(2010 Revised Edition)

(2010 Revised Edition)

Contents Foreword

Preface

Acronyms

13
1 Managing Knowledge for Improved
Performance in Local Governance

2 Capacity Development : A New Perspective 25

7 Steps in Capacity Development 35

3 Agenda Formulation

4 Taking Up the Challenge to 59

Institutionalize Change

Annex in a CD
 CBMS Community Based Monitoring System
Acronyms CD Capacity Development
CDP-ELA Comprehensive Development Plan- Executive and Legislative Agenda
CIDA Canadian International Development Agency
CLUP Comprehensive Land Use Plan
DILG Department of the Interior and Local Government
GeRL Ka Ba? Gender Responsive LGU Ka Ba?
KCO Knowledge Centric Organization
KM Knowledge Management
LGA Local Government Academy
LGOOs Local Government Operations Officers
LGPMS Local Governance Performance Management System
LGRC Local Governance Resource Center
LGNRC National Local Governance National Resource Center
LGSP II Philippines-Canada Local Government Support Program Phase II
LGU Local Government Unit
SCALOG Systems on Competency Assessment for Local Governments
SLGR State of Local Governance Report
TWG Technical Working Group
UNDP United Nations Development Programme
Managing Knowledge for Improved Performance
in Local Governance

1 Nan et ipsa scientia potestas est.

Knowledge is power

Oscar Sir Francis Bacon

10
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 organization’s explicit and tacit
knowledge in a systematic manner to achieve
organizational goals.
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
is therefore also about connecting those who
know with those who need to know.
KM offers a direction for organization to:
- manage information and
knowledge that it knows it
already has
- manage knowledge that it
does not yet know that it has
- create new knowledge or
innovate
What is the value of
managing knowledge in
promoting excellence in
local governance?
One of the key principles in good
governance is promoting a culture of self-
assessment for improved local government
management and performance. The local
governance sector should increasingly have
 Managing Knowledge for Improved
1 Performance in Local Governance 11

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

the capacity to learn from itself and Situational

Analysis
harness the incremental lessons learned
for more effective, efficient and
responsive governance. And knowledge,
when created, shared, applied and M/E Knowledge Planning
used, has a far-reaching influence in
developing a culture of learning in local
governance. Policy Development
Programming
Implementation Budgeting
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
Participation Performance Partnership
knowledge in order to strategically
address competency gaps and
organizational weaknesses so that
improved capacity is able to input or
lead to strengthened LGU
For a more comprehensive information on knowledge management
performance. in local governance, refer to the Annex with CD version of
Communities that Learn! A Local Governance Knowledge
Management Framework.
12
DILG and LGA as Knowledge-Centric Organizations:
Synergy, Convergence and Innovation
he support of the Department of the
T 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
1 Performance in Local Governance 13

Figure 2 Convergence in DILG Operations*

knowledge and people are recognized Values

Culture of Performance Strategic Functions
for the value of their own contributions Participatory Processes Performance Management
Strategic Leadership
Performance
and encouraged to share and utilize Policy & LGU Oversight
Management Partnership &
knowledge. With KM as a strategy, DILG Resource
is building convergence and synergy in Management
CULTURE OF
its operations to maximize its PERFORMANCE
contribution to the local government QUALITY
SERVICES
sector. Figure 2 illustrates how the DELIVERY INNOVATION
notion of KM is central to DILG & LEARNING
PARTICIPATORY
operations as well as how many DILG LEADERSHIP
PROCESSES
functions and programs
relate to each other
and can be situated in Partnerships Policy & LGU
a yearly cycle of inter- & Resource Oversight Key Contributions
Programs Excellence in Local
dependence. Management
LGU Performance Management
STRONG Governance
Capacity Development
ENABLING Innovation and Learning
Replication
Quality and Effective Service Delivery
Advocacy & Public Education ENVIRONMENT Strengthened Local Governance
Development Planning
Enabling Environment
Local Governance Resource Center

*SOURCE: Philippines-Canada Local Government Support Program Phase II (LGSP II), Sustaining the
Gains of LGSP’s Support to the DILG and Partners, August 2006, Pasig City, Philippines
14
In keeping with the thrust to build
convergence in its operations, DILG
developed an integrative strategy in its
various program designed to building
capacities of local governments for
improved performance.
The 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
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:
1 Assessment of LGU Performance and
Institutional Competencies
2 Crafting of the Executive and
Legislative Agenda
3 Provision of Capacity Development
Initiatives via the DILG Local
Governance Resource Centers
4 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
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
 Managing Knowledge for Improved
1 Performance in Local Governance 15

