goal:

It must be able to translate the community’s vision statement into more realistic terms.

It must be multi-sectoral in nature to be able to address more than one problem situation.

It may be formulated for each of the identified key problem area necessary for the attainment of the vision.


Activity 6 Identify appropriate development thrust and strategies that will be employed to attain the goals and objectives.

The determination of development strategy/ies is crucial at this time as it involves the understanding of what are appropriate, feasible and possible development options for the community in the

Objectives are more specific statements of short-range desired outcomes or results towards which development activities in the municipality/city are directed. These may be viewed as subsets of a goal and therefore contribute to the attainment of a stated goal. They respond to specific problem situations usually sectoral in nature.


Objectives must be SMART:

Specific in terms of place.Measurable, preferably in performance terms, what is achieved rather than how to achieve it.Attainable, otherwise objectives will backfire and create failure.Realistic. It is important that the support of the key stakeholders should be obtained, thus objective setting should be participatory.Time-bound. It is critical that objectives have a meaningful time frame.


83Plan Preparation

BOX 6. Suggested criteria to which strategies can be evaluated:

What impact will these strategies have on the needs of the community?

How feasible are these strategies, given potential resources and constraints?

How sustainable are these strategies? Sustainability relates to financial, political and community support.

Activity 7 Determine available financial resources/revenues that are available for use to fund strategies and interventions.


Review unused and projected revenues (IRA, local taxes, etc.) that is on hand

Be aware of their financial capacity to fund interventions/strategies

7.1 The Barangay Treasurer go through their books and share with the Planning Team what is on hand, local sources of funds and how much are available and when these can be accessed.

7.2 Project the funds/revenues that can be locally generated

7.3 List down these funds as an input to Activity 8 (prioritization).

context of different land use alternatives or scenarios. Strategies answer the question “What needs to be done to reach the objectives and achieve the goals?”


Local Sources:

Business taxes Community tax Tax on gravel and sand Fees for licensing of weights and measure Facilities rental, filing fees and charges for cases

consulted; registration fees; building permits Fines for violation of ordinances Barangay economic enterprise development (e.g.,

garbage collection services, transport terminal, etc.) Fundraising activities Donations and contributions

External Sources

Real Property Tax Internal Revenue Allotment (IRA) Aid to barangay from the municipal and provincial

governments Share from the proceeds of utilization of natural wealth Loans (borrowings) from:

- higher level of governance provided it has residual equity or surplus

- Government financial institutions (e.g., Land Bank of the Philippines, Development Bank of the Philippines, etc.)

- Official Development Assistance or ODA from foreign governments through the national governments for loaning

Government line agencies such as DA, DENR, DAR, etc. Private foundations, foreign governments, and

development institutions through submission of appropriate project/program proposals.

BOX 7. Potential sources of barangay funds:

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Programs are sets of projects that translate strategies to specific action plans. Some strategies may involve only one project in which case a program may be unnecessary. Each strategy may require more than one program.

Programs may involve several sectors although the sectoral focus should be clear. Sometimes synonymous with project, it may cover a period of three (3) to six (6) years.

A project is a cluster of activities. It is both sector- and location-specific, a complex effort consisting of interrelated activities performed by various functional units and specialists. Sometimes synonymous with program, a project has a well defined objective, a definite schedule, and a set budget. It may cover a period of one (1) to three (3) years.

Activity 8 Identify and prioritize appropriate programs, projects and activities (PPAs).


identify appropriate PPAs based on the formulated goals and objectives as well as the most critical issues that need to be solved or addressed, including the development strategies;

provide participants knowledge and skills in using alternative techniques in determining which projects shall be implemented ahead of the others, and why it is necessary to prioritize several available options.

8.1. Discuss the definitions of programs and projects, their differences and similarities, to level-off the participants’ understanding of the concepts.


Guided by the vision, each goal may have more than one objective; each objective may have more than one strategy; and each strategy may have more than one program. Each program should have more than one project unless the program is the project itself. It is also useful to point out that a project or a program may address or deal with more than one strategy of objective.

An activity is a cluster of tasks. It is a very short-term effort performed by one or several members of a project team or of an office or organization. Some activities must be completed before the project can move on; other activities can either be done simultaneously or lie in wait as other tasks go on. An activity may last from one week to one year.

8.2.List down the appropriate program/s and project/s that can be implemented with the available and accessible funds/revenues.

