DILG Guide To Comprehensive Development Plan Preparation of Local Government Units 2008
DILG Guide To Comprehensive Development Plan Preparation of Local Government Units 2008
October
October 22, 2008
Section 106 of the Local Government Code of 1991 mandates each local government unit to prepare
a comprehensive multi-sectoral development plan to be initiated by its local development council and
approved by its sanggunian. Pursuant thereto, the Department of the Interior and Local Government
Unit (DILG) has developed the Guide to Comprehensive Development Plan (CDP) for the Local
Government Unit.
The CDP Guides puts into operation the concepts and processes enunciated in the rationalized local
planning system and JMC No. 001, S. 2007 on harmonization of local planning, investment
programming, budgeting and revenue administration. As a reference, the CDP Guide offers
procedures tools and techniques along each step of the comprehensive development planning
process and is presented in four major parts with corresponding chapters detailing each part:
Moreover, the CDP Guide provides the mechanism for the synchronization and harmonization of the
core LGU operations from the planning to budgeting with thematic and cross- sectoral concerns that
various national government agencies pursue and seek to address at the LGU levels.
Being the agency mandated to formulate the operational guides on local development planning, all
DILD Field Officers, therefore, are directed to use the CDP Guide in providing the technical assistance
to the Local Development Council, the Sectoral Committee, the Local Finance Committee and the
executive and legislative bodies in the performance of their planning functions. Likewise, local
government units are enjoyed to use this Guide in the preparation of their CDP and the Local
Development Investment Program (LDIP).
RONALDO V. PUNO
Secretary
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Foreword
The Department of the Interior and Local Government (DILG) is mandated to establish
plans, policies and programs that will strengthen the technical, fiscal and administrative
capabilities of local governments, as well as formulate the operational guidelines of the local
development planning process.
With this mandate, the DILG developed the Rationalized local planning System (RPS) as our
guiding principle in local planning. To operationalize the RPS, we also formulated the Guide
to Comprehensive Development Plan (CDP) for LGUs. As a reference, the CDP Guide offers
procedure, tools and techniques that are designed to respond to varying capabilities of local
government.
The completion of this Guide became even more urgent to fulfill our commitment under the
Joint Memorandum Circular No.1, S.2007 which we signed with NEDA, DBM and DOF on
March 8, 2008 in order to synchronize and harmonize planning, investment, programming,
revenue administration, and budgeting and expenditure management at the local level.
Even as it focuses on local planning, the Guide also takes into consideration the other
special and cross- sectoral concerns of various national government agencies that seek
fulfillment at the local government level.
It is the hope of DILG that this Guide will further simplify the comprehensive development
planning process at the local level.
AUSTERE A. PANADERO
Undersecretary for Local Government
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Acknowledgement
The Bureau of Local Government Development-Department of the Interior and Local Government
(BLGD_DILG) would like to acknowledge the assistance of the following in the preparation of the
Guide for their active participation in the various consultations conducted nationwide:
DILG Regional Directors during the consultations and orientation briefings on the
Rationalized Local Planning System, Joint Memo Circular No. 001, S, 2007 and the Guide to
CDP Preparation;
DILG Regional and Provincial Development Planning Specialists for their diligent
participation during the series of CDP validation workshops conducted staring in 2007;
Other stakeholders concerned from the Academe, Private Sector, Civil Society
Organization, Donor Agencies and Professional Organizations.
BLGD is likewise grateful to Prof. Ernesto M. Serote for his technical inputs, comments and
suggestions to enhance this Guide; and to our consultant, Ms. Liza Marie Pulumbarit-Elum for her
persistence and for enduring with us through the long and sometimes tedious process of
preparing this Guide. We are really deeply grateful for their perseverance and dedication in
helping the DILG fulfill its commitment to effect the applicable provisions of JMC No.001, S2007
and to put into practice the concept and principles enunciated in the Rationalized Local Planning
System through this Guide.
The Bureau would like to express its gratitude to the Asia Development Bank-Technical
Assistance (ADB-TA 7019), particularly the TAs project leader, Mr. Raymund Fabre and ADB-
Public Sector Management Specialist, Mr, Tariq Niazi for the technical inputs and financial
support during the preparation of this Guide and the subsequence training to DILG field officers
on how to use the Guide.
Finally, we also convey our sincere appreciation to those whose names and organization may not
appear in the list but have contributes unselfishly in the completion of this Guidebook.
Acronyms
This section sets the stage for the Plan Formulation Proper – from the organization to
training of the Planning Team, and the subsequent orientation for the local chief executive
and members of the Sanggunian. It also contains selection criteria for planning team
members, definition of roles and functions of key actors in the plan formulation process,
including those of national government agencies and civil society organizations in order to
make the plan formulation process truly inclusive and participatory.
This part consists not only of the “how’s” of every step of the sectoral planning process. It
also provides answers to questions like “what is it?”, “why is it important?” and “who is
responsible?” This emphasizes the need to re-focus attention from merely producing the
plan document alone to making planning as an integral part of governance by making the
LGUs understand why they ought to plan and who should be involved. The easy-to-use-and-
follow tools and techniques are presented in a way that makes them more user-friendly and
their “technical” or “technocratic” character are tamed without diminishing their value and
effectiveness as instructional devices, especially for those who are not technically trained.
This provides the basic elements of the three principal instruments in implementing the CDP,
namely, the Local Development Investment Program (LDIP), the Legislative Agenda (LA),
and the Executive and Legislative Agenda (ELA). Just like in Part I, this section of the Guide
not only offers the procedural steps for yielding these outputs, but also the concept inputs to
allow the users to have a better appreciation of what, why and who are responsible for the
exercise.
This section highlights the importance of Plan Monitoring and Evaluation (M & E) as the link
between two planning cycles and thereby reinforces the cyclical nature of the planning
process. It suggests the periods when and who may conduct what type of M & E.
It must be emphasized that the tools, techniques, strategies and methodologies suggested in
this Guide are not prescriptive. Rather, they can complement or supplement those that have
already been developed or being offered by other agencies to facilitate the preparation of
local comprehensive development plans.
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TABLE OF CONTENTS
Page
FOREWORD …………………………………………………………………………………...…… ii
ACRONYMS ……………………………………………………………………………................... iv
INTRODUCTION ……………………………………………………………………………………. 1
LIST OF FIGURES
Figure No.
LIST OF TABLES
Table No.
LIST OF BOXES
Box No.
INTRODUCTION
In an ideal scenario, a particular local government unit (LGU) manages its own growth and
change through a body of plans with varying scope and time frame. The term “ideal”,
however, does not imply a utopian, unrealistic or unattainable dream. It simply means a
scenario that does not exist as yet. Nevertheless, it is the scenario that the Local
Government Code (LGC) of 1991 (RA 7160) wants every LGU to achieve. With the aid of
various plans, LGUs are expected to more effectively manage their own local development.
Section 20 of the LGC mandates LGUs to prepare a comprehensive land use plan (CLUP)
enacted through a zoning ordinance, while Sections 106 and 109 of the same Code
mandate the LGUs to prepare comprehensive multi-sectoral development plans (CDP) and
public investment programs.
It is clear from the above-cited provisions of the Code that LGUs are required to prepare two
plans: the CLUP and the CDP.
These plans influence public and private sector investments which have the cumulative
effects of making available goods and services of high quality, and making these more
accessible to the people, thereby raising the level of their well-being. Any change in the
level of welfare of the population, on one hand is expected to create corresponding changes
in the character and configuration of the land and other physical resources of the locality. On
the other hand, any improvement in the level of social and economic well-being of the local
population will almost always entail deterioration in the quality or quantity of the physical
environment. How to achieve development objectives without necessarily sacrificing the
environment poses a major challenge to local development planning and management.
As the LGU gains longer experience in managing its own growth and change, especially
when the Sanggunian is ever alert for possibilities to formulate regulatory policies and to
further support the implementation of plans, programs and projects with needed
development regulations, the LGU’s institutional capacity will be enhanced considerably.
Such changes are easily seen by tracking outputs on the short-term and outcomes on the
medium- to long-term. Lessons learned from these periodic monitoring and evaluation are
then used to inform the next cycle of planning. (See Figure 1 - A Local Planning and
Development Model)
The Comprehensive Land Use Plan (CLUP) and the CDP are distinct and separate. The
term “comprehensive” in the CLUP is understood in its geographical, territorial sense, while
the term “comprehensive” in the CDP has to be understood in the sense of “multi-sectoral”
development. Yet, the two plans are intimately related.
On one hand, the CLUP can well be regarded as the plan for the long-term management of
the local territory. As the skeletal-circulatory framework of the territory’s physical
development, it identifies areas where development can and cannot be located and directs
public and private investments accordingly. The CDP, on the other hand, is the action plan
utilized by every local administration to develop and implement priority sectoral and cross-
sectoral programs and projects in the proper locations to put flesh on the skeleton as it were,
gradually and incrementally, until the desired shape or form of development is eventually
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attained over the long term. This is consistent with the definition of planning as “public
control of the pattern of development”.
The Executive and Legislative Agenda (ELA) is a planning document, covering a 3-year
period corresponding to the term of local elective officials that is mutually developed and
agreed upon by both the executive and legislative departments of an LGU. The ELA is not
meant to replace or duplicate existing planning systems in LGUs. Rather, it adds greater
value to the CLUP and the CDP by moving them forward to getting implemented and
monitored.
A common concern often raised by local planners is how to keep the long-term plan from
being thrown away with every change in administration. The answer to this concern lies
precisely in having a separate CLUP from a CDP. The CLUP, once enacted into a zoning
ordinance (Sec. 20, c), becomes a law. It remains in effect even after the incumbent officials
have been replaced. Being a law, the CLUP-turned Zoning Ordinance cannot be simply
“thrown away” without going through the proper legislative procedures for repealing or
amending an ordinance. The truth of the matter is, the long-term CLUP, once in place, can
no longer be claimed by, nor attributed to a particular administration. Rather, the CLUP
belongs to the people. It is the “people’s plan”. It is the CDP or rather, the CDP-based
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Executive and Legislative Agenda (ELA) that is associated with a particular administration
(underscoring supplied).
One thing that bolsters the interpretation that the CLUP and CDP are distinct and separate is
the fact that the responsibility for each plan is given to separate bodies in the LGU. The
CLUP is assigned to the Sanggunian as provided for in Sections 447, 458 and 468 (Powers,
Duties, Functions and Compensation of the Sangguniang Bayan, Panlungsod and
Panlalawigan, respectively) of the Local Government Code; whereas the CDP is the
responsibility of the LDC as provided for under Sections 106 (Local Development Councils)
and 109 (Functions of Local Development Councils) of the Code. The Code has correctly
assigned responsibility for the CLUP to the Sanggunian considering that most if not all of the
instruments for implementing the CLUP involve regulating the use of lands that are mainly
privately held and this requires the exercise of the political powers of the LGU through
legislative action by the Sanggunian.
With the CLUP separated from the CDP, the review process by the Provincial Land Use
Committee (PLUC) is also immensely simplified. The Code requires a review by the
provincial government of the CLUP, not the CDP, of component cities and municipalities
[See Sec. 468 (a) (2) (vii)].
It is highly desirable that the CLUP be completed ahead of the CDP. This is to ensure that
the location policies in the CLUP will guide the identification, screening, and prioritization of
programs and projects in the CDP (see Figure 2 - Simplified Planning Process). Considering
that some public investments, especially of the “hard project” type, have a powerful impact
on the long-term structuring of the built environment and on land use change in general,
such projects should be properly screened to ensure that they are in consonance with, if not
actually supportive of the preferred spatial strategy for the community.
The CLUP is in itself a rich source of programs, projects and ideas for legislation. The
programs and projects identified in the CLUP however, invariably take a long time to carry
out. On the other hand, the CDP has a relatively short timeframe. This, however, should not
be used as a reason for ignoring the long-term programs of the CLUP and implementing
instead other projects with shorter timeframes. Rather, the short time frame of the CDP
should be used to carry out the long-term CLUP programs in phases.
The CDP can be regarded as an action plan and an implementing instrument of the CLUP.
By having a CLUP which serves as a long-term guide for the physical development of the
locality and CDP that is multi-year and implements the CLUP in phases, there is an
assurance of continuity, rationality and stability of local development efforts.
The CLUP and the CDP may be prepared in an iterative way. For simplicity, the preparation
of the CLUP and CDP can be divided into four (4) modules consistent with the capability
building approach (Figure 3 - CLUP-CDP Process Flow).
a. Generation of alternative spatial strategies taking into account the higher level
spatial strategy and choosing the most desirable alternative for the province or
city/municipality, as the case may be.