Figure 3 LGU Capacity Development

DILG Integrative Strategy

DILG Training Programs LGPMS, CBMS,

Other NGA Initiated Programs SCALOG,
Accredited Training Programs GeRL Ka Ba?
Overseas Assistance Development Programs Assessment of LGU
Performance Other tools
and
Institutional
Competencies

SLGR
LGU
Competency Preparation
Provision of Profile
Capacity of the
Development Executive-
Intervention Legislative
Agenda
LGRC ELA
CD
AGENDA

CDP Review ELA Coaching

16

Locating the DILG Local Government Operations Officers

(LGOOs) in Knowledge Management

A 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 DILG’s role as a primary catalyst, knowledge
broker and facilitator of capacity development towards
excellence in local governance.
 Managing Knowledge for Improved
1 Performance in Local Governance 17

Figure 4 Knowledge Management in DILG

LG
Excellence

Learn and Innovate

Evaluate Knowledge Providers Create

(LGU, NGA, Experts, Practitioners)

Knowledge Brokers
DILG, LGOOs, LGA

Utilize Share
Knowledge Users
(LGU, Citizens, NGOs, CSOs)
18

About the Guidebook: A Knowledge Tool in Capacity Development Planning

T his Guidebook is a simple, step-by-

step 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.

This tool is a companion piece of the
SCALOG Manual and the Manual on Local
Planning Process: Focus on the CDP and
ELA. The steps in this guidebook take off
from the SCALOG process and results,
which are informed and guided by the
LGPMS. LGPMS and SCALOG provide useful
data and information that can be utilized
for an in depth analysis of an LGU’s state
of local governance, its development
administration program and institutional
capacity.
In addition to LGPMS and SCALOG, the
formulation of a capacity development
agenda also takes into consideration
results of other tools that may be used to
assess organizational competencies and
enrich the results in undertaking SCALOG.
The range of tools, when utilized together,
will be beneficial to the local governments
1 Performance in Local Governance
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.
Managing Knowledge for Improved
19
This learning tool is primarily
designed for Local Government
Operations Officers LGOOs of the
DILG at the regional, provincial, city
and municipal levels as they play the
role of knowledge brokers and
facilitators of capacity development
in local governance and as they
engage in coaching local governments
for improved performance.
The samples cases illustrated in this
Guidebook are actual results of the
process undertaken by an LGU and
for purposes of this Guidebook is
labeled as LGU XYZ (located in
Region 3).
Capacity Development: A New Perspective

2 The only way to make sense out of change is to plunge

into it, move with it, and join the dance.

Alan W. Watts
22
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 institution’s ability to
effectively and efficiently design,
implement and evaluate development
activities according to its mission
(UNICEF Namibia, 1996).
· Capacity building is a process by which
individuals, groups, institutions,
organizations and societies enhance
their abilities to identify and meet
development challenges in a
sustainable manner. (CIDA, 1996)

· Capacity development is a process by
which individuals groups,
organizations, institutions and
societies increase their abilities to
perform functions, solve problems
and achieve objectives; to
understand and deal with their
development need in a broader
context and in a sustainable manner”
(UNDP, 1997)
· Capacity development is a concept
which is broader than organizational
development since it includes an
emphasis on the overall system,
environment or context within which
individuals, organizations and
societies operate and interact (and
not simply a single organization).
(UNDP, 1998)
· Capacity is the combination of
people, institutions and practices
that permits countries to reach
their development goals …
Capacity building is... investment
in human capital, institutions and
practices (World Bank, 1998)
· Capacity is a condition of a system
that emerges out of a combination
of attributes. It refers to
collective capabilities to act and
survive, generate development
results, relate, adapt and self-
renew, and achieve coherence
(Peter Morgan, European Center
for Development Policy
Management (EDPM) May 2006)
· Capacity is the power to perform
tasks and produce output, to
2 Capacity Development:
A New Perspective 23
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.
24

New Ways of Thinking on Capacity Development*

According to LGSP II, capacity

Element Old New
development promotes excellence in
local governance by enhancing the ability Change Unit Individual Individual, Organization and System
Method Build knowledge and skills Apply knowledge and skills
of people to improve processes, Design Basis Individual Needs Organizational and System Priorities
maximize opportunities, harness and Emphasis Learner’s Abilities Learning Environment
Analysis Strengths and Weaknesses Performance and Results
manage resources, and develop potential Intervention Series of Activities Change process
for sustainable growth1 Beneficiaries Beneficiary Participation Beneficiary ownership
Expertise Externel solutions Local solutions
Scope Organization Specific Sector Specific
Principle Consultation Coordination and Collaboration
New ways of thinking on capacity
development has expanded beyond
*Source: Trekking for Good Local Governance Terrain: The LGSP Capacity Development Way, The Philippines-Canada
staff training to include the Local Government Support Program Phase II (LGSP II), 2006, Pasig City, Philippines.
development of public organizations
and the enabling environment, apart
from building individual capacities and
developing leadership capacities in
local governance.
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.

