scalog-capdev agenda toolkitl

8/13/2019 SCALOG-CapDev Agenda ToolkitL

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1:

Capacity Pillar Definition

Structure Presence of appropriate structure (office, committee or work group) with definedauthority and accountability for performing the necessary functions within aprogram

Competency Knowledge and skills of people who need to perform their assigned functions inthe program, including technical competencies and program managementcompetencies

Management Systems Systems, processes and procedures or managing programs, i.e., planning andbudgeting; design and development; implementation; and monitoring andevaluation

Enabling Policies Presence of policy and legislative support or planning, developing,implementing, monitoring and evaluating service delivery functions, programs andprojects (e.g., appropriation ordinance, executive issuance)

Knowledge and Learning Mechanisms for generating, analyzing and using data and information as basisfor decision-making and continuous improvement

Leadership Presence of mechanisms for: Defining vision, mission and values, and setting strategic directions Ensuring transparency and accountability in the LGUs operations Instituting participatorymechanisms Establishing partnerships and collaboration Visible sponsorship of programs

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Aspects Old SCALOG New SCALOG

Areas

considered

Follows the LGPMS Performance

Areas and Service Areas:o Social Governanceo Economic Governanceo Environmental Governanceo Administrative Governanceo Valuing Fundamentals of Good

Governance

Aligned with the DILG Outcome Areas:o Competitive and Business Friendly LGUso Environment Protective, Climate Change Adaptive and

Disaster Resilient LGUso Socially protective and Safe LGUso Accountable, transparent, participative and effective Local

Governance

Note that these areas still more or less correspond to the LGPMSperformance and service areas.

Dimensions ofCapacity beinganalyzed

Organizational Competenciesincluding:o Organization and Staffingo Legislative Support & Other

Enabling Mechanismso Transparencyo

Management Systemso Participationo Continuous Improvement/

Innovationo Customer Service

Capacity Pillars including:o Structureo Competencyo Management Systemso Enabling Policieso Knowledge and Learningo

Leadership

Note that there are similarities in dimensions being assessedbetween the old and new SCALOG. Aspects of Transparency,Participationand Customer Serviceare now integrated inManagement Systemsand Leadership.New dimensions have beenadded (Knowledge and Learning, and Leadership) based on currentliterature on high performing organizations.

Link toCDP/ELAprocess

Link to the CDP/ELA process isrecognized but not clearly specified

Links to related steps in the CDP/ELA process are specified tofacilitate integration of the capacity assessment and CapDevAgenda in the ELA


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Aspects Old SCALOG New SCALOG

Who areinvolved

Involves internal and externalstakeholders

Facilitated/coordinated by the LGPMSand/or SCALOG focal person/team

Involvement of CDP/ELA Team notclearly specified

Involves internal and external stakeholders

Recognizes the role of the CDP/ELA team in leading/ facilitating/coordinating the process

Assessment

Process

Involves rating of specific indicators per

performance/service area* Covers all areas, some of which may

not necessarily be a priority for the LGUin the next 3 years

Inadequate guide for in-depth analysis

The ratings are used as basis fordetermining capacity developmentinterventions

*Note that some of the indicators are nowoutdated because of new laws and otherissuances since SCALOG was launched in2004/2005.

No ratings required

Process allows for focusing on the capacities that are critical toachieving the performance goals set by the LGU for the next 3years

Involves more in-depth analysis of the current state of capacity,and identifying the desired capacity improvements to achieveperformance goals

The analysis is used as basis for determining capacitydevelopment interventions

4:

Aspects Old CapDev Agenda New CapDev Agenda

Informationcaptured

Columns in the template include:o Outcome Area/ Performance Objectives/ ELA

Priorityo Capacity Development Objectiveso Capacity Development Interventionso Expected Outputo Target of CapDevo Timeframeo Funding Requirementso Process Owner/ Office Responsibleo Source of Support/ Technical Assistance

Columns in the template include:o Outcome Area/ Performance Objectives/ ELA

Priorityo Current State of Capacityo Desired State of Capacity/ Capacity

Development Objectiveso Capacity Development Interventionso Expected Outputo Target of CapDevo Timeframeo Funding Requirementso Process Owner/ Office Responsibleo Source of Support/ Technical Assistance

Note that the templates are the same except for theaddition of a column on current state of capacity.