8.3. List down the appropriate program/s and projects that need other sources of funds.

8.4. Identify major activities that will make each identified program and project operational.

8.5. Prioritize projects for implementation. The Pair-wise Ranking tool may be used for this purpose.

87Plan Preparation

Prioritization simply means determining which should be the first, then second, and so on among the things listed. Based on the results of Project Appraisals (techniques like Pair wise Ranking, Options Assessment Chart, or Criteria Ranking may be used), participants will determine which among the projects (under each program) need to be implemented during the first year, the second year, up to the sixth year.

TOOL: PAIRWISE RANKING

A tool to compare programs, projects and activities and arrive at a numeric ranking of these. Through a process of discussion and consensus building, participants are asked to compare identified projects with each other until a numeric ranking is reached.

Activity 9 Engage the participants in investment programming, revenue estimation, and budgeting.


enable the barangay to prepare the Barangay Development Investment Program (BDIP) budget and the Barangay Annual Investment Plan (AIP);

identify which among the PPAs can be undertaken through the Barangay funds;

identify other possible sources of funds and how to source these from agencies and institutions.


The BDIP and the AIP put together, it is scheduling the activities and projects sequentially and determining the corresponding funds required and possible sources to make them operational during the period of implementation of the Barangay Development Plan. It will also indicate who will do what, when, and where, among other things.

9.1. Discuss the meaning, importance and uses of programming and budgeting.

Programming is an organized listing of procedures, activities or projects during a given time. Budgeting on the other hand, is planning in advance the itemized probably expenditure and income (including time) for a given period, usually embodying a systematic plan for meeting expenses.

BOX 8. Importance of programming and budgeting:

Provides guidelines in an efficient use of resources (time, money, machines, etc.)

No wastage due to repetitions if activities are well thought off sequentially.

Provides discipline in spending for unscheduled items. Provides opportunity for the implementor to determine in

advance and therefore act to source out funds for activities beyond the current funds available.

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9.2. Prepare the Six-Year Barangay Development Investment Program. The BDIP contains the list of and information on the programs and projects that have been identified and subsequently prioritized.

9.3. From the BDIP, prepare the Annual Investment Plan. The AIP is the list of activities and projects covering one year derived from the 6-year program plan and budget. The first AIP corresponds to the first year started in the 6-year plan and should contain the projects that can be implemented through the barangay funds.

The AIP will be the short term or the annual reference and guide of the barangay officials in operationalizing their development plan.

Plan Preparation

Refer to Annex 3-2a for the Barangay Development Investment and Annex 3-2b for the Barangay Annual Investment plan format to finalize programming and budgeting of PPAs.

The Philippine Constitution (Article II, Sec. 14) and the Republic Act (RA) 7192 (Women in Development and Nation Building Act) specify that at least 5 percent of all departmental expenditure should be spend on programs

for women. However, fixing the floor limits for spending on gender resulted in the marginalization of gender issues in the mainstream budgeting. It needs to be highlighted that earmarking a specific proportion of budgetary allocation for women is only a second best principle of gender budgeting and may not be the most appropriate tool to sensitize budget through a gender lens.

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Step 5Plan Monitoringand Evaluation

Monitoring planimplementation

Monitoring PLUDPreplication process

Orientation of Liga ng mga Barangay (Association of Barangay Captains or ABC)

Step 1Orientation andMobilization of

LGs and Barangays

Step 2Assesment of

BarangayResources

Step 3Plan

Preparation

Courtesy call to and orientation ofBC of volunteer barangay/s

Specification of basic data and

information required in Barangay

Development Plan (BDP) preparation

Inventory of available data and

information (including maps)

Identification ofdata gaps

Triangulation of population/ demographic trends, spatial patterns and changes, etc.

Barangay VMG formulation

Review of current/ available revenues

Development strategies

formulation

Program/project prioritization

Programmingand budgeting

Formulation of operational/implementation plan

Problem/issue prioritization

Goals/objectives formulation

Problem analysis; inter-and cross-sectoral validation

Community orientation through Barangay Assembly

Reconstitution/re-activation of BDC by LGU-IT and MLGOO

Step 4Plan

Legitimizationand Adoption

Plan legitimization through Barangay

Assembly

Plan adoption through barangay

resolution

Plan endorsement to the Sanggunian

Bayan (SB) Plan integration to municipal comprehensive

land use and development plans

Step 4. Plan Legitimization and Adoption


The term “legitimization” simply means giving sanction or justification

or authority for any action. After the Barangay Development Plan is formulated,

the BDC presents the plans to the Barangay Assembly for approval and adoption. The barangay assembly serves as venue for the members of the community to hear provide feedback, or suggest about the barangay’s development agenda with the proposed investment and/or financial plan.

