CAPDEV AGENDA FORMULATION - lga.gov.ph Exchange/LGIS/LGIS...determining capacity ... CapDev components (i.e., objectives, guiding principles, etc.) among key players and ... 5 Formulating

CAPDEV AGENDAFORMULATION

Changes in the SCALOGand Capdev Agenda

SCALOGOLD VS. NEW

Dimensions of Capacity being analyzedOld SCALOG New SCALOG

“Organizational Competencies”including:o Organization and Staffingo Legislative Support & Other

Enabling Mechanismso Transparencyo Management Systemso Participationo Continuous Improvement/

Innovationo Customer Service

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

Areas ConsideredOld SCALOG New SCALOG

Follows the LGPMS PerformanceAreas and Service Areas:o Social Governanceo Economic Governanceo Environmental Governanceo Administrative Governanceo Valuing Fundamentals of

Good Governance

Aligned with the DILG OutcomeAreas:o Competitive and Business

Friendly LGUso Environment Protective,

Climate Change Adaptive andDisaster Resilient LGUs

o Socially protective and SafeLGUs

o Accountable, transparent,participative and effectiveLocal Governance

Link to CDP-ELA processOld SCALOG New SCALOG

Link to the CDP-ELA process isrecognized but not clearlyspecified

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

Who are involvedOld SCALOG New SCALOG

Involves internal and externalstakeholders

Facilitated/coordinated by theLGPMS and/or SCALOG focalperson/team

Involvement of CDP-ELA Teamnot clearly specified

Involves internal and externalstakeholders

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

Assessment ProcessOld SCALOG New SCALOG

Involves rating of specificindicators perperformance/service area*

Covers all areas, some of whichmay not necessarily be a priorityfor the LGU in the next 3 years

Inadequate guide for in-depthanalysis

The ratings are used as basis fordetermining capacitydevelopment interventions

No ratings required Process allows for focusing on the

capacities that are critical toachieving the performance goalsset by the LGU for the next 3 years

Involves more in-depth analysis ofthe current state of capacity, andidentifying the desired capacityimprovements to achieveperformance goals

The analysis is used as basis fordetermining capacitydevelopment interventions

CAPDEV AGENDAOLD VS. NEW

Information CapturedOld CapDev Agenda New CapDev Agenda

Columns in the template include:o Outcome Area/ Performance

Objectives/ ELA Priority

o Capacity DevelopmentObjectives

o Capacity DevelopmentInterventions

o Expected Outputo Target of CapDevo Timeframeo Funding Requirementso Process Owner/ Office

Responsibleo Source of Support/

Technical Assistance

Columns in the template include:o Outcome Area/ Performance

Objectives/ ELA Priorityo Current State of Capacityo Desired State of Capacity/

CapDev Objectiveso Capacity Development

Interventionso Expected Outputo Target of CapDevo Timeframeo Funding Requirementso Process Owner/ Office

Responsibleo Source of Support/

Technical Assistance

CapDev framework:Capacity andPerformanceA work in progress

• Complete the sentence…

video

The process of developing aframework …

• Aims for usefulness rather than perfection• Encourages shared understanding• Recognizes that framework will evolveover time in response to changing needsand circumstances, new knowledge andnew evidence about what works

Purpose of the CapDevFramework• Define parameters for the assessment, planning,execution, and monitoring and evaluation ofCapDev

• Promote shared understanding of criticalCapDev components (i.e., objectives, guidingprinciples, etc.) among key players andstakeholders

• Provide context to LGU CapDev and why it isimportant to the role of the DILG in LGUperformance oversight and supervision

Components of the CapacityDevelopment Framework

• Purpose of the framework• Guiding Principles• LGU Capacity and Performance• Capacity pillars• Process/ cycle of capacity development• Roles in LGU CapDev

Guiding Principles forLGU CapDev

StrategicStrategic Performance-focused

Performance-focused

LGU-drivenand LGU-Owned


AdaptableAdaptable IntegratedIntegrated Tracked andassessed

Tracked andassessed

Policy-compliant

Policy-compliant InnovativeInnovative

Guiding Principles for LGUCapDev

StrategicStrategic

• Anchored on the LGU’s vision, missionand priority development goals

• Attuned to current realities anddevelopments

• Forward-looking


Performance-focusedPerformance-focused

• Aligned to the performanceimprovement objectives andpriority thrust of the LGU

• Reflects LGU’s striving forexcellence and innovation


LGU-driven and LGU-ownedLGU-driven and LGU-owned

• LGU identifies its priority needs anddetermines appropriate interventions

• LGU-led but at the same time inclusiveof the needs and interests of relevantstakeholders, and aligned with nationalpriorities/ development directions


AdaptableAdaptable

• LGUs have different profiles, contextsand needs

• CapDev is customized and anchored onthe LGU’s context and change readiness

• Anticipates and responds to changedcircumstances


IntegratedIntegrated

• CapDev initiatives are linked andsynergistic

• Uses a holistic, whole-system approach(whole institution)

• Recognizes and optimizes the interplayof different actors


Tracked and assessedTracked and assessed

• Evaluated for effectiveness inimproving LGU performance, lessonsare drawn and serve as basis for theLGU’s continuous improvement; builtin feedback mechanism


Policy CompliantPolicy Compliant

•Compliant with laws,rules and regulations(e.g., LGC, ARTA…)


InnovativeInnovative

•Utilizes various modes oflearning and knowledgemanagementmethodologies

Guiding Principles forLGU CapDev

StrategicStrategic Performance-focused

Performance-focused



AdaptableAdaptable IntegratedIntegrated Tracked andassessed

Tracked andassessed

Policy-compliant

Policy-compliant InnovativeInnovative

Capacity

•Ability of LGUs to perform functionsto fulfill their accountabilities andproduce desired results

Performance

•Effectiveness of the LGU in doing itsmission or what its mandate says,and producing desired results

Capacity and Performance

Input Throughput Output Outcome Impact

Resources,enabling

mechanisms

to run...

