BENGUET STATE UNIVERSITY

Open University
La Trinidad, Benguet Province
LEARNING MODULES

Prepared by: Peter M. Cosalan - 11-16-12

MODULE 1. Review and Clarification of Commonly used Concepts in Community

Development and Governance

 The community
 The nature and types of communities
 The concept of development
 The concept of community development as ―empowerment‖ of communities
 The concept policies
 The concept of governance
 The Roles of Policy in the Governance of Constitutional Democratic Societies

The basic meaning of key concepts. [To be fully clarified by the students’ reading of related
literature]

 Community - A group of interactive people, more or less numerous, sharing common

interests and culture.
 Development - A change process or movement from one state of being to another state.
 Community development - Planned change towards ―significantly better‖ conditions of
the people or members of a community.
 Policy - Guidelines for action.
 Governance –The exercise of authority for the maintenance of order in society or in
communities.
Exercise I.

Using the suggested analytical tool in the syllabus, write your analysis on the
concept “community as a system”. Find out first the meaning of the concept of
a “system,” its elements & dynamics, and relate these to the “community as a
system”.

The Community – [From Wikipedia, the free encyclopedia]

―The term community has two distinct commutive meanings: 1) Community usually
refers to a social unit larger than a small village that shares common values. The term can
also refer to the national community or international community, and, 2) in biology, a
community is a group of interacting living organisms sharing a populated environment. A
community is a group or society, helping each other.

In human communities, intent, belief, resources, preferences, needs, risks, and a number
of other conditions may be present and common, affecting the identity of the participants
and their degree of cohesiveness.

Since the advent of the Internet, the concept of community has less geographical
limitation, as people can now gather virtually in an online community and share common
interests regardless of physical location. Prior to the internet, virtual communities (like
social or academic organizations) were far more limited by the constraints of available
communication and transportation technologies.
The word "community" is derived from the Old French communité which is derived from
the Latin communitas (cum, "with/together" + munus, "gift"), a broad term for fellowship
or organized society.‖

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 ―German sociologist Ferdinand Tönnies distinguished between two types of human
association: Gemeinschaft (usually translated as "community") and Gesellschaft
("society" or "association"). In his 1887 work, Gemeinschaft und Gesellschaft, Tönnies
argued that Gemeinschaft is perceived to be a tighter and more cohesive social entity, due
to the presence of a "unity of will."[2] He added that family and kinship were the perfect
expressions of Gemeinschaft, but that other shared characteristics, such as place or belief,
could also result in Gemeinschaft. This paradigm of communal networks and shared
social understanding has been applied to multiple cultures in many places throughout
history.[3] Gesellschaft, on the other hand, is a group in which the individuals who make
up that group are motivated to take part in the group purely by self-interest. He also
proposed that in the real world, no group was either pure Gemeinschaft or pure
Gesellschaft, but, rather, a mixture of the two will do. )

GLOBAL COMMUNITY
\\\\\\\or clarification

People Of Human
interactive commonbeings
interests onculture
earth
Examples of human communities:

global regional nation/state provincial/city municipality/town barrio/sitio

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\

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 Exercise 2.

Explain in your own words the meaning of each of these concepts and through
specific examples, explain their inter-relationships with each other;
Community, development, policy, & governance

Nature and types of communities

 Urban” as against “rural”

 “city” as in ―ciudad‖ against provincial as in ―provincia‖
 “poblacion” or town center against ―barrio‖ or outskirts/countryside
 “Industrial” as against ―agricultural”
 progressive” as against ―backwards
 developed‖ as against ―underdeveloped underdeveloping
 “Highland” as against “lowland”

Exercise 3.

Study the “Other classifications of Communities” and discuss briefly the

major factors that differentiate each type of community from the other.

Suggested perspectives: Communities vary in terms of economic, socio-cultural,

physico-geographic, environmental, or any combination of these factors Discover
the major differentiating factor[s] of the listed types of communities.

The Concept of Development: Its General nature & Objectives

Development is any change process or movement or it can also be used to denote the
product of the change process. The change can be positive or for the better but it can also be a
negative change or movement towards deterioration or degradation.

Community Development is planned change for ―greatly better‖ or significantly

improved quality of life and choices of the people/community The change should be planned to
lead to continuing and:
1. greatly better, or significantly improved quality of life,
2. significantly improved choices among the people, and
3. increased capabilities of the community members for self-determination and self-
governance.

The perspectives and objectives of ―development‖ vary according to time, change agents, and
their priorities. An example of this can be found in the United Nations perspectives on development as
written in the United Nations Intellectual History Project ▪ Ralph Bunche Institute for
International Studies ▪ The CUNY Graduate Center ▪ www.UNhistory.org retrieved from:
http://www.unhistory.org/briefing/8HumDev.pdf

“The UN and Human Development

The vision of ―putting people at the centre of development‖ has long been a theme of the
United Nations, but one whose priority and practical importance has waxed and waned.
The Preamble of the UN Charter referred to the dignity and worth of the human person,
equal rights of men and women, and the need to promote social progress and better
standards of living in larger freedom. Human goals were embodied from the beginning in
the articles of association of several of the UN‘s specialized agencies. Notwithstanding
these ambitions, the UN for many years failed to develop an integrated intellectual
framework for a human centered approach to economic and social development.

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The first time that an operational and intellectually coherent vision of a people-focused
development strategy emerged was in the 1970s, when the ILO World Employment
Programme developed a strategy for meeting basic needs. This strategy emerged from
careful analyses at country level of problems of employment, poverty, and inequality in a
dozen or more countries. Comprehensive employment strategy missions visited
Colombia, Sri Lanka, Kenya, the Philippines, Sudan, and other countries, while their
conclusions were generalized by an ambitious research program. This led to the
preparation of a synthesis of required actions that became embodied in Employment,
Growth and Basic Needs: A One World Problem, the basic document submitted to the
1976 ILO World Employment Conference.

After that conference, the basic needs strategy surged to global attention. Meeting basic
needs or basic human needs became the dominant development priority, capturing the
attention of donors and winning the support of World Bank president Robert McNamara
and others in positions of international leadership.

In spite of this early and rapid rise to prominence, the basic needs strategy disappeared
from the political scene within five years. Its demise in the early 1980s was the result of a
return to economic orthodoxy, which was driven by three factors: the rise of Thatcherism
and Reaganism in developed countries, the onset of world recession, and banking policies
designed to ensure that developing countries repaid their debts.

Structural adjustment dominated economic policymaking in Latin America and Africa

during the 1980s and much of the 1990s. Structural adjustment priorities became a
condition for receiving support from the Bretton Woods institutions but were also
reinforced by donors who coordinated their own support around these policies.

In 1990, partly in response to this inhospitable environment, the UNDP launched the first
annual Human Development Report (HDR), which promoted a comprehensive vision of a
people-focused strategy as an alternative to neoliberal analysis and policy. The reports of
the series brought the concept of human development to worldwide attention and gave it
economic breadth and philosophical depth. They also attracted exceptional media
attention, in both developed and developing countries. In addition to presenting a new
paradigm for economic and social development, successive reports expounded the
approach in relation to key areas: inequality, public finance, participation, gender,
economic growth, globalization, technology, culture, human rights, and other domains.

Within a year or two, many individual countries began producing their own human
development reports, applying the paradigm to their own national problems and policies.
By now, well over 600 such national Human Development Reports have been produced
in some 140 countries. In addition, a number of regional Human Development Reports
have been issued, most notably four outspoken reports for the Arab region and a series of
annual regional reports for South Asia prepared by the Mahbub ul Haq Human
Development Centre in Islamabad.

Numerous books and articles about human development have also appeared, and the
Journal of Human Development has been published regularly since 2000. The
International Association for Human Development and Capabilities now has a
membership approaching a thousand members in some seventy countries that explores a
broad range of development issues and undertakes research.

What is Human Development?

Human development was formally defined in the first Human Development Report as ―a
process of enlarging people‘s choices. The most critical of these wide-ranging choices are
to live a long and healthy life, to be educated and to have access to resources needed for a
decent standard of living. Additional choices include political freedom, guaranteed
human rights and personal self-respect‖ (1).

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 In later reports and in work outside the UN, the concept has been refined and elaborated.
For example, human development as a paradigm now emphasizes broadening choices and
strengthening capabilities, based on conceptual and analytical work by Nobel laureate
Amartya Sen and Martha Nussbaum, among many others.