1
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.

Why a Capacity Development (CD) Agenda?
Who is it for? What is it for?
C 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
A Capacity Development Agenda outlines
the capacity development strategies,
programs and initiatives that need to be
undertaken to address identified
organizational competency gaps, indicating
the target groups, specific recommended
approaches, resources required and
timeline.
1
Maria Concepcion Pabalan, et al. How to Formulate an Executive and Legislative Agenda for Local
Governance and Development: Facilitator’s Guide, Philippines-Canada Local Government Support
Program, 2004, Manila, Philippines.
2 Capacity Development:
A New Perspective 25
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
26
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:
1
Maximize the utilization of
appropriate performance
management and institutional
3 Include all five (5) LGPMS and SCALOG
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
2 participatory governance
processes in capacity development
planning.
SCALOG integrates participatory
processes such as dialogues,
4 Integration and Convergence are important
consultations and consensus-
building in identifying
organizational strengths and weaknesses of
LGUs. The use of “GeRL Ka Ba?”, alongside
SCALOG, as a capacity development self-
assessment tool allows for a systematic
integration of gender in the Capacity
Development Agenda.
Performance Areas in Capacity Development
Planning.
All fourteen (14) Service Areas under the
five (5) Performance Areas should be
assessed. A Capacity Development Agenda
may include all performance and service
areas, including both areas of strengths and
weaknesses. The CD Agenda will be good for
three years, aligned with the LGU’s short
term plan such as the ELA and will also be
the basis for the annual priorities of the LGU
as articulated in the annual investment plan.
in Capacity Development Planning.
Capacity Development planning and
formulation of the CD Agenda is not to be
taken separately from other institutionalized
 2 Capacity Development:
A New Perspective 27

Figure 5 Knowledge Management and Capacity Development Planning

local governance programs such as

LGPMS, ELA,GO-FAR and Local
Governance Knowledge Management. LG
Integration is key in the process of Excellence
developing a meaningful and relevant
Capacity Development Agenda for
Learn and Innovate
improved performance of an LGU.
Disjointed plans will most likely lead
to waste of resources and problematic Create
governance and development results. Evaluate Knowledge Providers LGPMS
Build consensus among development
ELA Report Back (LGU, NGA, Experts, Practitioners) SCALOG

5 partners in defining the kind and

extent of capacity development
CD Agenda M/E

It is important in capacity
development planning to determine Knowledge Brokers
the answers to the following DILG, LGOOs, LGA
questions:

What capacity is needed by whom Utilize

and for what purpose?
Share
CDP-ELA
CD Agenda SLGR
Knowledge Users
How will the capacities be developed (LGU, Citizens, NGOs, CSOs)
and exercised over time?
28

The Role of DILG Local Government Operations Officers in

Capacity Development Planning

A 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

1 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,
2 Objective Tree, Fishbone and Force Field Analysis among others and able to
undertake and facilitate data analysis and validation

3 LGOOs must have a solid grasp of capacity development and its emerging
principles and strategies as applied to local governance

4 Take the lead in facilitating the preparatory steps for the conduct of the
Capacity Development (CD) Planning and Agenda Formulation.
 2 Capacity Development:
A New Perspective 29

This includes the following important tasks:

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

5 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

6 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

7 within the LGU and to external partners, such as the Local Governance Resource Center
LGRC.
7 Steps in Capacity Development Agenda Formulation

3 To be prepared is half the victory.

Miguel de Cervantes
 9 Steps in Capacity Development
3 Agenda Formulation 33

Before You Start!