ProcessesSystems

Programs

to produce/deliver ...

ProductsServices

that lead/contribute to

...

Benefits

that meet theneeds of

constituentsand lead to…

Development

Improvementin the lives ofconstituents(e.g., MDG)

Capacity Performance




Ability of LGU to performfunctions to fulfill their

accountabilities and producedesired results

“means”

Effectiveness of the LGU in doingits mission or what its mandate

says, and producing desiredresults

“end”

Capacity and PerformanceCapacity Performance



“means”



“end”

Resources,enabling

mechanisms

to run...

ProcessesSystems

Programs


ProductsServices


...

Benefits



Development


Accountable, Transparent, Participativeand Effective Local Governance

Environment-Protective,Climate Change Adaptive and

Disaster Resilient LGUs

Socially-Protectiveand Safe LGUs

Business-Friendly andCompetitive LGUs

Sustainable Development-Oriented Local Government

Inclusive Growth and Poverty ReductionSocietal Outcome

Sectoral Outcome

OrganizationalOutcome

Sub-Sectoral Outcomes

Self-Reliance,Law and

Order andPublic Safety

Note: Admin Guidance functions are alreadysubsumed in the LG Performance Oversight

LG Capacity DevelopmentLG Performance OversightLG Performance Incentive

Strengthened InternalOrganizational Capacity

InternalGovernanceOutcome

Major FinalOutputs

Reinforcing AgencyCommitments

Mul

ti-Se

ctor

alPa

rtne

rshi

p Multi-Sectoral

Partnership

Accountable, transparent,participative and effective Local

Governance

EnvironmentProtective, Climate

Change Adaptive andDisaster Resilient LGUs

Competitive andBusiness

Friendly LGUs

Sociallyprotective and

Safe LGUs

Capacity DevelopmentPerformance OversightPerformance IncentivesC

apac

ityPe

rfor

man

ceLGU Capacity and Performance

Accountable, transparent,participative and effective

Local Governance

Environment Protective, Climate Change Adaptiveand Disaster Resilient LGUs

Competitive andBusiness Friendly

LGUs

Socially protectiveand Safe LGUs

Pillars ofCapacity

Department of Interior and Local GovernmentVision

The Department is primary catalyst for excellence in local governance that nurtures self-reliant,progressive, orderly, safe and globally competitive communities sustained by God-centered andempowered citizenry.

MissionThe Department shall promote peace and order, ensure public safety, strengthen capability of localgovernment units through active people participation and a professionalized corps of civil servants.

GoalsPeaceful, safe, self-reliant and development-dominated communities;Improve performance of local governments in governance, administration, social and economicdevelopment and environmental management;Sustain peace and order condition and ensure public safety.

ObjectivesReduce crime incidents and improve crime solution efficiencyImprove jail management and penology servicesImprove fire protection servicesContinue professionalization of PNP, BFP and BJMP personnel and services

Enhance LGU capacities to improve their performance andenable them to effectively and efficiently deliver servicesto their constituentsContinue to initiate policy reforms in support of local autonomy

MLGOORoles

MLGOORoles

DILG FocalPoint PersonDILG Focal

Point Person

Policy Adviserand AdvocatePolicy Adviserand Advocate

PerformanceAdviser

PerformanceAdviser

ComplianceMonitor

ComplianceMonitor

CapabilityDevelopment

Catalyst

CapabilityDevelopment

Catalyst

Partnershipand Synergist

Adviser

Partnershipand Synergist

Adviser

PoliticalAnalystPoliticalAnalyst

LinkageFacilitator

LinkageFacilitator

DILG Roles in CapDev• Policy Support to CapDev• Monitor and Evaluator of CapDev Agenda• Quality Controller of CapDev Agenda and Interventions• Analyst of CapDev needs and trends• Initiator, Broker and Harmonizer of CapDevinterventions

• Developer and keeper of database on LGU CapDevneeds and service providers

• Educator/Trainer/Facilitator• Developer of Knowledge Products• Coordinator

StakeholderEngagementStakeholderEngagement

AssessmentAssessment

Planning(Term-basedand Annual)


Implementation of

CapDevInterventions

Implementation of

CapDevInterventions

M&E ofCapDevAgenda

M&E ofCapDevAgenda

LGU CapDev Cycle

1 Planning to Plan1 Planning to Plan

2 Prioritizing Issues2 Prioritizing Issues

3 Consulting with Multi-Stakeholders3 Consulting with Multi-Stakeholders

4 Defining/ Revisiting the LGU Vision and Mission4 Defining/ Revisiting the LGU Vision and Mission

5 Formulating Goals and Objective5 Formulating Goals and Objective

6 Prioritizing Programs, Projects and Capacity Development Needs6 Prioritizing Programs, Projects and Capacity Development Needs

7 Determining Legislative Requirements7 Determining Legislative Requirements

8 Building Commitment8 Building Commitment

9 Securing Endorsement, Adoption and Approval9 Securing Endorsement, Adoption and Approval

10 Moving the ELA to Action10 Moving the ELA to Action

11 Popularizing the ELA11 Popularizing the ELA

12 Managing and Sustaining ELA Implementation12 Managing and Sustaining ELA Implementation

CDP-ELA Process





Implementation of

CapDevInterventions

Implementation of

CapDevInterventions

M&E ofCapDevAgenda

M&E ofCapDevAgenda

LGU CapacityDevelopment





Implementation of

CapDevInterventions

Implementation of

CapDevInterventions

M&E ofCapDevAgenda

M&E ofCapDevAgenda

LGU CapDev Cycle

CapDev PlanningCapDev Planning

Capacity AssessmentCapacity Assessment

Context AnalysisContext Analysis

CapDev AgendaFormulation Process













CDP-ELA Process

















CDP-ELA Process





CapDev Agenda Formulation

• What factors in the internal and external environment facilitate orhinder the achievement of performance goals?