In explaining capabilities, Sen has stressed the contrast between the great things that
human beings can achieve and the limited lives most women and men end up having.
This tension is a starting point for the human development approach, which, in his
―Foreword‖ to Sakiko Fukuda-Parr and A.K. Shiva Kumar‘s edited volume Readings in
Human Development (2003), he underlines, ―draws on the magnificence of human
potentiality amidst the widespread experience of narrowly circumscribed lives. Lack of
schooling, meager healthcare, inadequate economic opportunities, violation of political
liberties, denial of civil rights, other hostile winds can totally frustrate human beings
despite their potential to ‗ascend on the wings‘‖ (vii).

An important contrast is thus between economic prosperity and human development—

between economic achievements measured by GNP per capita and human achievements
measured by a range of human indicators. Although there is a weak correlation between
the two, the data shows that many developing countries do poorly on many social and
human rights indicators in spite of achieving reasonable rates of economic growth—and
vice versa. Countries can make significant progress in human development even with
slow economic growth, at least for a decade or so.

Notwithstanding such evidence, the pursuit of economic growth is typically taken as the
central goal of economic policymaking. In contrast, the human development approach
concentrates on people-focused objectives and emphasizes that economic and political
actions should be treated as means to these human ends, not as ends in themselves.

Indicators of Human development

To draw attention to these ends, the Human Development Report now uses four key
indicators:
• HDI, the Human Development Index: a summary of human development in a country
that measures the average achievements of people along three dimensions: living a long
and healthy life, as measured by life expectancy at birth; being knowledgeable, as
measured by a combination of the adult literacy rate and the combined enrollment ratio in
primary, secondary, and tertiary education; and having access to a decent standard of
living, as measured by an index of income per capita (GDP measured in PPP US$ to
achieve international comparability).

• GDI, the Gender-related Development Index: an indicator that adjusts the average HDI
achievement to reflect inequalities between men and women along the three basic
dimensions.
• GEM, the Gender Empowerment Measure: an indicator that focuses on the
opportunities open to women. It measures inequality of opportunities in three areas:
political participation and decision making; economic participation and decision making;
and power over economic resources.

• HPI, the Human Poverty Index: an index that measures deprivations along the basic
dimensions of human development. It combines the proportion of people in a country
expected to die at a relatively early age (40 years in developing countries,60 years in
developed countries); illiteracy; and poor access to the overall economic resources
needed for a decent standard of living.

Human development indices were one of the innovations of the reports; they deliberately
shifted attention from an exclusive preoccupation with economic indicators such as GNP

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 per capita to human indicators. Although aspects of these indicators can be criticized—as
can all composite indicators—Mahbub ul Haq‘s justification, as noted by Sen in his
special contribution to the Human Development Report 1999, is worth quoting: ―We need
a measure of the same level of vulgarity as GNP—just one number—but a measure that
is not as blind to social aspects of human lives as GNP is‖ (23).

Exercise 4.
Explain fully from your readings on community development what each of these
concepts mean.
 planned change
 significantly improved quality of life of the people in the community.
 significantly improved choices of the people in their quality of life;
 ―Better quality of life‖ of the people; and
 Greater capabilities for self-determination and self-governance.

The Concept of Development as “people empowerment”.

One must always think of communities as groups of people or human beings interacting
with each other, and are a component of their respective ecosystems. And, according to
Wikipedia, the free encyclopedia:

―An ecosystem is a community of living organisms (plants, animals and microbes) in

conjunction with the nonliving components of their environment (things like air, water
and mineral soil), interacting as a system. These components are regarded as linked
together through nutrient cycles and energy flows. As ecosystems are defined by the
network of interactions among organisms, and between organisms and their environment,
they can come in any size but usually encompass specific, limited spaces (although it is
sometimes said that the entire planet is an ecosystem).‖

In these interaction processes, the human organisms‘ [people] in an ecosystem do not

only interact among themselves but also interact with the other elements of the ecosystem, so
much so that the human beings‘ behavior largely influence their environment and the
environment largely influence the human organisms‘ [peoples‘] behavior.

Since the human beings of an ecosystem are the ―rational‖ component, they are likely to
initiate much of the interactions that will bring changes to the ecosystem or their environment
rather than the other components of an ecosystem. The human beings in an ecosystem develop
through time, via their ―rationality‖, certain values, norms, beliefs, practices, customs, and social
behaviors attuned to the circumstances prevalent in their environment, - a ―way of life‖ which
sociologists call ―culture‖.

The members [people] of a community can be expected to be attached to their culture or

―ways of life‖, since, for them, these have stood the ―tests of usage through time‖ or tested to be
useful through generations of their predecessors. Innovations or new ways of doing things may
then be suspect. And here lies the challenge to the ―development process‖.

The attainment of “significantly improved quality of life‖ of these groups of human

beings called communities through the ―development‖ process, starts from this point of
departure or reference point – the peoples‘ extant culture, or their particular ―level of
development” to be meaningful. Annihilating a people‘s culture or way of life and their
environment and replacing their culture with a new one with irreparable damage to their
environment is not development. It is just annihilation. While such innovations may have
obvious short term impact, they have no sustainability; no long term value.

To prevent annihilation of a people and ensure sustainable development with long term
value, the ―development process‖ must be undertaken with the full participation of the members

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of these communities towards the attainment of significant improvements in the ―quality of their
ways of life.” The ―development process‖ must aim to ensure that these significant
improvements in the peoples‘ quality of life will continue and be sustained by and through the
efforts of the community members themselves with their own leaders, judiciously employing the
resources extant in their respective environments and resources they are able to source out from
other ecosystems.

The ―development process” must then be one of ―education‖ or ―people empowerment‖,

with the ultimate goal of ensuring that at the end of the development, processes: the human
elements [people] of the ecosystem are capable of managing development in their own
community towards continuously improving quality of life and choices for themselves and
their future generations.

The specific objectives of the ―development process‖ in this context, will be: members
of the community possessing and using, relevant knowledge, skills, and attitudes or
underlying values [KSV] that will ensure their effective management of their own development
towards continuously improving quality of life and choices for themselves and their future
generations – an empowered community.

The Concepts of Policy

The general well-being of the people, their growth and development can not prosper in a
disorderly environment. There has to be some degree of organization and order for these conditions to
prevail.

Historical accounts show that human beings from primitive times had organization, and
maintained order within their groups with rulers and subjects, or leaders/officials and
followers/constituents. In modern times, instruments for rationalizing such organization and
maintaining order in communities/society, were invented and are known as ―policy” &
―governance”.

Policies and Governance are the necessary instruments for the maintenance of order in
communities or in society.

Public Policies in the form of laws, ordinances, EO, AO etc. are guides to action for all
members of society. Both the rulers & subjects, leaders or officials & their followers or
constituents in their communities are duty-bound to abide by their policies.

Policies, like those contained in the Constitution of a constitutional nation-state, define

the objectives, the structures or organization, and the processes of Governance, and describes the
implementing agency, i.e. the government, and its powers, and the limitations of such powers.

Examples of policy instruments & formats:

 The Constitution for constitutional nations/states
 Laws or statutes for nation-states
 Ordinances -for provinces, cities, municipalities, & barangays
 Executive Order – for executive departments
 Administrative Orders – for exec. departments
o Memoranda/circulars, etc.
 Decrees or royal orders for monarchs
 Unwritten customary laws of Indigenous Peoples
 Cannon laws & Doctrines for Religious Communities or Societies

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 Exercise 5.

Explain fully from your readings on community development how policies can
cause the planned change for “greatly better” or significantly improved quality
of life and choices of the people.
Suggested perspectives: Review your readings on the meaning, objectives/roles of
policy in community governance and development and relate these to the goals
and aspirations of the people/communities.

The Concept of Governance

Governance is the ―manner of government‖ or the exercise of power vested in

government or a ruler for the maintenance of order in communities or in society. It is also
defined as the ―act or state of governing a place.‖ [Wikipedia, free encyclopedia]

Governance is the ―authority‖ exercised by governments, rulers or duly constituted

authorities in communities or society to promote & protect the general welfare of the people or
community members.

Governance is defined or determined by policy. The ―manner of government‖, ―The act

or state of governing a place,‖ the exercise of ―authority‖ is all defined by ―policy.‖

Policy & Governance Systems vary according to the types of communities. The nature of
the society or the type of community determines the nature of the objectives, and the operational
structures & processes for policy-making and governance.

Monarchic societies, Religious Communities, Indigenous Peoples Communities, etc.

are examples of types of societies or communities classified according to their nature.

Exercise 6.