DEVELOPMENT
POTENTIALS &
PROBLEMS VISION –
REVIEW/ REALITY GAP
DEMAND –
ASSESSMENT/ ANALYSIS PREFERRED GENERAL &
SUPPLY SPATIAL
IMPACT M & E URBAN
FURTHER BALANCING OF STRATEGY OF
NEW LAND USE
RESEARCH & LAND DESIRED
ECOLOGICAL PLAN
DATA MAP OVERLAY RESOURCES URBAN FORM
PROFILE
GAPS ANALYSIS
EXISTING POLICY
DATA & FORMULATION
REFINED
MAPS
VISION & GOAL SIEVE
STATEMENTS MAPPING
DRAFT
PUBLIC ZONING
SECTORAL
VALIDATION DECISION CONSULTATION ORDI-NANCE
DEVELOPMENT
OF DATA ZONES NO. 1 OBJECTIVES &
TARGETS
M SECTORAL PROGRAMS,
POLICY O SECTORAL
PROJECTS &
ACTIVITIES
OPTIONS D DEVELOPMENT PLANING
U
L INVESTMENT PROGRAMMING
LEGEND: E & BUDGETING OTHER LOCAL
LEGISLATIONS
INPUT TO, OR OUTPUT FROM A OVERLAP WITH THE 4
A PROCESS OR ACTIVITY PROCESS OR ACTIVITY NEXT MODULE
ANNUAL GENERAL
DEVELOPMENT
FUND BUDGET
REGULATIONS
One dimension of rationalized planning is the reduction in the number of plans that LGUs
must prepare and the integration of cross-sectoral concerns in the planning process. This
implies that national government agencies (NGAs) advocating or requiring LGUs to prepare
certain sectoral, area, thematic or systems plan must integrate these requirements into
either the CLUP or the CDP, as the case may be, and allow the local planning structure and
processes to respond to these requirements.
There are over twenty (20) different plans required by NGAs of LGUs over and above the
two (2) Code-mandated plans – the CLUP and CDP. To rationalize the practice to the extent
of integrating NGA requirements substantively and procedurally into local planning, at least
two (2) pre-conditions must be satisfied:
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1. The local planning structure, that is, the Local Development Council (LDC) and its
sectoral and functional committees, are in place.
NGAs need not go to the extent of creating a new planning body or structure to produce
their desired plan outputs. If the particular NGA has an existing office operating in the
LGU, its officers and staff should be invited to join the relevant sectoral or functional
committee and assist their local counterparts in preparing the desired outputs.
2. The local plans are truly comprehensive, meaning, the CLUP covers the entire LGU
territorial jurisdiction, both land and water; and the CDP embraces all development
sectors and sub-sectors, including the concerns of each.
In this connection, NGAs requiring LGUs to produce certain planning outputs ought to
learn to utilize the planning structures and processes that are already in place in the
LGUs.
If the CDP is truly comprehensive, then every possible subject of planning and development can be
subsumed under a particular sector or a combination of sectors in the CDP.
The NGA-mandated plans listed below need not be prepared by planning bodies created
outside of the LDC and/or its sectoral or functional committees. In fact these plans already
fall within the concerns of existing sectoral committees. In the case of area, thematic or
systems plan that involves several sectors, functional committees could be formed drawing
membership from the sectoral committees themselves. Examples of such thematic plans are
given below.
Some development issues can be confined within the conceptual boundaries of a particular
sector. Issues of this nature are better handled by specific sectors. Other issues however,
are common to two or more sectors and such issues can be addressed jointly by the sectors
concerned through inter-sectoral consultations, round-robin fashion (see Figure 4 - Inter-
sectoral Consultations and Table 1- Sample Issues Common to Sectoral Plans). Complex
development issues such as those of poverty, disaster risk management, gender and
development, to name a few, need to be addressed either by a multi-sectoral functional
committee or by the LDC acting as a committee of the whole.
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SOCIAL
5 1
8
ENVIRONMENTAL ECONOMIC
7 6
10 9
4 2
INFRASTRUCTURE
INST ITUTIONAL
& LAND USE
3
Some of the plans that require inter-sectoral functional committees are the following:
Social - Institutional Social development budget as percent of total budget for socialized housing, livelihood services,
health, welfare, education, protective services, etc.
Mechanisms for promoting people participation in local governance
Mechanisms to ensure accountability and transparency in public office
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Social – Land Use/Infrastructure Infrastructure to ensure social access (public transport service area, access ramps for
disabled, traffic-related accident rate)
Infrastructure to ensure public safety and convenience (pedestrian friendly street furniture); for
public recreation (outdoors and indoors)
Impact of infrastructure on land use and population distribution
Economic – Land Use/ Infrastructure Economic support infrastructure (appropriateness and adequacy)
Land use pattern that promotes economic efficiency
It would certainly make a difference if the different sectoral and functional committees at the
city or municipal level were involved in the preparation of these thematic or systems plans.
The outputs of each sectoral plan or inter-sectoral consultation may be grouped into two
types: programs and projects and new policies, or new legislations. The first type of outputs
will serve as the source of inputs to the local development investment program. The second
type of outputs will be included in the legislative agenda of the Sanggunian.
On March 8, 2007, four national agencies, namely the DILG, National Economic
Development Authority (NEDA), Department of Budget and Management (DBM) and the
Department of Finance (DOF), collectively known as the Oversight Agencies (OAs),
approved and issued Joint Memorandum Circular (JMC) No. 001 series of 2007. The
fundamental intent of this JMC is to harmonize the guidebooks and manuals prepared by the
Oversight Agencies. The JMC defines the individual and joint roles and functions of the
Oversight Agencies in relation to planning, investment programming, revenue administration,
budgeting, and expenditure management. This is to facilitate the crafting by LGUs of a plan-
based budget, using tools and techniques and adopting strategies and approaches that
harness multi-stakeholder participation; establish and strengthen vertical and horizontal
linkages among the network of plans, investment programs and budgets at all levels of the
administrative hierarchy; and capitalize on the Local Government Code-mandated structure
– the Local Development Council (LDC) as the principal vehicle for planning and investment
programming activities.
In the ambit of this JMC, local planning at the city and municipal level focuses on the
preparation of the comprehensive multi-sectoral development plan, which springs from a
process that, at a certain point also yields a CLUP as a separate and distinct document.
The first is to emphasize the role of the local government units (LGUs) as partners of the
national government in national development and as collaborators and cooperators in local
development. The second is to establish the significant role of the province in formulating
development plans, policies and strategies that are built on the development concerns,
thrusts and programs of its component cities and municipalities, while ensuring that local
development goals and objectives are attuned with regional and national priorities.
The Relationship between the Province and its Component LGUs in the Plan
Formulation Process
In terms of vertical integration of plans, the Provincial Governor serves as the vital link of
LGUs to the national government by virtue of his/her membership in the Regional
Development Council. At the lower level, the power of automatic review of all policies and
actions of component LGUs by the Sangguniang Panlalawigan can be utilized to effect
reconciliation and integration between the plans of component LGUs and those of the
provincial government. The provincial government can also utilize its review and oversight
powers to resolve issues between adjoining municipalities.
NGAs can serve as coach or mentor on technical matters of their expertise in the following
planning tasks:
1. Building and maintaining the local planning database by generating sectoral data for the
updating of the ecological profile, processing of data to generate development indicators
for inclusion in the Local Development Indicators System, and assisting in the conduct of
impact monitoring and evaluation.
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2. Teaching and applying analytical and planning tools and techniques peculiar to the
sector to their local counterparts for the latter to be able to produce their own sectoral
plan. This sectoral plan may incorporate the particular thematic or system plan required
by the NGA.
4. Engaging in budget advocacy to encourage the LGU to give priority to local sectoral
programs and projects that will supplement or complement the effects of on-going or
proposed national programs.
An important adjunct to the JMC is a Synchronized Local Planning and Budgeting Calendar
(SLPBC). The SLPBC provides a guide for participation by the key actors in the planning,
investment programming, revenue administration, budgeting, and expenditure management.
The SLPBC lists down the deadlines and milestone dates for budgeting activities as
mandated by law. Then, planning and investment programming activities are “fitted’ into
or synchronized with the budget calendar to allow them to catch up with the budgeting
process. This is particularly important so that programs, projects and activities identified
to carry the LGU towards the attainment of its vision, goals and objectives are prioritized
in the 3-year local development investment program (LDIP), the annual investment
program (AIP), and in the local annual or supplemental budget. The calendar also
suggests the timelines during which the province and its component LGUs may conduct
activities jointly or independently but simultaneously, and the period when outputs of
such independently-conducted activities should be completed and consolidated at the
provincial level.
The calendar suggests the periods when complementation between the province and its
component cities and/ or municipalities can take place. It sets the stage for:
a. Establishing proper coordination between the province and its component LGUs to
ensure that their vision, strategic directions, goals and objectives as embodied in
their respective development plans are consistent and supportive of one another;
b. Soliciting and consolidating support for programs, projects and activities are
facilitated to redound to the mutual and/or common benefit of all LGUs within the
territorial jurisdiction of the province; and
c. The higher LGU to take cognizance of the priorities and needs of the lower LGU, and
vice versa.
The SLPBC provides avenues and suggests periods where and when NGAs and LGUs
can engage each other, especially in the matter of technical assistance, funding support,
inclusion of LGU priorities in NGA programs and projects and vice versa, as well as in
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the determination of legislative actions on the part of the LGU to support NGA programs
that will impact on the LGU.
The sets of manuals and guidebooks that the Oversight Agencies have developed to serve
as reference materials for local planning, investment programming, revenue administration,
and budgeting and expenditure management are intended to build the capacity of LGUs in
formulating their plans, investment programs, budgets and revenue administration
measures. The tools and techniques being offered in one manual or guidebook may also be
found in another. This may be construed as a reiteration of the desirability or applicability of
such tools and/or techniques for a particular phase or step in the planning, investment
programming, revenue administration, budgeting, and expenditure management process. To
some LGUs, going through all these manuals volume by volume, or chapter by chapter with
or without coaching assistance from the agency concerned may be an easy task. But to the
many others, such endeavor may prove to be tedious and daunting. To address this
concern, a cross-referencing guide has been developed. Part I of the guide lists down
various tools, techniques and methodologies that may be adopted in the various steps of the
planning, investment programming, budgeting and revenue administration process, and
indicating in what specific guidebook and manual these can be found; and Part II describes
or annotates each of these tools, techniques and methodologies.
The LDC is one of the two more important components of the planning structure; the
Sanggunian being the other one. They are the bodies that lay down policy guidelines and
take decisions regarding the direction, character and objectives of local development.
Together with the Congressman’s representative, they comprise the political component of
the local planning structure.
The most ample avenue for multi-stakeholder participation in local planning and
development is the LDC where non-governmental organizations are allocated one-fourth of
the total membership. The Code explicitly directs LGUs to promote the establishment and
operation of people’s and non-governmental organizations (POs and NGOs) as active
partners in the pursuit of local autonomy (Section 34, RA 7160).
The technical component of the local planning structure is composed of non-elective officials
of the LGU, particularly the LPDO, LGU department heads, local special bodies, sectoral
and/or functional committees of the LDC, chiefs of national government agencies stationed
in the LGU and private sector representatives. It is in the sectoral of functional committees
and/or other local special bodies where other stakeholders who did not gain accreditation as
members of the LDC can get to participate in the planning process.
The steps in the planning process where multi-stakeholder participation can be harnessed
are listed below.
Technical inputs in the areas of data generation, analysis and presentation are mainly the
responsibility of the technical component of the planning structure. The interpretation of the
data and the explanations and implications of information derived from the data, however,
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should be undertaken through broad consultative and participatory processes involving both
political and technical components of the planning structure and the general public.
This should be done with the political component and the general public. The technical
component only facilitates the proceedings.
This is the responsibility of the Local Development Council with inputs from its sectoral and
functional committees.
The approach to preparing the CDP and even the format in presenting the output may be
sectoral. The different components may be printed and bound separately so that they are
easier to handle and more convenient to use. The usual practice of presenting the CDP in
one thick volume appears to be intimidating and unattractive to untrained readers.
The Code also encourages LGUs to provide assistance, financial or otherwise, to POs and
NGOs that seek to undertake projects that are economic, socially-oriented, environmental or
cultural in character (Section 36, RA 7160).
Where POs and NGOs are able to marshal adequate resources of their own, LGUs are
enjoined to enter into joint ventures and similar cooperative arrangements with them. Such
joint undertakings may be for the delivery of basic services, capability building and livelihood
projects. These joint ventures may also include the development of local enterprises
designed to improve the productivity and incomes, diversify agriculture, spur rural
industrialization, promote ecological balance, and promote the economic and social well-
being of the people (Section 35, RA 7160).
Sectoral
To be truly comprehensive, the CDP includes all the five (5) development sectors and sub –
sectors, namely:
1. Social
a. Education
b. Health and Nutrition
c. Social Welfare and Development
d. Shelter
e. Public Order and Safety
f. Sports, Recreation, Arts and Culture
2. Economic
a. Primary
i. Agricultural Crops
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ii. Livestock
iii. Fisheries (Inland, marine, brackish)
iv. Forestry
b. Secondary
i. Mining and quarrying
ii. Manufacturing
iii. Construction
iv. Electricity, water, gas, utilities
c. Tertiary
i. Wholesale and retail trade
ii. Transportation and communication
iii. Finance, insurance and related services
3. Infrastructure
a. Economic Support
i. Irrigation systems
ii. Power generation (mini-hydro)
iii. Roads, bridges, ports
iv. Flood control and drainage
v. Waterworks and sewerage systems
vi. Telecommunications
b. Social Support
i. Hospitals
ii. Schools
iii. Public socialized housing
iv. Facilities for the aged, infirm, disadvantaged sectors
a. Lands
i. Lands of the Public domain
ii. Private and alienable and disposable lands
iii. Ancestral domain
b. Forest Lands
i. Protection forests
ii. Production forests
c. Mineral Lands
i. Metallic mineral lands
ii. Non-metallic mineral lands
e. Water resources
i. Freshwater (ground, surface)
ii. Marine waters
f. Air Quality
g. Waste Management
i. Solid waste
ii. Liquid waste
iii. Toxic and hazardous
5. Institutional
Planning Period
The timeframe of the CDP may be multi-year – from a minimum of three years for the short-
term to six years for the medium-term. It could even cover a longer period, but preferably in
multiples of three (3) years. The short-term slice equivalent to three (3) years may be taken
out to coincide with the term of the elective local officials so that it can serve as the basis for
their Executive and Legislative Agenda (ELA). Its timeframe is co- terminus with the term of
the elected officials so that after their term ends there is no need for the incoming officials to
“throw away” a plan that had expired. All that the new administration needs to do is formulate
its own 3-year ELA making sure that the successor plan is consistent with the CLUP policies
and will contribute to the realization of the multi-year development plan of the area as
embodied in the CDP.