Also at this stage, the barangay seeks the support and commitment of the MLGU for the proposed development plan as well as obtain additional reactions and suggestions for changes and how the proposed plan might be carried out.

1. To legitimize, adopt, and endorse the Barangay Development Plan for implementation;

2. To establish the necessary action plans for implementation; and

3. To establish linkage, partnership, and cooperative arrangements with relevant government and non-government agencies and institutions for resource mobilization.

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IMPORTANT:

An essential feature of the participatory land use and development planning (PLUDP) process is the formulation of a Plan that is not isolated, but a plan that can be linked to higher, more comprehensive and integrated plans. This stage of the PLUDP process signals the MLGU of the BDP’s integration into the mandated plans, particularly the barangay data, as well as the people’s needs and aspirations.

BDP integration into the municipal comprehensive land use and development plans will be discussed in more detail in an upcoming Volume 2 of the PLUDP process.

Refer to Annex 4-1 for Consolidation and Integration of BDP data and maps into the CLUP and CDP.

Activity 1 Present the draft Barangay Development Plan to the community for validation through a Barangay Assembly.


present and validate the draft Barangay Development Plan by the Barangay Assembly;

legitimize, adopt, and endorse the BDP by the Barangay Council for implementation



Invocation Philippine National Anthem Message PLUDP Process Presentation

- The Planning Process- Brief Story About the Barangay and Its Demography- Results of Thematic Mapping- Problem Analysis- Development Constraints

Vision and Mission Five-Year Barangay Development Plan BDP Legitimization Commitment of Line Agencies Open Forum Distribution of Certificates Closing Remarks

BOX 9. Sample programme for the Barangay Assembly: San Carlos Experience

1.2. Extend the invitation to the BA to the Heads of government offices or agencies based in the municipality particularly those who would have an influence over the proposed programs/projects including funds allocation and budgeting.

Prepare for the Barangay Assembly:

1.1. Prepare to present the output of the participatory planning to the Barangay Assembly.

Make the presentation of the BDP especially the barangay profile

Prepare visual aids for the presentation (include only the highlights)

Prepare the venue and logistics for the presentation

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Welcome Remarks and Call to Order Roll Call: Barangay Council, Barangay Development

Council, purok or sitio representatives, etc. Review of the Minutes of the last Barangay Assembly

and adoption of the minutes Development Plan presentation Open Forum (to discuss reactions/questions on the

presentation) Messages of support and affirmation Motion to have the Plan approved Special Council Session to approve the Plan through a

Barangay Ordinance

From: NUEVAS, D.I. Municipal Facilitators’ Guide to Participatory Barangay Development Planning.Manila, Philippines: GTZ.

BOX 10. Typical process flow during plan legitimization:

Post Barangay Assembly:

1.6. Agree to meet with the Barangay Council (BC) and the BDC to incorporate the comments/suggestions and finalize the Plan.


1.3.Allow the barangay Planning Team to decide among themselves who-will-do-what task in relation to the presentation of the planning results.

Actual Barangay Assembly:

1.4. Assign facilitator/s to document the presentation taking note of the comments/suggestions of heads of offices and agencies as well as the community members. This will help facilitate the revision or the incorporation of corrections in the development plan later on.

1.5. Adapt the following process flow:


Legitimization is highly important in the development planning process. If it is not carried successfully, it can have serious effects on the probability of success of the proposed development plan.

No development strategy is complete just because it gets written. The hard work of implementation comes next. Implementation may be the most difficult but it is the most important phase in the development management process. Development management is a complete cycle of planning, implementation, monitoring, evaluation and replanning.

Implementing the proposed programs, projects and activities embodied in the Six-Year Development Plan entails procedures in order to be realized.

At this stage, the role of the LGU Implementing Team shifts from facilitating the planning process to performing their mandate of providing technical assistance and direct delivery of services. As such,

1.7. Ask the BC to formulate a Barangay Resolution that will approve and legitimize the Plan. This will ensure adoption of the BDP by the community. The BC may arrange a special session for this purpose.