Explain fully the differences in the nature of:

 a monarchic community/society from a democratic community;

 a religious community/society from any non-sectarian or regular community;
and
 Indigenous peoples/indigenous cultural communities from mainstream
communities.
Suggested perspectives:
Read up on the nature of these types of communities particularly noting their
objectives, structures or the relationships between the leaders/rulers and their
constituents, and the nature and source of policies in each of these societies. Also
identify and describe their policy making & implementing structures and processes.

The Roles of Policy in the Governance of Constitutional Democratic Societies

The constitution of democratic societies state the goals & objectives of the people, the
structures, processes, and the powers & limitations of government, the structures & processes for
formulating laws and implementing policies, and the structures and processes for monitoring
policy implementation such that development and the common well-being of the members of the
society are promoted and protected [Suggested reading: 1987 Philippine Constitution for
Citizens of the Philippines, Constitution of any Republican State for non-Philippine Citizens]]

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 Exercise 7.

From your reading of the [1987 Philippine] Constitution:

 State the goals & objectives of the [Filipino] People according to this
constitution;
 Describe in general and illustrate the structure of governance of the [Filipino]
national community;
 Describe in general the processes in the governance of the [Filipino] people;
 State in general terms the limitations set by the Constitution on the exercise of
the powers of government.
It is said that the Constitution itself embodies Policy, what then do you understand as the
general objective of policy?

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MODULE II. Theory and Practice in Community Development Policy Formulation,
Implementation, and Monitoring

A. Nature and objectives of Community Development policy

B. Policy formulation structures & processes,
C. Policy implementation and
D. Policy Monitoring [PBMES]
E. The Theory, Policy Issues, and Challenges in Democratic Republics

A. The Nature & Objectives of Community Development Policy

1. A community development policy is a public policy which is described as:

A principle that no person or government official can legally perform an act that tends to
injure the public.‖
Public policy manifests the common sense and common conscience of the citizens as a
whole that extends throughout the state and is applied to matters of public health, safety,
and welfare. It is general, well-settled public opinion relating to the duties of citizens to
their fellow citizens. It imports something that fluctuates with the changing economic
needs, social customs, and moral aspirations of the people. Public policy enters into, and
influences, the enactment, execution, and interpretation of legislation.‖ [legal-
dictionary.thefreedictionary.com/Public+Policy]

2. Public Policies have a hierarchy.

Example: Within Constitutional Democratic Communities

 Laws, Statutes – Enabling laws enacted by legislative bodies, &

 Juridical Law generated by the appellate Judicial bodies.
 Executive Orders & Administrative Orders – promulgated by duly authorized
executives or administrators.
 Implementing Rules & Regulations – promulgated for policy, programs, or
projects implementation.
 Ordinances – enacted by local government units, i.e. provinces/cities,
municipalities, barangays

3. Public Policy has Development Objectives

Example: [For the Philippine Nation-state]

―We, the sovereign Filipino people, imploring the aid of Almighty God, in order to
build a just and humane society, and establish a Government that shall embody our
ideals and aspirations, promote the common good, conserve and develop our
patrimony, and secure to ourselves and our posterity, the blessings of independence
and democracy under the rule of law and a regime of truth, justice, freedom, love,
equality, and peace, do ordain and promulgate this Constitution.‖ [Preamble, 1987
Philippine Constitution]

4. Public Policies contain both Development and Governance Objectives.

Example 1.
“Article II. Declaration of Principles and State Policies in the 1987 Philippine
Constitution.
Section 1. The Philippines is a democratic and republican State. Sovereignty
resides in the people and all government authority emanates from them.
Section 2. The Philippines renounces war as an instrument of national policy,
adopts the generally accepted principles of international law as part of the

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 law of the land and adheres to the policy of peace, equality, justice,
freedom, cooperation, and amity with all nations.
Section 3. Civilian authority is, at all times, supreme over the military. The
Armed Forces of the Philippines is the protector of the people and the
State. Its goal is to secure the sovereignty of the State and the integrity of
the national territory.
Section 4. The prime duty of the Government is to serve and protect the
people. The Government may call upon the people to defend the State
and, in the fulfillment thereof, all citizens may be required, under
conditions provided by law, to render personal, military or civil service.
Section 5. The maintenance of peace and order, the protection of life, liberty,
and property, and promotion of the general welfare are essential for the
enjoyment by all the people of the blessings of democracy.
Section 6. The separation of Church and State shall be inviolable.
Section 7. The State shall pursue an independent foreign policy. In its
relations with other states, the paramount consideration shall be national
sovereignty, territorial integrity, national interest, and the right to self-
determination.
Section 8. The Philippines, consistent with the national interest, adopts and
pursue Section 9. The State shall promote a just and dynamic social order
that will ensure the prosperity and independence of the nation and free the
people from poverty through policies that provide adequate social
services, promote full employment, a rising standard of living, and an
improved quality of life for all.
Section 11. The State values the dignity of every human person and
guarantees full respect for human rights.
Section 12. The State recognizes the sanctity of family life and shall protect
and strengthen the family as a basic autonomous social institution. It shall
equally protect the life of the mother and the life of the unborn from
conception. The natural and primary right and duty of parents in the
rearing of the youth for civic efficiency and the development of moral
character shall receive the support of the Government.
Section 13. The State recognizes the vital role of the youth in nation-building
and shall promote and protect their physical, moral, spiritual, intellectual,
and social well-being. It shall inculcate in the youth patriotism and
nationalism, and encourage their involvement in public and civic affairs.
Section 14. The State recognizes the role of women in nation-building, and
shall ensure the fundamental equality before the law of women and men.
Section 15. The State shall protect and promote the right to health of the
people and instill health consciousness among them.
Section 16. The State shall protect and advance the right of the people to a
balanced and healthful ecology in accord with the rhythm and harmony of
nature.
Section 17. The State shall give priority to education, science and technology,
arts, culture, and sports to foster patriotism and nationalism, accelerate
social progress, and promote total human liberation and development.
Section 18. The State affirms labor as a primary social economic force. It shall
protect the rights of workers and promote their welfare.
Section 19. The State shall develop a self-reliant and independent national
economy effectively controlled by Filipino.

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 Section 20. The State recognizes the indispensable role of the private sector,
encourages private enterprise, and provides incentives to needed
investments.
Section 21. The State shall promote comprehensive rural development and
agrarian reform.
Section 22. The State recognizes and promotes the rights of indigenous
cultural communities within the framework of national unity and
development.
Section 23. The State shall encourage non-governmental, community-based,
or sectoral organizations that promote the welfare of the nation.
Section 24. The State recognizes the vital role of communication and
information in nation-building.
Section 25. The State shall ensure the autonomy of local governments.es a
policy of freedom from nuclear weapons in its territory.
Section 26. The State shall guarantee equal access to opportunities for public
service and prohibit political dynasties as may be defined by law.
Section 27. The State shall maintain honesty and integrity in the public service
and take positive and effective measures against graft and corruption.
Section 28. Subject to reasonable conditions prescribed by law, the State
adopts and implements a policy of full public disclosure of all its
transactions involving public interest.

Example 2. Policy objectives in a Law [Local Government Code, RA 7160]

― Section 2. Declaration of Policy. - (a) It is hereby declared the policy of the

State that the territorial and political subdivisions of the State shall enjoy
genuine and meaningful local autonomy to enable them to attain their
fullest development as self-reliant communities and make them more
effective partners in the attainment of national goals. Toward this end, the
State shall provide for a more responsive and accountable local government
structure instituted through a system of decentralization whereby local
government units shall be given more powers, authority, responsibilities, and
resources. The process of decentralization shall proceed from the national
government to the local government units.
(b) It is also the policy of the State to ensure the accountability of local
government units through the institution of effective mechanisms of recall,
initiative and referendum.
(c) It is likewise the policy of the State to require all national agencies and offices
to conduct periodic consultations with appropriate local government units,
non-governmental and people's organizations, and other concerned sectors of
the community before any project or program is implemented in their
respective jurisdictions.