The formal and substantive elements of the Comprehensive Development Plan include, but
are not limited to the following:
1. Preliminary Pages
2. Quick Facts about the LGU (Brief and preferably in bullet form only)
b. Geo-physical Characteristics
Location and Total Land Area
Topography
Climate
d. Social Services
Number of schools, hospitals, daycare centers
e. Economy
Major economic activities
Number of business establishments by industry sectors
f. Infrastructure
Transport and Utilities (major circulation network, sources of water and power supply and
communication facilities)
Administrative infrastructures (number of national government offices situated and
operating in the LGU
g. Environment
Solid waste management
General air quality
General water quality
h. Institutional Machinery
Political subdivisions (Number of Districts, Barangays)
Organizational Structure
a. Vision
b. Vision – Reality Gap Analysis
c. Cross-Sectoral / Special Issues and Concerns
d. Sectoral Development Plans
programs and projects in this sector are of the “soft” non-capital type but they are
as important as the capital investment or “hard” projects.
ii. Economic Development Plan – This embodies what the local government intends to
do to create a favorable climate for private investments through a combination of
policies and public investments to enable business and industry to flourish and,
ultimately, assure the residents of a steady supply of goods and services and of
jobs and household income. A very significant component of this sectoral plan is
the LGU’s support to agriculture and other food production activities and the
promotion of tourism programs.
iii. Infrastructure and Physical Development Plan – This deals with the infrastructure
building program and the land acquisition required as right-of-way or easements
of public facilities. The physical development plan may include proposals for the
redevelopment of old and declining sections of the locality, opening up new
settlement areas or development of new growth centers in conformity with the
chosen spatial strategy.
The outputs of each sectoral plan will serve as an input to the local development
investment program and to the legislative agenda of the Sanggunian.
a) Introduction
b) Goals
c) Objectives and Targets
d) Strategies
e) Programs and Projects
f) Proposed Legislations
g) Project Ideas of Project Briefs/Profiles
a. List of programs and projects with their corresponding costs to be funded from local
sources ranked by level or urgency
P a g e | 17
b. List of programs and projects with their corresponding costs to be funded from other
sources, i.e., province, national government, private sector, foreign donors, grants,
loans, etc.
6. Glossary of Terms
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The Local Development Council: The Local Government Code – mandated Planning
Structure
Sectoral committee members are drawn from various sectors of the community – the
academe, religious, business, government, non-government organizations, people’s
organizations and other civil society organizations. The suggested composition of the
Sectoral Committees is shown in Box 1.
In preparing the Comprehensive Development Plan (CDP), a planning team may be drawn
from the sectoral committees and organized as a functional committee for the duration of the
CDP formulation. Said functional committee should be de-mobilized or de-commissioned
once the CDP has been completed, endorsed by the LDC and approved by the Sanggunian
Bayan or Sangguniang Panlungsod (henceforth to be referred to as Sanggunian). It may,
however, be re – activated as a support machinery of the LDC for plan monitoring and
evaluation every year or after a 3 – year period.
The Local Chief Executive (LCE) as Chair of the LDC is in the best position to
determine the size and composition of the planning team. The minimum composition
of the core technical working group is suggested below:
a. Local Chief Executive or Mayor as the Chairperson and the Vice – Mayor as Co -
Chairperson
b. Local Planning Development Coordinator (LPDC) or representative from the
Local Planning Development Office (LPDO)
c. Department Heads
d. Sanggunian Committee Chairpersons of major sectors
e. Representatives of the majority and minority blocs of the Sanggunian
f. Representatives of the private sector and civil society organizations (CSOs)
P a g e | 19
3. PHYSICAL / LAND Municipal Engineer Electric Coop Representative Other interested groups and
USE Zoning Officer Water District Representative individuals
MPDO Staff Real Estate Developers
DEVELOPMENT LDC Representative (Brgy.) Professional organizations
LDC Representative (CSO) Telecommunications
Sanggunian Representative companies
Municipal Architect Academe
1.2 What are the factors for consideration in selecting planning team members?
The following criteria should be considered in the selection of the planning team
members:
a. Membership in formal and legally recognized LGU structures for planning such as
the:
i. LDC, which is the main body responsible for local development planning,
including its functional committees;
ii. Sanggunian, which has the mandate to approve local development plans
and budgets, including its sectoral committees;
c. Gender sensitivity – This will not only promote and ensure the understanding of
issues affecting women, men and other subgroups in the locality but also
manifest the LGU’s adherence to and support for Gender and Development
(GAD) mainstreaming efforts in the bureaucracy.
This set of criteria can be looked upon as basic considerations for planning team
selection. LGUs can, of course, add or substitute other criteria as they deem fit
given their respective situations and priorities.
1.3 What are the suggested qualities and qualifications of the planning team
members?
b. skills in:
i. planning,
ii. problem analysis,
iii. technical writing, and
iv. communications, and networking
i. poverty,
ii. environment,
iii. gender, and
iv. peace
Sphere of Influence - indicates the individuals, groups or sectors which a prospective planning team member
can influence or catalyze towards a productive or, even, an affirmative response to an issue or an undertaking.
Potential Contributions – the expertise or resources which prospective members can share towards the
completion, approval and adoption of the Plan.
The planning team may be organized according to the structure as shown in Figure
5:
The LDC shall set the course for the planning team. The LCE as chair of the LDC
necessarily takes the lead and guide the plan formulation effort. He/she may
however, designate a focal person, like the LPDC, to act like an operations or
P a g e | 22
executive officer who can take charge of the team’s day-to-day operations until the
plan is completed and approved by the Sanggunian. The Sanggunian, for its part
may also designate a counterpart from among its own members or from its sectoral
committees.
Figure 5
SECTORAL
COMMITTEES
a. Set and clarify directions for planning, setting development thrusts, strategy
formulation, and programs and projects prioritization;
b. Approve the Work Plan and Budget;
c. Designate the members of the planning team and define their functions and
assignments/tasks;
d. Monitor and oversee the conduct of team activities;
e. Resolve issues elevated by team;
f. Present the Draft CDP to the SB/P and to other stakeholders;
g. Ensure adherence to the work plan; and
h. Motivate the team.
P a g e | 23
a. Prepare the materials in connection with the presentation of the Work Plan and
Budget to the LCE and the SB/P;
b. Monitor the implementation of the approved work plan and budget;
c. Provide the LCE/LDC Chairperson and Co-Chairperson recommendations
necessary for the effective management of the Planning Team and its activities;
d. Elevate to the Chair/Vice Chair the unresolved problems and issues encountered
by the Planning Team; and
e. Ensure the proper documentation and management of the Planning Team’s
activities, working papers and outputs.
1.8 What are the roles and functions of the other planning team members?
a. Prepare the Work Plan and Budget of their respective sectoral committees;
b. Gather and review available plans and other secondary data sources required in
the development of the CDP;
c. Plan, coordinate and facilitate the conduct of various multi-stakeholder
consultation/validation workshops;
d. Assist the LCE in public hearings and other consultation sessions with the various
LGU stakeholders and affected sectors like the LGU offices, LDC, Sanggunian
and other sectoral organizations;
e. Assist the LCE and the LDC in drafting and finalizing the CDP to include the 3-
Year LDIP, the current year AIP and the ELA;
f. Draft, package and finalize the CDP;
g. Prepare presentation materials for various audiences of the CDP;
h. Assist the LCE in his presentation of the Plan to various stakeholders;
i. Assist in organizing other planning sub-committees that may be required to carry
out other planning activities such as communicating/popularizing the Plan,
mobilizing resources, monitoring and evaluation; and
j. Perform such other functions as may be required by the LCE towards the
completion, adoption, popularizing, implementing and monitoring the CDP.
1.9 What is the Role of the Sanggunian in the plan formulation process?
The CDP embodies the policies of the LGU. As the highest policy - making body in
the LGU, the Sanggunian needs to be involved more substantially in the planning
process. The Sanggunian is also expected to:
Their involvement in the CDP will also result in the following benefits:
CSOs have very strong potentials for supplementing or augmenting LGU efforts in
plan preparation process. They can:
1.11 What is the role of the Local Government Operations Officer (LGOO)?
The LGOO of the Department of Interior and Local Government (DILG) plays a
critical role. He shall:
Planning Scenarios
When the LDC and its sectoral and functional committees shall
have been mobilized for the purpose of preparing or revising Where no CLUP exists
the LGU’s medium– or short–term Comprehensive in the LGU concerned
Development Plan (CDP), the next step is to determine the and for that matter the
status of current plan documents. Two sets of scenarios, one
CDP also, the proper
on the Comprehensive Land Use Plan (CLUP) preparation and
another on the Comprehensive Development Plan (CDP) action is to prepare these
formulation, indicate the current state of planning in individual plans in their entirety.
LGUs and suggest the range of possible interventions needed
to improve the situation.
If the plan exists, however, the intervention could be determined by whether the existing plan
is compliant in form and content. The appropriate interventions are indicated in Figures 6 to
8.
C L UP
W IT H YES NO
ZO ? C O M PLIAN T? R EVI SE
NO
YE S
PRE PAR E ZO
YES
ZO M O N IT O R &
CO M PL IAN T ? EVA LU ATE
NO
R EVISE
WITH CDP
M &E
PREPARE ELA M &E
MAKE LDIP ITERATE INTO
W/IN CDP/LDIP ITERATE INTO M& E
ITERAT E INTO CDP PROCESS
PROCESS CDP / LDIP
LDIP
W IT H OU T P RE P ARE CDP
CDP & L DIP
WIT H A IP O NL Y WIT HO UT
W IT H E A / E L A
EL A
L E G E ND: S TA TU S I N T E R V E N T I ON
A CLUP and ZO are deemed compliant when it covers the entire territorial
jurisdiction of the LGU, (emphasis supplied) including its waters. The Local
Government Code of 1991 (RA 7160) explicitly states that, “the local government
units shall, in conformity with existing laws, continue to prepare their respective land
use plans enacted through zoning ordinances (underscoring supplied) which shall be
the primary and dominant bases for the future use of land resources…” (Sec. 20 (c),
RA 7160). The zoning ordinance, therefore, shall cover not only the urban or
urbanizable area of an LGU but the CLUP in its entirety, shall likewise comprise a
part and parcel of the said zoning ordinance.
P a g e | 27
1.15 What is the role of the LGOO under any of the planning scenarios?
b. In the assessment of the CLUP, the LGOO may coordinate with the Housing and
land Use Regulatory Board (HLURB) in the case of highly urbanized cities and
LGUs within metro Manila; and with the provincial land use committee (PLUC) in
the case of component cities and municipalities.
In the assessment of the CDP and LDIP, the assistance of the League of Local
Planning and Development Coordinators and its regional and provincial chapters will
be indispensable.
Developing the CDP is a challenging task and this cannot be done without the support of
elective officials. The following steps are necessary to help ensure a more collaborative
effort between the executive and legislative departments in the LGU as well as provide
impetus for the active participation of different stakeholders in the LGU.
b. Preparedness Check to assist the LCE and the SB/P assess the LGU’s capacity
and capability in preparing the CDP in terms of the availability of the following:
A maximum of four (4) hours should be enough to cover the salient points that the
LCE and the SB/P should know about the CDP formulation process.
The CDP preparation or revision should be The Synchronized Local Planning and
anchored on the local budget cycle so that the Budgeting Calendar (SLPBC), which
programs, projects and activities (PPAs) that
is a significant feature of the JMC No.
are listed in the plan can be included in the
001, suggests planning activities to
Local Development Investment Plan (LDIP), the
be undertaken within the first
Annual Investment Program (AIP), the Local
Expenditure Program (LEP) and the Budget of semester of an election year.
Expenditures and Sources of Financing (BESF)
and eventually, into the Local Budget or Appropriations Ordinance (AO). This is also
consistent with the updated Local Budget Operations Manual recently issued by the
DBM that emphasizes the link between the plan and the budget. (See Table 3 -
Synchronized Local Planning and Budgeting Calendar)
The short – term or 3 – year CDP or ELA rides on the term of the LCE and
other elective local government officials. Therefore, the orientation on
the preparation or revision of the 3-Year CDP or ELA should take
place immediately after the LCE is sworn into office, preferably not
later than the third quarter of the year of his/her election. This is because planning
should be harmonized with the Local Budget Cycle, so that the budgetary
requirements for the implementation of the plan can be incorporated into the AIP and
the Appropriations Ordinance (AO).
Whether the planning team members have had previous experience or not, training should
be undertaken prior to the start of plan preparation.
