Field Guide for KALAHI-CIDSS Area Coordination TeamsKALAHI-CIDSS Project Manila, Philippines 05 February 2007

PrefaceThis document is a field guide to help you facilitate the enhanced community empowerment activity cycle (CEAC). Please note that the operative word used here is facilitating and not implementing. The choice is deliberate. This is due to the fact that the idea of development delivery does not work, and that the role of so called development actors is

not to bring development to poor communities, but rather to facilitate this development from within, to creatively craft opportunities for the people to realize their own potential for change, and to nurture and build on this potential so that, in the end, the people will say, to paraphrase a bit of ancient Chinese wisdom, We have done it ourselves!. From a cursory glance of the document, you will immediately notice that this field guide does not provide any specific procedure or instruction in facilitating the processes outlined. This too is deliberate. The ACT is expected to develop implementation processes according to context-specific conditions. This is a prime requirement of Community-Driven Development (CDD) efforts. You should also bear in mind that while the ACT acts as lead facilitator of the KC processes outlined herein, facilitation of community processes to bring about real, community-driven development is the task of all stakeholders. Due to the specific contexts of municipalities covered by the project, the CEAC is expected to evolve according to the specific conditions within each municipality, barangay, and community. This document should serve to guide you through this process of evolution in the course of the three-year KALAHI-CIDSS engagement in the municipality and barangay in which you are assigned. Like all things involving change, it would be very hard indeed to determine the exact final form. If this manual provides you with at least a broad outline of how to plan and manage this evolution, then it would have achieved its purpose. On a last note, while facilitating the CEAC is the task of all, the ACT performs a very important conducting role. Bear in mind that while the conductor does not make the individual sounds, he or she does guide how and when the sounds are played, and thus, in a real sense, create the music.

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

2

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

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

3

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

4

TABLE OF CONTENTS CHAPTER 1: THE KALAHI-CIDSS: KKB PROJECT1.1 What is the KALAHI-CIDSS:KKB Project? 1.2 Why KALAHI-CIDSS: KKB? 1.3 What are the over-all development objectives of the KALAHI-CIDSS: KKB Project? 1.4 How will the KALAHI-CIDSS: KKB Project attain these objectives? 1.5 What does the KALAHI-CIDSS: KKB aim to achieve by these strategies? 1.6 What are the core principles of the KALAHI-CIDSS: KKB Project? 1.7 What is the KALAHI-CIDSS Implementation and coordination structure? 1.7.1 Policy-Making Bodies 1.7.2 Management Bodies 1.7.3 Implementing Bodies 1.7.4 Coordination Bodies 1.8 What roles and functions do members of Local Government Units play in the KALAHI-CIDSS Project?

8

8 9

10 10 11 11 13 13 14 14 15 15

CHAPTER 2: OVERVIEW OF THE COMMUNITY EMPOWERMENT ACTIVITY CYCLE (CEAC)2.1 What is the Community Empowerment Activity Cycle? 2.2 What is the rationale behind the CEAC implementation process? 2.3 What are the objectives of CEAC implementation process? 2.4 How is the CEAC implemented in the KC project? 2.5 What are the elements of the CEAC implementation design? 2.6 What are the stages of the CEAC? 2.7 How does the role of various stakeholders evolve in the course of the CEAC?

1616 17 20 20 21 22 23

CHAPTER 3: WALK-THROUGH OF THE CEAC CYCLE 13.1 Social Preparation Stage 3.1.1 3.1.2 3.1.3 3.1.4 3.1.5 3.1.6 Social Investigation and Assessment The Barangay Assembly Promoting transparency thru the Grievance Redress System (GRS) Participatory Situation Analysis (PSA) Social Mobilization, Community Organizing, and CBO Formation and the BaBAE Teams Community-Based Monitoring (CBM)

2425 25 28 33 38 51 58 61

3.2 Selection & Planning Stage

5

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

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

CHAPTER 4: MOVING ON TO CYCLE 2 & 34.1 The CEAC 2nd Cycle Implementation 2nd 4.1.1 How is the CEAC Cycle implementation different from the 4.1.2 What is the role of the ACT in facilitating the 2nd Cycle? 4.1.3 How does the 2nd Cycle of the CEAC proceed? 4.2 The CEAC 3rd Cycle Implementation 1st Cycle?

