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(2010 Revised Edition)

(2010 Revised Edition)

Contents

Foreword Preface Acronyms Knowledge for Improved 1 Managing Performance in Local Governance
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2 Capacity Development : A New Perspective 3 4 Taking Up the Challenge to


Institutionalize Change Annex in a CD 7 Steps in Capacity Development Agenda Formulation

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Acronyms

CBMS CD CDP-ELA CIDA CLUP DILG GeRL Ka Ba? KCO KM LGA LGOOs LGPMS LGRC LGNRC LGSP II LGU SCALOG SLGR TWG UNDP

Community Based Monitoring System Capacity Development Comprehensive Development Plan- Executive and Legislative Agenda Canadian International Development Agency Comprehensive Land Use Plan Department of the Interior and Local Government Gender Responsive LGU Ka Ba? Knowledge Centric Organization Knowledge Management Local Government Academy Local Government Operations Officers Local Governance Performance Management System Local Governance Resource Center National Local Governance National Resource Center Philippines-Canada Local Government Support Program Phase II Local Government Unit Systems on Competency Assessment for Local Governments State of Local Governance Report Technical Working Group United Nations Development Programme

Managing Knowledge for Improved Performance in Local Governance

Nan et ipsa scientia potestas est. Knowledge is power


Oscar Sir Francis Bacon

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A Word on Knowledge Management and Good Local Governance

Knowledge Management or KM is the acquisition, storage, retrieval, creation, sharing, use, application and review of a group or organizations explicit and tacit knowledge in a systematic manner to achieve organizational goals.

is therefore also about connecting those who know with those who need to know. KM offers a direction for organization to: - manage information and knowledge that it knows it already has - manage knowledge that it does not yet know that it has - create new knowledge or innovate

Knowledge is information that is processed with experience and assumptions and applied for effective action.
Knowledge Management is about getting the right knowledge to the right people at the right time. KM is not only about information in its various physical forms. It also includes tacit knowledge, which is intangible and resides as intellectual capital of individual experts and practitioners. KM

What is the value of managing knowledge in promoting excellence in local governance?


One of the key principles in good governance is promoting a culture of selfassessment for improved local government management and performance. The local governance sector should increasingly have

Managing Knowledge for Improved Performance in Local Governance

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Figure 1

Knowledge Management
(in the context of actual governance and public administration processes)

the capacity to learn from itself and harness the incremental lessons learned for more effective, efficient and responsive governance. And knowledge, when created, shared, applied and used, has a far-reaching influence in developing a culture of learning in local governance. Capacity Development Planning is a process that involves the utilization of knowledge for improved LGU performance. It is about acquiring, analyzing, sharing and using vital knowledge in order to strategically address competency gaps and organizational weaknesses so that improved capacity is able to input or lead to strengthened LGU performance.

Situational Analysis

M/E

Knowledge

Planning

Implementation

Policy Development Programming Budgeting

Participation

Performance

Partnership

For a more comprehensive information on knowledge management in local governance, refer to the Annex with CD version of Communities that Learn! A Local Governance Knowledge Management Framework.

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

he support of the Department of the Interior and Local Government (DILG) to the local government sector has

considerably evolved over the last few years. The overall common thread, however, has been one of DILG taking a stronger leadership role in the coordination of issues affecting local governance with a general shift from regulation and supervision to coordination and facilitation. In fulfilling its mandate as a catalyst for excellence in local governance, DILG has been practicing Knowledge Management through its numerous initiatives without necessarily labeling it as such. The use of LGU performance data, the identification, documentation and replication of exemplary practices, the enhancement of local planning system based on the feedback and experiences of local governments and other stakeholders, the establishment of the Local Governance Resource Centers (LGRCs) across the country, and the convergence and synergy of local

governance initiatives within the DILG and with other national government agencies are all examples of KM in action. As the training arm of DILG and the National Local Governance National Resource Center (LGNRC), the Local Government Academy (LGA) is a knowledge hub as it plays a lead role in building capacity development programs and strategies for local governments and DILG personnel. KM is a way of doing things. DILG as an organization effectively integrating KM in its operations becomes a Knowledge Centric Organization (KCO), one that values people and the organized use of existing experience and information to reach its goals. Ultimately, KM is not exclusively about tools and technology but about people and what they can and want to do with their knowledge. KM is also a mindset that in anchored on a culture of learning and knowledge sharing where there is no monopoly of

Managing Knowledge for Improved Performance in Local Governance

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Figure 2

Convergence in DILG Operations*

Values knowledge and people are recognized Culture of Performance for the value of their own contributions Participatory Processes Strategic Leadership and encouraged to share and utilize knowledge. With KM as a strategy, DILG is building convergence and synergy in its operations to maximize its QUALITY contribution to the local government SERVICES sector. Figure 2 illustrates how the DELIVERY notion of KM is central to DILG PARTICIPATORY operations as well as how many DILG PROCESSES functions and programs relate to each other and can be situated in Partnerships a yearly cycle of inter& Resource Programs Management dependence. LGU Performance Management
Capacity Development Replication Advocacy & Public Education Development Planning Local Governance Resource Center