Section 3. Operative Principles of Decentralization. - The formulation and

implementation of policies and measures on local autonomy shall be guided
by the following operative principles:
a) There shall be an effective allocation among the different local government
units of their respective powers, functions, responsibilities, and resources;

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 b) There shall be established in every local government unit an accountable,
efficient, and dynamic organizational structure and operating mechanism that
will meet the priority needs and service requirements of its communities;
Provinces with respect to component cities and municipalities, and cities and
municipalities with respect to component Barangays, shall ensure that the
acts of their component units are within the scope of their prescribed powers
and functions:
e) Local government units may group themselves, consolidate or coordinate their
efforts, services, and resources for purposes commonly beneficial to them;
f) The capabilities of local government units, especially the municipalities and
Barangays, shall be enhanced by providing them with opportunities to
participate actively in the implementation of national programs and projects;
g) There shall be a continuing mechanism to enhance local autonomy not only
by legislative enabling acts but also by administrative and organizational
reforms;
h) Local government units shall share with the national government the
responsibility in the management and maintenance of ecological balance
within their territorial jurisdiction, subject to the provisions of this Code
and national policies;‖

Example 3. Policy objective embodied in an Executive Order

Executive Order No. 777 February 28, 1982, Office of the President,
Philippines
―Sec. 1. Declaration of Policy. The state shall guarantee and promote the
autonomy of local government units, especially the barangay, to ensure their
fullest development as self-reliant communities. For this purpose, the national
government shall provide the administrative machinery and leadership which
shall foster the establishment of progressive and responsible local governments.‖

Exercise 8
From the foregoing examples and your readings on policies, explain
fully the objectives and critical roles of policy in governance. Use the
suggested tool of analysis.

By identifying the objective of each policy, you should be able to find the
relevance and role of the policy in governance. Identify as many policy
objectives as you can which will lead you to the identity and appreciation
of the multi-dimensional concerns of public policy.

B. Policy Formulation Structures and Processes

Studies of social scientists show that all human communities, whether primitive or
modern, have some organized system of policy formulation and implementation and
therefore, a system of governance. Religious and monarchic societies, indigenous cultural
communities, have policy formulating and implementing systems that vary according to the
nature of the community.

1. Policy Formulation in a Monarchy: the Parliament – an evolution in Policy

formulation structures and its processes
Some erstwhile monarchic nation-states or communities have adopted democratic
structures and processes for policy formulation and governance. England, Spain, and Japan
for example, that were ruled by Kings or emperors, whose words were the Law of the land,

14
sometimes influenced only by favored advisers in the royal court who recommended policies,
have evolved into ―parliamentary monarchies‖. They now have democratically elected
parliaments for the purposes of policy formulation and sets of cabinet ministers in Parliament
for policy implementation.

In the United Kingdom, consisting of England, Scotland, and Ireland, the present
Parliament evolved from the initial Parliament of England as the legislature of the Kingdom
of England only, which was introduced in 1066 by its King, William of Normandy. This
original policy-making body came about when King William instituted a royal council
consisting of ―tenants-in-chief‖ and ―ecclesiastics‖ whom he consulted before promulgating
the laws. Since 1215, after the reign of King William, initial restrictions in the powers of the
monarchs, i.e. that the king may not levy or collect any taxes without the consent of his royal
council, greatly increased and the royal council metamorphosed into the present day
Parliament of the United Kingdom. Over the centuries, the supremacy of parliament became
institutionalized and the limited executive authority of the modern constitutional monarch
became a reality in the United Kingdom.
[http://en.wikipedia.org/wiki/Parliament_of_England#The_emergence_of_parliament_as_an
_institution]

In the case of Spain, the present constitutional monarchy was adopted only recently,
in December 1978.
[http://countrystudies.us/spain/76.htmhttp://countrystudies.us/spain/76.htm]

Exercise 9
Read in detail the evolution of the parliament of a mature democratic nation-
state such as the United Kingdom. Describe in your own words this
community’s policy-making and governance system. Trace briefly the evolution
of its parliament and using the tool for analysis suggested at the outset of this
course, describe the United Kingdom’s policy-making and governance through
a parliamentary system.

Bear in mind that by definition, aside from having a ―boundary‖ a system

possesses all the three attributes namely: purpose[s], structure, and processes and
it interacts with elements in its environment.

2. The Policy Formulation in Republican States

In the colonized Asian communities or nation-states, like the Philippines, Japan,

Korea, Taiwan, South Vietnam etc., the evolution of viable democratic policy-making
institutions and organs of governance based on the models introduced by these nations‘
colonial masters, appear to be in disparate stages.
If their rise to pre-colonial levels of organization and productivity were taken as
indicators, Japan which became a constitutional monarchy in 1890 with the Miiji
Constitution, a Liberal Democracy with the 1947 Constitution, and gained independence in
1952, among the colonized Asian nation-states, appears to have successfully adapted to a
democratic model of policy-making and governance. And by the same indicators, South
Korea [1953] and Taiwan [1949] are not far behind Japan.
On the other hand, the other nation-states like the Philippines [1946] appear to be still
grappling with post-colonial adjustments in their policy formulation and governance systems
so that their growth and development are impeded.

“Section 1. The Philippines is a democratic and republican State. Sovereignty

resides in the people and all government authority emanates from them.”
[Source: Art. II. Declaration of Principles and State Policies. Philippine Constitution]

15
 In theory ―democracy‖ means ―government by the people‖ or ―Sovereignty resides in the
people and government authority emanates from them.‖ [http://www.merriam-
webster.com/dictionary/democracy] In the words of then US President Abraham Lincoln,
―Democracy‖ means ―government of the people, by the people and for the people‖.

On the other hand, a ―republican state‖ refers to a community where the powers of
government is ―exercised by elected officers and representatives responsible to‖ the people who
elected them and who govern ―according to law‖ or the policies formulated by the policy-making
body duly sanctioned by that community. [http://www.merriam-
webster.com/dictionary/republic]

These theoretically defined ideals of ―democracy‖ and the ―republican state‖ however,
are in practice, greatly vitiated by the extant ―cultures‖ or ―the sets of shared attitudes, values,
goals, and practices that characterizes‖ the communities where these are put into operation.
The effectiveness of democratic and republican structures and processes of policy
formulation and governance, in attaining the desired ―common good‖ of their respective
communities, depends greatly upon the subject community‘s collective perception of the
meaning of the concepts ―democracy‖ and a ―republican state‖ and backed up by their political
will to adhere by them.

Cases of Deviation from the democratic ideal in policy formulation. In communities

where the members are uninitiated in democratic principles, or being knowledgeable of these,
but do not have the political will to stand by these principles, policy-making and the republican
system of governance tend to fail. Dominant groups, particularly, those who have vast resources
and also strong organizations, are likely to arise and control the policy-making and governance
systems.

When this happens, the meaning of ―democracy‖ deteriorates into ―sovereignty resides in
the people who are in control” and the republican state‘s powers of government will be
exercised by elected officers and representatives responsible to the dominant groups that brought
about their election or appointment as officers and representatives of the people.

If these above-stated circumstances were further compounded by widespread disunity

among the members of the community, the public policy objective of attaining the ―common
good‖ gets substituted by those in power to a policy of attaining the ―common good‖ of those in
control of government.

The continuing tragic failure of nation-states, like the Philippines, to achieve their growth
and development targets, could perhaps be avoided if the policy objectives and governance
system embodied in their liberal democratic Constitution were adhered to by those exercising the
powers of government.

Admittedly, the best policies, the appropriate governance structures and the ideal
processes that could lead to a progressive community, which are usually clearly spelled out in the
community‘s Constitution and other laws, will obviously necessarily fail to attain the desired
―common good‖ of the ―people‖.

In the particular case of the Philippines, the reported evidences of serious graft and
corruption in government offices including the judiciary, and the recent actual conviction by the
courts of highly placed officials, however, show a prevalent moral bankruptcy in the national
community which in part accounts for the lack of growth and development in this nation-state
which history shows is among the first to gain independent status [1946] from the colonizers,
among the nation-states in Asia.

16
 Exercise 10

Read up on the policy-making and implementing structures and processes of

developing liberal democratic Republican communities or nation-states and
describe these, using the analytical tool suggested at the beginning of the
course.

1. The National Policy-making in the Republic of the Philippines. Article VI of

the 1987 Philippine Constitution provides for a bicameral national legislative body or
congress with a senate of twenty four [24] members and a house of representatives of not
more than two hundred fifty [250] members. The senators are elected at large while the
representatives are elected by their respective congressional districts.

This Congress or national policy-making body is mandated to promulgate laws that

will implement the principles and policies of the State contained in the Constitution. These
laws [RAs], being the implementing instruments of the Constitutional provisions, are crafted
to specify the practical application of each principle, policy, or provision of the Constitution
and are called enabling laws. Or simply national laws, also known as Republic Acts. [RA]\

When there is doubt as to whether or not the enabling law [RA] passed by Congress
faithfully implements the ―letter and spirit‖ of the provisions of the Constitution or the
principle or policy that this law [RA] seeks to implement, and the question is brought before
the Supreme Court, the decision of the court and its interpretation of the law in question,
becomes a part of the law of the land – it is known as a Judicial law. Any law or parts
thereof that the Supreme Court rejects on the basis of its non-conformity with the provisions
of the Constitution – [policies, principles or mandates] is considered ―unconstitutional‖ or
not valid.