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1 2. E C L D A

In India many organizations are involved in tackling the wide range of interconnected problems related topoverty, human trafficking, sex work and HIV/AIDS. Five NGOs one each located in Delhi and Kolkata(formerly Calcutta), and three in rural areas of northern India participated in a year-long action

research study funded by the United Nations Development Programme (UNDP). The study aimed toidentify the relevant agents and factors that contribute to these problems in each of the five researchareas, and the relationships among them. With such knowledge, the NGOs hoped to be able tounderstand where they should target their campaigns, and thus design more effective interventions.

The study began with a national level workshop where the NGO staff explored the driving forces behindthe increasing levels of poverty, migration and HIV/AIDS. They then created a preliminary version of acausal loop diagram to capture their understanding of the social context in which these processes takeplace.

After the workshop, fieldworkers from the NGOs visited the five action research areas, where they metwith community representatives, sex workers, traffickers and pimps (middlemen) and the police to hearabout the problem from their points of view. Based on this new information, they refined the original

causal loop diagram as shown in the diagram.

On the basis of this analysis, the Indian NGOsconcluded that in order to reduce migration fromrural areas, the only variable they would be ableto change was the range of livelihood options. Bypromoting new economic activities in the ruralareas (the top of the diagram), the NGOs hopedto help the farming communities by encouragingthem to adopt new income-generating activities,thus reducing the high levels of poverty andeventually breaking the link between poverty andmigration.

With a new range of targeted interventions, the NGOs achieved just that within one planting season. Intwo of the three rural areas, the new farming activities provided new opportunities for communities toimprove their livelihoods so that fewer members of poor families needed to migrate to the cities. In theresearch areas in both Delhi and Kolkata, their interventions also resulted in higher incomes andimprovements in the livelihoods of many poor families.

For the NGO workers, coming to understand the wide range of forces that serve to perpetuate a problemor situation, and realizing that they could influence only a few of them, was a humbling experience. Theyalso recognized that understanding the context at this broader level would contribute to much moremeaningful project monitoring and evaluation (M&E). Usually M&E is inward-looking, focusing onindividual projects without considering the broader picture.

On-line Source: adapted from http://www.capacity.org/capacity/opencms/en/topics/context_systems-

thinking/contextual-forces.html


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Business-Friendly andCompetitive LGUs

Environment-Protective,

Climate Change Adaptive,

and Disaster-Resilient LGUs

On Socially-Protective andSafe Communities

Processing time

Revenue Code

Roads Infrastructure

Pass-thru fees (illegalfees)

Forest Denudation

DRRM Plan or DRRMCFunctionality

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Criminality

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Waterless Communities

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Instead of . More helpful to state as.

SW dumped in dumpsites 5 MT/day of solid waste dumped in dumpsite

Waste heaps in coastline Huge waste heaps in coastline (indicator from LGPMS)

Low functionality of SWMB SWMB not yet formed50-70% 50-70% of barangays with MRF

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Complex Social Issue: Solid Waste Management (SWM)

Group Interest in Issue Influence/ Resources MobilizationCapacity

Position inIssue

Action needed with thisstakeholder group

LCE (mayor &PBs)

High

Political mileagePolicy, human,financial, influence,moral, authority, clan

High Support Need strong buy-in

Church High

Social acceptance,moral, mileage

Policy, human,financial, influence,moral, authority

High Resist Need strong buy-in

NGAs Medium

Monitors extent ofcompliance toexisting laws/policies

Policy, human,financial, technology,expertise, moral,authority

Medium Support Active consultation

Business sector High

Profit / Investments/Jobs

Policy, human,financial, technology,expertise

Medium/low Support/resist Active consultation

Household High

WelfareClan Low Neutral Active consultation

Privateinstitutions,academe onSWM

High

Academic interestPolicy, human,technology, expertise

Medium Neutral Active consultation


31/90

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1This part was adap

Your Projects, http:/

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ted from Thompson, Rachel, Stakeholder Analysis:

/www.mindtools.com/pages/article/newPPM_07.htm

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3 3. E P C M

CHANGE MATRIX

PERFORMANCE

Current State Desired State

Solid Waste Management 5MT/ day solid waste dumped in dumpsite

___ (#) of household practicing wastesegregation

Huge waste heaps on the coastline

Low compliance to Environmental Code

Goals:

Solid waste dumped in dumpsite reduced by 60%in 3 years

Objectives:

Households practicing waste segregationincreased to _____ %

Waste heaps in the coastline reduced to none

Compliance to Environmental Code improved by____%

Agriculture

Average income of farmer households P5,500per month

Yield per hectare 3,300kg/hectare Minimal increase in number of farmers

participating in agri-extension program

Small % of farmers availing of credit facility

Goals:

Increase in average income of farmer households

to P8,000 per monthObjectives:

Increase in yield per hectare to 5,000kg/hectare

Increase in number of farmers participating in agri-extension program by ___%

Increase in farmers availing of credit by 50%


40/90

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44/90

A 44

Capacity Pillar Definition Pointers for Assessment

other LGUs; documenting and sharing goodpractices)?

Leadership Presence of mechanisms for:

Defining vision, mission and values,and setting strategic directions

Ensuring transparency and

accountability in the LGUs operations Instituting participatorymechanisms

Establishing partnerships andcollaboration

Visible sponsorship of programs

Are Leadership mechanisms in place and e fective:

Social Contract, CDP-ELA, Strategic Plan, etc.

SGH compliance, Ulat ng Bayan, etc.

Involvement of CSOs, citizen feedback mechanisms

Partnerships with NGAs, regional, sectoral groups,private sector, media, etc.

Active involvement in program, providing resources,etc.

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4 4. C

Current State

StructureCENRO and staff are all designates

Operational strategy half-baked Inadequate service delivery Programs not properly monitored

ESWMB organized but not functional No coordination among members of the Board

leading to poor implementation and overlapping

of PPAs Poor plans and programs Insufficient financial support

Knowledge and LearningNo accurate data on SWM

Difficulty in planning and formulation of programinterventions

Inefficient technologies used

/

?

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47/90

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4 5. D


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CENRO and staff are all designates Operational strategy half-baked Inadequate service delivery Programs not properly monitored

ESWMB organized but not functional No coordination among members of the

Board leading to poor implementationand overlapping of PPAs

Poor plans and programs Insufficient financial support

CENRO appointed with office andpersonnel

Operational strategy are in place Service delivery very satisfactory M&E system established

Functional ESWMB with regularmeetings and proper coordination

Harmonized PPAs Responsive plans and programs 3-year SWM budget

Knowledge and LearningNo accurate data on SWM

Difficulty in planning and formulation ofprogram interventions

Inefficient technologies used

Databank is in place and used in planningand decision-making

?

/

?


48/90

A 48

7. I C D I.

? CD

.

S T 46 B3.

4 2:

CHANGE MATRIX

PERFORMANCE


Solid Waste Management

5MT/ day solid waste dumped in dumpsite

___ (#) of household practicing wastesegregation



Goals:

Solid waste dumped in dumpsite reduced by 60%in 3 years

Objectives:

Households practicing waste segregation

increased to _____ % Waste heaps in the coastline reduced to none

Compliance to Environmental Code improved by____%

CAPACITY

Current State Desired State Intervention

StructureMENRO and staff are alldesignates

Operational strategy half-baked

Inadequate service delivery

SWMB organized but notfunctional

Poor plans and programs Insufficient financial support

MENRO appointed with office andpersonnel

Operational strategy are inplace

Service delivery verysatisfactory

Functional SWMB with regularmeetings and proper coordination

Appointment of MENRO and staff

Provision of budget

Strategic planning

Team and commitmentbuilding

Regular meetings

Formulate SWM plan

Creation of TWG with focus onM&E of SWM Plan

Reactivation and reorientation ofthe ESWMB

Conduct of monthly meetingsIssuance of designation

CompetenciesLack of technical know-how ofMENRO garbage collectors

Inefficient garbage collection Increased volume of wastedumped

Highly trained and competentgarbage collectors

Conduct of re-orientation forMENRO garbage collectors on

proper collection and disposal ofwastes

Management SystemsAbsence of monitoringmechanisms

Weak enforcement of Envi.Code

No basis for correctivemeasures

Monitoring mechanisminstitutionalized

Strict enforcement of laws

Effective garbage collection

Develop a monitoring mechanism

Regular submission of M&Ereports

Review and improve existing

B1B2

B3

A


49/90


50/90

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65/90

A 65

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6 1.