• Who are our stakeholders?


• What are the performance issues that need to be addressed?• What capacity do we need to improve to address the performance

issues?


• What solutions will improve capacity?• How do we prioritize?• How do we scope and sequence interventions?

Capacity Development PlanningCapacity Development Planning

Capacity Development PlanningCapacity Development PlanningSolution Generation Prioritization

Capacity AssessmentCapacity AssessmentCapacity Pillars Change Matrix

Context AnalysisContext AnalysisCausal Loops Stakeholder Map

CapDev Agenda Formulation

Capacity Development AgendaFormulation Process, Steps and Tools• Questions• Process• Steps• Tools

Step 1.Identify the factors thatcontribute to the LGU’s performance


Step 3. Determine performance goalsand objectives


Step 4. Assess capacity Analyze current capacity Define desired capacity Identify capacity development

Interventions


Interventions

Step 5. Prioritize interventionsStep 5. Prioritize interventions

Step 7. Develop the CapDev AgendaStep 7. Develop the CapDev Agenda

Step 6.Determine risks and mitigationstrategies


Causal LoopsCausal Loops

Stakeholders MapStakeholders Map

Change Matrix (Performance) Current Performance Desired Performance


Change Matrix (Capacity) Current State Desired State CapDev Interventions


Contribution-Effort QuadrantPrioritization Matrix


Risk RegisterRisk Register

CapDev AgendaCapDev Agenda

Process Steps Tools

What factors contribute the LGU’s performance?

Who are our stakeholders and what are theirinterests?



What are our performance goals and objectives? What is the current state of our performance? What is the desired state of our performance?

What are our capacity requirements given ourperformance goals and objectives? What is the current state of our capacity? What is the desired state of capacity that will

enable us to achieve our performance goal? What interventions do we need to undertake

to improve our capacity?





Given our resources and other considerations,what are our priority interventions in the next 3years?

What are the risks in implementing our plannedinterventions? How do we mitigate them?

What is our CapDev Agenda for the next 3 years?




Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment

Planning(CapDev Agenda)

CapacityDevelopment


Step 8. Integrate CapDev Agenda inthe CDP/ELA


Step2.Identify our key stakeholdersand their interests


How do we integrate the CapDev Agenda in theCDP/ELA?

How do we manage and sustain the CapDevAgenda?



IntegrationIntegration

If I had 60 minutes to solvea problem, I’d spend 55minutes defining it and 5minutes solving it.

--Albert Einstein

CONTEXT ANALYSIS






Interventions


Interventions















Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











STEP 1: IDENTIFY THE FACTORSTHAT CONTRIBUTE TO THE LGU’SPERFORMANCE

Causal Loop






Interventions


Interventions















Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











The Nature of ProblemsCynefin Framework:

D. Snowden and M. Boone

Simple Problems Best Practice

Complicated Problems Experts

Complex Problems Emergence

Chaotic Problems Rapid Response

COMPLEX SOCIALISSUES

ECONOMIC RP ARMM

Poverty Incidence, 2000 34.0% 62.9%

Average Household Income, 2000 P144,039 P81,519

HEALTH RP ARMM

Life Expectancy (Women) 71.6 59.3

Life Expectancy (Men) 66.3 55.5

Infant Mortality, 1995 (per 1,000 live births) 49 63

Maternal Mortality, 1995 (per 100T live births) 180 320

Access to Safe Water, 2000 76.3% 61.6%

EDUCATION RP ARMM

Net Enrollment Rate (Primary), 2001 96.4% 82.0%

Net Enrollment Rate (Secondary), 2001 72.2% 39.2%

Cohort Survival Rates (Elementary), 2001 67.2% 33.6%

Cohort Survival Rates (Secondary), 2001 73.1% 64.1%

Functional Literacy (Female), 1994 85.9% 59.1%

Source: Human Development for Peace and Prosperity in the Autonomous Region in Muslim Mindanao

The Philippine Divide

Source: NSCB, PEF Poverty Indicators 2007, PHDR 2005, DepEd 2008

A Philippine Divide-circa 2006

What we need toUnderstand

•Social issues are complex

•Systems Thinking & SocietalLearning are prerequisites forsustainable change

Nature of Complex Social Issues

NATURE OFCOMPLEXITY

HIGH

Dynamic Cause and effect are far intime and space

Social People who are part of theproblem look at things

differently

Generative Solutions to the problem/s arenot in sight

Working ThroughComplex Social IssuesNature of

ComplexityInterventionApproach

Methodology

Dynamic Systemic Systems Thinking

Social Participative Multi-Stakeholderengagement

Generative Emergent Creative

SYSTEM THINKINGUsing a Causal Loop

What is the Causal loop• An analytical tool used to understand complex issues or

problems.• Can be used to trace the causes and effects of a

problem, or a series of problems, and how they link orinteract with each other.

• It identifies what variables LGUs can effectively influenceand what actions are beyond their ability to change.