Strategic Functions

Performance Management

Performance Management Policy & LGU Oversight Partnership & Resource Management

CULTURE OF PERFORMANCE

INNOVATION & LEARNING


LEADERSHIP

Policy & LGU Oversight STRONG ENABLING ENVIRONMENT

Key Contributions Excellence in Local Governance

Innovation and Learning Quality and Effective Service Delivery Strengthened Local Governance Enabling Environment

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

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In keeping with the thrust to build convergence in its operations, DILG developed an integrative strategy in its various program designed to building capacities of local governments for improved performance.

utilization of performance management and institutional competency assessment tools and systematic weaving of the results for a more in-depth and meaningful analysis.

The components of the Integrative Framework are the following:

Development Agenda (CD Agenda). Further, assessment tools, such as the System on Competency Assessment for Local Governments (SCALOG) and GeRL Ka ba?, are harnessed in Capacity Development Planning and formulating a Capacity Development Agenda. With the establishment of the Local Governance Resource Centers (LGRCs) in DILG, a dynamic venue has been established to facilitate the provision of capacity development for local governments more efficiently and strategically. It is also seen as the mechanism that would assist and facilitate the implementation of the Capacity Development Agenda of LGUs through its four dynamic services: 1) Multi-media Knowledge and information 2) Capacity Development 3) Linkage and 4) Public Education and Citizenship Programs. For more information on the LGRCs, visit www.lgrc.lga.gov.ph

The objectives of the framework are:

Harmonize capacity development interventions for local governments Ensure integrated program implementation Maximize the impact of DILG interventions
The integrative framework in building LGU capacities is underpinned on key KM principles of harmonization and convergence. It promotes establishing synergy in the implementation of various programs and in the utilization of the wide range of tools and processes. It encourages the vigorous

of LGU Performance and 1 Assessment Institutional Competencies of the Executive and 2 Crafting Legislative Agenda of Capacity Development 3 Provision Initiatives via the DILG Local Governance Resource Centers

Support Programs

The State of Local Governance Report (SLGR) using the Local Governance Performance Management System (LGPMS) and Community Based Monitoring System (CBMS) results provide the invaluable technical inputs to the process of formulating the Executive and Legislative Agenda (ELA) and the Capacity

Managing Knowledge for Improved Performance in Local Governance

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Figure 3

LGU Capacity Development DILG Integrative Strategy

DILG Training Programs Other NGA Initiated Programs Accredited Training Programs Overseas Assistance Development Programs

Assessment of LGU Performance and Institutional Competencies

LGPMS, CBMS, SCALOG, GeRL Ka Ba? Other tools

Provision of Capacity Development Intervention LGRC

SLGR LGU Competency Profile

Preparation of the ExecutiveLegislative Agenda

ELA CD AGENDA

CDP Review ELA Coaching

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

s catalysts for excellence in local governance, LGOOs have a key role in promoting the culture

of learning for excellence in local governance as they build linkages and networks, and facilitate the process of knowledge sharing and utilization in their respective areas. LGOOs are strategic knowledge brokers who can help transform and apply data and information for effective and responsive action. As a knowledge-centric organization, there is a need for DILG to generate knowledge, be able to share it and ensure that knowledge is utilized to produce results. This will strengthen DILGs role as a primary catalyst, knowledge broker and facilitator of capacity development towards excellence in local governance.

Managing Knowledge for Improved Performance in Local Governance

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Figure 4

Knowledge Management in DILG

LG Excellence

Learn and Innovate

Evaluate

Knowledge Providers (LGU, NGA, Experts, Practitioners)

Create

Knowledge Brokers DILG, LGOOs, LGA

Utilize

Share
Knowledge Users (LGU, Citizens, NGOs, CSOs)

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About the Guidebook: A Knowledge Tool in Capacity Development Planning

his Guidebook is a simple, step-bystep guide for formulating a gender responsive and competency-based

Local Government (LGU) Capacity Development Agenda. It is a reference for LGOOs in coaching LGUs and their ELA teams in developing a Capacity Development Agenda to more effectively and meaningfully address LGU priorities and program, as defined in the LGU local development plans such as the ELA. Capacity Development Planning is not new to LGUs. It is an important aspect of local development planning, which includes the formulation of the Comprehensive Land Use Plan (CLUP), the Comprehensive Development Plan (CDP) and the Executive and Legislative Agenda (ELA). While there are guides for all these various plans, there

was a need for a tool that would systematically assess organizational competencies of local governments. The LGA, with support from the United Nations Development Programme (UNDP), developed the Systems on Competency Assessment for Local Government (SCALOG), which enables LGUs to evaluate their organizational competencies. The SCALOG allows the LGUs to systematically conduct a self-assessment and analyze strengths and weaknesses in terms of the LGUs set of work processes, structures, systems and technologies in order to sustain or further improve performance and organizational or institutional capacity.