Risk DefinitionIntensity

(Low/Medium/High)Mitigation Needed Risk Owner

Strong resistance from communityhosting the proposed controlleddumpsite project

High Hold consultation meetingswith community groups toinform them of the projectsprecautionary measures

EnvironmentalManagement Office(EMO) of the LGU

Low absorptive capacity of LGUstaff on SWM

High Provide training andmentoring on SWM

Head of EMO

Low participation of localcommunity in SWM programs

Medium Conduct massive IEC onSWM program

EMO


66/90


67/90


68/90

A

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69/90

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72/90

A 72

A C :

Volume of solid waste dumped at dumpsite is5MT/day

___ (#) of household practicing waste segregation



A G:

Goals:

Solid waste dumped in dumpsite reduced by 60% in3 years

Objectives:

Households practicing waste segregation increasedto _____ %

Waste heaps in the coastline reduced to none Compliance to Environmental Code improved by

____%

F C D A M

:

1. C . T C C

M S 4;

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73/90

A 73

7. 2: 1

Priority CD InterventionsTimeframe of the

CD InterventionPhase/Year

1. A SM B 3 1

, 1

2. C MENRO 6 1

, 1

3. IEC 6 2

, 1

4. SM P P 6 3

, 1

D CD

. B

.

7. 3: /

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A

B

A

C:

P10,000/

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P30,000.00

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C:

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8

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10

P20,000.00

P10,000.00

I I

SM

IEC M

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1000

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P160,000.00


74/90


75/90

A 75

R R C, L G A, B

L G D.

B CD A .

7. 4 : ,

A:

E P, C C A D R LGU

A C :

Volume of solid waste dumped at dumpsite is 5MT/day

___ (#) of household practicing waste segregation



A G:

Goals:

Solid waste dumped in dumpsite reduced by 60% in 3 yearsObjectives:

Households practicing waste segregation increased to _____ %

Waste heaps in the coastline reduced to none

Compliance to Environmental Code improved by ____%

Current stateof capacity

Desired stateof capacity

CapacityDevelopment

Interventions

ExpectedOutput

Targetof

CapDev

TimeFrame

Funding Requirements Processowner/ Office

responsible

Source ofsupport/

Technical

Assistance

Yr

1

Yr

2

Yr

3

1 2 3 4 5 6 7 8 9 10 11

Structure

ESWMBorganized butnot functional

Functional

ESWMB with

regular

meetings and

proper

coordination

Activation of

SWM Board

Memo of

Under-

standing

defining

roles of

the SWM

Board

Member

s of the

SWMB

3 mos P30K Environ-

ment Officer

or Designate

or the MPDC

DILG-

MLGOO,

LGRRC,

or DENR-

EMB

Regional

Office

MENRO and

staff are alldesignates Operational

strategyhalf-baked

Inadequateservicedelivery

MENRO

appointedwith officeandpersonnel Operational

strategy arein place

Servicedelivery verysatisfactory

Appointment of

MENRO and

staff

Provision ofbudget

Strategicplanning

Team andcommitmentbuilding

Regularmeetings

FormulateSWM plan

MENRO

created

MENRO 1 year 100K Office of the

Mayor, SB

DILG,

MLGOO

(TA)