1.8. Submit the revised BDP and the Barangay Resolution to the Municipal Development Council (MDC) for approval. In the absence of an MDC, the Plan is submitted directly to the Sangguniang Bayan (SB) which acknowledges the Plan.

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implementation strategies are designed to suit the capacity of the BLGUs.

Activity 2 Lobby for the release and use of funds to begin implementation of the program/s and projects proposed for the first period of the six-year period of the Barangay Development Plan, following certain government accounting and auditing procedures.

Activity 3 Pass resolutions to accompany letters to Municipal and Provincial LGUs and other National Government Agencies for technical and financial assistance following the necessary protocols in dealing with the agencies and institutions identified.

Activity 4 Act on programs, projects and activities that can be done with barangay resources.

Activity 5 Develop the necessary action plan to carry them out.


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Step 5. Plan Monitoring and Evaluation


Plans are essential but they are not set in concrete (totally fixed). If they are not working, or if the circumstances change, then plans need to change, too. Monitoring and evaluation are both

tools which help a project or organization know when plans are not working, and when circumstances have changed.

Monitoring is the process of routine periodic measurements of program or project inputs, activities and outputs undertaken during implementation or the project or program. It basically answers the question, “Are things going according to plan?” Monitoring focuses on the implementation and financial progress of projects, program and activities, placing a greater emphasis on outputs and expected accomplishments than outcomes or impacts. As such, monitoring plays a key role in ensuring the results-orientation of the program of work.

By contrast, evaluation is understood to mean the process by which program inputs, activities and results are analyzed and assessed, in order to determine the effectiveness, impact and relevance of the implementation program in the light of the stated program objectives.

To ensure that the community reaches its desired future, it is important that the planning team creates some way to monitor and assess changes that may occur, if there are any. If yearly objectives are established during the planning stage, then these

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become measures of the community’s progress. At the end of each year when programs, projects, and activities may have already been implemented, the planning team can evaluate how well the community has met its objectives, modify current objectives, or set new ones.

What successes were achieved? What would the barangay do differently next time? Who helped make things happen? How? What resources were used and who provided them? These are just some of the basic questions that may be considered in doing monitoring and evaluation. Answers to these questions can be used to challenge the community to meet new and continuing objectives in the year ahead.

Specifically however, monitoring (and evaluation) within the participatory development process is done for the following reasons:

We want to find out the degree to which the barangays have achieved their plan implementation. This will demonstrate the capacity of the barangays to access funds, services and their own ability to implement their own projects.

We want to find out the degree and extent of participation in the community taking into account gender and sectoral groupings.

We want to find out the effectiveness of the municipal facilitators in terms of their degree of functionality, skills level and improved delivery of services. This will enable us to determine the need for further capacity building or be open to a more flexible working environment.

Plan Monitoring and Evaluation


1. To determine the degree and extent by which the barangays have achieved their plan implementation as against defined timetables, cost and benefits to target groups or outcome;

2. To determine the degree and extent of participation in the community; and

3. To determine the effectiveness of the municipal facilitators in terms of their degree of functionality, skills level and improved delivery of services.

Activity 1 Together with the municipal facilitators, organize/create a monitoring team at the barangay level with a representative and multi-sectoral representation to undertake monitoring. (To do away with creating another body to take care of the monitoring, it is usually the Planning Team itself which is tasked to perform the monitoring.)

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Ordinarily, it is the LGU Implementing Team headed by the Municipal Planning and Development Officer (MPDO) who is tasked to do the monitoring of programs, projects and activities implemented by the barangay.

It is best to involve various barangay members in the monitoring process as this will enhance ownership of the process and thus facilitate the achievement of results.

For purposes of efficiency and ease of coordination, there should only be one focal person to prepare the necessary documents required for submission to the municipal level. Usually, it is the Barangay Secretary who is assigned to do this task.


BOX 11. Responsibilities of the M&E Team:

1. Identify persons-in-charge for linking with possible funding donors or funding agencies.

2. Identify persons-in-charge for the preparation, submission, and follow up of project proposals.

3. Monitor the progress and evaluate the implementation of the Barangay Development Investment Program.

4. Conduct a re-planning with the barangay planning team when necessary during occurrences of force majeure which may impact on the BDP.

5. When there is a change in administration, update the new set of local officials on the Plan.

6. Submit updates and monthly reports regularly to the BDC.


It is also the Barangay Secretary together with the Barangay Treasurer who are responsible for ensuring that budgets and expenditure levels (cost) are strictly complied with.