Managing Knowledge for Improved Performance in Local Governance

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This tool is a companion piece of the SCALOG Manual and the Manual on Local Planning Process: Focus on the CDP and ELA. The steps in this guidebook take off from the SCALOG process and results, which are informed and guided by the LGPMS. LGPMS and SCALOG provide useful data and information that can be utilized for an in depth analysis of an LGUs state of local governance, its development administration program and institutional capacity. In addition to LGPMS and SCALOG, the formulation of a capacity development agenda also takes into consideration results of other tools that may be used to assess organizational competencies and enrich the results in undertaking SCALOG. The range of tools, when utilized together, will be beneficial to the local governments

in determining capacity development priorities Assessing organizational competencies is a crucial aspect in the process of formulating an LGU short term plan such as an ELA. Thus, this guidebook is also an important and useful material in the context of local development planning, specifically in formulating a CDP or an ELA, which provides the strategic basis for identifying priority capacity development agenda. In particular, this guidebook supports the section on Determining Capacity Development Needs for Plan Implementation or Step 6 in the ELA process. The Capacity Development Agenda will help define the necessary capacity requirements for effective and efficient implementation of the priority LGU programs and projects.

This learning tool is primarily designed for Local Government Operations Officers LGOOs of the DILG at the regional, provincial, city and municipal levels as they play the role of knowledge brokers and facilitators of capacity development in local governance and as they engage in coaching local governments for improved performance. The samples cases illustrated in this Guidebook are actual results of the process undertaken by an LGU and for purposes of this Guidebook is labeled as LGU XYZ (located in Region 3).

Capacity Development: A New Perspective

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

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Capacity Development Defined What is capacity and capacity development?

It is important to better understand capacity development to contextualize Capacity Development Planning in local governance. The evolving definition of capacity development includes the following: Capacity development is any system, effort or process which includes among its major objectives strengthening the capability of elected chief executive officers, chief administrative officers, department and agency heads and programme manager in general purpose government to plan, implement, manage or evaluate policies, strategies or programs designed to impact on social conditions in the community. (Cohen, 1993).

Capacity strengthening is an ongoing process by which people and systems, operating within dynamic contexts, enhance their abilities to develop and implement strategies in pursuit of their objectives for (Lusthaus et al. for IDRC, 1995). Capacity building is any support that strengthens an institutions ability to effectively and efficiently design, implement and evaluate development activities according to its mission (UNICEF Namibia, 1996). Capacity building is a process by which individuals, groups, institutions, organizations and societies enhance their abilities to identify and meet development challenges in a sustainable manner. (CIDA, 1996)

Development: 2 Capacity A New Perspective

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Capacity development is a process by which individuals groups, organizations, institutions and societies increase their abilities to perform functions, solve problems and achieve objectives; to understand and deal with their development need in a broader context and in a sustainable manner (UNDP, 1997) Capacity development is a concept which is broader than organizational development since it includes an emphasis on the overall system, environment or context within which individuals, organizations and societies operate and interact (and not simply a single organization). (UNDP, 1998)

Capacity is the combination of people, institutions and practices that permits countries to reach their development goals Capacity building is... investment in human capital, institutions and practices (World Bank, 1998) Capacity is a condition of a system that emerges out of a combination of attributes. It refers to collective capabilities to act and survive, generate development results, relate, adapt and selfrenew, and achieve coherence (Peter Morgan, European Center for Development Policy Management (EDPM) May 2006) Capacity is the power to perform tasks and produce output, to

define and solve problems, and make informed choices (Real Lavergne, CIDA)

In its culminating publication Trekking the Good Local Governance Terrain: The LGSP Capacity Development Way, the Philippines-Canada Local Government Support Program Phase II (LGSP II), the flagship governance program of the Canadian International Development Agency (CIDA) from 2000-2006, offers the view of capacity development as a complex, holistic process that takes place at different levels of the system in a web of interconnectedness. It describes an open system with the local governance stakeholder terrain at the individual, organizational and institutional levels.

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New Ways of Thinking on Capacity Development*

According to LGSP II, capacity development promotes excellence in local governance by enhancing the ability of people to improve processes, maximize opportunities, harness and manage resources, and develop potential for sustainable growth1 New ways of thinking on capacity development has expanded beyond staff training to include the development of public organizations and the enabling environment, apart from building individual capacities and developing leadership capacities in local governance.

Element
Change Unit Method Design Basis Emphasis Analysis Intervention Beneficiaries Expertise Scope Principle

Old
Individual Build knowledge and skills Individual Needs Learners Abilities Strengths and Weaknesses Series of Activities Beneficiary Participation Externel solutions Organization Specific Consultation

New
Individual, Organization and System Apply knowledge and skills Organizational and System Priorities Learning Environment Performance and Results Change process Beneficiary ownership Local solutions Sector Specific Coordination and Collaboration

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

For more comprehensive information on the LGSP Capacity Development Framework, CD strategies that worked, lessons learned and results, see enclosed CD on Trekking the Good Local Governance Terrain: The LGSP Capacity Development Way.