Enablingpolicies

Absence ofenvironmental

ordinance andSWM Plan No blueprint

for programimplementation

No basis forcollection

No M&E

Environmentalordinance and

SWM Planformulated,passed andenacted

Coaching on

SWM

formulation

SWM Plan MPDC,

MENRO

, SWMB

6 mos P30k Environ-

ment

Officer/Desig

nate, or the

MPDC

DILG-

MLGOO,

LGRRC,

or DENR-

EMB

Regional

Office,

NSWMC

Increased levelof awareness

IEC completed IEC toincrease

MPDC 6 mos P100

K

Public

Informa-tion

DILG-

MLGOO,


76/90

A 76

Current state

of capacity

Desired state

of capacity

Capacity

Development

Interventions

Expected

Output

Target

of

CapDev

Time

Frame

Funding Requirements Process

owner/ Office

responsible

Source of

support/

Technical

Assistance

Yr

1

Yr

2

Yr

3

1 2 3 4 5 6 7 8 9 10 11

of thecommunity

level ofawareness of the

community on SWM

Office DENR-

EMB


77/90

A 77

I CD

A CDP/ELA

CD

8: CD A CD/EA

CD A , CDP/ELA. T

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CD A, ?

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78/90

A

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8

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79/90

A 79

8 2. /

M L C E

S R A CDP/ELA

I. LGU M SII. B P LGU

P

D

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III. D G S ( )

B D S S

S G, O S

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II. P I, M E

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80/90

A80

A1:CD

AF:

2:

Group

InterestinIssue

Influe

nce/Resources

Mobilization

Capacity

Positionin

Issue

Actionneededwiththis

stakeh

oldergroup


81/90

A81

3:

CHANGEMATRIX

PERFORMANCEArea:

CurrentState

DesiredState

Sub-sector:

Sub-sector:


82/90

A82

4:

CHANGEMATRIX

PERFORMANCEArea

CurrentState

DesiredState

Subsectorarea

CAPACITY

Current

State

DesiredState

Intervention

Structure

Competencies

ManagementSystems

EnablingPolicies

KnowledgeandLearning

Leadership


83/90

A83

5:

CHANGEMATRIX

PERFORMANCEArea

CurrentState

DesiredState

Subsectorarea

Capacity

Levelof

contribution

Levelofeffort

Q

uickwins/Major

project?Fill-ins?

Thanklesstasks

CurrentState

DesiredState

Intervention

H

M

L

H

M

L

Structure

Competencie

ManagementSystems

EnablingPolicies

KnowledgeandLearning

Leadership


84/90

A84

6:

CHANGEMATRIX

PERFORMANCEArea

CurrentState

DesiredState

Subsectorarea:

CAPACIT

Y

Levelof

contribution

Levelof

effort

Quickwins/

Majorproject?

Fill-ins?

Thanklesstasks

Risk

definition

Intersity

Mitigatio

n

needed

Riskowner

CurrentState

Desired

State

Intervention

H

M

L

H

M

L

Structure

Competencie

Management

Systems

Enabling

Policies

Knowledge

andLearning

Leadership


85/90

A85

7:

CHANGEMATRIX

PERFORMANCEArea

CurrentState

DesiredState

Subsectorarea:

CurrentState

Ofcapacity

DesiredState

ofcapacity

Intervention

Expected

output

Peoplewho

wil

lbe

involvedin

the

interventions

Timeframe

Funding

requirements

Year1

Funding

requirements

Year2

Funding

requirements

Year3

Proce

ss

owner

Support

neededfrom

whom

Structure

Competencies

Management

Systems

Enabling

Policies

Knowledge

andLearning

Leadership


86/90

A86

A2:

D

TypesofinterventionsandorganizationlevelsODandChange,CummingsandWorley,2009

Interventions

Indi'l

Group

Org

Description

1.

HumanProcessInterventions

Theseprocessesincludecommunication,problemsolving,groupdecisionmakin

gandleadership;

DeeplyrootedinthehistoryofOD;

Derivedmainlyfromthedisciplinesofpsychologyandsocialpsychologyandapp

liedfieldsofgroup

dynamicsandhumanrelations;

Practitionersapplyingtheseinterventionsgenerallyvaluehumanfulfilmentande

xpectthat

organizationaleffectivenessspringsfromimprovedfunctioningofpeopleandorg

anizational

processes.

A.

Inter-personalrelationship

sand

groupdynamics

1.1.