For an LGU which will be doing a CDP for the first time, the training will enable
the members to:
b. learn from some of the experiences in the past plan formulation exercises, so that
they can adopt the good practices and avoid the pitfalls that others experienced.
For an LGU which had previously undertaken the CDP, the training is an
opportunity for both old and new members to be introduced to the simplified sectoral
planning process.
P a g e | 29
There are two possible approaches in training the Planning Team, the choice of
which will depend on whether the team has undergone a previous CDP formulation
exercise or not. The session flow for a training program that incorporates said
approaches are contained in Figure 9.
ST
1 Week of PPDC sets guidelines Guidelines for Data Provincial Planning
January for data gathering Gathering and Development
Coordinators (PPDCs)
April to May
st
Updating of Indicative AIP (the 1 Local Development
appropriate Annual year of the LDIP in the Councils (LDCs),
Investment Plan (AIP) case of election year) LPDCs
in the Local
Development
Investment Program
(LDIP) as input to
budgeting
Approval of the AIP AIP for the Budget Year Local Sanggunians
P a g e | 30
PDPFP / CDP
st
1 Week of July PREPARATION
during Election
Year Reconstitution of the Timetable and tasking Local Chief Executives
LDCs for plan preparation / (LCEs)
updating
June 1 – July 31
during Election Prioritization of PPAs Prioritized PPAs LDCs, Local Finance
Year Committees (LFCs),
NGAs/ RLAs
June 16 – 30 or
st
1 Week of July BUDGET
during election PREPARATION
year
Not later than Preparation of the Budget Message and LCEs (Provinces, Cities
October 16 Budget Message and Executive Budget and Municipalities)
submission of
Executive Budget to
the Sanggunian
NOTE: Detailed activities will be provided through subsequent guidelines, including cross-referencing to the technical guides/ manuals such as
the Rationalized Planning System (RPS) – Comprehensive Development Plan (CDP) / Executive and Legislative Agenda (ELA),
Provincial/Local Planning and Expenditure Management (PLPEM), Updated Budget Operations Manual (UBOM) and Revenue
Administration.
For first time users, the indicative content of the Orientation Training Workshop (OTW) for
the Planning Team is shown in Box 1.2. For subsequent exercises, the contents of the
modules will vary slightly, especially in the conduct of visioning and the determination of
current reality. This will be discussed in subsequent chapters.
L EVE LI N G O F
EX P ECTATI O N S
TE A M W I T H
P R E V IO U S
C DP
E X P E R IE NC E ?
R E VIEW O F PAST PL AN
FO R M UL ATI O N
E X PE R IEN C E
U N D ER STAN D TH E
SI MP L IFI ED C D P
PR O C ESS
P R EPA R E W O R K PL A N
L CE / S AN GG U N IA N
H O UR
C L O SIN G PR O G R AM
P a g e | 34
Box 2
The participants will be oriented on the CDP and the ELA formulation process and trained on how to
use various tools and instruments, as well as the methodology for each step of the process. The
training program will contain five modules, listed as follows:
Module 1: Introduction
Session 1: Surfacing and Leveling of Expectations
Session 2: The Rationalized Local Planning System
Session 3: Understanding the Planning Team’s Structure and Functions
Session 4: Revisiting Past Planning Experiences
The culminating activity of the training program is the conduct of an LCE – Sanggunian Hour where
major potential problems that may be encountered during the planning exercise not identified earlier
can be discussed and addressed.
The entire CDP preparation is estimated to take at least four (4) months and two (2) weeks,
assuming that the planning process is targeted to also yield a CLUP. The timing of each
task is shown in Table 4 – Indicative Schedule of Activities. Should the LGU decide to focus on
the CDP formulation alone, this may be adjusted according to the pace of work of the
planning team and the sectoral committees.
1. Mobilization
The Planning Team will start mobilizing the members and prepare them to begin
work within two weeks upon approval of the LCE to proceed with the plan formulation
process. During this period, the Consultant will start with kick-off meetings with the
various sectoral committees.
P a g e | 35
During the kick-off meetings, the Planning Team Leader will review the work plan,
address other issues that might surface at this stage, and introduce changes if
necessary. The composition of the Sectoral Committees will be firmed up and the
necessary office orders issued by the LCE.
The mobilization period will likewise be devoted to the setting up of the various
project support and coordinating systems, like venue for workshops and public
consultations, project finance accounting and procedures, counterpart financing from
the various departments, if available or previously agreed upon, additional staff
support, etc.
2. Preliminary Assessments
During this period, the Planning Team shall conduct a preliminary assessment of the
current database of the LGU. Data available in the LGU that are kept in national,
regional, and provincial level agencies including additional thematic maps will also be
collected.
B. Plan Formulation Proper (Assumes that this also involves the preparation of both the
CLUP and the CDP)
This will be a one day affair. This activity shall be held to give the participants an
orientation on the planning process, concepts, and approaches, and the LGU’s
planning responsibilities as mandated by the LGC of 1991. This activity shall be a
venue in which the participants can seek clarifications on basic issues affecting their
LGU. This activity shall also orient the participants on updating their respective
databases. Assignment of tasks for project participants will be made in this
orientation.
The database available in the municipality will be reviewed and updated if necessary
in order to come up with the Statistical Compendium or Local Development Indicators
Matrix. Thematic maps available shall be also evaluated and additional maps shall be
secured from relevant agencies as needed.
3. Module 1 – Seminar-Workshop
This 3-day activity involves the use of the Statistical Compendium or LDIs to make
meaningful observations about the condition of the LGU. The participants will be
introduced to the techniques of sectoral and inter- and intra-area analysis, and to
work out the Problem-Policy Matrix. This will enable the participants to know their
area more intensely and thoroughly.
4. Module 2 – Seminar-Workshop
This 3-day seminar workshop shall require the attendance of the widest range of
representation among the stakeholders in the municipality. The most important
output of this workshop will be a new or revised vision-statement of the municipality.
Associated outputs will include the sectoral goals and objectives derived from the
vision-reality gap analysis.
P a g e | 36
This activity shall be conducted to select the preferred spatial strategy; to detail and
refine the preferred spatial strategy; and to formulate policies and implementation
tools including the draft zoning ordinance. This will be a 3-day intensive activity.
Attendance of all members of the SB is a must.
6. Finalization of Draft CLUP and Draft Zoning Ordinance (To be conducted if the
plan formulation process includes the preparation of the CLUP)
The Consultant shall take full responsibility for the finalization of these documents
including writing, text editing, and organization and enrichment of the contents. The
final outputs will be prepared in hard copy and digital format (CD).
This module aims to enhance the capability of the Local Development Council and its
sectoral committees in preparing sectoral programs, projects, and activities that the
LGU will implement during the 6 – or 3 – year scope of the CDP. The participants will
be assisted in identifying project ideas from the CLUP and the CDP. The project
ideas will be presented in a standard project brief format. The project briefs are
collected, screened, prioritized, and cost. They will be use as inputs to the Local
Development Investment Program (LDIP).
The members of the Local Finance Committee (LFC) will also be required to conduct
and demonstrate the analysis of time-series financial statements. This will be the
basis for projecting funds available for development projects over the planned period.
A one-day workshop on prioritization of programs and projects and the matching of
investment funds available with fund requirements shall be conducted among the full
membership of the MDC and the LFC.
WEEKS
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
A. MOBILIZATION
2. Preliminary Assessments
b. Area Economy
c. Infrastructure
e. Institutional Capability
P a g e | 38
WEEKS
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
6. Cross-sectoral integration
1. Vision Setting
2. Goal Formulation
E. FINALIZATION OF PLANS
1. Finalize CLUP
3. Finalize CDP
4. Finalize LDIP
3. Submission of the CLUP to the Provincial Land Use Committee for Review
1. What is a Vision?
It answers the question: How do you see your LGU in the future?
The terms “vision” and “goal” carry no substantial difference as both pertain to
the future. They differ only in form. A vision describes an end-state scenario
as though it were already attained. Hence, it is often stated in the present
tense or past participle. A goal, on the other hand, also specifies a desired
future state but does not assume that it is already attained. Hence, a goal is
normally stated in the form of an infinitive. Goal statements can be transformed
into a vision statement as in the example below.
A place where the population are distributed rationally and have access to
economic opportunities and social services, where the resources are optimally
utilized, and where the integrity of the environment is preserved and
maintained.
It is important for an LGU to set its vision because its serves as:
a. an end toward which all future actions specified in the plan are directed;
b. criteria for evaluating alternative strategies, approaches and policies; and
c. standard against which success of each action is measured.
P a g e | 41
A good LGU vision should not deviate from, but rather, be a local variation of the very
aspiration of the national government that LGUs, as political and territorial subdivisions,
attain their fullest development as self-reliant communities and become effective
partners in the attainment of national goals (Sec. 2, a. RA 7160)
A good LGU vision, therefore, must have two major components to reflect its dual
function as a political subdivision of the national government and as a corporate entity:
a. Desired role of the LGU or the best contribution it can make to the development of
the nation. This “outward-looking” component:
i. identifies the wider region to which the LGU relates or makes a unique or
substantial contribution; and
ii. defines the desired LGU’s role or roles the LGU will play in that region both at
present and in the future.
b. Desired state of the LGU as an environment for its inhabitants to live in and where
they can make a living. This “inward-looking” component defines the desired
conditions of the following:
Everyone in the community has a stake in setting the vision. The visioning exercise
should be a highly participatory process because it entails determining the desired state
or condition of the place where the people live and make a living. The LDC and its
sectoral and functional committees shall be at the forefront of the visioning exercise. The
technical and administrative aspects of the activity, however, shall be the responsibility of
the LPDO.
P a g e | 42
A vision must cover a fairly long time horizon. Therefore, the proper occasion for
drafting one is in connection with the preparation of the Comprehensive Land Use Plan
(CLUP). The CDP and other short – term plans must NOT have another vision
statement. Short-term plans should simply adopt the vision in the CLUP and must
contribute towards its eventual realization.
But if the vision is crafted during the CDP preparation process, the Synchronized
Local Planning and Budgeting Calendar suggests that the LGU vision may be formulated
or re-visited within the month of July during an election year.
There is no hard and fast rule in determining the process for developing a vision
statement. It may be done through one or a combination of the following:
a. household surveys,
b. barangay consultations,
c. seminar – workshops, and
d. interviews
If the city or municipality is crafting its vision for the first time, a series of
workshops or focus group discussions involving various stakeholders representing the
different development sectors and sub-sectors (social, economic, infrastructure,
environment and institutional), and as many societal sectors (women, indigenous
peoples, youth, business, academe, civil society organizations, religious, farmers, etc.)
as possible, may be conducted following the process suggested below:
a. Begin by explaining the meaning, importance and the characteristics of a good LGU
Vision.
b. Elicit from the participants ideas on what they would like their city or municipality to
be say, 12 to 30 years from now by posing trigger questions, such as the following:
i. What role do you like your city/ municipality to perform in relation to the “outside
world”, i.e., the province, the region and/or the country in general?
TIP: A technical working group may prepare the groundwork for consensus taking by culling out from
existing higher – level plans, laws, administrative issuances and related documents what role or function
these “outsiders” have envisioned for the city / municipality to play in the wider region.
c. Assign to sectoral committees each of the elements which correspond to the five
development sectors.
To capture the “inward – looking” component of the vision, the following trigger
questions may be asked:
i. What do you want your people to be? What are your aspirations as a people?
(Social Sector)
ii. What do you desire to be the state of your local economy? (Economic Sector)
iii. What do you dream to be the condition of your city’s/ municipality’s natural and
built environment? (Environment and Natural Resources and Infrastructure
Sectors)
iv. What do you desire from your local government? (Institutional Sector)
Box 3 – Example of a Vision Statement Crafted Based on the Vision Elements and Descriptors
who live in a balanced, attractive and safe State of the natural &
“Inward – environment built environment
looking”
and a globally competitive, diversified and Nature of the local economy
environment-friendly economy
e. Match the descriptors with the vision elements, as shown in the example below:
Success indicators measure the extent of achievement of desired results. They are
needed for both goals and objectives and can be expressed either quantitatively or
qualitatively. Indicators define how performance will be measured qualitatively or
P a g e | 44
People as a Society and as Individuals o God – loving, well – informed, healthy, self-reliant,
empowered, vigilant
In the absence of a vision statement or pending the formulation of one, the LGU may
consider adopting the general welfare goals as embodied in Section 16 of the Local
Government Code. In a workshop or focus group discussion, the participants, considering
one goal at a time, are asked: “What do you want to see occurring or happening in your
city/town if this particular general welfare goal is already achieved or operational?”
The list of success indicators are shown in Table 6 is a summary of outputs of workshops
conducted in many LGUs throughout the country. This can serve as a take off point for any
LGU. They can add other descriptors or remove from the list as appropriate.
Table 6 – Examples of Success Indicators for the General Welfare Goals (Cont’d.)
5. Improvement of public 5.1. Churches and other religious organizations actively involved in community affairs
morals 5.2. Community reading centers well equipped and widely used
5.3. Freedom parks established
5.4. Bulletin/billboards in public places
5.5. Properly located and regulated gaming and amusement activities
5.6. Transparency in government transactions an established practice
5.7. Venues for airing complaints and grievances available
5.8. Public awareness of safe sex at a high level
Table 6 – Examples of Success Indicators for the General Welfare Goals (Cont’d.)