Activity 2 Adapt the Performance Monitoring Score Sheet to guide you in monitoring plan implementation.

The Performance Monitoring Score Sheet is used to determine how barangays are “behaving” insofar as the completion of their development plan is concerned, designed along four major blocks namely:

1. preparatory activities 2. development planning 3. financing and implementation 4. M&E

The Performance Monitoring Score Sheet puts emphasis on land use base given that the resources in the area provides for the community’s economic base. It is also these resources that give the Municipality its competitive advantage for its contribution to the provincial, regional and national development.

Adapt the matrix in Annex 5-1 Process Monitoring Table to guide the barangay in monitoring costs and expenses of the PPAs.

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Activity 3 Record the scores for the four major performance blocks.


Refer to Annex 5-2 for the Process Monitoring Score Sheet as well as the description for scoring.

The Performance Monitoring matrix is important in that it effectively reflects on the entire program cycle and is used to inform the planning process for future strategic frameworks. It is also important in preparing the program performance report which is

shared at the municipal level.

Refer to Annex 5-3 for the Process Monitoring for Implementation of Priority Projects.

Annexes 5-4a and 5-4b give you the format for PPA Budgetary Estimates, and PPA Actual Expenditure, respectively.


Activity 4 Submit monitoring reports, findings and recommendations to the municipal office/authority concerned for consideration and appropriate action.

It is a good practice to allow the monitoring team to first review the documents to be submitted and have them endorsed properly. Findings and recommendations may lead to plan updating or the repackaging and refocusing of programs and projects, including financial aspects.

Rationale for Scoring for Priority Projects Implemented:

1. Shifting mindset of Barangays/communities for ensuring balance in the use of natural resource management with economic development on a sustained manner.

2. Valuing improvements in governance, capacity building and social services.

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Legal Basis, Planning Guidelines and Standards

DILG. 2003. Gender Responsive Local Planning and Budgeting: A Guidebook for Beginners.

DILG. 2005. Rationalized Local Planning System of the Philippines. Manila, Philippines: Bureau of Local Government Development, Department of the Interior and Local Government.

DILG. 2008. Guide to the Preparation of the Comprehensive Development Plan. Manila, Philippines: Bureau of Local Government Development, Department of the Interior and Local Government.

HLURB. 2006. CLUP Guidebook: Volume 1. A Guide to Comprehensive Land Use

Plan Preparation

HLURB. 2007. CLUP Guidebook: Volume 2. A Guide to Sectoral Studies in the

CLUP Preparation Volume 3. A Guide to Data Management in the

CLUP Preparation Volume 4. Planning Strategically: Guidelines

for the Application of the Strategic Planning Process in the Preparation of the CLUP (see HLURB, 2000. Planning Strategically. Diliman, Quezon City.)

Volume 5.Model Zoning Ordinance

Guide to Useful Resources


NEDA. 2007. Guidelines on Provincial/Local Planning and Expenditure Management:

Volume 1: Integrated Framework. Volume 2: Provincial Development and Physical

Framework Plan Volume 3: Investment Programming and

Revenue Generation Volume 4: Tools and Techniques on Budgeting

and Public Expenditure Management Volume 5: Project Evaluation and Development

PCW. 2009. Harmonized Gender and Development Guidelines for Project Development, Implementation, Monitoring and Evaluation.

Land Use and Participatory Development Planning Guides and Manuals

GTZ Compendium: Volume 1: Integrated guide Volume 2: Planning tools and approaches, Volume 3: Investment programming tools and

approaches, Volume 4: Revenue administration and

resource mobilization Tools and approaches Volume 5: Budgeting and expenditure

management tools and approaches.

GTZ. LGU Facilitators’ Manual on Barangay Land Use Planning.

GTZ. Barangay Development Planning (BDP) Manual.

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GTZ. 2009. Proceedings of the Workshop on Revisiting Options for Local Development Planning in Natural Resource Governance held at Makati City on May 12-14.

LEONHARDT, M. 2001. Conflict Analysis for Project Planning and Management. Eschborn: GTZ.

KIEVELITZ, U. and SCHROTTHAMMER, E. 2006. Decentralization and Conflicts. A Guideline. Eschborn: GTZ.

NUEVAS, D.I. Municipal Facilitators’ Guide to Participatory Barangay Development Planning: Towards Coordinated Support Service Delivery for Sustainable Community Development. Manila, Philippines: GTZ.