Processconsultation

X

Focusesoninterpersonalrelationsandsocialdynamicsoccurringinworkgroups;

Helpsgroupmembersdiagnosegroup

functioninganddeviseappropriatesolutio

nstoprocess

problemse.g.

dysfunctionalconflict,poorcommunication,

ineffectivenorms;

Aimistohelpmembersgaintheskills

andunderstandingnecessaryoidentifyan

dsolveproblems

themselves.

1.2.

Thirdpartyintervention

X

X

Formofprocessconsultationaimedatdysfunctionalinterpersonalrelationsinorganizations;

Thethirdpartyintervenerhelpspeople

resolveconflictsthruproblemsolving,bargainingand

conciliation.

1.3.

Teambuilding

X

Thisinterventionhelpsworkgroupsbe

comemoreeffectiveinaccomplishingtasks.

Helpsmembersdiagnosegroupproce

ssesanddevisesolutionstoproblems.

Goesbeyondgroupprocessesbecausetheinterventionincludesexaminationofgroupstask,

memberrolesandstrategiesforperformingtasks;

ConsultantmayfunctionasRPofferingexpertiserelatedtothegrouptasks.

B.

System-widehumanprocess

interventions

1.4.

Organizationconfrontation

meeting

X

X

Thischangemethodmobilizesorganiz

ationmemberstoidentifyproblems,setactiontargetsand

workonproblems;

Appliedwhenorganizationsareexperiencingstressandwhenmanagementnee

dstoorganize

resourcesforimmediateproblemsolving;

Interventionincludesvariousgroupingsofemployeesacrosstheorganizationin

identifyingand


87/90


88/90

A88

Interventions

Indi'l

Group

Org

Description

Providememberswithalternativesettingsinwhichtoaddressproblemsandproposeinnovative

solutionsfromexistingstructuresandculture;

Twocommonparallelstructuresareth

ecooperativeunionmanagementprojects

andquality

circles.

2.5.

Totalqualitymanagement

X

X

Morecomprehensivethanparallelstru

ctures;

Alsoknownascomprehensiveprocessimprovement,leanandsixsigma;

Representsalongtermefforttoorient

allofanorganizationsactivitiesaroundth

econceptof

quality;

InterventionssubsumedunderTQMaretheMalcolmBaldridgeAward,

PhilippineQualityAward

Systemwhereorganizationsareawardedforachievementalong7dimensionse

.g.:

Leadership,

strategicplanning,customerandmark

etfocus,measurement,analysisandknow

ledge

management,humanresourcefocus,processmanagementandbusinessresults.

2.6.

Highinvolvement

organization

X

X

X

D

esignedwithfeaturescongruentwitheachothersuchas:

Flat,leanorganizationstructures

Jobdesignsthatprovideemployeesw

ithhighlevelsofdiscretion,

taskvarietyan

dmeaningful

feedback

Openinformationsystemsthataretiedtojobsorworkteamswhichprovideinfo

rmationfor

employeestoparticipatemeaningfully

indecisionmaking;

Careersystemsthatprovidedifferenttracksforadvancementandcounsellingto

helppeople

chooseappropriatepaths

SelectionofemployeesforHIOthroug

harealisticisimprovedthrougharealistic

jobpreview

providinginformationaboutwhatitwillbeliketoworkinsuchsituations,

Trainingemployeesforthenecessary

knowledgeandskillstoparticipateeffectiv

elyindecision

making

Rewardsystems-rewardsarebasedo

nacquiringnewskillsaswellassharingg

ainsfrom

improvedperformance

Policiesarereasonableandgivethee

mployeestheimpressionthatthefirmiscommittedtotheir

longtermdevelopment;

Physicallayouts-supportteamstructu

resthatreducestatusdifferencesamongemployees

reinforcesegalitarianclimate;

3.

Humanresourcesmanagement

Focusesoninterventionsusedtodeve

lop,

integrateandsupportpeopleinorgan

izations;

Theseincludecareerplanning,reward

systems,goalsetting,performanceappra

isal.

3.1.

Goalsetting

X

X

Involvessettingclearandchallenging

goals;

3.2.

Performanceappraisal/PMS

X

X

Isasystematicprocessofjointlyassessingworkrelatedachievements,strengthsandweaknesses;


89/90


90/90

scalog-capdev agenda toolkitl

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