The following are prerequisites in undertaking the 7 steps:

1. The LGU should have completed their: Some considerations in organizing the
o State of Local Governance Report (SLGR) as an members of an LGU Technical Working
Group :
output of the Local Governance Performance
Management System (LGPMS) tool. LCE to issue an Executive Order
o SCALOG: LGU Organizational Competency creating the LGU Technical Working
Assessment result with the LGU Organizational Group preferably composed of the
following:
Competency Profile as an output.
o Head of Human Resource
2. It may also help to make readily on hand results of other Department, as Capacity
performance assessment tools (e.g. CBMS, GeRL Ka ba?) as the Development Agenda
Focal Person and Head of
information they offer may be crucial in successfully completing the the TWG;
process. o City/Municipal Planning
Development
3. An LGU Technical Working Group (TWG) has been organized and Coordinator, as LGPMS
and SCALOG Focal Person ;
oriented with the new ways of thinking on Capacity Development. o City/Municipal
Together with the MLGOO, they should also have with a solid grasp Administrator
of the result of these assessment tools. o Other Department Heads
o ELA Coordinator
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.
 34

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 1 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 Low Competency

SOCIAL GOVERNANCE Organization & staffing Customer Service

Note: Peace, Security and Disaster The LGU streamlines its peace, security and disaster preparedness
High Competency Legislative & other services in terms of reduction in:
Preparedness enabling mec 3.4.7.2.1 processing/transaction time
- 3.5 - 5.0
Low Competency Transparency 3.4.7.2.2 number of requirements
- 1.0 - 3.49 Mngt. System 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.
 7 Steps in Capacity Development
3 Agenda Formulation 35

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 Executive-
Legislative 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 - January to end of February

• Presentation of LGPMS Result - on or before March 31
• SCALOG Administration and Analysis - April
• ELA Preparation Steps 1-5 - July to August
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 Form No. 2 illustrates the performance

Performance Index gaps as captured under the Local
Governance Performance Management
System and describes the factors
LOCAL GOVERNANCE PERFORMANCE MANAGEMENT SYSTEM (LGPMS) Result affecting low performance.
MUNICIPALITY XY

Performance
Service Areas Performance Index (Adjectival Factors Affecting Performance
Rating Rating)
SOCIAL GOVERNANCE Partial functionality of POC
Peace, Security and POC does not meet as often as necessary
Disaster Preparedness
Lesser quality of IACPSP
3.60 Fair Partial participation in IAPSP formulation
Partial participation in IASCP formulation
No M & E for IAPSP
36

Form No. 3 correlates existing

CDP-ELA sectoral objectives
vis-à-vis performance areas/
service areas

Form No. 3
CDP-ELA Objectives

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

MUNICIPALITY XY

ELA Dev’t. Goals/Objectives

Performance Areas /Service Areas
Goals (Performance Areas) Sectoral objectives (Service Areas)

SOCIAL SERVICES A peaceful and safe community

Peace, Security & Disaster Prep.
 7 Steps in Capacity Development
3 Agenda Formulation 37

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

CDP-ELA-LGPMS-SCALOG COMPLMENTATION
MUNICIPALITY XY

Performance Areas / CDP/ELA (Sectoral Performance Index Low Competency

Service Areas Objectives (Weak performance areas)

Customer Service
SOCIAL GOVERNANCE Peaceful and Fair
Peace, Security & Disaster Prep. safe community
The LGU streamlines its peace, security and
POC does not meet as often as
disaster preparedness services in terms of
necessary
reduction in:
Partial participation in IAPSP
formulation 3.4.7.2.1 processing/transaction time
3.4.7.2.2 number of requirements
Partial participation in IASCP 3.4.7.2.3 number of signatories
formulation 3.4.7.2.4 number of steps

No M & E for IAPSP

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.
38

Suggested Tool #1
PROBLEM ANALYSIS How to undertake Problem analysis
Step 3 Undertake analysis of the
identified problems
STEP 1
Identify the
Using “metacards,”
list all problems. One problems
card per problem.
Use one or a combination of Formulate each
tools and processes in analyzing problem as a
negative condition. STEP 2 From among
the problem/s. The suggested Establish the cause and the listed
tools are Problem Tree Analysis, effect relationship problems, try
Fishbone Analysis, Strength, among the problems
& agree on
Weaknesses, Opportunities and which is the
identified cause &
Threat (SWOT) Analysis, which is the
Alternative Analysis Approach, effect.
Participatory Issue STEP 3
Identification, Pairwise Ranking The convergence point Establish a
for all the problems
identified is referred
convergence
The Problem Tree Analysis is point/s
to as the “core
discribed in the suggested problem” & becomes
tool #1. the Verify the cause and
overriding concern
STEP 4 effect relationship
that will have to be and agree on the
addressed. Review the
soundness and
diagram as completeness of the
a whole. problem tree.