NUEVAS, D.I. Annex 1. Municipal Implementing Teams’ Guide to Participatory Barangay Land Use Planning. Manila, Philippines: GTZ.

NUEVAS, D.I. Annex 2. Municipal Implementing Teams’ Guide to Community Writeshop. Manila, Philippines: GTZ.

PRISP. 1998. Project Design: User’s Workbook. Department of Agriculture-Philippine Rural Institutional Strengthening Programme, Quezon City, Philippines.

SEROTE, E.M. et.al. 2008. Land Use-Based Development Planning in Leyte. A Process and Evaluation Study Final Report. Manila, Philippines: GTZ.



Participatory Tools and Techniques

FAO. Resource CD ROM on Participatory Approaches, Methods and Tools.

IFAD. 2009. Good Practices in Participatory Mapping. International Fund for Agricultural Development.

World Bank. 1998. Participation and Social Assessment: Tools and Techniques. Washington, DC: The International Bank for Reconstruction and Development/The World Bank.

Coastal Resources Management

GTZ. 2007. Coastal Fisheries Resources Management (CFRM) in the Philippines. Roadmap based on experiences from GTZ-assisted projects in Regions 6 and 8 (2002-2007). Manila, Philippines.

WHITE, A.T., P.M. ALIñO, and A.T. MENESES. 2006. Creating and Managing Protected Areas in the Philippines. Fisheries Improved for Sustainable Harvest Project, Coastal Conservation and Education Foundation, Inc. and University of the Philippines Marine Science Institute, Cebu City, Philippines.

WALTERS, J.S., J. MARAGOS, S. SIAR and A.T. WHITE. 1998. Participatory Coastal Resource Assessment: A Handbook for Community Workers and Coastal Resource Managers. Coastal Resource Management Project and Silliman University, Cebu City, Philippines.

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Community-Based Forest Resources Management

AFN. 2002. Participatory Rural Appraisal for Community Forest Management. Tools and Techniques. Asia Forest at Network. Ca. USA. Retrieved from www.asiaforestnetwork.org.

DENR. Community-based forest management strategic plan (2008-2017).

DENR. Community-based forest management policies and guidelines.

ESTORIA, E., J.F. HERBOHN and S.R. HARRISON. (Date?). The role of community organizers in facilitating community-based forest management in Leyte.

GASCON, C.N., A.F. GASCON, and K. TAKAHASI (Eds.). 2002. Agroforestry systems in the Philippines: Experiences and lessons learned in Mt. Banahaw, Hanunuo, Mangyan and some community-based forestry projects. Japan International Research Center for Agricultural Sciences (JIRCAS), U.P Los Baños (UPLB), and Southern Luzon Polytechnic College (SLPC).

JIRCAS, UPLB and SLPC. 2006. Agroforestry systems in the Philippines: Experiences and lessons learned in Mt. Banahaw, Hanunuo, Mangyan and some community-based forestry projects. Cecilia N. Gascon, Antonio F. Gascon and Kazunori Takahashi (Eds.). Japan International Research Center for Agricultural Sciences.



POFFENBERGER, M. Keepers of the forests. Land management alternatives in Southeast Asia.

PULHIN, J.M., M.C. AMARO, JR., and D. BACALLA. 2005. Philippines’ Community-Based Forest Management. A Country Report presented during the Community Forestry Forum organized by the Regional Community Forestry Training Center (RECOFTC) held on 24-26 August 2005 in Bangkok, Thailand.

UNU. 2001. Community-based Forest Management in Leyte, the Philippines. UNU Innovative Communities Project. Retrieved from http://geic.hq.unu.edu/ENV/files/.../case%20study%206%20Philippines.pdf

NOTE: The CBFRM toolkit provides a more comprehensive list of resources on community-based forest resource management.

Disaster Risk Management

IIRR,CORDAid. 2007. Building Resilient Communities, A Training Manual on Community-Managed Disaster Risk Reduction. International Institute of Rural Reconstruction (IIRR) and Catholic Organization for Relief and Development Aid (CORDAid).

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Glossary of TermsActivity

Annual Investment Plan

Barangay Development Plan

Base Map

Comprehensive Development Plan

A cluster of tasks. It is a very short-term effort performed by one or several members of a project team or of an office or organization. Some activities must be completed before the project can move on; other activities can either be done simultaneously or lie in wait as other tasks go on. An activity may last from one week to one year.