8. Maintenance of peace 8.1. Adequate facilities for police services (police headquarters and police outposts)
and order 8.2. Well-appointed courts
8.3. Well-maintained jails and detention cells
8.4. Facilities to prevent drug abuse available
8.5. Rehabilitation centers for vagrants, beggars, street children, juvenile delinquents,
and victims of drug abuse in place
8.6. Legal assistance to paupers offered
8.7. Sports promotion and development consistently pursued
9. Preservation of comfort 9.1. Well provided access facilities for the handicapped and elderly in public places and
and convenience buildings
9.2. Clean functional public latrines
9.3. Public toilets well maintained
9.4. One-stop shops provided
9.5. Modern telecommunications systems available and accessible
The Ecological Profile is the primary reference document in determining the current reality in
the LGU.
Population is the basis for determining whether the level of public services like schools,
health centers, recreational facilities, power and water supply, is adequate/inadequate or
accessible/inaccessible.
The population can be regarded as subjects of development, i.e. they make things
happen, provide manpower, and accumulate knowledge, skills and know-how needed to
push civilization forward.
P a g e | 47
For planning purposes, however, focus will be on the sets of information that pertain to
population as objects of development, i.e. as representing demand for basic services
and facilities.
a. Population Growth is the effect of events that tend to add, or take away members
from the population such as births, deaths and migration.
i. Births and deaths cancel each other out. When the general state of health is
good and survival rates of infants and life expectancy at birth are high
because of advanced medical care available and accessible to the people,
the population is bound to achieve a net positive balance between births and
deaths resulting in net population increase.
For a better appreciation of the behavior of the population of the LGU, its
growth trend must be shown and compared with those in other
cities/municipalities in the province or the region.
e. Age Composition: “Young” and “Old” population – The population is said to be:
i. Expansive – where large numbers of the population are in the younger ages;
ii. Constructive – where a smaller number are in the younger ages; or
iii. Stationary – where roughly equal numbers of people are found in all age
groups with slight tapering off in the older ages.
P a g e | 48
f. Age Dependency Ratio – This indicates the extent to which those who are too young
or too old to earn a living depend for support on those who work.
In the Philippines, those who are below 15 years old are considered too young, and
those 65 years old and above too old, too work.
i. Health care is important for individuals below 15 years old, women of childbearing
ages (15-49), and the elderly.
ii. Education demand is highest from age 5 to age 20 then declines thereafter.
iii. Food demand is highest among young age groups, especially teenagers.
iv. Employment demand is highest among the working age population (15-64).
v. Housing demand peaks at ages when people start living independently or start their
own families
vi. Labor Force (15 – 64) will have to be provided with jobs
The social development sector is concerned with changes in the area or community
relative to the following:
Quality of life, status of well-being, and general welfare are synonymous terms. But
these concepts cannot be measured directly. In measuring the quality of life, the
usual practice is to use a composite of indicators covering specific sectors or
dimensions of welfare which more easily lend themselves to measurement. These
are embodied in the Local Development Indicators System.
P a g e | 49
One way of assessing the welfare status of the population is through the following
steps:
ii. Apply the allocation standards developed and used by the agencies that
provide these services to determine whether the study area is adequately
served or whether backlog exists.
iii. Use output or outcome indicators, such as morbidity rates, malnutrition rates
rather than input indicators such as number of hospitals, number of schools in
the area. This is due to the fact that, the mere presence or absence of a
service is not a reliable indicator of the state of well-being of the people in the
area.
Morbidity rates, malnutrition rates, maternal mortality rates and the like are
better indicators of health status rather than the number of hospital beds;
literacy rates, educational attainment, participation rate, rather than the
number of school houses, etc. are more meaningful measures of well – being.
The average household income is a good catch – all or proxy indicator of well – being because
its shows whether or not a family can afford the goods and services that the members need.
One may also use individual and family income as a welfare indicator although
normally it is treated as an economic indicator. It is because income determines
the ability of the individual or the family to procure the goods and services
he/she/they need that are available in the market. This is also the reason behind
the use of the poverty line (a concept that has a very strong income connotation)
as a benchmark for measuring the level of well-being.
The physical availability of social services does not automatically mean that the
citizens are well served. Some social services are not for free and therefore
access is determined by affordability. It is the concern of the social sector to
guarantee access to social services by the target population either by providing
adequate social services or by removing the different types of barriers to access
to these facilities and services.
It is a fact that the need for certain goods and services does not occur uniformly
throughout the lifetime of individuals and certain groups of the population. At
certain stages in their lives people require more of certain types of services than
they do others. The graph as show in Figure 10 - Time Relationship between a Birth
and Future Service Requirements) illustrates this fact and should aid in formulating
appropriate sectoral policies and programs of intervention.
P a g e | 50
Figure 10- Time Relationship between a Birth and Future Service Requirements
Source: __________________________________________________
c. Social justice
The Constitution defines social justice as the “preferential treatment for the least
advantaged groups and areas”. Article XIII calls for the “enactment of measures
that protect and enhance the right of all the people to human dignity, reduce
social, economic, and political inequalities, and remove cultural inequities by
equitably diffusing wealth and political power…” (Sec. 1, Philippine Constitution).
The principle of social justice requires that the distribution of income, wealth, and
command over society’s resources should be such that the:
Thus, it is crucial to find out if the preferred priority laws and policies that need to
be enacted are those that:
i. recognize the right of labor to its just share in the fruits of production and
of enterprises to reasonable returns on investment (Sec. 3, Philippine
Constitution);
ii. encourage the just distribution of agricultural lands and at the same time
respect of the rights of small landowners (Sec. 4, Philippine Constitution);
iii. protect the rights of subsistence fisherfolk, landless farmers, and
indigenous people to preferential use of lands, waters and other natural
resources (Sections 5-7, Philippine Constitution);
P a g e | 51
Local planners must also be familiar with relevant and applicable techniques of analysis
that will aid them in identifying points of entry or areas of intervention by the local
government.
Examine if:
a) the benefits of prosperity are not concentrated in the hands of the few
privileged sectors of society;
P a g e | 52
b) there are programs, projects and legislative measures that seek to promote
full employment as the principal redistributive mechanism;
c) there are mechanisms available for direct transfer payments such as
unemployment insurance or substantial non-wage benefits like subsidized
health, education, housing and other social services.
The economic sector is also concerned with making available in sufficient quantities
the food requirements of the local residents. Taking off from the existing level of self-
sufficiency in various food commodities as determined in the profile, the economic
sector planners shall decide on what level of sufficiency will be targeted. This will in
turn determine how much will be produced locally and how much will be procured
from outside. The Food and Nutrition Research Institute (FNRI) provides the per
capita requirement per year of the following food commodities:
c. Determining the relative size of each sector (Please refer to 9.2 (a) of the Guide to
Ecological Profile)
E (Secondary) + E (Tertiary)
Level of = _____________________________ X 100
Urbanization
E (Primary + Secondary + Tertiary)
A ratio below 50% indicates that the place is still predominantly rural;
A ratio above 50% shows that the place is considered urban.
P a g e | 53
By comparing two ratios between two census years, the direction of change is
indicated, whether the area is:
Decisions can then be taken whether to speed up, slow down or maintain the
pace of urbanization depending on the development vision of the local
leadership and the residents.
d. Determining Structural shift in the local economy – Structural shift in the local
economy is shown by changes in the relative share of each sector to the total
economy over time. (Please refer to Section 9.2 (d) of the Guide to Ecological
Profiling)
The principal question that the LQ seeks to answer is: To what extent are certain activities or
characteristics of the area economy associated with other selected activities or characteristics; and
how does this association compare with those of the larger area as a whole?
If the LQ is greater than 1.0, the town is more specialized than the
province as a whole in that type of economic activity.
If the LQ is less than 1.0, the town is less specialized in that activity or
sector than the province as a whole.
If the LQ is equal to 1.0, the activity is equally important in both the town
and the province.
f. Identifying Linked Activities – The data on specialization can also be used to identify
other activities which might be promoted in the locality. This is to diversify the
economy by promoting businesses that have various forms of linkages with the
specialized activity. (Please refer to Section 9.2 (f) of the Guide to Ecological
Profiling)
P a g e | 54
Backward and forward linkages are known as production linkages. The others may
be referred to as distribution or as trade and services linkages.
The advantages of additional industries locating in the area over the short – term and
in the long run are described in the model shown in Figure 11 based on the theory of
cumulative causation or “spread effects” formulated by Gunnar Myrdal.
LOCATION OF NEW
INDUSTRY
D evelopme nt of e xterna l
Expansion of local economies for for mer’s Prov ision of better
employment and population production infrastructure for population
and industr ial development –
roads, factory site s, public
utilities, health a nd
Deve lopment of ancilla ry educational services, e tc .
Increase in local pool of industry to support former
traine d indus trial labor with inputs, etc.
g. Money Flow Theory – Another way of understanding the local economy is to assume
the following:
ii. both inlet and outlet valves are open at the same time.
P a g e | 55
B ox 4
M o ney F lo ws in the L oc al Eco no m y
INFLOW T RANSACT IONS OUTFLOW TRANS ACTIONS
• IRA • Mun. share to P rov in ce
• S alaries of NGA • Outside purcha ses of
personn el in t he loc ality government & HHs
• OF W Remittances • School expenses of loc als
stud ying elsewhere
• E xp ort s ales of local
products • Pro fit s of inv estors
remitt ed elsewhere
• Receipts from tour ism /
services t o others • Imports o f loc al bu siness
• Inbound inv estments • Salaries paid to workers in
the loc ality who live
elsew here
M A G N IT U D E O F S TO R A G E
S C E N A R IO S H A R D LY A N Y S TO R A G E S T O R A G E IS S IZ E A B L E
N O PO SS IB IL IT Y F O R T H E N OT A GU A R A N TE E TH A T T H E
I M P L IC AT IO N
E C O N O MY T O G R O W L O C AL EC O N O M Y W IL L G R O W *
• In cr e a se th e m a g n i tu d e & • E n c o u ra g e l o c a l sa v in g s
r a te o f i n flo w
P O S S I BL E • P ro m o te in v e s tm e n ts b y lo c a l
I NT E R V E NT IO N S • D e cr e a s e th e m a g n i tu d e & s a ve rs in th e a re a e i th e r in th e
r a te o f o u tflo w p r o d u ct io n o f g o o d s & s e r vi ce s , i n
d i str ib u tio n & fa ci li ta ti o n o f
• A d o p t b o th m e a s u re s a t
c o n s u m p tio n & e ve n i n fi n a n c ia l
th e sa m e ti m e
m a r ke ts .
* M on ey th at is “ s to re d” do es n ot gr ow . Fo r i t to gr ow , i t m us t
c i r c ul ate . M on ey ac q ui r es a dde d v a lu e e v er y ti m e i t c h an ges h an ds .
The amount of water that is stored in the tank at any time is the net of the
inflow and outflow. There is net storage when the inflow is greater than the
outflow; no storage is possible when the outflow is equal to or greater than
the inflow.
Similarly, there are transactions that lead to either an inflow of money into or
an outflow of money from the local economy.
Because almost all programs and projects that this sector will identify and
propose will impact strongly on the use of land and other natural resources, this
sector should:
a. The preferred spatial strategy or urban form. Ask the following questions:
g. Are civil works properly designed and located to minimize the adverse impact
and degradation and to help preserve the integrity of the environment? For
example, are there water impoundments, river bank stabilization and similar
structures to help modulate the fury of nature and protect it from itself?
Section 17 of the Local Government Code provides a comprehensive list of
infrastructure facilities that should be provided by barangays, municipal, city
and provincial LGUs. The infrastructure sector shall use this as a template to
ascertain the completeness of coverage of the sector and the
appropriateness of the programs and projects that they will propose.
4.2 Using Map Overlay Analysis in Analyzing the Physical and Spatial Base
Map overlay or sieve analysis is the process of putting two or more thematic
maps on top of each other. Use this to:
Problem areas or “decision zones” can surface and they should be brought up for
resolution by the proper authorities either within the framework of the CLUP or
outside of it. This type of analysis can also determine the direction of growth of
the built up areas of the locality.
The supply of land in terms of quantity and quality needs to be assessed because
this will indicate to what extent land and other natural resources are an opportunity
or a constraint to future development.
To measure land area, the dot grid or planimeter may be used, whichever is
available. The use of computers will be an advantage. If there are inconsistencies
in land areas, especially pertaining to territorial boundaries of the municipality and
the barangays, these should be noted by the political authorities of disputant
LGUs, with the aid of cadastral surveys or through inter – agency consultations.
Only political authorities and the courts have the power to settle boundary
disputes.
Box 5
CRITERIA FOR ASSESSING EXISTING INFRASTRUCTURES
1. Appropriateness – This can be determined by matching the type of infrastructure available with
the level of settlement in which it is located and with the service area and population the facility
is intended to serve.
2. Adequacy – This has to do with the capacity and quality of the infrastructure in relation to
demand for its use.
3. Level of utility – This refers to the extent to which the facility is put to use.
a. Physical terms – This refers to either distance or travel time, including travel cost from the
user’s point of origin
b. Design and quality of construction of the facility – Flashy and stylish designs and
sophisticated equipment are normally associated with high income and high social class
clientele and may screen off the low income groups from availing of such services and
amenities.