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

Development: 2 Capacity A New Perspective

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

apacity Development becomes strategic if it is based on a

strategic plan of an LGU such as a Comprehensive Development Plan (CDP) or an Executive and Legislative Agenda (ELA). Any effort to improve LGU capacity should be geared towards contributing to the attainment of its development objectives and goals.2

The development of a gender responsive and competency-based LGU Capacity Development Agenda aims to: Define the necessary capacity requirements for a gender responsive, effective and efficient implementation of the priority LGU programs and projects Help rationalize and strategically focus capacity development efforts of the LGU Provide DILG/LGA and other local governance stakeholders with necessary information that will facilitate delivery of necessary technical assistance and support to LGUs Facilitate knowledge capital planning and build- up in the LGU and the DILG Local Governance Resource Center, providing a responsive, efficient and accessible environment for addressing LGU knowledge and capacity requirements

A Capacity Development Agenda outlines the capacity development strategies, programs and initiatives that need to be undertaken to address identified organizational competency gaps, indicating the target groups, specific recommended approaches, resources required and timeline.

Maria Concepcion Pabalan, et al. How to Formulate an Executive and Legislative Agenda for Local Governance and Development: Facilitators Guide, Philippines-Canada Local Government Support Program, 2004, Manila, Philippines.

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In undertaking the process of capacity development planning and in formulating a capacity development agenda, it is important to take into consideration the following principles: Maximize the utilization of appropriate performance management and institutional competency assessment tools Do not limit analysis with the use of one tool or process. Correlate and validate results with other competency assessment tools for a more in-depth and accurate analysis. Mainstream gender and participatory governance processes in capacity development planning. SCALOG integrates participatory processes such as dialogues, consultations and consensusbuilding in identifying

organizational strengths and weaknesses of LGUs. The use of GeRL Ka Ba?, alongside SCALOG, as a capacity development selfassessment tool allows for a systematic integration of gender in the Capacity Development Agenda. Include all five (5) LGPMS and SCALOG Performance Areas in Capacity Development Planning. All fourteen (14) Service Areas under the five (5) Performance Areas should be assessed. A Capacity Development Agenda may include all performance and service areas, including both areas of strengths and weaknesses. The CD Agenda will be good for three years, aligned with the LGUs short term plan such as the ELA and will also be the basis for the annual priorities of the LGU as articulated in the annual investment plan. Integration and Convergence are important in Capacity Development Planning. Capacity Development planning and formulation of the CD Agenda is not to be taken separately from other institutionalized

Development: 2 Capacity A New Perspective

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Figure 5
local governance programs such as LGPMS, ELA,GO-FAR and Local Governance Knowledge Management. Integration is key in the process of developing a meaningful and relevant Capacity Development Agenda for improved performance of an LGU. Disjointed plans will most likely lead to waste of resources and problematic governance and development results. Build consensus among development partners in defining the kind and extent of capacity development It is important in capacity development planning to determine the answers to the following questions: What capacity is needed by whom and for what purpose? How will the capacities be developed and exercised over time?

Knowledge Management and Capacity Development Planning

LG Excellence

Learn and Innovate

Evaluate
ELA Report Back CD Agenda M/E

Create
Knowledge Providers (LGU, NGA, Experts, Practitioners)
LGPMS SCALOG

Knowledge Brokers DILG, LGOOs, LGA

Utilize
CDP-ELA CD Agenda

Share
Knowledge Users (LGU, Citizens, NGOs, CSOs)
SLGR

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

A
1 2 3 4

s facilitators of capacity development in local governance, the DILG Local Government Operations Officers (LGOOs) play a central role in the formulation of a Capacity Development Agenda for local governments. The following are important considerations for LGOOs in order to maximize their role effectively in undertaking and facilitating the process:

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


management and planning systems, processes and tools such as LGPMS, CDP, ELA, LGU Organizational Competency Assessment, CBMS and Gerl Ka Ba?

LGOOs must be well versed with problem analysis tools such as Problem Tree,
Objective Tree, Fishbone and Force Field Analysis among others and able to undertake and facilitate data analysis and validation

LGOOs must have a solid grasp of capacity development and its emerging
principles and strategies as applied to local governance Take the lead in facilitating the preparatory steps for the conduct of the Capacity Development (CD) Planning and Agenda Formulation.