2. The Regional & Sub-Regional Policy-making in the Philippines. Article X of

the 1987 Philippine Constitution provides thus:
―Section 1. The territorial and political subdivisions of the Republic of the Philippines
are the provinces, cities, municipalities, and barangays. There shall be
autonomous regions in Muslim Mindanao and the Cordilleras as hereinafter
provided.” [Emphasis & underscoring supplied] and in

―Section 14. The President shall provide for regional development councils or other
similar bodies composed of local government officials, regional heads of departments
and other government offices, and representatives from non-governmental
organizations within the regions for purposes of administrative decentralization to
strengthen the autonomy of the units therein and to accelerate the economic and
social growth and development of the units in the region.” [Emphasis &
underscoring supplied]

These two provisions of the 1987 Constitution represent a radical move to

decentralize the power of policy-making and governance from its current over-centralization
in the nation‘s capital of Manila, and institutionalize and strengthen regional & sub-regional
development policy making and governance in order ―to accelerate the economic and social
growth and development of the units in the region‖ i.e. in the provincial, city, municipal, and
barangay communities, and thereby attain accelerated national growth & development.

The first provision [Sec. 1] defines the sub-regional structures for development
policy-making and governance, [i.e. province, city, municipal, barangay] and provides for
two special regions with autonomous status, for better managerial control over their policy-
making, governance and development. This creation of the two autonomous regions is
obviously in recognition of the need by these two predominantly ―indigenous cultural
communities‖ in the country for greater managerial control over their development so that

17
 these can ―accelerate [their] economic and social growth and development‖ and catch up
with the growth and development in the other regional communities of the Philippines.

It should be noted at this point that whereas, in 1972 when the first ―regions‖ and
―Regional Development Councils” were created, their creation was an options of the
President for more effective administration, and the stated purposes was for ―coordinating
regional development‖ [LOI 22]. In the 1987 Constitution the creation of Regional
Development Councils or similar bodies is a mandate for the President, not only to
―coordinating regional development but ―for purposes of administrative decentralization to
strengthen the autonomy of the units therein and to accelerate the economic and social
growth and development of the units in the region.‖

3. The Policy Formulation Process – a typical process in Republican

Democratic States [How a bill becomes a law in the Philippine Senate.]
a) Filing/Calendaring for First Reading
A bill is filed in the Office of the Secretary where it is given a corresponding number
and calendared for First Reading.
b) First Reading
Its title, bill number, and author‘s name are read on the floor, after which it is referred
to the proper committee.
c) Committee Hearings/Report
Committee conducts hearings and consultation meetings. It then approves the
proposed bill without an amendment, approves it with changes, or recommends
substitution or consolidation with similar bills filed.
d) Calendaring for Second Reading
The Committee Report with its approved bill version is submitted to the Committee on
Rules for calendaring for Second Reading.
e) Second Reading
Bill author delivers sponsorship speech on the floor. Senators engage in debate,
interpellation, turno en contra, and rebuttal to highlight the pros and cons of the bill.
A period of amendments incorporates necessary changes in the bill proposed by the
committee or introduced by the Senators themselves on the floor.
f) Voting on Second Reading
Senators vote on the second reading version of the bill. If approved, the bill is
calendared for third reading.
g) Voting on Third Reading
Printed copies of the bill‘s final version are distributed to the Senators. This time, only
the title of the bill is read on the floor. Nominal voting is held. If passed, the
approved Senate bill is referred to the House of Representatives for concurrence.
h) At the House of Representatives
The Lower Chamber follows the same procedures (First Reading, Second Reading and
Third Reading).
i) Back to the Senate
If the House-approved version is compatible with that of the Senate‘s, the final
version‘s enrolled form is printed. If there are certain differences, a Bicameral
Conference Committee is called to reconcile conflicting provisions of both versions
of the Senate and of the House of Representatives. Conference committee submits
report on the reconciled version of the bill, duly approved by both chambers. The
Senate prints the reconciled version in its enrolled form.
j) Submission to the President
Final enrolled form is submitted to the President. The President either signs it into law,
or vetoes and sends it back to the Senate with veto message.

The basic steps [i.e. first reading, second reading, & third reading with its attendant
purposes], are usually adopted formally as internal rules by the legislative or policy making

18
bodies in all levels of the Philippine administrative system including the Local Government
Units [provincial, city, municipal, and barangay].

Exercise 11

Having read or learned about the Legislative or law making processes in the congress,
describe in detail the legislative process of a local government unit [province, city,
municipality, barangay] of your choice. Include a description of the decision-making
processes of NGOs existing within the LGUs you are studying and note any difference
if any, with the formal processes of government organizations.

Identify the source[s] and objective[s] of the law/policy; and the structure and processes
in the LGUs lawmaking. If you find similarities in the sources & objectives of legislation
and the legislative processes between the Senate and the LGU you have chosen to study,
see to it that you provide substance and detail to each step including possible issues that
arise in each step of the process. In short, provide a critique on the legislation processes
of the LGU.

C. Policy Implementation

1. National Policy implementation in Parliamentary forms Government. –In a

parliamentary form of government like that of the United Kingdom, Japan, Spain etc.,
national policy implementation is a function of the Cabinet of Ministers headed by a Prime
Minister and who are mostly themselves, members of the Parliament or the legislative body.

There is no clear and distinct separation between policy-making [or legislation], and
policy implementation in a parliamentary form of government. Most, if not all, of the
members of the ―Cabinet of Ministers‖ appointed by the Prime Minister, are members of
Parliament. With the Prime Minister as the Chief Executive Officer, this group now becomes
what is known as ―the government‖ that will implement policies and laws.

It is this same ―government‖ that implements or executes the policies or laws and
monitors their performance. A serious lack of performance on the part of the ―government‖
or perceived failure to faithfully implement the program of governance, can lead to a ―vote of
no confidence‖ and the dissolution of ―the government.‖

The consequence of the ―vote of no confidence‖ in the Prime Minister or the

―resignation‖ of the Prime Minister for whatever reason will mean a ―dissolution of
government,‖ which will precipitate an election and the appointment of a new Prime Minister
who will then form his own ―Cabinet of Ministers‖ or another ―government‖ to succeed and
replace the dissolved one.

The ―Government‖ or the Prime Minister with his ―Cabinet of Ministers‖, is

supported by a permanent bureaucracy or secretariat of Crown employees which is called the
―Home Civil Service‖ aka, Her Majesty’s Home Civil Service [HMS], in the implementation
of policies or laws. ―Civil servants are employees of the Crown and not the British
Parliament. Civil servants also have some traditional and statutory responsibilities which to
some extent protect them from being used for the political advantage of the party in power.
Senior civil servants may be called to account to Parliament.‖
[http://en.wikipedia.org/wiki/Her_Majesty%27s_Civil_Service]

A system of regional and local governments supports the implementation of policies

and laws passed by the Parliament of the United Kingdom in their respective jurisdictions.

19
 There is, however no uniform organization of the administrative systems of local
governance in the United Kingdom. Each of the components of the UK is autonomous with
unique political, administrative, & financial systems within their respective jurisdictions.

In England, [distinct from the other components of UK namely: Wales, Northern

Ireland, & Scotland] for example, there are, aside from the national level, five other politico-
geographic subdivisions of government administration, namely: regional level, county level,
district level, and parish level. There are also, aside from these, configurations of ―districts‖
that are administered by what they call ―unitary authorities.‖ These subdivisions have unique
structural characteristics defined by Parliament in policies or laws.

England has since 1994 been subdivided into nine regions. One of these, London, has
an elected Assembly and Mayor, but the others have a relatively minor role, with unelected
boards and Regional Development Agencies due to be abolished in 2012. Below the region
level and excluding London, England has two different patterns of local government in use.
In some areas there is a county council responsible for services such as education, waste
management and strategic planning within a county, with several district councils responsible
for services such as housing, waste collection and local planning. These councils are elected
in separate elections. Some areas have only one level of local government, and these are
dubbed unitary authorities. The City of London and the Isles of Scilly are sui generis
authorities, pre-dating recent reforms of local government.