Shown in Table 9 are the different ecosystems adopted under the Philippine
Agenda for Sustainable Development in the 21st Century (PA 21).
P a g e | 60
IMPLEMENTED STRENGTHEN
PROPER LY IMPLEMENTING
AGENCY
STILL SO UND DEFICIENT
LEGISLATION IMPLEMENTATION
INCREASE
NEEDED SANCTIONS FOR
NOT
IMPLEMENTED VIOLATORS
AT ALL
REPLACE
STRENGTHEN
IMPLEMENTING
EXISTENT DEFECTIVE REPEAL AGENCY
AMEND
INADEQUATE REPLACE
FOREST ECOSYSTEM LOWLAND/ URBAN ECOSYSTEM FRESHWATER COASTAL MINERALS / MINING BIODIVERSITY
AGRICULTURAL ECOSYSTEM ECOSYSTEM
ECOSYSTEM
1. Protected Forest 1. Croplands 1. Built – up Areas 1. Surface waters 1. Mangroves 1. Metallic minerals 1. Wild flora
a. Primary growth, a. Cereals (food a. Residential a. Rivers 2. Marshes, swamps a. Base metals 2. Wild fauna
closed canopy, and feed crops) b. Commercial b. Lakes and wetlands b. Precious metals a. Endimicity
virgin b. Other food crops c. Industrial c. Reservoirs 3. Sand dunes 2. Non – metallic b. Rarity
b. Second growth with c. Industrial or d. Institutional d. Other 4. Seagrass beds minerals c. Threatened
<50% slope or cash crops e. Utilities and impoundments 5. Small islands, a. Sand and gravel d. Endangered
>1,000 elevation infrastructures atolls b. Rock quarry
6. Coral reefs c. Marble quarry
d. Coal mining
e. Guano
The principal concern of the sector is to see that the local government officialdom
and bureaucracy are properly tooled up and primed up to manage local growth
and change. The Institutional Sector, like the calyx to the flower, coordinates,
integrates and supports the other sectors through various mechanisms and
arrangements.
i. Are the functions and responsibilities of the office clearly defined and
delineated so that overlaps with other offices are avoided or minimized?
ii. Are there other functions performed by the LPDO which are outside of its
mandate?
iii. Whether mandated or not, are these functions consistent with the
traditional functions expected of a local planning office, vis-à-vis long –
and short – term planning, land use control and regulation, research and
planning data base management, project impact monitoring and public
information?
ii. How accessible is the LPDO to the political authorities and the
communities?
iii. How large is the LPDO personnel complement according to the
plantilla? Does the size permit an internal structure with differentiated
functions?
iv. If there is already an organizational structure, what is the basis of
dividing the office into sub – units? Does the structure adequately cover
the functions of the office? Draw an organizational chart of the LPDO.
v. Are the plantilla positions filled with personnel with the appropriate
qualifications? If not, why? What critical vacancies exist?
i. What is the fiscal balance of the LGU for the last three years? Is the
LGU operating on a balanced budget or on deficit spending?
ii. What is the level of self- reliance of the LGU? Does it show an upward
or downward trend for the last three years?
iii. What are the top sources of local revenues? Are these sources being
tapped optimally?
iv. What is the pattern of local expenditures? Does the LGU keep within
the limits prescribed by law?
v. What is the record of the LGU in terms of debt servicing? Does it incur
arrearages?
vi. What part of the budget goes into development investment?
vii. Is there a private investment incentive ordinance in the LGU?
i. What is the total output of the Sanggunian since the start of its term? Of
this body of legislative output how many are ordinances and how many
are resolutions?
ii. Of these resolutions and ordinances, how many are (or what is the
proportion of) intended to maximize utilization of local resources? How
many are purely for “socializing” purposes? How many deal with
regulating certain activities and land use? A tabular presentation will be
helpful.
iii. Does the Sanggunian consult the plan or the planning bodies when
crafting legislation? Do the Sanggunian members make an effort to join
sectoral and functional committees of the LDC?
iv. Are the Sanggunian sessions open to the public? Are the views of
ordinary citizens sought actively as inputs to the legislative process?
How?
h. On Inter-Government Relations
i. Are national agencies operating locally coordinating with the LGU in the
implementation of their programs and projects? Do they comply with
the Codal provision on mandatory consultation?
P a g e | 65
iii. Status of well-being of the population. The CBMS adopts either output or
outcome indicators such as child morbidity rates, malnutrition rates,
educational attainment and participation rate. These indicators can
provide a direct, more accurate and meaningful measure of well-being.
In addition, the household income has been added as a good catch-all
indicator of well-being because it shows whether or not a family can afford
the goods and services that the members need for sustaining a good
quality of life. The information generated and analysis derived using
CBMS does not only regard the community population as a whole, but
more importantly it can mirror the status of well being of its members.
CBMS-generated data can guide the LGUs in their decisions to address
poverty by developing specific interventions for identifiable target
beneficiaries in particular locations.
The LGPMS has the ability to add qualitative dimension to statistical quantities generated in the system.
P a g e | 66
By using the Display Data Utility of the LGPMS Reports Generation Module,
the actual status of an LGU, as well as the level of its performance pertaining
to that indicator against national standards given a particular indicator, is
determined. The LGU may therefore use relevant LGPMS data to add
qualitative dimension to the statistical data in the ecological profile. As a direct
input to the LDI System, LGPMS-generated information also allows the
process of making further observations and exploring the implications of
these observations.
For example, under the Health and Nutrition service area of the Social
Services performance area one of the outcome indicators is the percentage
of malnourished children. This is defined as the “percentage of moderately or
severely underweight children aged 0-5”, represented by the formula:
Also, by using the Display Data utility of the LGPMS Reports generation
module, the raw data (number of malnourished children and total number of
children aged 0-5) and the result (actual percentage of malnourished
children) can be seen. In addition, though, LGPMS assigns the LGU a
performance level value based on the computed percentage vis-à-vis certain
defined standards, to wit: 5 (very high) – 0-1%; 4 (high) – 2-4%; 3 (medium) –
5-10%; 2 (low) – 11-15%; and 1 (very low) – 16-100%1.
Thus, the LGU is able to see not only the raw data and result for a given
indicator, but is able to gauge its level of performance pertaining to that
indicator as against national standards. For instance, while a five percent
malnutrition rate may seem acceptably good for some LGU planners and
policy-makers, the LGPMS performance level value associated with that
figure (3 or medium) would indicate that the said figure is still not that high by
national standards.
The LGU may also use an indicator’s performance level value to compare
itself with other LGUs (vis-à-vis the provincial or regional average, for
instance) to see its own relative standing.
The advantage of deriving issues from LGPMS results is that the issues
surfaced are based on largely verifiable data that relate to the general welfare
mandate of LGUs, rather than being mainly based on perceptions that may be
subjective and highly “political”.
1
The LGPMS rating schemes for the different indicators can be found in the LGPMS technical notes.
P a g e | 67
The LDIS, if properly constructed is most useful in the diagnosis of development issues.
This process is known as problem – finding analysis. The problem finding analysis
involves a 3 – step process:
i. Compare data indicators in two points or periods of time and note whether
there has been an increase, decrease or no change in the figures over time.
ii. Compare data/ indicators across two spatial or geographical units and note
whether the figure for one unit is higher, lower, or the same as the other.
iii. Compare the data/indicator for your study area with any known national
standard or with a selected benchmark.
The logic of the problem-finding and solution-finding analysis using the LDIS as
the basic source of information can be summarized in the scheme shown as
Table 10 (Sample Output of Problem – Solution Finding Analysis).
Land Classification Over 84% of total Small area devoted to Work for release of
land area is agriculture & other some forestlands
Area of alienable forestland with crops into A & D
& disposable (A & some areas Small taxable areas
D) land is very probably (low income for the Accelerate
small misclassified municipality) cadastral survey &
Occupants of untitled titling of A & D
lands are considered lands
informal settlers &
have no security of
tenure
Investors hesitate to
develop untitled lands
Water is a Absence of Dangerous especially Embark on massive
common means roads and during rough seas road and bridge
of transport bridges Slow and poor mobility building
among Barangay
connecting to Cannot be relied upon Maintain a municipal-
far flung during emergencies government
residents barangays Limited capacity for operated ferry
large volumes of service that is multi-
goods and products to purpose
be transported Construct a pier for
safe, reliable docking
Problem analysis is a useful tool in further analyzing the issues and problems
that need to be addressed in the locality. It utilizes the information derived from
the database and the local development indicators (LDI) that have been aptly
organized for planning purposes. A list of issues and concerns are identified and
from these, key issues can be generated that are to be addressed in the CDP.
The output of the problem analysis provides the basis in determining relevant
programs, projects, policies or legislations that will respond to the identified key
issues and concerns. (see Figure 14)
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The Problem Tree is a visual representation of how problems are linked and
interrelated in a situation. It defines which appear to be causes and effects of an
identified core problem and the other problems that appear to result therefrom.
This, however, depends on the availability of data and information.
The series of “problem trees” summarizes the issues and concerns, problems
and constraints identified in the sectoral and inter-sectoral workshops. The
problems are organized into cause-effect relationships with the lower boxes
representing the causes (“roots”) and the boxes above are effects (“foliage”). All
problems and issues are presented from the perspective of the local government
(institutional sector) the easier for it to identify the appropriate intervention
measures.
Using “metacards,” list all the problems. One card per problem. Formulate
each problem as a negative condition.
From among the listed problems try and agree on which is the cause and
which is the effect. Differentiate between an immediate cause and a
remote cause.
The convergence point for all the problems identified is referred to as the
“core problem” and becomes the over-riding concern that will have to be
addressed
Verify the cause and effect relationship and agree on the soundness and
completeness of the problem tree.
there is a need to measure more or less accurately the difference between the end state
and the existing situation or the vision – reality gap.
The vision-reality gap is the “space” or “distance” between the desired state of the area
by sector, and the current situation of the sector/s. Gap analysis gives policy makers in
the LGU the information they need to make better informed decisions when identifying
priority areas for intervention.
A vision – reality gap is determined by conducting a vision – reality gap analysis. This
type of analysis shows:
a. how large the difference is between the vision or ideal state of the LGU and the
existing situation; or
b. how near the current situation in the city or municipality is to the vision as defined by
the constituents and the LGU.
It takes off from the results of the visioning exercise and the data generated in the
ecological profile and the Local Development Indicators.
From the vision descriptors and success indicators identified in the visioning exercise,
ratings can be assigned to describe the degree of attainment or non-attainment of a
particular vision element
i. If quantified values for both the success indicators and their equivalent indicators
in the accomplished LI Matrix are available, simply subtract the current reality
values in the LDI Matrix from the success indicator values. The difference is the
vision – reality gap.
ii. If the quantified values are not available, use the simple rating scale below to
indicate current reality. The rating should be determined through a consensus.
Then subtract the current reality rating from ten (10). The difference is the vision
– reality gap.
N No data available
For example:
If sectoral studies on the Institutional Sector show that there is an inequitable distribution of
LGU manpower because some offices are overstaffed while others are understaffed; and
that graft and corrupt practices are still prevalent, a rating of “1” may be given for the
success indicator “Competent and professional local officials and personnel”.
It shows that the vision – reality gap is that wide – 9 points in a 10 – point scale. This means
that very little, if at all, has been achieved of the vision of a decent local bureaucracy.
A. Social Goals
Healthy Child mortality rate 0 Child mortality rate is increasing during a six year period
Another way of determining the gap is to deduct the current rating from the desired rating.
For example, the LGU envisions a 100% reduction in malnutrition rate. If the current
situation shows that the malnutrition rate is, say, 40%, then the LGU still has to exert more
efforts to totally wipe out malnutrition.
Healthy 100% reduction in malnutrition 40% malnutrition rate The LGU still has to exert more efforts
citizenry rate to totally wipe out malnutrition.
B. Economic Goals
Vibrant Number of new investments 8 New investments have more than doubled
economy
Goal formulation or the process of determining what the people want their city or municipality
to become is often considered the most important step in the planning process. A badly
conceived goal cannot lead to a good plan. Worse, without goals, any move that people
make is at best only an aimless rambling, a directionless locomotion.
Goals are the translation of an organization’s vision into more concrete and measurable
terms. They are simply clearer statements of visions that specify the actual
accomplishments that need to be achieved if the vision is to become a reality. They are
the end toward which design or action tends.
Sectoral goals are the desired end – results that are the same, or derived from, the
particular element of the vision statement that pertains to a specific sector. Such
consistency is necessary to ensure that every policy and action (programs, projects,
P a g e | 74
activities, legislative and other regulatory measures) formulated in the CDP will
contribute to the realization of the vision.
IF YOU KNOW WHERE YOU’RE GOING, YOU WOULD KNOW HOW BEST TO GET THERE, AND HOW
NEAR OF FAR YOU ARE TO THAT DESTINATION AT ANY POINT IN TIME
a. As an end toward which all future actions specified in the plan are directed.
b. As a set of criteria for evaluating alternative strategies and approaches
c. As a standard against which the success or failure of each action is measured.