Why do a causal loop• Offers a comprehensive view of complex issues in the

LGU;• Provides an opportunity for stakeholder engagement;• Provides a coherent picture of the issue, having

incorporated the views of different stakeholders.

When to use the causal loop• Issue identification and analysis• Solution generation

Leaders For Our Time: The Mirant Leadership Fellows

Peace and Order Divide

SocialUnrest

HDIPoverty

Peace &Order

• Delivery ofBasic Services

• Support forEconomicDevelopmentImpact on:

• EconomicDevelopment

• Participation• Governance

Proliferationof Firearms

PrivateArmies

ArmedConflict

Quality ofJusticeSystem

Rido

NationalSecurity

MilitaryActionImpact of:

• ReligiousSentiments

• HistoricalContext

s

o

o

o

s

s

o s

s

o

o

o

s

s

s

s

SOURCE: Loong, . AIM-Mirant Center for Bridging Leadership Fellow.

Disaster Preparedness

DisasterPreparedness

Vulnerability/risks

Damage to lifeand propertyDisease and

deaths

Trust andconfidence in

gov’t

Participation

Check andbalance

Governance

CapacityLGU Priorities

on DRRRM

Early warningsystem

Awareness

DRRM Plan

Disaster Funds

DRRMO

LGU assistance• Pre-

emptiveevacuation

• Weatheradvisory

Localexperience &

profile

Politicaldifferences

o

s

so

s

s

s

ss

s

s

s

s

s

s

s

ss

s

SOURCE: RDs and ARDs, Leadership Development Training, Tagaytay City. 15 January 2013

Causal loop: An example

Drawing a Causal Loop =Systems Thinking

1. Identify a SOCIAL DIVIDE or a COMPLEX SOCIALISSUE in your outcome area

2. Choose a case giver; assume different roles(women, children, NGO, LCE, church, etc.)

3. Tell the STORY as you understand it (differentindividuals will have different angles to the “story”)

4. Identify the VARIABLES5. Show the LINKS between variables6. Label the RELATIONSHIPS between variables as

either S or O7. CHECK if the causal loop depicts the story as you

(individual or group) understands it.

2 Main Questions

1. What are the factors thatcontribute to the complexsocial issue?

2. What are the consequences?

Relationship betweenVariables

S ame

O pposite

When one variable goesup, the other goes up;when one goes down,the other also goesdown

When one variable goesup, the other goes down;when one goes down,the other goes up

Step 1Step 1• Identify a complex issue

Step 2Step 2

• Identify the factors or variables contributingto the problem and their consequences

Step 3Step 3

• Show the links between variables byidentifying what is influencing what

Step 4Step 4

• Label the relationship between variables as"s" for similar or "o" for opposite

Step 5Step 5

• Check if the causal loop depicts the story asit is understood by stakeholders

Lets do it!

Examples of Complex Issues• On Business-Friendly and Competitive LGUs

1. Processing time2. Revenue Code3. Roads Infrastructure4. Pass-thru fees (illegal fees)

• On Environment-Protective, Climate Change Adaptive,and Disaster-Resilient LGUs5. Denudation6. DRRM Plan or DRRMC Functionality7. Flooding8. DRRM Fund

• On Socially-Protective and Safe Communities9. LPOC Functionality10. Criminality11. WatSan12. Waterless Communities

Some notes on Causal Loops• Story can be told in positive or negative language• Loops need not close• Some factors may not yet link to any of the loops• Original focus issue may turn out not to be the central

issue

•Write data statements on the causalloop variables.

•Data sources: LGPMS, CBM, etc.

Wasteheaps incoastline

50-74% ofBarangayswith MRF

Controlleddumpsite

Inadequatefinancing

SWM plan notup to date

Environmental code notup to date

SWM not apriority ofthe LCE

Volume ofSW dumpedin dumpsite

Lowfunctionalityof SWMB

Increasingcomplaints

•Write data statements on the causalloop variables.

•Data sources: LGPMS, CBM, etc.

Huge wasteheaps incoastline


5MT/ daysolid wastedumped indumpsite


•Indicate how LGU is doing

+ Doing well

+⁄− Somewhat doingwell

− Not doing well

•Indicate how LGU is doing

+ Doing well

+⁄− Somewhat doingwell

− Not doing well



Controlleddumpsite

Inadequatefinancing







STEP 2: IDENTIFY AND ANALYZESTAKEHOLDERNEEDS/INTERESTS/ROLESStakeholder map






Interventions


Interventions















Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











What is stakeholder analysis• Used to identify the key people, groups or institutions who

have• an interest in a particular complex issue or problem,• their position on the issue, and• how they can contribute in addressing the issue.

• Develops engagement and buy-in among stakeholderswho can potentially play a role in the conceptualization,implementation, monitoring and evaluation of yourCapDev Agenda.

Why do a stakeholder analysis• Knowing the needs of stakeholders makes us more

sensitive and responsive to these needs;• Getting targeted stakeholders involved in our process

encourages buy-in in the formulation of the CapDevAgenda, implementation, monitoring and evaluation ofthe CapDev interventions.

• Getting targeted stakeholders involved generates morepossibilities of support (resource mobilization) for theimplementation of the CapDev intervention.

Sample stakeholder analysis

Lets do it!

Task 1Task 1 • Identify yourstakeholders

Task 2Task 2• Prioritize your

stakeholders;Fillup the rest ofthe table;

Task 3Task 3• Implement

action needed tomaintainengagement ofstakeholdergroup

Secondarystakeholders

Primarystakeholde

rs

Stakeholder Map

Keystakeholders

Regional

Secondarystakeholders

Primarystakeholders

Keystakeholders

Your Programme

Insights• What are your thoughts about this tool?