Unitary authorities of England are areas where a single local authority is responsible
for a variety of services for a district that elsewhere are administered separately by two
councils. [1] Unitary authorities typically allow large towns to have separate local authorities
from the less urbanised parts of their counties and provide a single authority for small
counties where division into districts would be impractical. Unitary authorities do not cover
all of England. Most were established during the 1990s and a further tranche were created in
2009. The unitary authorities combine the powers and functions that are normally associated
with the councils of non-metropolitan counties and non-metropolitan districts.
[http://en.wikipedia.org/wiki/Local_government_in_England]

Structure of local government in England

Retrieved from: http://en.wikipedia.org/wiki/Local_government_in_England

20
 1. Policy Implementation in Presidential forms of government. In nation-states
that have a Presidential form of government like the Philippines, national policy implementation
and monitoring is a function of the Executive Branch of government headed by the President
who is elected at large, and has the authority to appoint ―Cabinet of Department Secretaries‖ to
assist him,[ e.g. Secretaries of Health, Education, PWH, Social WD, Tourism, Defense,
Agriculture, Finance, Economic Planning & Development, Budget, etc.]. The President can only
be removed from office by impeachment or election.

These department secretaries are not members of the legislative or policy making body
unlike in the parliamentary form of government but comprise what is known as the ―Executive
Branch of government‖ with the President as the chief executive officer. These secretaries serve
at the pleasure of the appointing power – the President.

The whole ―government‖ is supported by a large group of career government personnel

known as members of the Civil Service [distinct from the military service] that assist the
Cabinet of Department Secretaries in the implementation and monitoring of national policy
implementation.

At the local government levels, i.e. province, city, municipal, and barangay levels of
administration, national as well as local policy implementation is similarly done by the executive
branch of government headed by: the governor of the province, the mayor of the city or
municipality, and the barangay chairmen of the barangay communities.

It should be noted at this point, that at the barangay level, the Barangay Council headed
by its Punong Barangay or Chairperson, serves as legislators and implementors of policies and
laws/ordinances, hence the barangay officials have similar functions as the ―prime minister &
cabinet‖ in a parliamentary society.

The local government executives, who are elected at large by their respective
constituents, are supported by members of the Civil Service that are appointed by them in
accordance with law, for the implementation and monitoring of both their own local policies and
the national policies that concern them.

Implementation of Community development policies

The implementation of Community development policies in whatever level of community

in the Philippines [i.e. national, regional, sub-regional community] are in the form of
development programs and projects.

Thus economic development policies are implemented through economic development

programs and projects [e.g. Agricultural, industrial, tourism development programs & projects];
social development policies are translated into development programs and projects e.g. in health,
education, social welfare, culture and sports, and others]; environmental policies are translated
into sustainable natural resources management and conservation programs, with environmental
protection and rehabilitation programs and projects; infrastructure development policies are
translated into physical access and communications development programs and projects, social
development infrastructure support like school buildings & hospital facilities, agriculture
development support infra- like irrigation and farm to market roads, etc.

Exercise 12

Describe in detail [better still depict in an illustration] the policy implementation

structure in the Philippines which includes the chain of authority in the executive branch
of government headed by the president down to the lowest level of local government units,
i.e. the barangay. Suggested Readings - the 1987 Constitution & the Local Government
Code [RA 7160] as references.

21
Project Monitoring and Evaluation [PBME]

Project monitoring and evaluation is a major and critical component of the Project
Development Cycle. All community development or policy implementing actions [programs,
projects, and activities] should be closely monitored and evaluated during and after
implementation. Failure to do project progress monitoring and evaluation [during project
implementation] leads to waste of scarce resources [e.g. time, money, materials, labor, etc.],
which a community cannot afford to waste. And, failure to do project benefit monitoring and
evaluation [post-project implementation] leads to the repetition of costly errors in development,
non-attainment of project development goals, and erroneous planning or programming of
subsequent development.

The focus of Project Progress Monitoring and Evaluation on attainment of milestone

targets and efficient resources use ensures the attainment of the project overall objectives
through the correction of ineffective strategies before its too late, and the reduced waste of scarce
resources. On the other hand, the focus of Project Benefit Monitoring and Evaluation on
relevance, performance and success in attaining the project objectives is linked to the objective
of ensuring that programs and projects produce sustainable results that benefit the target
groups and the larger communities of which they are a part.

Purposes of Monitoring and Evaluation [PBME]

Monitoring and evaluation Quantifies the attainment of Policy objectives [e.g.

program goals and sub-goals]. It reveals whether the implemented actions [programs, projects,
activities]
 have resulted in the attainment of the planned targets and objectives; and
 whether the actions were implemented as planned;
 whether assumptions made during identification of the problem and its context were
correct; and
 Whether new information has emerged that requires a strengthening and/or
modification to the policy, program, or implementing structures and processes.

Monitoring and Evaluation also prompts fresh thinking within organizations and their
contacts with external stakeholders. Basic reference:
http://www.popstoolkit.com/riskmanagement/module/step5/benefits.aspx

Why Conduct a Monitoring and/or Evaluation?

Management by Objectives and Results, demand for rigorous and evidence-based

evaluations of Policy Goal attainment.

First, funders and other stakeholders want to know whether policy implementation [e.g.
via programs & projects] spent money & other resources appropriately and that desired outcomes
have been achieved.

Second, in terms of accountability, the monitoring and evaluation helps to address

questions such as:
 Has the program/project worked?
 How have resources been spent?
 Should the program/project continue? If so, are there any improvements needed in the
program/project?

Third, to gain lessons learned from policy implementation. Evaluation helps to provide
answers to the following questions:
 what are the program‘s/project's strengths and weaknesses?
 What were the implementation problems?
 Why have things worked, or not worked?

22
  What are the good practices learned?

Key Issues to be addressed in an Evaluation

The following are the basic questions to be asked in an evaluation:

1. Relevance - whether the results, purpose and overall objectives of the POLICY [&
implementing program/project] are in line with the needs, priorities and aspirations of the
beneficiaries.
2. Impact - Whether there has been a change towards the achievement of the overall
POLICY goals/objectives as a consequence of the achievement of the program/project
objectives & targets- [intended and unintended impacts]
3. Efficiency - how economically have the various inputs been converted into outputs and
results?
4. Effectiveness - how far have the program‘s impacts contributed to achieving its specific
and general objectives?
5. Utility - how do the program‘s impacts compare with the needs of the target
population(s)?
6. Sustainability - to what extent can the positive changes be expected to last after the
program/project has been terminated? addressed is essential in all evaluation work.

EXERCISE 13
Design a Program/project Benefit Monitoring & Evaluation System
for a Policy implemented by any LGU of your choice.

The Theory, Policy Issues, and Challenges in Democratic Republics

The Theory. In democratic societies or communities where government is characterized

as ―government of the people, by the people, and for the people‖ [US Pres. Abraham Lincoln’s
Gettysburg Address] the presumption is that the “people‖ are the ―policy-makers‖, they are the
―policy implementors―and these same ―people‖ actively monitor the results or benefits from the
implementation of policy.

The ―people‖ under these democratic systems are referred to as the ―body politic‖ which
term is defined as ―the people of a politically organized nation or state considered as a group‖
[http://www.thefreedictionary.com/body+politic].

In the modern democratic republics, which is defined as ―a state in which the supreme
power rests in the body of citizens entitled to vote and is exercised by representatives chosen
directly or indirectly by them‖ [http://dictionary.reference.com/browse/republic] the presumption is
that the body of citizens or body politic vote freely and with full knowledge of the nature of the
people they choose to represent them in government, who will actually do the policy
formulation [legislative body – congress or parliament], and the policy implementation and the
monitoring for results [Executive body – President or Prime Minister & Cabinet] including the
implications of these choices .

It is also presumed in the constitutional democratic republics, that the representatives in

government, voted by the ―body of citizens‖ are principled, and motivated towards the
attainment of the common aspirations, goals and objectives of the “people‖ who organized
themselves into a ―state‖ and promulgated these aspirations, goals and objectives in their basic or
fundamental policy instrument – their Constitution.

Invariably the aspirations of the ―people‖ in these democracies are stated in their
Constitution and these aspirations have to do with the attainment of the peoples‘ ―general

23
welfare or common good‖ among others, and are so stated in the ―Preamble‖ of their
constitutions.

Under the over-riding principle or policy that the government is a ―government of the
people, by the people, and for the people‖ it is presumed that the whole government at whatever
level [national, regional, provincial, city, municipality, or barangay, e.g. in the Philippines]
works for the ―general welfare or common good‖ of all the people who comprise the citizenry
or body politic, without exception.