Development: 2 Capacity A New Perspective

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This includes the following important tasks: Organization of the LGU Technical Working Group (TWG) responsible for the CD Planning and Agenda Formulation Data management, which requires that relevant and up-to-date data for the process is available, secured and validated Completion of SCALOG process

5 6 7

Facilitate the actual conduct of the CD Planning and Agenda Formulation

LGOOs may act as the facilitator in some cases or as a coach to the LGU Technical Working Group when it takes the lead in conducting the process
Ensure that a debriefing takes place with the LGU Technical Working Group (TWG) at the end of the process to validate results. Facilitate the dissemination of the LGU Capacity Development Agenda as appropriate within the LGU and to external partners, such as the Local Governance Resource Center LGRC.

7 Steps in Capacity Development Agenda Formulation

To be prepared is half the victory.


Miguel de Cervantes

9 Steps in Capacity Development Agenda Formulation

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Before You Start!


The following are prerequisites in undertaking the 7 steps: 1. The LGU should have completed their: o State of Local Governance Report (SLGR) as an output of the Local Governance Performance Management System (LGPMS) tool. o SCALOG: LGU Organizational Competency Assessment result with the LGU Organizational Competency Profile as an output. 2. It may also help to make readily on hand results of other performance assessment tools (e.g. CBMS, GeRL Ka ba?) as the information they offer may be crucial in successfully completing the process. 3. An LGU Technical Working Group (TWG) has been organized and oriented with the new ways of thinking on Capacity Development. Together with the MLGOO, they should also have with a solid grasp of the result of these assessment tools. 4. The Comprehensive Development Plan (CDP) Executive and Legislative Agenda (ELA) must also be reviewed as the CapDev Agenda represents the Institutional Capacity Sector of the CDP-ELA.
Some considerations in organizing the members of an LGU Technical Working Group : LCE to issue an Executive Order creating the LGU Technical Working Group preferably composed of the following: o Head of Human Resource Department, as Capacity Development Agenda Focal Person and Head of the TWG; City/Municipal Planning Development Coordinator, as LGPMS and SCALOG Focal Person ; City/Municipal Administrator Other Department Heads ELA Coordinator

o o o

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There is no one way to formulate a CD Agenda. The following are suggested steps with corresponding tools in conducting Capacity Development Planning and Agenda Formulation.

7 Steps in Capacity Development Agenda Formulation Step

Determine the Current Situation

Closely review the LGU Organizational Competency Profile (Appendix B of SCALOG-LOCA) and compare results with the indicators for consistency. It is important that the data entered herein is validated. Focus on the list of competency strengths and gaps as summarized in the LGU Organizational Competency Profile. Form No. 1 as illustrated, indicates the list of competency strengths and gaps per competency area. Form 1: Organizational Assessment Result ORGANIZATIONAL ASSESSMENT RESULT Municipality XY

Competency Assessment Result (7 competency areas) Service Areas High competency


Note: High Competency - 3.5 - 5.0 Low Competency - 1.0 - 3.49

Low Competency
Customer Service The LGU streamlines its peace, security and disaster preparedness services in terms of reduction in: 3.4.7.2.1 processing/transaction time 3.4.7.2.2 number of requirements 3.4.7.2.3 number of signatories 3.4.7.2.4 number of steps The LGU solicits feedback from its clients regarding its services through informal means (e.g., spontaneous feedback from clients, interviews and other methods that are unstructured or done randomly) Participation Lesser participation of the community in planning, project implementation, monitoring & evaluation.

SOCIAL GOVERNANCE Peace, Security and Disaster Preparedness

Organization & staffing Legislative & other enabling mec Transparency Mngt. System

7 Steps in Capacity Development Agenda Formulation

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Step 2

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

The intention in undertaking this step is to establish the consistency of SCALOG results with other analysis. It should be noted that the LGU Capacity Development Agenda is an integral part of the ExecutiveLegislative Agenda. This undertaking should have considered the following Calendar in administering assessment tools and instruments and the formulation of the plan: LGPMS Data Gathering and Analysis Presentation of LGPMS Result SCALOG Administration and Analysis ELA Preparation Steps 1-5 - January to end of February - on or before March 31 - April - July to August

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

Form No. 2 Performance Index

LOCAL GOVERNANCE PERFORMANCE MANAGEMENT SYSTEM (LGPMS) Result MUNICIPALITY XY

Form No. 2 illustrates the performance gaps as captured under the Local Governance Performance Management System and describes the factors affecting low performance.

Service Areas
SOCIAL GOVERNANCE Peace, Security and Disaster Preparedness

Performance Rating

Performance Index (Adjectival Rating)

Factors Affecting Performance


Partial functionality of POC POC does not meet as often as necessary

3.60

Fair

Lesser quality of IACPSP Partial participation in IAPSP formulation Partial participation in IASCP formulation No M & E for IAPSP

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Form No. 3 correlates existing CDP-ELA sectoral objectives vis--vis performance areas/ service areas

Form No. 3 CDP-ELA Objectives

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

ELA Devt. Goals/Objectives Performance Areas /Service Areas Goals (Performance Areas) Sectoral objectives (Service Areas)

SOCIAL SERVICES Peace, Security & Disaster Prep.