122122 122 122 123 125 125 125 125

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

CHAPTER 5: SUSTAINABILITY AND EXIT5.1 What is sustainability? 5.2 How do we ensure sustainability of CDD interventions? 5.3 The KALAHI-CIDSS Institutionalization Framework and Key Result Areas 5.3.1 5.3.2 5.3.3 5.3.4 What is Institutionalization in the context of the KALAHI-CIDSS Project? Why is Institutionalization necessary in the KALAHI-CIDSS Project? What is the KALAHI-CIDSS Institutionalization Framework? How is institutionalization operationalized?

127127 128 128 128 129 129 131 132 132 132 132 133

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

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

6

CHAPTER 6: MANAGING IMPLEMENTATION AT THE ACT LEVEL6.1 The Area Coordinating Team 6.1.1 Why adopt a team approach in the KALAHI-CIDSS? 6.1.2 What are the functions of the Area Coordinating Team members? 6.1.3 To whom the ACT should engage? 6.2 Conducting Tactic Sessions 6.2.1 6.2.2 6.2.3 6.2.4 6.2.5 6.2.6 What is a tactic session? How is a tactic session different from a regular team meeting? What is the difference between a tactic session and a strategizing session? Who participates in a tactic sessions? How often is a tactic session conducted? How is a tactic session conducted?

136136 136 136 137 138 138 138 138 138 139 139 141 141 141 141 141 141 143

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

6.4 Conducting Community Trainings

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

7

THE KALAHI-CIDSS: KKB PROJECTTo the ACT:

Chapter

1

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

1.1 What is the KALAHI-CIDSS:KKB Project?KALAHI-CIDSS: KKB stands for the Kapit-bisig Laban sa Kahirapan Comprehensive and Integrated Delivery of Social Services: Kapangyarihan at Kaunlaran sa Bararangay. It is the main poverty reduction program of the Government of the Philippines that seeks to apply participatory, community-led and community-driven approaches proven to be effective in community development work. Kalahi-CIDSS: KKB (KC:KKB) consolidates the lessons and strategies applied by two national programs that have manifested a high degree of effectiveness in poverty alleviation as compared to other state-led initiatives: the Comprehensive and Integrated Delivery of Social Services (CIDSS) Program of the DSWD of the Government of the Philippines, and the Kecamatan Development Program (KDP) of the Government of Indonesia.

8

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

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

Participation in decision-making Opportunities and access to basic services Ownership of assets to allow sustained income Resources to meet basicneeds A more in-depth look at the description of poverty above reveals the critical link between disempowerment and marginalization, poor governance practices and systems, and the persistence of poverty conditions. This linkage underscores the need toThe KALAHI-CIDSS will adopt people-centered approaches to problem solving. It will foster the movement of actors from being mere "subjects" who are passive beneficiaries of state assistance, to becoming active citizens with rights and responsibilities who take control of their destinies. At an institutional level, the project design will take into account the ways in which unequal access to political and economic decision-making processes affect access to and control over resources by the poor. This focus on the flow of power in decision-making processes is expected to identify the current obstacles and suggest new ways of dealing with winners and losers in the development process. Project Appraisal Document August 23, 2002

9

focus on improving avenues and processes for direct participation of the poor in development activities, and improving governance, as necessary requisites to sustained poverty reduction. Please refer to the KC:KKB Project Appraisal Document (PAD) of 2002 for more details).

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

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

10

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

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

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

11

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

12

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

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

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

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

13

facilitate resolution of technical concerns. The NTWG is the recommendatory body for policy directions to the NSC. Its members include representatives from the NSC agency members (DSWD, DILG, NEDA, DBM, DoF, NGOs and civil society groups, and other agency representatives (as needed). Other agency members include the: Department of Agrarian Reform (DAR) Department of Agriculture (DA) Department of Education (DepEd) Department of Public Works and Highways (DPWH), Department of Environment and Natural Resources (DENR) National Commission on Indigenous Peoples (NCIP) National Statistics and Coordination Board (NSCB)1.

1.7.2 Management BodiesThe National Project Management Team (NPMT) and Regional Project Management Teams are 2-level management bodies of the project at the national and regional level, respectively. The NPMT is responsible for the for the over-all management of the project. It shall provide the over-all direction and guidance to project implementation. Headed by a National Project Director, the NPMT is composed of the Deputy Project Director, the heads of the different units of the Department (Admin, Finance, Social Marketing, Legal, Human Resource, Policy and Plans, Bids and Awards Committee), project operations technical staff and consultants. The Regional Project Management Team is responsible for the over-all management of project implementation in the region. Chaired by the Regional Director, the RPMT is composed of: (i) the Assistant Regional Director/Regional Project Manager as alternate chair (ii) All division chiefs, organic staff engaged in KC implementation (the Regional Project Coordinator, the Regional Training Coordinator, Regional Information Officer, Project Evaluation Officer, Accounting, Supply and Admin) (iii) Regional Project hired staff (Community Development Supervisor, Regional Infrastructure Engineer, Regional Financial Analysts, Deputy Regional Infrastructure Engineer, Regional Training Associates, Social Marketing Officer, Monitoring and Evaluation Officer, Budget Officer, and Admin Assistant. (iv) Areas Coordinators (v) Municipal Mayors or their duly designated representatives (vi) MSWDOs in KC municipalities (vii)PSWDOs in KC provinces