The Reality and Issues. The idea ―democracy‖ which is associated with ideals such as
―social equality, classlessness, egalitarianism”, and where the term democratic society is
derived, and the concept ―republic”, which is a term referring to a ―representative form of
government‖ [Thesaurus: English (US)] are ideals.

These two concepts connote ideal circumstances or ―states of being‖ toward which
―democratic‖ societies hope to organize themselves into. It is said that even the Greek ―polis‖ or
―city state‖ of Athens itself, from where the ideal of ―democracy‖ originated, practiced slavery.
Wikipedia free encyclopedia states ―… With the establishment of the democracy, the
assembly became the de jure mechanism of government; all citizens had equal privileges in the
assembly. However, non-citizens, such as metics (foreigners living in Athens) or slaves, had no
political rights at all.‖ [http://en.wikipedia.org/wiki/Ancient Greece]

In our modern contemporary world, the United Nations [UN] classifies the citizens or
people of nation-states into rich or poor as in the ancient Athens. The UN lists democratic
republics in the modern world where poverty conditions are such that day to day survival is the
priority of the members of the community. In these poverty ridden nation-states in the modern
world as in ancient Athens, ―…the poor citizens could not address the assembly or run for
office‖ also and only the rich could afford to run for elective office.

Added to these poor citizens are the mass of ―Illiterate‖ citizens who because of willful
or vincible ignorance, or apathy, have very little to do with participative governance and do not
care to vote on critical Also, in some of the erstwhile colonized Nations-states, the people are
still seeking their own cultural identities after centuries of cultural influence or acculturation
under their erstwhile colonial masters, and at the same time are struggling to understand the
complex concepts of governance impressed upon them, i.e. democracy and representative
government.

In these nation-states, the new democratic value systems, norms, structures, and
processes are at war with the community‘s traditional values, norms, and way of living. Under
such circumstances, the ―new ways of living and doing things‖ must be convincingly
demonstrated to be ―workable‖ and superior to the ―old and traditional‖ in order to be adopted
by, or adapted in the community. issues presented for public decisions. There are also those who,
for certain reasons are indiscriminate when voting for the peoples‘ representatives in
government.

At the same time, monarchic, aristocratic, and oligarchic cultures still prevail in many of
these aspiring ―democratic republics‖ in the contemporary world. For these communities, change
in the ―ways of doing things‖ is a painful process requiring strong and committed leadership
which may not be available in a poverty ridden and under-developing community.

The challenges. The challenges to the change agent or community development

practitioner who hopes to bring about significantly better quality of life and sustainable
development in any community are:
 to identify and fully understand the nature of the realities existing in the community that
may be limiting or totally obstructing development or change;

24
  to get a critical mass among the members of the community to similarly understand these
realities or at least agree to the existence of these realities that obstruct development in
their community;
 to formulate with these members of the community, policies that are designed to
overcome, minimize, mitigate the effect of, or circumvent the effects of these realities;
and then
 formulate with, get adopted by, and implement with these members of the community,
―doable” plans, programs, and projects that will implement these policies to address the
commonly and popularly perceived community problems.

This will help avoid the frustrating experience of having well-meaning interventions
implemented ending up as exercises in futility, or having to be explained away as unsuccessful,
because of the resistance to change by and in the community.

Exercise 14

Using the Project Monitoring & Evaluation system [PBME] you designed
earlier for the implemented Program/project[s] of the LGU pursuant to a policy
formulated by the LGU you have chosen to study, do the following:
Trace and describe the relationship between implemented project[s] and what
you believe is the basic LGU policy [ies] that the project[s] aims to implement;

1. Identify & describe the actual benefits derived from the implementation
of the project[s] and compare these to the expected benefits stated in the
project plan documents;
2. Identify and describe the issues and challenges that you found were
present in the formulation of the policy and in the implementation of the
project[s] of this LGU you chose to study; and.
3. Identify and describe the evaluation criteria of your PBMES design.

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MODULE III. Theory and Practice in Community Development Policy and Governance

A. Examples of Contemporary Practices in Community Development Policy and

Governance.
B. Policies for community “governance/administration” and for “development/
empowerment”.
C. The “Sectoral” Approach to the Implementation of Policies for Governance and
Development.
 Socio-cultural – health, education, governance, peace & order, social welfare
 Economic – agriculture, industry, trade & tourism, manpower employment &
incomes, natural resources & fiscal resources management
 Infrastructural – social infrastructures, physical & information access
infrastructures
 Environmental - protection, rehabilitation & ecological balance maintenance
 Development administration – for sustainable community development
[Visioning, Planning, Plan Implementation & Monitoring, Resources generation]
D. The Challenges in Community Governance and Sustainable Development.
 Sustainable Community Development Issues.
 Governance and Development Administration Issues.

A. Examples of Contemporary Practices in Community Development Policy and

Governance

We have seen in the previous Module II discussions that the purposes or

objectives of policy are for “governance and development‖. We have also seen that
―governance‖ has to do with the exercise of power and authority to establish order in society – a
function that democratic societies whether ―parliamentary‖ or ―presidential‖, ―capitalist‖ or
―communist‖ types, have delegated to ―government‖.

On the other hand, we have also learned that ―community development‖ has to do with
planned changes towards attaining significant improvements in the ―quality of life‖ and choices
of all or at least a majority of the members of communities in an ―equitable and sustainable‖
manner.

In capitalist democratic societies, like the United Kingdom and the United States of
America, this ―development‖ function is mainly delegated to the ―private sector‖ that puts up the
―capital‖ to undertake ―development‖ activities with ―profit” or “returns to investment‖ as the
major motivation and ―consumers demand‖ as the guiding principle. The State Policy in these
capitalist societies is that ―government‖ exercises mainly regulatory functions to ensure that the
―public welfare‖ is protected and the ―common good‖ of the citizenry is attained. This is the
society in which the saying goes like ―the less government, the better for the country.‖

In the ―socialist” and in the “communist” societies, this development function is

delegated mainly to ―government” that therefore exercises both ―regulatory and developmental‖
authority to ensure ―public welfare and the common good‖. Examples of non-communist
countries that have socialist practices are Switzerland, Australia, Canada, while examples of
communist-socialist countries are the Peoples Republic of China, and the Soviet Union.

EXERCISE 15

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 1. Explain how the “common good” of the citizenry is attained in a capitalist
society where “government” according to State Policy performs mainly
“regulatory or governance” functions. Provide specific examples of how the
“common good” of the citizenry can be attained consistent with the saying that
“less government is good for the country”.
2. Explain the policy of “development as empowerment” when the term is applied
to the development of “human resources” and “institution-building”. Provide
specific examples of how “development as peoples’ empowerment” attains the
“common good”.

B. Policies for community “governance/administration” and for “development/

empowerment”.

In the Republic of the Philippines the ―government‖, according to policies contained

in the Constitution, performs both regulatory and developmental functions. Some of the 28
stated principles and policies in Article II of the 1987 Constitution for example, contain
purely regulatory or administrative objectives; some others contain purely development
objectives, while many contain both regulatory and developmental objectives. An example
of each of these will serve to clarify this observation.

Section 1 of Article II which states thus: ―The Philippines is a democratic and

republican State. Sovereignty resides in the people and all government authority emanates
from them‖ has a purely regulatory intent as seen especially in the latter [underscored] part
of the stated ―principle.‖ This policy or principle effectively instructs ―government‖ and
those chosen to exercise ―government authority‖ that such are only delegated power and
authority from and by the people. In contrast to this, the powers and authority of the
monarchs, kings, or emperors in the past and even of countries in the present which have not
adopted democratic constitutional monarchism, are absolute in the sense that their ―people‖
have no power or authority whatsoever.
Section 9 of the same Article has a mainly developmental objective. This Section
states that: ―The State shall promote a just and dynamic social order that will ensure the
prosperity and independence of the nation and free the people from poverty through
policies that provide adequate social services, promote full employment, a rising standard
of living, and an improved quality of life for all”.

The development objective is expressed especially in the underscored part of this

state policy. The last reference to ―policies‖ in this statement refer to specific ―guidelines‖
for implementing actions toward attaining each of the peoples‘ concerns for ―adequate social
services”, “full employment”, “a rising standard of living”, and a generally “improved
quality of life for all”. Hence, ―government‖ is mandated to promulgate and implement
[legislate] laws or ―policies‖ addressing each of these peoples‘ development concerns. The
executive branch of Government translates each of these ―policies‖ [laws] that address each
development concerns into “doable‖ government programs or projects and implements these.