A peaceful and safe community

7 Steps in Capacity Development Agenda Formulation

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

Form No. 4 establishes relationships and provides for the complementation of the results of the different tools and processes to enrich the qualitative analysis for each performance area/ service area.

Performance Areas / Service Areas


SOCIAL GOVERNANCE Peace, Security & Disaster Prep.

CDP/ELA (Sectoral Performance Index Objectives (Weak performance areas)


Peaceful and safe community Fair POC does not meet as often as necessary Partial participation in IAPSP formulation Partial participation in IASCP formulation No M & E for IAPSP

Low Competency

Customer Service The LGU streamlines its peace, security and disaster preparedness services in terms of reduction in: 3.4.7.2.1 3.4.7.2.2 3.4.7.2.3 3.4.7.2.4 processing/transaction time number of requirements number of signatories number of steps

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

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Suggested Tool #1

Step

Undertake analysis of the identified problems

PROBLEM ANALYSIS

How to undertake Problem analysis


STEP 1 Identify the problems

Use one or a combination of tools and processes in analyzing the problem/s. The suggested tools are Problem Tree Analysis, Fishbone Analysis, Strength, Weaknesses, Opportunities and Threat (SWOT) Analysis, Alternative Analysis Approach, Participatory Issue Identification, Pairwise Ranking The Problem Tree Analysis is discribed in the suggested tool #1.

Using metacards, list all problems. One card per problem. Formulate each problem as a negative condition.

STEP 2 Establish the cause and effect relationship among the problems identified

From among the listed problems, try & agree on which is the cause & which is the effect.

The convergence point for all the problems identified is referred to as the core problem & becomes the overriding concern that will have to be addressed.

STEP 3 Establish a convergence point/s


Verify the cause and effect relationship and agree on the soundness and completeness of the problem tree.

STEP 4 Review the diagram as a whole.

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

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Suggested Tool # 2
B. Sample Case Using SWOT

Suggested Tool # 3
C. Sample Case Using Fishbone Analysis

How to do a SWOT Step 1 Information collection - In the here and now List all strengths that exist now. Then in turn, list all weaknesses that exist now. Be realistic but avoid modesty! o You can conduct one-on-one interviews. Or get a group together to brainstorm. A bit of both is frequently best. Youll first want to prepare questions that relate to the specific company or product that you are analyzing. Youll find some questions and issues below to get you going. When facilitating a SWOT - search for insight through intelligent questioning and probing

Follow these steps to solve a problem with a Cause and Effect Diagram: 1. Identify the problem: Write down the exact problem you face in detail. Where appropriate identify who is involved, what the problem is, and when and where it occurs. Write the problem in a box on the left hand side of a large sheet of paper. Draw a line across the paper horizontally from the box. This arrangement, looking like the head and spine of a fish, gives you space to develop ideas. 2.Work out the major factors involved: Next identify the factors that may contribute to the problem. Draw lines off the spine for each factor, and label it. These may be people involved with the problem, systems, equipment, materials, external forces, etc. Try to draw out as many possible factors as possible. If you are trying to solve the problem as part of a group, then this may be a good time for some brainstorming. Using the Fish bone analogy, the factors you find can be thought of as the bones of the fish. 3. Identify possible causes:

Step 2 What might be List all opportunities that exist in the future. Opportunities are potential future strengths. Then in turn, list all threats that exist in the future. Threats are potential future weaknesses. Step 3 Plan of action Review your SWOT matrix with a view to creating an action plan to address each of the four areas.

References: http://rapidbi.com/created/SWOTanalysis.html#Definition http://www.mindtools.com/pages/article/newTMC_03.htm http://web2.concordia.ca/Quality/tools/18pairwise.pdf

For each of the factors you considered in stage 2, brainstorm possible causes of the problem that may be related to the factor. Show these as smaller lines coming off the bones of the fish. Where a cause is large or complex, then it may be best to break the it down into sub-causes. Show these as lines coming off each cause line. 4. Analyze your diagram: By this stage you should have a diagram showing all the possible causes of your problem that you can think of. Depending on the complexity and importance of the problem, you can now investigate the most likely causes further. This may involve setting up investigations, carrying out surveys, etc. These will be designed to test whether your assessments are correct.

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Step 4

Formulate the Competency Objectives .

Obejctives are specific measures used to determine whether or not we are successful in achieving a goal. When sitting down to formulate your objectives, it would help to have a very clear idea of what you want to be in the future and what you are going to do to get there. your obejctives therefore should be SMART!

The objective analysis will facilitate the identification of the Core Competency Objective for Capacity Development (CD). Hence, it is strongly suggested that the use of Problem Tree Analysis be undertaken to identify the problems as suggested under the Step 3. What is Objective Analysis? It is a tool to: - describe a situation that would exist after solving a problem or problems - Identify means-ends relationship to meet the objectives - Visualize the relationships in a diagram. See Tool # 2 and follow the process described in steps

S M

Specific Measurable

Not a vague aspiration but a clear description of where you want to be So that you can demonstrate that objective can be achieved Within your control of influence Clearly linked to the resources needed to get you where you want to be Deadline!