1.7.3 Implementing BodiesThe DSWD is the lead implementing agency of the project. composed of the following: Its implementing arm is

1

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

14

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

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

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

15

OVERVIEW OF THE COMMUNITY EMPOWERMENT ACTIVITY CYCLE (CEAC)

Chapter

2

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

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

16

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

Implmtn SP & O&M Plan & M&E

2 Barangay Orientation (1st BA) 3 PSA

Social Preparation Stage

12 Community Consultation (5th BA)

4 Community Consultation (2nd BA)

11 Preparation of detailed Proposal

Project Selection Stage

Project Identification Stage

5 Criteria Setting Workshop

6 Preparation of SP Concept

10 Community Consultation (4th BA)

9 Prioritization of SP Concepts (1st MIBF)

7 Community Consultation (3rd BA)

8 Finalization of SP Concept

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

17

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

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

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

18

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

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

19

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

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

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

20

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

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

Community-Based Evaluation

Accountability Review and Reporting

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

Transition

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

Implmtn SP & O&M Plan & M&E

MIBF MDC Engagements

KALAHI-CIDSS: KKB COMMUNITY EMPOWERMENT ACTIVITY CYCLE

Social Preparation Stage

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

Community Consultations (BA)

Project Approval Stage

Project Identification, Selection, and Planning Stage

Project Development Workshop Preparation of detailed Proposals

Prioritization and approval of Proposals (MIBF) Community Consultations

Community Consultations (BA) MIAC Technical Review of Proposals

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

21

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

22

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

23

WALK-THROUGH OF THE CEAC CYCLE 1

Chapter

3

To the ACT:

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

24

3.1 Social Preparation Stage3.1.1 Social Investigation and Assessment3.1.1.1 What is social investigation and assessment?Social assessment is an iterative process that provides a framework for prioritizing, gathering, analyzing, and incorporating social information and participation into the design and delivery of development operations. Social Assessment is a systematic investigation of demographic, socioeconomic, social organization, socio-political context and needs and values.

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

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

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

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

25

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

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

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

26

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

27

3.1.2 The Barangay Assembly3.1.2.1 What is the barangay assembly?The barangay assembly is a gathering of all barangay residents who are at least 15 years old and above, Filipino and listed in the records as members of the barangay assembly (as defined in the Local Government Code, R.A. 7160). The barangay, as the basic political and socio-economic unit, wields tremendous powers if tapped by its people. This power is made most apparent through the Barangay Assembly, which serves as the primary mechanisms for the exercise of popular citizenship. It is the foundation where the people can make claim-making with government over the delivery of basic services and facilities, where the people can demand transparency, and even exercise their supreme right to directly govern. With its own power to create and generate own sources of revenue, the barangay can finance and sustain its own development. While the LGC specifies a minimum age requirement for membership in the assembly, citizenship is the ultimate basis for affecting governance. Hence, all citizens of any age, color, ethnicity, religion, race, political belief, and social and economic status have an equal right to be heard.

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

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

28

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

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

29

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

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

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

30

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

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

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

Tips on the Preparation/Facilitation of a Barangay Assembly1. Groundwork your barangay captain and other members of the LGU. Remember that you are not the convenor of the BA. This is the role of the Barangay Captain. Make sure that he/she is fully aware of the rationale, objective, and expected outputs of the meting. Give him/her due importance by providing them with a formal role in the assembly. 2. Ensure that the schedule of the BA is not in conflict with other community schedules such as fiestas, harvest time, and other community activities. Availability of community residents is a very important factor and should not be overlooked. Good scheduling will increase participation in the BA. 3. In scheduling the BA, consider as well as the schedule of other BA you will be facilitating. Remember that you are handling at least five barangays and the proximity of the schedules might be unmanageable. Make sure the BA schedules are realistic and manageable.

31

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

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

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

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

32

3.1.3 Promoting transparency thru the Gr