• Is it effective in achieving its objectives? helpful? Easy?• What was challenging about the tool?• How can we enhance the tool?

Capacity Assessment





Step 4. Assess capacityAnalyze current capacityDefine desired capacity

Identify capacity developmentInterventions









Change Matrix (Performance)Current PerformanceDesired Performance


Change Matrix (Capacity)Current StateDesired State

CapDev Interventions







Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











Capacity

•Ability of LGUs to perform functionsto fulfill their accountabilities andproduce desired results

Performance

•Effectiveness of the LGU in doing itsmission or what its mandate says,and producing desired results



Resources,enabling

mechanisms

to run...

ProcessesSystems

Programs


ProductsServices


...

Benefits



Development








“means”



“end”

Capacity and PerformanceCapacity Performance



“means”



“end”

Resources,enabling

mechanisms

to run...

ProcessesSystems

Programs


ProductsServices


...

Benefits



Development


Performance vs. Capacity

Performance

• Increase in farmersparticipating in agri-extensionprogram

• Increase in businessregistration

• Increase in local revenues• Increase in income of farmer

households• Decrease in infant mortality• Client satisfaction• Compliance with Environmental

Code

Capacity

• Appropriate organizationalstructure

• Competent employees• Efficient and effective

Management systems• Enabling policies• Presence of Knowledge

management mechanisms• Adequate resources• Effective leadership

STEP 3: DETERMINEPERFORMANCE GOALSAND OBJECTIVESChange matrix

























Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











What is the performance changematrix• Objectively reflects the current and desired states of

performance

Why do the performance changematrix• Agree on performance targets;• Agree on actual performance levels;• Objectively gain a shared understanding of desired

performance and actual performance levels;• Provides anchor and objective basis for analyzing

capacity needs and requirements.

Lets do it!

1. Organize the Performance Change Matrixaccording to LGU priority or outcome areas.1. Organize the Performance Change Matrixaccording to LGU priority or outcome areas.

2. Group according to (1) Competitive andbusiness friendly LGUs; (2) EnvironmentProtective, Climate Change Adaptive and DisasterResilient LGUs; (3) Socially protective and safeLGUs; (4) Accountable, transparent, participativeand effective local governance.

2. Group according to (1) Competitive andbusiness friendly LGUs; (2) EnvironmentProtective, Climate Change Adaptive and DisasterResilient LGUs; (3) Socially protective and safeLGUs; (4) Accountable, transparent, participativeand effective local governance.

3. Fill up the Performance Change Matrix followingthese tasks3. Fill up the Performance Change Matrix followingthese tasks

Performance Change Matrix

Sample Performance ChangeMatrix

Filling up the PerformanceChange Matrix

1. Cull data on the currentstate of performance1. Cull data on the currentstate of performance

2. Formulate goals andobjectives2. Formulate goals andobjectives

What are theperformance

issues?





What is our current

levelperformance?

of

Determining current levels ofperformance• Possible sources

• Causal loop discussions and other anecdotal data• LGPMS• CBMS, Seals, and other tools

Causal loop as source ofperformance data• Choose performance-related data from your causal loop• Make the performance statements more specific by citing

actual values



Controlleddumpsite

Inadequatefinancing












What is our targeted

levelperformance?

of

Goals Objectives

Desired/targeted levels ofperformance

Goals

• In the hierarchy of results, goalis the higher objective.

• Goals are long-term results thatbring the LGU closer to thevision.

• They represent and measurethe desired changes in the livesof the local community.

• Goals impact on the lives ofyour constituents.

• They are measured in terms ofactual benefits to people.

Objectives

• Objectives are immediateresults that LGUs are directlyaccountable for.

• They can be achieved in theshorter term.

• The realization of severalobjectives can contribute to theachievement of a goal;strategies to achieve the goal


STEP 4: ASSESSCURRENT AND DESIREDSTATE OF CAPACITYCapacity Change Matrix

























Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











What are thecapacity

issues?


50-74% ofBarangayswith MRF Inadequate

financing




5MT/day ofSW dumpedin dumpsite



What is capacity assessment• Capacity assessment is the process of identifyingthe elements that facilitate or hinder theperformance of an LGU.

• It aims to determine the core factors that need tobe addressed to improve performance

How to assess capacity• The process of analyzing capacity uses aframework called the Capacity Pillars.

• These are the factors that indicate an LGU’scapacity or its “ability to perform functions to fulfilltheir mission and deliver desired results.”

• The intended desired results will largely revolvearound economic, environment, social andgovernance outcomes


Local Governance

Environment Protective, Climate ChangeAdaptive and Disaster Resilient LGUs


LGUs


Pillars ofCapacity

Structure• Presence of appropriate structure (office, committee

or work group) with defined authority andaccountability for performing the necessary functionswithin a program

• Note: include external support groups, e.g., LDRRMC,SWMB

• Points for assessment:• Presence/ absence of formal structure?• Functional? (appropriate staffing/membership, meeting regularly,

producing required outputs, provided with budget)

Competency• Knowledge and skills of people who need to perform

their assigned functions in the program• Technical competencies• Program management competencies

• Planning• Designing• Implementing• Monitoring and evaluation

• Points for assessment:• Level of proficiency (proficient, needs improvement, not proficient)• Level of motivation/ productivity

Management Systems• Systems, processes and procedures for managing

programs• Planning and budgeting• Design and Development• Implementation• Monitoring and Evaluation

• Pointers for assessment:• Documented? (manual, flowchart, plan, protocols, SOP)• Approved?• Standardized?• Streamlined?• User-friendly/ customer-focused?• Implemented/ used?• Participatory?• Transparent?