A R T

Achievable Resourced Time-bounded

9 Steps in Capacity Development Agenda Formulation

46 41

Step 1: Reformulate all


OBJECTIVE ANALYSIS
negative statements in the problem tree into positive statements

Step 2: Form a diagram showing


means-ends relationship in the form of an objective tree.

The process takes off from the problem analysis undertaken earlier (see Suggested Tool #1). Instruct the team to go through the following steps:

Step 3: Reformulate Core


Objective into a Core Competency Objective

Step 4: Reformulate all MEANS


statements into appropriate strategies, and END statements into appropriate goals

Step 5: Add or do away with


strategies as appropriate.

Step 6: Review the diagram as a


whole and verify its validity and completeness.

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

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Developing Core Competency Objective for CD and Strategies Using Objective Analysis
Illustration No: 4 Sample Case Using Objective Tree

Appropriate systems in place that make use of staff time & resources to the maximum & efficiently

Availability of funds to finance development projects

Taxpayers are aware of payment obligations

ENDS Expansion of revenue generation base Citizens have motivation to pay their taxes Establishment of a one-stop shop Willingness of taxpayers to pay

TO DEVELOP A LOCAL REVENUE PLAN WITH AN UPDATED REVENUE CODE

CORE OBJECTIVE

Communication Strategy developed to convince citizens of incentives and benefits of paying taxes The public are informed of their responsibility to pay their taxes

Efficient systems on: -Assessment -Collection -Business registration

Political will to collect taxes

MEANS

LGU system streamlined

Presence of competent staff complement to support tax collection initiatives Financial management system implemented

Tax campaign developed & implemented

LGU has a public service orientation

Penalties are strictly implemented

9 Steps in Capacity Development Agenda Formulation

43

G O A L S

1. 2. 3. 4.

convince citizens that paying taxes will improve the quality of their lives. establish a one-stop shop to enhance local revenue generation. strengthen citizenship in the area of revenue generation in local governance. expand the local revenue generation base and identify traditional & non traditional sources of income. 5. To ensure that local revenue are allotted for development oriented & enhanced service delivery programs & projects.

To To To To

Tips - Add new strategies if there are relevant ones that come up during the discussion and would be necessary to achieve an objective at a higher level - Delete strategies that do not seem to be necessary as a result of the discussion

Core Competency Objective for CD

ENHANCE LGU CAPACITY TO STRENGTHEN LOCAL REVENUE GENERATION

STREAMLINING OF LGU SYSTEM S T R A T E G I E S INDIVIDUAL -Build capacity of staff to provide appropriate support to tax collection initiative ORGANIZATION -Develop & implement systems in place in terms of assessment, collection, & business registration SYSTEM / INSTITUTIONAL -Formulate & implement local policies, i.e. Executive Order on streamlining and implementation of incentives and penalties.

BUILD CAPACITY OF LGU STAFF IN DEVELOPING THE LOCAL REVENUE PLAN DEVELOPMENT OF A COMMUNICATION STRATEGY aimed at: Increasing awareness of citizens and LGU leaders on the benefits of paying taxes (External & Internal buy in) Developing a public service orientation of LGU (Internal buy in) Strengthening citizenship & public participation

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Step 5

Prioritize gaps for Capacity Development intervention.

Reconcile Core Competency Objective for CD with the priority development agenda and capacity development requirements as stated in the LGU SLGR, if available. Also refer to the LGU CDP-ELA and list the CDP-ELA priorities per performance area, if available.

Key Questions to Ask!


. Are the capacity development requirements identified in the SLGR consistent with the Core Competency Objective for Capacity Development? Are the identified core competency objective/s for CD aligned with the thrust of improving the state of local governance of the LGU? Would addressing the competency gaps contribute in accomplishing the priority program, projects and activities of the LGU as articulated in the CDP-ELA? Would efforts to address the competency gaps potentially lead to institutionalizing change in the LGU?

This step is crucial and its purpose is to establish the link of the identified competency gaps with the priority development agenda of the LGU.

9 Steps in Capacity Development Agenda Formulation

45 50

Matrix

Validation Matrix LGU XYZ LGU Priority Development Agenda, CDP-ELA Goals and Priorities and Core Competency Objective for Capacity Development

Local Governance Performance Areas

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

CDP- ELA Priorities

Core Competency Objective for Capacity Development (Step 7)

Governance Administration Revenue Generation Enhance tax collection efficiency and Revenue Generation Activities improve the citys coffers computerize payment and tax collection system invest in local economic revenue generating enterpriseUpdate the Local revenue Code conduct tax mapping operations to establish the tax base and identify additional taxable properties and businesses expand economic activities covered by a new tax scheme offer better incentives to prospective investors Update the Revenue Code Develop traditional and non traditional sources of revenue Enhance LGU capacity to strengthen local revenue generation