A component of the Barangay Development Plan. It contains the specific programs, projects and activities with corresponding project costs including the necessary fund flows to approximate the reasonable timing in the release of funds.

Official planning document of the barangay where the problems, needs and aspirations of the community are identified, prioritized and pursued based on the available resources within or outside the locality.

A map of the barangay itself showing basic information upon which thematic maps showing specialized information can be overlayed; also a referential map.

“A plan for the promotion of the generalwelfare of the local inhabitants” addressing “five development sectors namely, social, economic, physical/land use, environmental management, and institutional” (DILG, 2005 on Rationalized Local Planning System of the Philippines).


Barangay Development Planning

Comprehensive Land Use Plan

Consensus

Evaluation

A process-oriented approach involving community members in data gathering, problem analysis and prioritization of needs, formulation of community vision and mission, formulation of sectoral goals and objectives and preparation of the comprehensive 6-year development plan.

“A document embodying specific proposals for guiding, regulating growth and development of a city or municipality. It is comprehensive because it considers all sectors significant in the development process, i.e. demography, socio-economic, infrastructure and utilities, land use and local administration, within the territorial jurisdiction” (HLURB, 2006; DILG, 2005).

A group decision (which some members may not feel is the best decision, but which they can all live with, support, and commit themselves not to undermine), arrived at without voting, through a process whereby the issues are fully aired, all members feel they have been adequately heard, in which everyone has equal power and responsibility, and different degrees of influence by virtue on individual stubbornness or charisma are avoided so that all are satisfied with the process.

A systematic process of collecting and analyzing information about activities and results of a project in order to determine the project’s relevance and/or to make decisions to improve the efficiency and effectiveness of a project.

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A participatory tool that can be used to develop an economic assessment of the production system. This along with other economic techniques to estimate yields, labor and capital costs draw on information obtained from PRA tools but require additional research and ecological data before a rigorous economic analysis can be achieved.

The systematic gathering and examination of information and data on existing gender differences and social relations in order to identify understand and redress inequalities based on gender as well as the specific problems, aims and potentials of women and men. Important aspects of analysis are: gendered division of labor, access to and control over resources, political decision-making processes. A gender analysis is decisive so women and men can equally participate in and benefit from development processes.

A tool for data management and likewise, an analytical mapping method that uses a computer-based geographic information system (GIS) that represents geographic coordinates in a very precise map, and to include information relating to changes in geographical, social or agricultural indicators.

A broad statement of desired outcome in the medium or long term. It aims to address a general problem situation of a municipality/city as derived from the situation analysis.

Flow Diagram

Gender Analysis

GIS mapping

Goal

Glossary of Terms


A participatory tool which is meaningful when one wants to find out the significant events in the community.

A participatory tool that helps to identify and quantify the relative importance of different sources of income and expenditures. The tool also helps to understand how secure or how vulnerable certain groups of people incomes are. In the Expenditures matrix, most or only some of people’s total income is spent to meet basic needs - food, water, clothing, shelter, health care, education.

The analysis of problems, issues as well as opportunities wherein pairing of individual sector is done with other sectors (HLURB, 2006).

Viewed as a shared natural resource and a property. As a natural resource, it should be conserved and cared for with due regard for its effect on society as a whole and for the conditions in which it will be passed on to future generations. As a property, it is a private commodity which can be owned, used, bought or sold for personal comfort and profit (HLURB, 2006).

A map that reflects the distribution of land uses covering the entire barangay specifically based on its existing land cover.

Refers to the manner of utilization of land including its allocation, development and management.

Historical mapping

Income and Expenditure Matrix

Inter-sectoral Analysis

Land

Landcover Map

Land use

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A plan for the proper management of land resources.

Refers to the rational and judicious approach of allocating available land resources to different land use activities, (e.g. agricultural, residential, industrial) and for different functions consistent with the overall development vision/goal of a particular locality (HLURB, 2006).

A two-dimensional presentation of a geographical area.

An analysis technique used to determine relationship of various conditions (themes) to each other or to validate a given assumption; involves the superimposition of two or more of the thematic maps (but not too many as to avoid confusion) to define the areas which meet a given set of criteria or conditions.

The relationship of the distance between any two points of the map to the horizontal distance between those same two points on the ground.

A statement of purpose and the primary reason for which plans and resources, including administrative and programmatic staff, are directed. It should be general and includes measurable goals which may be subject to change. The mission aims to realize/achieve the vision.