Enabling Policies• Presence of policy and legislative support for

planning, developing, implementing, monitoring andevaluating service delivery functions, programs andprojects

• Points for assessment:• Presence/ absence?• Sufficient/ effective/ with gaps?• Conflicting?• Up-to-date?• Disseminated?• Enforced?

Knowledge and Learning• Mechanisms for generating, analyzing and usingdata and information as basis for decision-making andcontinuous improvement

• Pointers for assessment:• Data or database is accessible to and used by stakeholders• M&E data are used• Engaging citizens/ stakeholders to provide feedback on service

delivery• Continuous benchmarking with good practices

• Comparing own performance with other LGUs• Documenting and sharing good practices

Leadership• Presence of mechanisms for:

• Defining vision, mission and values, and setting strategicdirections

• Ensuring transparency and accountability in the LGU’s operations• Instituting participatory mechanisms• Establishing partnerships and collaboration• Visible sponsorship of programs

• Pointers for assessment• Social Contract, CDP-ELA, Strategic Plan, etc.• SGH compliance, Ulat ng Bayan, etc.• Involvement of CSOs, citizen feedback mechanisms• Partnerships with NGAs, regional, sectoral groups, private sector,

media, etc.• Active involvement in program, providing resources, etc.

Stru

ctur

e

Com

pete

ncy

Man

agem

ent S

yste

ms

Enab

ling

Polic

ies

Know

ledg

e &

Lear

ning

Lead

ersh

ip


Local Governance

Environment Protective, Climate ChangeAdaptive and Disaster Resilient LGUs


LGUs


Pillars ofCapacity

What is the Capacity ChangeMatrix• The capacity Change Matrix is used as a tool for

systematically answering the following questions:

• What are our capacity requirements given our performance goalsand objectives?

• What is the current state of our capacity?• What is the desired state of capacity that will enable us to achieve

our performance goal?• What interventions do we need to undertake to improve our

capacity?

Why do the Capacity ChangeMatrix

• Gain a shared understanding of the root causes of theperformance problems/gaps

• Demonstrate the need for a systems approach to solvingperformance problems/gaps

• Used as basis for generating solutions that address theroot causes of the performance problems/gaps

• Used as basis for prioritizing the solutions

Benefits of using the CapacityChange Matrix• Concise documentation of the current anddesired state of each capacity pillar

• Allows coherent analysis of LGUs’ performanceand corresponding CapDev to achieve itsperformance goals

• Ensures consistency and alignment

Key Questions and Tools

ContextAnalysis What factors contribute to

the LGU’s performance?Causal Loops

Who are thestakeholders?

Stakeholder Map

✓✓

Key Questions and ToolsCapacityAssessment

What is the extent ofthe problem?

SLDR, SLGPR,CBMS, others

What are the capacityissues?

Capacity Pillars

What is not working/lacking/ missing? Whatare the consequences?

Change Matrix(Current State)

What is the desiredstate?

Change Matrix(Desired State)

✓

What isworking well?

consequences?What are the

not

ExamplesLeadership

SWM is not a priority of the LCEPoor plans and programsInsufficient funding support

ExamplesStructure

Low functionality of the SWMB; no regularmeetingsNo coordination among members of the Board leading to

poor implementation and overlapping of PPAs

ENRO just designated; has dual function(also the CPDC)Programs not properly monitored

Examples

Knowledge and Learning

Lack of benchmark information & bestpractice relative to SWM; Insufficient data(e.g., volume of solid waste generated, and number ofhouseholds practicing segregation at source)Poor plansPoor program designInefficient technologies used

Change MatrixCurrent StateVolume of solid waste dumpedin dumpsite

Waste heaps in coastline

Leadership

SWM is not a priority of theLCEPoor plans and programsInsufficient funding support

Change MatrixCurrent State

Structure

Low functionality of theSWMB; no regular meetingsNo coordination among

members of the Boardleading to poorimplementation andoverlapping of PPAs

ENRO just designated; hasdual function (also the CPDC)Programs not properly

monitored; resources wasted

Change MatrixCurrent StateKnowledge and Learning

Lack of benchmarkinformation & best practicerelative to SWM; Insufficientdata (e.g., volume of solidwaste generated, and numberof households practicingsegregation at source)Poor plansPoor program designInefficient technologies used;resources wasted

What isworking well?

positiveWhat are the

effects?

Lets do it!

•Revisit Causal Loops• What factors are related to the capacitypillars?

• In other factors, what are the underlyingor implied capacity issues?

Lets do it!Cull the Current and Desired Stateof Performance on one outcomearea from the Performance ChangeMatrix completed in Step 3, andplace in the Performance section ofthe Capacity Change Matrix.

Cull the Current and Desired Stateof Performance on one outcomearea from the Performance ChangeMatrix completed in Step 3, andplace in the Performance section ofthe Capacity Change Matrix.

Determine the causes ofthe performance gaps orthe factors contributing togood performance.

Determine the causes ofthe performance gaps orthe factors contributing togood performance.

What is thedesired

state?

Desired State: In 3 years…• What would the future state look like if the current issue/s

are addressed?• What is the improvement?• What would be there that was missing or lacking before?• What would be working better compared to the current

situation?