Service Delivery Economic Development Environmental Management

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Step 6

Develop the Capacity Development Agenda

6.4. Prioritize the capacity development initiatives as High, Medium and Low to indicate which one should be implemented first

6.1 Organize the Capacity Development Agenda according to Local Governance Performance Areas 6.2 Indicate Core Competency Objective for CD 6.3 Identify specific and appropriate capacity development strategy/approach/initiative that needs to be taken to meet the specific objective. At this point, review results of Step 7- Objective Analysis - and look closely at the identified means to be able to meet the objectives. This section will provide ideas on specific and appropriate capacity development strategies and approaches

Core Competency Objective for CD and corresponding initiatives that are aligned with the Priority Development Agenda, Capacity Development Requirements identified in the SLGR and CDP-ELA priorities should be marked as high in the priority list. Review Matrix 1.

6.5. Identify target outcomes or milestones that would be the basis for monitoring and evaluation of the results of implementing the CD Agenda. 6.6. Identify target individual, divisions, systems, structures and policies that should be primarily involved in and/or should be addressed by the proposed capacity development initiatives. These may also include specific structures, systems and/or processes that may be influenced by the capacity development agenda and process

Remember, capacity development is NOT just about training or staff development and may involve a whole range of strategies and approaches e.g. learning by doing, peer to peer mentoring, work place learning , on-site coaching among others.

9 Steps in Capacity Development Agenda Formulation

47 52

6.7. Assign specific roles and responsibilities to achieve the capacity objectives and targets 6.8. Indicate target deadline for the completion of each capacity development initiative 6.9. Draw up realistic resource requirements and indicate funding sources, if able to identify.

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

6.10. Identify potential sources of support or technical assistance. For example, the Local Governance Resource Centers may be tapped to facilitate specific capacity development initiatives. Similarly, national agencies, academia or NGOs may be harnessed. It would be helpful if the plan will indicate these potential sources of assistance.

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Remember, capacity development is NOT just about training or staff development and may involve a whole range of strategies and approaches e.g. learning by doing, peer to peer mentoring, work place learning, on-site coaching among others. This is how a CapDev Agenda Looks like:

Performance Areas / Service Areas

Competency Objectives

Capacity Development Responses (Strategies/ Approaches/P/P/As)

EXPECTED OUTPUT

TARGET BENEFICIARIES

Level of Priority

Funding Requirement Time Frame 2010 2011 2012 Source of Office Respon Support/ Technical sible Assistance

No.

Type

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Step

Monitor Progress of the plan and make necessary adjustments

1. Keep track of the progress of the milestones in the agenda and document factors that helped or hindered the achievement of the milestones. 2. Prepare regular status report of implementation of the capacity development initiatives, strategies or approaches. 3. Adjust the plan based on the findings of the regular monitoring being conducted.

Taking Up the Challenge to Institutionalize Change

The best way to predict the future is to create it


Peter Drucker

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or any local capacity development initiative to be strategic and effective, it is imperative for it to be based on the strategic plan of an LGU. Efforts to enhance LGU capacities for improved performance should be aligned with the LGU development goals and priorities. Conversely, LGU plans and priorities should be supported by organizational and institutional competencies for its successful implementation. Here lies the challenge of capacity development planning. Given its crucial place in the local development management process, it should be prioritized and integrated meaningfully and systematically in local development planning. At present, capacity development planning is a less prioritized task in many LGUs. Issues around time and resources tend to set capacity development aside. Moreover, the view of capacity development as limited to training removes the creativity from the process and tends to marginalize the whole range of CD strategies. Promoting the culture of learning in pursuit of good local governance entails the need to address organizational and institutional competency gaps. LGUs should not ignore or deny any shortcomings. Rather, the opportunity to build a culture of self-assessment could not be more real and possible than now. Capacity development planning as a knowledge process is a way to improving LGU performance. It is important for an LGU to prioritize vis--vis a whole gamut of programs and projects when formulating a CD Agenda. For example, the Core Competency Objectives for Capacity Development that align with LGPMS results and CDP-ELA priorities must be high in the list of priorities. Moreover, the CD Agenda may also address areas that would help sustain a particular performance area and make it even better. What would it take to sustain effective systems and make them even more responsive? How can it be institutionalized? The Local Government Operations Officers (LGOOs) play a pivotal role in promoting a culture of learning and selfassessment in local governance. The key is to understand what it takes to broker the knowledge created and made available so that LGUs may be able to use it effectively to address their own needs and priorities. Knowledge capital build-up or organizing the relevant data, information and knowledge needed to respond to the LGU CD Agenda is a key result of capacity development planning. The LGOO is in the best position to facilitate this process in coordination with the DILG Local Governance Resource Center. LGOOs have within their reach a wealth of tools and strategies that would support LGUs craft a gender responsive Capacity Development Agenda. One must not want to institutionalize change. One must choose to.