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


Suggested Tool # 2
B. Sample Case Using SWOT
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.
o You’ll first want to prepare questions that relate
to the specific company or product that you are
analyzing. You’ll find some questions and issues
below to get you going.
o When facilitating a SWOT - search for insight
through intelligent questioning and probing
· 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
39
Suggested Tool # 3
C. Sample Case Using Fishbone Analysis
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 arrange-
ment, 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:
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.
40

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 objec-
tives, it would help to have a very clear idea
of what you want to be in the future and
what you are going to do to get there. your
obejctives therefore should be SMART!
What is Objective Analysis?
It is a tool to:
S Specific Not a vague aspiration but a clear
description of where you want to be
M Measurable So that you can demonstrate that
objective can be achieved
A Achievable Within your control of influence
R Resourced Clearly linked to the resources needed
to get you where you want to be
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.
- 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

T Time-bounded Deadline!
 9 Steps in Capacity Development
3 Agenda Formulation 46
41

Step 1: Reformulate all

OBJECTIVE ANALYSIS
The process takes off
from the problem
analysis undertaken
earlier (see Suggested
Tool #1). Instruct the
team to go through the
following steps:
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.
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.
42

Developing Core Competency Objective for CD and Strategies Using Objective Analysis

Illustration No: 4
Sample Case Using Objective Tree
Appropriate systems in Availability of Taxpayers are
place that make use of funds to aware of
staff time & resources to finance payment
the maximum & development obligations
efficiently projects
ENDS

Expansion of Citizens have Establishment

revenue of a one-stop Willingness of
motivation to
generation shop taxpayers to pay
pay their taxes
base

TO DEVELOP A LOCAL REVENUE PLAN CORE OBJECTIVE

WITH AN UPDATED REVENUE CODE

Communication Strategy Efficient systems on:

developed to convince -Assessment Political will to
citizens of incentives and -Collection collect taxes
benefits of paying taxes -Business registration

The public are informed Presence of competent

MEANS LGU system staff complement to
of their responsibility to
streamlined support tax collection
pay their taxes
initiatives
Financial
Tax campaign LGU has Penalties are management
developed & a public service strictly system
implemented orientation implemented
implemented
 9 Steps in Capacity Development
3 Agenda Formulation 43

1. To
convince citizens that paying taxes will improve the quality of their lives.
2. To
establish a one-stop shop to enhance local revenue generation.
Tips
G 3. To
strengthen citizenship in the area of revenue generation in local governance.
O 4. To
expand the local revenue generation base and identify traditional & non traditional sources - Add new strategies
of income.
A if there are relevant
L 5. To ensure that local revenue are allotted for development oriented & enhanced service
S delivery programs & projects. ones that come up
during the
discussion and
would be
Core Competency ENHANCE LGU CAPACITY TO STRENGTHEN
LOCAL REVENUE GENERATION necessary to
Objective for CD
achieve an
objective at a
STREAMLINING OF LGU SYSTEM higher level
S BUILD CAPACITY
T INDIVIDUAL OF LGU STAFF IN DEVELOPING THE LOCAL
R -Build capacity of staff to provide REVENUE PLAN - Delete strategies
A appropriate support to tax collection that do not seem to
T initiative
E ORGANIZATION
DEVELOPMENT OF A COMMUNICATION be necessary
G STRATEGY aimed at: as a result of the
-Develop & implement systems in place in
I Increasing awareness of citizens and LGU
terms of assessment, collection, &
leaders on the benefits of paying taxes
discussion
E business registration
S (External & Internal buy in)
SYSTEM / INSTITUTIONAL
Developing a public service orientation of LGU
-Formulate & implement local policies,
(Internal buy in)
i.e. Executive Order on streamlining and
Strengthening citizenship & public participation
implementation of incentives and
penalties.
44
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.
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.
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?
 9 Steps in Capacity Development
3 Agenda Formulation 45
50

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

LGU Priority Development

Local Governance CDP- ELA Core Competency Objective for
Agenda as stated in the SLGR
Performance Areas Priorities Capacity Development (Step 7)
(Outcomes/Outputs)

Governance

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

Service Delivery prospective investors

Economic
Development

Environmental
Management
46
Step 6 Develop the Capacity Development Agenda
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
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.
6.4. Prioritize the capacity development
initiatives as High, Medium and Low to
indicate which one should be implemented
first
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
 9 Steps in Capacity Development
3 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.
 48

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 Capacity TARGET BENEFICIARIES Funding Requirement

Development EXPECTED Level
Areas / Competency Time Office Source of
Responses OUTPUT of Frame
Service Objectives Respon Support/
(Strategies/ Ap- Priority sible Technical
Areas proaches/P/P/As) No. Type 2010 2011 2012 Assistance
 49

Step 7 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

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

Peter Drucker
52

F 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-à-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 self-
assessment 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.