CurrentState

CurrentState

DesiredState

DesiredState

Change MatrixCurrent State Desired State100 metric tons of solid wastedumped in dumpsite

Waste heaps in coastline

Volume of solid wastedumped in dumpsite by50%

No waste heaps incoastline

Leadership


SWM is among thestrategic priorities of theLGU; updated SWM planin place; budget based onplan

Change MatrixCurrent State Desired State

Structure

Low functionality of theSWMB; no regular meetingsNo coordination among




SWMB meets regularly(PNA) & collaboration withdifferent stakeholders isbeing practiced resultingto a more responsiveSWM plan andharmonized PPAs

ENRO appointed withoffice & personnel;management systemsestablished

Change MatrixCurrent State Desired SateKnowledge and Learning


Sufficient & updateddatabase is in place aswell as knowledge of bestpractices & technology areused as inputs for SWMP

Generating Solutions

Well-defined problemshave a clear path totheir solution

LGU Influence


Resources,enabling

mechanisms

to run...

ProcessesSystems

Programs


ProductsServices

that lead/contribute to ...

Benefits


constituents andlead to…

Development

Improvement inthe lives of

constituents (e.g.,MDG)


Factors within LGU influenceFactors beyond LGU influence

• Enhancing individual competenciesand organizational capacity throughstrategic and integrated interventionsto equip and empower LGUs to fufilltheir accoutabilities, and producedesired results

Capacity DevelopmentCapacity Development

Whatsolutions

capacity?will improve

Activity• What solutions/ interventions will help achieve our desired

state?

Change MatrixCurrent State100 metric tons of solid wastedumped in dumpsite

Big waste heaps in coastline

Volume of solid wastedumped in dumpsite by50%

No waste heaps incoastline

Leadership


Include SWMP in theagenda of the LDCmeetings forprioritization & fundappropriation

SWM is among thestrategic priorities of theLGU; updated SWM planin place; budget based onplan

Change MatrixCurrent State

StructureLow functionality of theSWMB; no regular meetingsNo coordination among




Reactivation ofSWMB

Conduct of monthlySWMB meeting

Enact ordinance &allocate budget forthe creation ofENRO

Recruit ENRO andstaff; conducttraining

SWMB meets regularly(PNA) & collaboration withdifferent stakeholders isbeing practiced resultingto a more responsiveSWM plan andharmonized PPAs

ENRO appointed withoffice & personnel;management systemsestablished

Change MatrixCurrent StateKnowledge and Learning


Research on bestpractice forreplication

Develop and install aSWM database• Conduct survey to

gather relevantdata & update thesame regularly

Sufficient & updateddatabase is in place aswell as knowledge of bestpractices & technology areused as inputs for SWMP

Lets do it!Cull the Current and Desired State of Performanceon one outcome area from the Performance ChangeMatrix completed in Step 3, and place in thePerformance section of the Capacity Change Matrix.

Cull the Current and Desired State of Performanceon one outcome area from the Performance ChangeMatrix completed in Step 3, and place in thePerformance section of the Capacity Change Matrix.

Determine the causes of the performance gaps or thefactors contributing to good performance.Determine the causes of the performance gaps or thefactors contributing to good performance.

Determine Desired State of capacity.Determine Desired State of capacity.

Identify Capacity Development InterventionsIdentify Capacity Development Interventions

Sample Capacity Change Matrix

Other possibilities• Menu of Capacity Development InterventionsSource : Worley and Cummings

CapDev Planning

























Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











STEP 5: PRIORITIZECAPDEV INTERVENTIONSContribution-Effort Quadrant





















Contribution-Effort Quadrantand Prioritization Matrix




Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











are thepriorities?What

Why prioritize?• Time: What can be done in 3 years?• Resources: What can be done with the resources

currently available?• Optimize the gains: What interventions will generate the

best results?• Multiple demands: What interventions will yield benefits

for more stakeholders?

What is the Contribution-effortMatrix• This tool is used in choosing solutions that seem easiest

to implement but with the biggest contribution to thedesired outcome.

• The tool is based on two criteria: (1) its contribution to thedesired outcome and (2) level of effort in implementingthe solution.

Prioritizing Solutions

• Directly addresses the issue• Addresses gaps in achieving desired outcomes• Builds on and sustain current and projected gains

from past and current interventions

Level of ContributionLevel of Contribution

• Time Frame (short-, medium-, long-term)• Availability/amount of resources• Accessibility of resources

Level of EffortLevel of Effort

Contribution-Effort Matrix

Benefits of using a Prioritization Matrix

• It helps prioritize complex or unclear issues, and projects,using multiple criteria for determining importance

• It provides a quick and easy, yet consistent, method forevaluating options

• It offers a means of quantifying the decision with numericrankings

• It is an adaptable tool that can be used in various priority-setting needs

• When used as a group activity, it facilitates consensus onpriorities and key issues

• It offers a venue for conversations among LGU teammembers

Let’s do it!

11• From the Change Matrix, retrieve the proposed CapDev

interventions.

22• Construct an empty diagram with level of effort required to

implement the CapDev solution on the horizontal axis andimpact or contribution of the solution on the vertical axis, anddivide it into four quadrants

33• Assess the level of effort and impact for each solution.

STEP 6: DETERMINERISKS AND MITIGATIONSTRATEGIESRisk Register

























Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











What is the risk register?• The tool is prepared at the beginning of a project to

characterize/identify all the risks associated with theproject.