A continuous process of data collection and analysis to check whether a project is running according to plan and to make adjustments if required. It is an evaluative study directed to the short term.

Land use plan

Land use planning

Map

Map Overlay Analysis

Map scale

Mission statement

Monitoring

Glossary of Terms


A multi-disciplinary group of facilitators from the municipal LGU mandated by their Local Chief Executive (LCE) “to assist the barangays in facilitating the formulation of their Six-Year Development Plan starting with the barangay land use as basic input and consideration in the identification of development interventions, program thrusts and projects done in participatory and consensus-building approach” (GTZ, 2006. Municipal Facilitators’ Guide to Participatory Barangay Development Planning).

More specific statements of short-range desired outcomes or results towards which development activities in the municipality/city are directed.These may be viewed as subsets of a goal and therefore contribute to the attainment of a stated goal. They respond to specific problem situations usually sectoral in nature.

A participatory tool which documents the community’s perceptions of how local officials effectively carry out their roles and responsibilities to the community as mandated by law. How do local officials effect transparency, accountability, and participatory governance? What are their strengths and their weaknesses?

A tool to compare programs, projects and activities and arrive at a numeric ranking of these. Through a process of discussion and consensus building, participants are asked to compare identified projects with each other until a numeric ranking is reached.

LGU Implementing Team

Objectives

Organizational Rating

Pairwise Ranking

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A localized version of an organizational rating tool used to highlight public officials’ values, attitudes, and culture of leadership. It highlights the positive (“palakpak”) attitudes as well as the negative (“palpak”) ones. Which of the positive and the negative dominates? What are the potentials? Are there efforts to improve on the negatives?

A family of approaches and methods to enable local people to share, enhance, and analyze their knowledge of life and conditions, to plan, and to act.

Sets of projects that translate strategies to specific action plans. Some strategies may involve only one project in which case a program may be unnecessary. Each strategy may require more than one program. Programs may involve several sectors although the sectoral focus should be clear.

A cluster of activities. It is both sector- and location-specific, a complex effort consisting of interrelated activities performed by various functional units and specialists. A project has a well defined objective, a definite schedule, and a set budget.

A map that shows highly vulnerable areas that need to be protected or conserved.

A map which illustrates road networks within the barangay.

Palakpak-palpak

Participatory Rapid Appraisal

Program

Project

Protection Map

Road Network Map

Glossary of Terms


A participatory tool that determines the patterns and trends throughout the year in the barangay.

A participatory method that identifies location of basic service facilities in the community such as health centers, schools, post offices, telephone facilities, churches, restaurants and food chains, jails (if any), markets, stores and other business establishments, hospitals and clinics, banks, postharvest facilities, rice/corn mills, cemeteries, sports and recreation facilities, etc.

A map that determines the location, distribution, volume and types of infrastructure utilities found in the barangay.

This is done to determine, among others, the areas for reforestation or rehabilitation, incompatible land uses to be corrected, conflicting interests to be reconciled, and proper location of infrastructure and other capital investment projects.

A map that deals with the various modes of ownership of the people over the lands within the barangay.

A participatory method that uses circles as symbols to identify community institutions (both internal and external) and the nature of their relationships with each other.

Seasonality Diagram

Service Map

Infrastructure Map

Sieve Analysis

Tenurial Map

Venn Diagram

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A participative process whereby the municipality or city defines the future that it wants. The vision lays out what the citizens of the community would like their municipality/city to look like in terms of its physical, environmental, social and economic development.

A participatory tool used to determine the economic attributes of the households in the barangay. The tool produces information on the relative wealth and well-being of the different households in the community.

Visioning

Wealth ranking

Glossary of Terms

Facilitator’s Guide to Participatory Land Use and Development Planning

PDCP Bank CentreCorner V.A. Rufino & L.P. Leviste StreetsSalcedo Village, Makati City, PHILIPPINESTel. No. +63 02 812-3165 loc 17http://www.gtz.de

Dr. Walter SalzerProgram DirectorEnvironment and Rural Development Program

Dr. Herwig MayerProgram ManagerDecentralization Program

Dr. Andreas LangeChief Adviser, Local Governance

Cecilia S. AstillaSenior Adviser, Natural Resource Governance

Dolores NuevasSenior Adviser, Natural Resource Governance

Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH

participatory land use planning

Documents