Section 12 of Article II has both a regulatory and a developmental objective. Its first
two sentences strongly suggest the passage of enabling laws and action by ―government‖ for
the protection of the family and the life of the mother and unborn child. This is contained in
the statements: ―The State recognizes the sanctity of family life and shall protect and
strengthen the family as a basic autonomous social institution. It shall equally protect the

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 life of the mother and the life of the unborn from conception. On the other hand, the last
part of the same state policy strongly suggests to the citizenry, particularly, the parents of
children, that they have the duty to raise their children to become good citizens with
―government‖ in a supportive mode when it states thus: ―The natural and primary right and
duty of parents in the rearing of the youth for civic efficiency and the development of
moral character shall receive the support of the Government”.

Many of the state principles and policies in Article II of the 1987 Philippine
Constitution like Section 13, 14, & 15 and the other provisions mandates the ―government‖
to undertake more active developmental roles – i.e. that of being an ―empowering agent”
rather than merely a ―supportive agent‖. For example Section 13 of Article II states that:
―The State recognizes the vital role of the youth in nation-building and shall promote and
protect their physical, moral, spiritual, intellectual, and social well-being. It [the State thru its
government] shall inculcate in the youth patriotism and nationalism, and encourage their
involvement in public and civic affairs”;

Section 14 states that: ―The State recognizes the role of women in nation-building,
and [the State via government] shall ensure the fundamental equality before the law of
women and men”; and Section 15 provides that:‖The State shall protect and promote the
right to health of the people and instill health consciousness among them‖ through the
―government‖.

To address all these concerns covered by the State policies, a government was created
with its goals, objectives, structures, and processes described in corresponding ―articles‖ of
the Constitution.

C. The “Sectoral” Approach to the Implementation of Policies for Governance and

Development.

As clearly illustrated in previous discussions of policies for community governance

and development, the over-all goal of such policies is the attainment of significantly
improved quality of life and choices of the members of the communities. The concept
―communities‖ as earlier discussed, is a ―system‖ and is dynamic in nature. The term refers
not only to the extant communities with its current membership, but also of these
communities progressing towards the foreseeable future with their changing generations and
changing circumstances, whose improved quality of life and choices have to be maintained –
that is, the significant improvements in the quality of life and choices of each generation is
sustained for all succeeding generations.

In practice, ―change agents‖ or development practitioners and governments have

grouped similar or closely related ―peoples‘ concerns into what are called ―sectors‖ by way
of understanding the complex concept of ―peoples’ quality of life‖. One commonly used
example of such a system of general classification of peoples‘ concerns into ―sectors‖ with
their corresponding set of more specific peoples‘ concerns subsumed under each sector is as
follows:

Sectors Subsumed Peoples’ Specific Concerns

Socio-cultural health, education, governance, justice, peace & security, social
welfare, etc.
Economic agriculture, industry, trade & tourism, manpower employment

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 & incomes, resources management, etc.
Infrastructure social infrastructures, physical & information access
infrastructures, etc.
Environment Bio-diversity & natural resources conservation, protection,
rehabilitation, maintenance of ecological balance, etc.
Development the management communities for sustainable development,
administration institutional development & capability building [Visioning,
Planning, Plan Implementation & Monitoring, Resources
generation]

An examination of the policy statements contained in the various policy instruments cited
in previous discussions, i.e. the Philippine Constitution, laws, executive orders, administrative
orders and the like, will reveal that each of these ―peoples concerns‖ or ―sectors‖ are covered by
one or more of the policies promulgated by the Philippine Government. And, as stated earlier,
policies are implemented or translated ultimately into action as programs, projects, or activities
that are undertaken by the various branches of government as provided for in the Constitution or
in the enabling laws.

The general process for translating state policies into ―doable programs‖ of action starts
with the enactment of enabling laws by the Legislative branch of the government. These laws:
[a] clarify the objectives or purposes of the State Policy stated in the Constitution; [b] create the
necessary implementing structure[s] and defines the powers and authority of these; [c] provide
for the necessary resources to operationalize the implementing structure[s]; [c] and submits this
to the President or Chief Executive for Approval as provided for in the Constitution.

Upon approval of the law, the Executive branch of government implements these laws
through the Cabinet Secretaries of national line agencies and/or the local government units as the
case may be in the form of national line agency or local government programs, projects, or
activities.

Hence, for example, health development policies, programs, and projects are
implemented mainly through the Department of Health; the Department of Education [CHED,
DepEd, TESDA] implement human resources development policies, programs and projects; the
Department of Agriculture implements agriculture, animal, and fisheries policies, programs and
projects; the Department of Environment and Natural Resources implement policies, programs,
and projects on the Natural Resources and the environment including forestry, mining, and
quarrying; Physical infrastructure policies, programs, and projects are implemented mainly
through the Department of Public Works and Highways, while the Department of Transportation
and Communications implement physical & communication access policies, programs, and
projects; the PNP and AFP implement peace and security policies, programs, and projects; and
the regulatory policies, programs, and projects are implemented by the CSC, COA, DBM, BIR,
DOLE, & other departments of the national government bureaucracy.

EXERCISE 16

Explain how local municipal and village communities could benefit directly from
national policies on community governance and development through Sectoral
programs or projects of the national government. Provide specific examples in
your explanation on how a state policy ultimately redounds to the benefit of
municipal and village communities.

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D. The Challenges in Community Governance and Sustainable Development.

The general challenges that confront change agents in democratic societies were
discussed in the previous module [Module II]. What remains to be discussed are some of the
major field-level challenges that may confront change agents. These front line development
challenges can be found in four major critical attributes of communities: [1] the subject
communities’ cultures and value systems; [2] their level of organization; [3] unity or social
cohesion among the community members; and [4] the quality of their leadership.

Some change agents suggest that the latter three of the four attributes of a community are
derivatives of the first, - i.e. the community‘s culture and value systems determine to a large
extent the subject community‘s level of organization, unity among the members, and quality of
their leaders. However, modern management technologies have also shown that cultural change
can be a function of effective leadership – that is, dynamic and effective leaders can bring about
great changes in the value systems and therefore the culture of the people in the community
and the other attributes.

Sustainable Community Development Issues. Herein lies the greatest challenge to the
community development agent on field assignment in a community. The change agent‘s abilities
will be tested on: the capability to discover within a reasonable time, these four critical elements
or attributes of the subject community and to decide from which end to work from, and the
capability to design effective steps to bring about development in the community with the
informed participation of the people in the community. In the latter – i.e. the informed
participation of the people in the community in their own development- also lies the determinant
to the sustainability of development in a community.

Exercise 17

After reading related community development literature, explain fully why

the community peoples’ participation in their own development is crucial
and what specific peoples’ participation in their own development is expected
to ensure sustainability of development in a community.

Governance and Development Administration Issues. It is a given that effective

governance and development administration is a function of effective leadership combined with
resource availabilities. Evidences abound to show that there are limitations of what an effective
leader can achieve with limited resources. The policies of international development funding
agencies requiring local counterpart to the grant of financial assistance to Local Government
units, show evidences to the effect that the ―best efforts‖ of acknowledged effective government
executives still fell far short of their development targets due mainly to the resources limitation.

Experiences also show that the officials of lower than first class municipal and provincial
communities in developing countries like the Philippines, can not do effective governance and
development administration faced with the reality of limited financial resources. Development
planning and policy formulation are expensive. The resources needed for these activities – e.g.
qualified technical personnel, equipment, and relevant and reasonably accurate data, all
require a great amount of funds that the IRA dependent or low income municipal and provincial
governments do not have. And even assuming that some external resources assistance have
enabled the Local Governments to formulate the relevant policies and ―viable‖ development

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plans, the implementation of these, as documented programs of the many funding agencies will
show, have not been successfully implemented due to the cost of carrying out the planned pre-
implementation steps of social preparation and in-house organizational development [OD].

Exercise 18

After choosing a local government unit for your study, examine this LGUs
community development management capability being reminded that
management has to do with the concepts: Policy Formulating & Planning,
Organizing, Staffing, Directing, Coordinating, Reporting, & Budgeting
[POSDCORB].

MODULE IV. Integration & Application of Lessons Learned

 Preparation of a Case study of the policy and governance objectives, structures, and
processes of an actual community complete with a Critique of the governance and
development objectives, structures and processes of the community.

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