• Is used to identify project risks, analyze the probability ofthe risks occurring and the impact it would have on theproject should the risks occur, and determine strategiesthat will mitigate the effects of the risks

RISK DEFINITIONdefines the key

risks to the project

RISK DEFINITIONdefines the key

risks to the project

RISK LEVELestablishes theintensity of therisk, e.g. High,Medium or Low

RISK LEVELestablishes theintensity of therisk, e.g. High,Medium or Low

RISK MITIGATIONSTRATEGY

outlines the riskresponse

strategies that willbe used to

manage the risk toprevent a risk

event

RISK MITIGATIONSTRATEGY

outlines the riskresponse

strategies that willbe used to

manage the risk toprevent a risk

event

RISK OWNERidentifies the

owner of the risk,or the person or

unit responsible fordealing with the

risk event

RISK OWNERidentifies the

owner of the risk,or the person or

unit responsible fordealing with the

risk event

Elements of the Risk Register

Why do the risk register?• Reduce the likelihood of the risk occurring.• Increase the visibility of the risk.• Increase the ability of the project team to handlethe risk, should it occur.

• Reduce the impact of the risk, should it occur.

Lets do it!

11 • Identify risks for each risk category

22• Decide on the risk level or intensity of the

risk, using a rating scale

33• Identify risk response strategy/ies for each

risk factor identified

44 • Identify the risk owner

Sample Risk Register

STEP 7: FORMULATETHE CAPDEV AGENDACapDev Agenda

























Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











What is the CapDev Agenda• A roadmap of appropriate individual andorganizational enhancement interventions• within specific timeframes• identified milestones and deliverables• available and accessible resources

• …. to address priority capacity developmentneeds along defined LGU performanceoutcomes

What are the elements of theCapDev Agenda?• Targeted Outcome Area/ ELA Priority and Performance

Goals• Current State of Capacity• Desired State of Capacity (Capacity Development

Objectives)• Capacity Development Interventions• Expected Output• Target of CapDev• Timeframe• Funding Requirements by year• Process Owner/ Office Responsible• Source of Support/ Technical Assistance

Why formulate the CapDevAgenda?• The CapDev Agenda serves as basis for:

• Communicating the strategic directions and reformagenda of the current leadership;

• Allocating the budget requirements of each capacitydevelopment intervention across outcome areas of theLGUs;

• Mapping out a results framework/ monitoring andevaluating the effectiveness of the CapDevinterventions.

• Generating accountabilities for institutionalizing andreaping the gains of the capacity developmentintervention

Let’s do it!

11• Cull the current state of capacity.• This is captured in the Capacity Change Matrix of Step 4;

22• Cull the desired state of capacity.• This is also captured in the Capacity Change Matrix of Step 4.

33• Cull the capacity development interventions.• This is also discussed in the Capacity Change Matrix of Step 4.

44• Identify expected outputs of the intervention• The output may be a written policy, guideline or procedure reflecting improvements

in systems and processes introduced as a result of the Capdev intervention

Let’s do it

55• Identify the target individuals, divisions that should be involved in or

should be addressed by the proposed capacity of the Capdevintervention.

66• Identify timeframe of the implementation of the CapDev intervention.• Specify the start start and end of completion of each capacity

development intervention.

77• Identify the funding requirements for Year 1.• Refer to Step_5 on Prioritizing CapDev interventions. Choose Year 1

CapDev interventions.

88• Identify the funding requirements for Year 2

Let’s do it

99• Identify the funding requirements for Year 3.

1010• Identify the process owner/office responsible.• The process owner owns the process that is being

improved.

1111• Identify the source of support or technical

assistance for each intervention.

CapDev Agenda

• Expected Output: plan, program, system, process, trained staff• Target of CapDev: who will be trained or be involved in the intervention• Timeframe: which year, and what is the duration (e.g., 3months, etc.)• Funding Requirements: estimated cost/ budget required• Process Owner/ Office Responsible• Source of Support/ Technical Assistance

Sample CapDev Agenda

Considerations in CapDevPlanning• Sequence of interventions (which comes first)• Timing of interventions (is this the right time?)• Quick-wins vs long term solutions (demonstratebenefits quickly to gain support/ momentum)

STEP 8: INTEGRATINGTHE CAPDEV AGENDA INTHE CDP/ELA

























Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment











Format of the CDP/ELA

Format of the CDP/ELA

LGU CapDev Cycle

• Term-based• Aligned with budget cycle LGU Performance

Goals AchievedLGU PerformanceGoals Achieved

Activity• Arrange your solutions in order of priority.

of action?

What isthe plan

TYING IT ALL UP…






Interventions


Interventions















Process Steps Tools



















Key Questions


CapacityAssessment

(SCALOG)

CapacityAssessment

(SCALOG)

CapacityDevelopment


CapacityDevelopment














CapDev Agenda FormulationProcess

Key Steps and Tools

ContextAnalysis 1. Identify the factors

contribute to the LGU’sperformance in a sector/performance area/service area

Causal Loops

2. Identify the stakeholdersand what are theirinterests

Stakeholder Map

Key Steps and ToolsCapacityAssessment

1. Determine the extent ofthe problem

SLDR, SLGPR,CBMS, others

2. Identify the capacityissues (or underlyingcapacity issues

Capacity Pillars

3. Analyze the currentstate: What is notworking/ lacking/missing? What are theconsequences?

Change Matrix(Current State)

4. Describe the desiredstate

Change Matrix(Desired State)

Key Steps and ToolsCapacityDevelopmentPlanning`

1. Identify solutions toimprove capacity

Change Matrix

2. Determine thepriorities

Contribution-EffortQuadrant

3. Formulate the planof action

CapDev Agenda

--modified Chinese proverb

Documents

CAPDEV AGENDA FORMULATION - lga.gov.ph Exchange/LGIS/LGIS...determining capacity ... CapDev components (i.e., objectives, guiding principles, etc.) among key players and ... 5 Formulating