4.1 Universal concept of Public Interest - This is a broad concept that can be broken
down into smaller components such as the following:
i. Public health and safety – This can be promoted in at least two ways in the
plan:
a) Regulations, or prevention of conditions injurious or hazardous to the
physical well – being of the community;
b) Developmental measures or provision of services and facilities for the
promotion of improved health and safety by planning for and building them
into the physical environment.
ii. Convenience – This is a function of the circulatory system, i.e. the proper
positional arrangements and relationships between and among different land
uses, and varying intensities of land development so that the movement of
goods and people that they generate and attract is on the whole, efficient.
iii. Economy – This is related to convenience in the sense that while convenience
pertains to physical ease of movements, economy translates physical ease to
efficiency or the least costly way of carrying out one’s activities.
There is, however, no direct fit between the nine (9) general welfare goals and the
five development sectors. Success indicators for each general welfare goal can be
the concern of more than one development sector.
For example:
P a g e | 75
For General Welfare Goal No. 4 – “Encouragement and support of appropriate self
– reliant technology”, the success indicators identified can be distributed to the
different development sectors as shown in Table 13:
Box 7
GENERAL WELFARE GOALS (Section 16, RA 7160)
Table 13- Sample of Finding the Development Sector for Success Indicators
c. Technology research and dissemination program for the Economic and social sectors
use of indigenous resources and the reuse of recovered
waste materials consistently pursued.
General Welfare Goal Most Relevant to the Land Use/ Infrastructure Sector,
include but not limited to:
4.3 Regional Physical Framework Plans (RPFP) – These are another source of long –
term goals. The general goal of each RPFP is to “achieve such a spatial
arrangement and location of land use activities that would:
These are very general and timeless goals that probably are acceptable to the
widest spectrum of society. But they should be restated in terms more appropriate
to the local area.
4.4 National Policies - The following NFPP goals or vision and principles may be
adopted by local areas but they must be rephrased to reflect the conditions and
circumstances at local levels.
4.5 Local Communities – The ultimate source of development goals for local
communities should be the local residents themselves. These goals are derived
by means of participatory processes. Although the final form in which these goals
will be stated is for planners to determine, planners should be careful not to
substitute their own values and perceptions for those articulated by the people.
For all intents and purposes the formulation of sectoral goals starts with the visioning
workshop where the different groups (corresponding to the development sectors)
generated descriptors for their assigned vision element and success indicators for each
descriptor generated
a. The planner’s or the technocrat’s goal technically derived proceeds from a thorough
analysis of the problems and issues using the following formula:
b. Another form of technocrat’s goal follows the dictum that a “Goal is the inverse of a
problem”. It is uses the following formula:
1
GOAL = Problem
Looking back to the vision – reality gap, treat the gaps as problems. Then, invert or
negate the problems to become goals as illustrated in Figure 15.
c. Goal formulation may also be undertaken using the long method, where the Issue-
Driven Planning Process (Figures 16 and 17) is used as a framework following these
steps:
There are various ways of eliciting people participation in the goal formulation process.
Each has its positive and negative points as shown in the Table 14.
Objectives and targets should be specific, measurable, attainable, realistic, and time-
bound (S-M-A-R-T).
For example:
“To develop a competent and professional LGU officialdom and personnel as shown by
an effective and efficient bureaucracy and morally upright government workers…”
perhaps what can be done in the next 3 years is limited to reforming the bureaucracy to
increase its effectiveness and efficiency. In addition, recruitment of new staff may be
improved.
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Squatting Some settlements still Children/ youth High dependence on paid Corruption Incidence of
continues to exposed to play in the streets indoor recreation prevalent drug abuse
exist environmental hazards
Absence of Existence of many Most pre-schools & all Limited space for Weak promotion of Weak moral
permanent private hospitals colleges are privately-owned public recreation culture & arts values
housing body
Squatting Settlements located Playgrounds provided for Reduced dependence on Corruption stopped Drug abuse
stopped in hazard-free areas children/youth paid indoor recreation or minimized eliminated
Housing concerns Indigent families Scholarships offered to Heightened appreciation for Cultural artifacts
addressed adequately served indigent students local culture & arts preserved
regularly
Permanent housing Existence of public Public & private pre-schools Ample space for Sustained promotion Strong
body created & private hospitals & colleges established public recreation of culture & arts moral values
Figure 16
GAPS TO GOALS: LOGICAL FRAMEWORK
IMPLICATIONS WHEN
UNRESOLVED
POLICY OPTIONS
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Sectoral Goals
• Sectoral Profiles/ Studies
Policy Responses
Issues/ Observations (Creating
New Information)
Programs/ Non-Projects/ Legislations
Projects Services
Extracting Intelligence
National NGAS
Private LDC/
Sector SANGGU
Strategy Options
Sectoral Goals
Household survey Can reach people directly Requires more manpower and logistics to
undertake; can elicit narrow and parochial
concerns from respondents.
Barangay consultations More efficient because they involve only Can elicit narrow and parochial concerns from
representatives of people and sectoral groups; participants
few contiguous barangays can be batched
together; allow participants to join in
discussions of issues
Seminar - workshops More systematic and purposive; more Lack of direct participation of the community
selective in terms of participation; have better
quality of outputs
The goal of having morally upright elective officials however, cannot be achieved in 3
years because it entails not only electoral reforms but also social and moral reforms
among the electorate.
Using the illustration above, some of the examples of objectives/targets are listed below:
b. To restructure the organization of key offices on the last quarter of the first year
based on the findings of the O&M study.
c. To improve the recruitment policy to put emphasis on the moral uprightness of
potential appointees during the first quarter of the second year.
d. To conduct moral recovery seminars among LGU employees at least once every
quarter.
The sectoral objectives and targets, when properly formulated will themselves suggest
the appropriate programs and projects needed to carry them out.
9. What is the function of Community – Based Monitoring System (CBMS) in goal and
objective setting?
The analysis of CBMS results makes way for the identification of goals that are more
aligned with the general welfare provisions of the LGC, setting of more focused
objectives and sector-specific and spatially oriented targets.
The LGPMS contains 107 indicators that correspond to the performance and service
areas. Classified into input, output and outcome indicators, they can serve as
convenient and practical ways of measuring the desired results based on the goals and
objectives set. The annual “movements” of these indicators can serve as an objective
basis for setting or adjusting annual targets to make them responsive and realistic.
The “rating schemes” under this system can also be used as a reference for defining
goals, objectives and setting targets. These are quite useful as it sets definitive
quantitative and qualitative parameters that relate to certain national standards, thereby
helping make targets more meaningful and relevant.
For example, the LGU may have pinpointed “poor infant and child health conditions” as
one of the priority issues/problems to be addressed in its CDP. Thus, one of the CDP
objectives under the Social Development sector would probably be “Improvement of
infant and child health conditions.” If the particular manifestations of the problem
situation include, for instance, high infant mortality rate, high malnutrition rate among 0-5
age group, and low child immunization rate, the targets for the objective would relate to
these specific concerns.
11. What other tool can be used in the development of goals and objectives?
A specific tool that can be used in the development of goals and objectives is the
objectives analysis. Objectives analysis is a tool in which the hierarchy of problems is
transformed into a hierarchy of objectives. It utilizes a diagram called objectives tree that
identifies means-ends relationships between and among the objectives. The objectives
tree describes the scenario after solving the problems. (See sample in Figure 18)
P a g e | 82
REDUCED DAMAGE TO
CROPS
KAINGIN PRACTICES
REDUCED FLOODINGCONTROL OF SMALL
PREVENTED SCALE MINING
KAINGIN CONTROL OF
PRACTICES SMALL SCALE
MEANS
PREVENTED MINING
FORST LIVELIHOOD
COMMUNITIES PROJECTS
ORGANIZED PROVIDED
Once the sectoral objective and targets are formulated, identifying policy responses or
transforming goals into actions will also be clear – cut and uncomplicated. This is the next
step in the planning process where the means by which the desired results are achieved will
be identified.
Policies are guide to actions to carry out the objectives or achieve the targets. Policies
can take the form of:
Regulatory measures may take the form of resolutions or ordinances enacted by the
Sanggunian or executive and administrative orders issued by the Local Chief Executive.
They should be taken in both their positive and negative dimension.
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a. Positive regulation involves giving encouragement and rewards for acts that are
socially desirable and those that help promote the general welfare.
Example:
i. Private investments
ii. Taxation - positive to the general populace to whom the benefits of improved
services accrue
b. Negative regulation entails prohibiting and penalizing some acts deemed inimical to
public interest.
Example:
PLAN
Programs and projects are the bases for determining the level of public investments
needed to be appropriated for in the LGU’s annual budget.
Services or “non – projects” are interventions that can be included among the regular
functions of a given office to be performed by the regular staff of that office using its
existing facilities and budget. These interventions need not be included in the LDIP but
are carried out through the maintenance and other operating expenditures (MOEE) of
the relevant offices or departments.
Table 15 shows the conceptual difference between programs/ projects and service/ ”non-
projects”.
There are, however, possibilities under which a service or “non – project” may be
upgraded into a project as shown in Figure 19:
RETAIN AS
NO NO YES REGULAR
SERVICE
001 1.1.1
1 00 10 Develop
1 01 0 gravity
110 1 irrigation
00 01 0 100 1 01 1
1
1.1.4 Promot e use of certified seeds
5
2.1.1 Encourage competition
2.1.2 Regulate prices
One good source of programs / projects/ services and legislation is an objective or policy
tree that had been transformed from a problem tree. (See Figure 20)
Note that there are at least three approaches or strategies to increasing farming
household incomes:
Each strategy has its own set of program components and for each program any number
of project and services components can be identified. (See Table 7
ADEQUATE HH INCOME
Post-harvest facilities Irrigation system Competitive pricing Higher educational Investors attracted
put up constructed of traders attainment of parents
6. What other tools can be used for identifying policies, programs and projects?
The CBMS and LGPMS-generated analysis of the community and LGU’s situation can
provide the bases for identifying programs, projects, policies and strategies for
development.
The data generated from CBMS can also be used in developing evidence-based policy
and similar interventions. Programs and projects as well as legislative measures can
constitute a significant component of the CDP or the ELA of the LGU.
The LGPMS information are useful in guiding the incumbent elective local officials and
other stakeholders in the process of prioritizing programs and projects including
legislative measures, and in getting their commitment to support the implementation of
these priorities. The results from the latest cycle of the LGPMS, for example, can be
used as a point of reference in the prioritization of issues, formulation of objectives,
firming up of targets.
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The principal instrument for implementing the Comprehensive Development Plan (CDP) and
to some extent, certain aspects of the Comprehensive Land Use Plan (CLUP) is the Local
Development Investment Program (LDIP). The LDIP links the plan to the budget, thus
putting into effect the directive of the Code that “local budgets shall operationalize approved
local development plans (sec. 305, i, RA 7160). Like the CDP, the LDIP should have a time
frame of 3 years.
1. What is the Local Development Investment Program (LDIP) and the Annual
Investment Program (AIP)?
The Local Development Investment Program (LDIP) is a document that translates the
CDP into programs and projects and selects those that will be picked up by the LGU for
funding in the annual general fund budget or through special fund generation schemes.
As provided for under Joint memorandum Circular No. 001 series of 2007, issued by the
DILG, NEDA, DBM and DOF, the Annual Investment Program (AIP) is defined
according to purpose:
a. For planning and investment programming purposes, it is the annual slice of the
LDIP, referring to the indicative yearly expenditure requirements of the LGU’s
programs, projects and activities (PPAs) to be integrated into the annual budget.
b. For budgeting purposes, it constitutes the total resource requirements for the budget
year, including the detailed annual allocation for each PPA in the annual slice of the
LDIP and the regular operational budget items broken down into Personal Services
(PS), Maintenance and Other Operating Expenses (MOOE) and Capital Outlay (CO).
The LDIP should have a time frame of at least three (3) years.
Using Sec. 17 as template therefore it is possible to identify projects that are owned by
the LGU and only such projects should be included in the LDIP
Investment program in public finance is a program for utilizing the investible portion of
the local development fund.
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The investible portion of the local development fund is that component of the
development fund which will be earmarked for financing the priority programs and
projects in the AIP; while the remaining portion will go into financing the costs of
functions and services of the different LGU offices and departments.
The local development fund is that portion of the local budget that is “plowed back” to
the people in the form of programs, projects and services. It consists of the following:
The 20% of IRA share is NOT the only source of development funds. It is intended to be
the floor, not the ceiling, when it comes to determining the LGU’s development fund.
The local development fund DOES NOT INCLUDE that portion of the local budget which
is consumed by the local government machinery for salaries, wages and other personnel
costs, office maintenance and other operating expenditures, and office capital outlay.
The local development fund is conceptually illustrated in the following pie chart.
OFFICE MOOE
S TATUTORY
OBLI GATI ONS
Non-Office CAPITAL
OUTLAY
LEGEND
Available for
Investment
Not Ava ilable
Investment in LGU finance is what remains after deducting all expenses necessary to:
It is a regular outlay that has to be funded whether or not excess over operations
(savings) is realized.
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Investment programming in the context of the LGU’s planning and development function
involves generating the programs and projects derived from the detailed elaboration of
the CLUP and the CDP. Specifically, this form of public spending will modify, guide,
direct, control or otherwise elicited the desired private sector response in order to
accelerate local economic development, raise the level of socio-cultural well-being,
improve the standard of public services, utilities and infrastructures, and, on the whole,
attain the desired urban form in the CLUP and the general welfare goals of the CDP.
Investment programs must be spatially, rather than merely sectorally focused. The
projects must therefore be selected not only for their potential to satisfy sectoral
requirements but also for their impact on the direction and intensity of urban growth
geared toward the realization of the desired urban form. Some examples of investment
projects are listed below:
Before the actual preparation of the LDIP, certain activities have to be undertaken
first:
Step 1: Using the suggested form (Form 1) below call for and compile project
ideas or proposals taken from any or all of the following sources:
a. CLUP or CDP
b. Sectoral and functional committees
c. LGU departments/offices
d. National government agencies
e. Private sector and civil society organizations
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a. Go through all the files of the individual projects and check for
identical or similar project descriptions, objectives, intended
beneficiaries, location, etc.
b. Consolidate projects with identical or near-identical descriptions,
objectives, intended beneficiaries, location, etc. but retain the names
of the proponents.
c. Remove from the list project proposals that are obviously impractical
or undesirable, e.g., and international airport in a remote and rural
area.
d. As a general rule, a project idea that is be considered “obviously
impractical or undesirable” should also be removed if there are
reasonable doubts on whether it really is.
e. Delete from the list proposed projects which are identical to, or are in
fact projects to be funded by other sources e.g. central or regional
offices of government line agencies.
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AGRICULTURE Agricultural Extension & on- Extension & on- Same as those
support services, site research for site services & of provinces &
e.g. Planting agriculture, facilities including municipalities
materials fishery, livestock & control of pests &
distribution, farm poultry (mainly diseases
produce seed production & Dairy farms,
collection, buying distribution) livestock markets,
station Quality control of animal breeding &
copra artificial
Improvement & insemination
development of centers
local distribution Assistance to
channels, e.g. farmers &
cooperatives fishermen
Inter-barangay organizations
irrigation Transfer of
Systems appropriate
Soil & water use technology
and
conservation
Enforcement of
fishery
laws in municipal
waters
Conservation of
mangroves
HEALTH Maintenance of Maternal & child Hospitals & other Same as those of
barangay care tertiary health provinces &
health center & Control of services & municipalities
day care center communicable facilities
Services & & non-
facilities communicable
on general hygiene diseases
& beautification Access to
Solid waste secondary &
collection tertiary health
services
Purchase of
medicines,
medical
supplies &
necessary
equipment
Solid waste
disposal system
Services &
facilities related
to general
hygiene &
sanitation
INFRASTRUCTURES Communal
irrigation,
simple water
impounding
projects, etc.
Fish ports
Artesian wells,
spring
development,
rain water
collection
systems, etc.
Seawalls,
dikes, drainage
& sewerage &
flood control
Traffic signals
& road signs
JUSTICE & Maintenance of Sites for police & fire Provincial jails Same as those
PROTECTIVE Katarungang stations & substations of provinces &
SERVICES Pambarangay Municipal jail municipalities
FORM 2 – PROJECTS INCLUDED IN THE RANDOM LIST, INITIAL LIST AND PRELIMINARY LIST
PROJECT
FILE NO. RANDOM LIST OF INCLUDED IN INITIAL LIST INCLUDED IN PRELIMINARY
PROJECTS LIST
(1) (2) (3) (4)
INSTRUCTIONS:
1. Column 1 – List the project file No. of all projects listed in Column 2
2. Column 2 – List all projects identified in Step 2, Stream 1.
3. Column 3 – List all projects passing the initial screening. Projects excluded from the list are those found to be repetitive or
redundant, obviously impractical or undesirable, and those that are already funded by other offices, agencies or
organizations.
4. Column 4 – Indicate whether a project is included in the preliminary list resulting from the use of Conflict-Compatibility-
Complementarity Matrix (Form 3)
INSTRUCTIONS:
1. Indicate the relationships among the proposed projects.
a. If the relationship is one of conflict, mark the appropriate cell with “X”. The relationship is one of conflict where the
expected benefits of the projects tend to nullify each other, or when the implementation of one obstructs the
implementation of another.
b. If the relationship is one of complementarity, mark the appropriate cell with an “O”.
c. If the relationship is one of compatibility, or if it is neutral, leave the cell blank.
2. Remove from the initial list projects which conflict with many or most of the other projects.
3. Projects which conflict with some but are compatible or complementary with others may be reformulated to resolve the
conflict/s.
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Table 19
Criteria for Determining Level of Urgency
Necessary Projects that should be carried out to meet clearly defined and anticipated needs
Projects to replace obsolete or unsatisfactory facilities
Repair or maintenance projects to prolong life of existing facilities
Acceptable Projects that can be postponed without detriment to present operations if budget cuts are necessary.
Deferrable Projects recommended for postponement or elimination from immediate consideration in the current
LDIP
Projects that are questionable in terms of over-all needs, adequate planning, or proper timing
Step 6: Prepare project briefs Projects which are classified as “Urgent” should
be prepared in the format of a project brief and submitted to the LDC in
plenary. (See Box 8 - Contents of a Project Brief) A sample Project
Brief follows.
Name of Program:
Socialized Housing and Resettlement Program
Brief Description: This program involves the development of 3 hectares of the 20-hectare
site in Bonuan Boquig into housing units for the homeless and the less
privileged.
Program Phase 1
Components: 1. Land Acquisition 6 months
2. Plan Preparation 12 months
Survey
Documentation
Detailed Architectural Engineering
Community Organization
Social Preparation
3. Program Implementation 18 months
Proponents: City Government -Task Force on Housing, CMO, CEO, CPDO, NHA in
partnership with the Private Sector
Justification: The less privileged, particularly men and women living in danger zones
such as river easements, railroad tracks, near open dump sites, etc.
shall have the opportunity to safe and decent housing.
Stream 1 – This involves the preparation of a ranked list of programs and projects
with their individual and cumulative cost estimates.
Stream 2 – This has to do with determining available funds for investment; and
C
Chart designed by: Prof. Ernesto M. Serote
P a g e | 100
The ranking of proposed projects included in the preliminary list resulting from the
pre-LDIP activities allows for social and political considerations to be inputted into the
project identification and prioritization process. It facilitates the trimming down and
modification of the project list in subsequent streams of the LDIP process. For these
purposes, a Goal Achievement Matrix (GAM) is utilized.
The Goal Achievement Matrix (GAM) is essentially a listing of the LGU’s social
and political goals, weighed according to the local administration’s priorities and
commitments and consensus – based sectoral goals set by the community. The
extent to which proposed projects contribute to the attainment of these goals is
then estimated.
Step 2: Select any ten (10) or more projects as may be determined by the LDC
from the preliminary list of projects submitted by the sectoral committees
which are classified as “Urgent”.
a. Make sure your projects are really projects, not services, not
legislation.
Step 3: List the 10 or more projects corresponding to the numbers in the GAM
Form. (See Table 20 - Sample GAM Form 1 and Table 21 - Sample
GAM with Inputs from One Societal sector)
Step 4: Based on the perceived importance of each goal to the interests of the
sector a group represents, assign weights to each goal. The numerical
total of the weights should be 1 or 100%.
Step 6: Multiply the rating you gave by the corresponding weight of the goal and
enter the product (score) in the appropriate cell. Add the scores for each
project proposal. Then add all sectoral group scores as presented in the
summary of GAM scores. (See Sample GAM Form 2 and Table 23 -
Example of Summary of Societal Ratings)
Step 7: Finally, arrange projects according to their total scores. The project with
the highest total score is ranked as number one, the next number two,
and so on. Two columns for estimated costs are displayed. One column
shows the individual cost of each project and the other reflects the
cumulative or running total.
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Table 21 – SAMPLE GAM FORM WITH INPUTS FROM ONE SOCIETAL SECTOR
PROJECT NUMBER
GOAL
WEIGHT 1 2 3 4 5 6 7 8 9 10 11 12 13 14 16 17 18 20 21 22 23 24 25 26 27
1 0.12 0.24 0.12 0.24 0.00 0.36 0.24 0.24 0.24 0.24 0.12 0.36 0.24 0.12 0.36 0.24 0.00 0.36 0.12 0.12 0.36 0.24 0.24 0.12 0.24 0.24
2 0.12 0.24 0.36 0.24 0.24 0.24 0.24 0.24 0.36 0.24 0.12 0.36 0.24 0.24 0.36 0.24 0.24 0.24 0.24 0.24 0.24 0.24 0.24 0.24 0.24 0.24
3 0.11 0.22 0.22 0.11 0.11 0.22 0.22 0.22 0.22 0.22 0.11 0.22 0.33 0.22 0.11 0.22 0.22 0.22 0.11 0.22 0.11 0.22 0.22 0.22 0.22 0.11
4 0.10 0.10 0.10 0.10 0.20 0.20 0.20 0.10 0.10 0.20 0.10 0.10 0.20 0.10 0.10 0.20 0.10 0.30 0.11 0.00 0.10 0.10 0.10 0.20 0.10 0.10
5 0.11 0.33 0.11 0.00 0.00 0.11 0.11 0.22 0.33 0.11 0.11 0.11 0.22 0.00 0.33 0.11 0.00 0.11 0.00 0.11 0.33 0.00 0.11 0.11 0.11 0.22
6 0.11 0.22 0.11 0.22 0.22 0.33 0.22 0.22 0.22 0.33 0.22 0.22 0.22 0.33 0.22 0.33 0.11 0.11 0.22 0.00 0.22 0.22 0.22 0.11 0.11 0.22
7 0.11 0.11 0.11 0.11 0.22 0.22 0.11 0.22 0.22 0.22 0.22 0.22 0.22 0.22 0.22 0.33 0.22 0.11 -0.11 0.00 0.11 0.11 0.22 0.11 0.22 0.11
8 0.12 0.12 0.00 0.12 0.12 0.12 0.22 0.24 0.36 0.24 0.12 0.24 0.24 0.24 0.24 0.12 0.12 0.24 0.12 0.24 0.24 0.12 0.12 0.00 0.00 0.12
9 0.10 0.10 0.20 0.20 0.20 0.20 0.20 0.20 0.20 0.20 0.10 0.20 0.30 0.20 0.10 0.20 0.20 0.10 0.00 0.20 0.20 0.20 0.20 0.20 0.20 0.10
Total 1.00 1.68 1.33 1.34 1.31 2 1.76 1.9 2.25 2 1.22 2.03 2.21 1.67 2.04 1.99 1.21 1.79 0.81 1.13 1.91 1.45 1.67 1.31 1.44 1.46
Step 8: Estimate project cost. The cost of each project must first be estimated
before the list of proposed projects can be matched with the estimated
available funds (Stream 2). For some projects, cost estimates may
already be available as may be shown in their project briefs. In this
case, the LPDO only needs to validate or refine the estimates. A ranked
list of proposed projects with cost estimates and other information may
be shown using Form 4.
COST ESTIMATE
RANK PROPOSED PROJECT/ FILE NO. LOCATION / SECTOR INDIVIDUAL CUMULATIVE
1
2
3
4
5
6
7
8
9
10
The LDC, in close coordination with the LPDC, should undertake the required financial plan development for
consideration and approval of the Sanggunian.
P a g e | 103
INSTRUCTIONS:
1. List all sector scores for each project.
2. Sum the scores for each project and list the total score in the column provided.
3. List the rank of each project based on the total scores in the last column.
Interpretation: The resulting ranking represents the collective evaluation of the project proposals by the LDC.
19 merged with 10 0
22 Moral Renewal & Capability Building Program 1.91 1.55 2.67 2.02 2.49 1.45 1.13 1.22 1.22 15.66 10
24 River Study Project 1.67 1.95 2.82 2.12 1.26 1.4 2 2.18 1.28 16.68 6
25 Water Quality Monitoring and Assessment 1.31 1.55 2.13 1.86 1.26 1.5 1.73 0.78 1.28 13.4 18
28 Socialized Housing and Resettlement Program 2 2.38 2 1.9 2.3 2.07 2 2.42 2.37 19.44 1
The Local Finance Committee, composed of the LPDC, the Budget officer and
the Treasurer, is charged with the setting of the level of the annual expenditures
and the ceilings of spending for economic, social and general services based on
the approved local development plans. (Sec. 316 (c), RA 7160).
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The number of public projects that an LGU can finance depends on the following:
Step 2: Collect appropriate operating expenditure data including existing debt service and
determine historical trends.
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1. Enter Assessed Valuation in Column 1a and the property tax Revenue Collected in column 5a.
2. Enter the Tax rates in Column 2a and 2b and enter the total in Column 2c.
3. Multiply the Assessed Valuation (Column 1a) by the Total Tax Rate (Column 2c)
4. Compute the Tax Collections as % of Levy (Column 4), by dividing the Total Property Tax Revenue (Column 5a) by the Tax
Levy (Column 3a).
5. Compute the % change over the preceding year and enter the results in the appropriate columns.
(Note: The exercise will require 3 – 5 years of historical data to be used as the basis for a 3 – year projection.)
INSTRUCTIONS:
1. Enter the amount of revenue from each source in the appropriate column.
a. Operating and service income covers public markets, slaughterhouses and other LGU economic enterprises.
b. IRA refers to the Internal Revenue Allotment.
c. All others include Other Grants, and inter-government and inter-fund transfers.
2. Compute the % change over the preceding year and enter the results in the appropriate columns.
(Note: The exercise will require 3 – 5 years of historical data to be used as the basis for a 3 – year projection.)
2. Compute the % change over the preceding year and enter the results in the appropriate columns.
The amount of debt service payments for existing and other anticipated
LGU obligations must be established and compared to the relevant, if any,
statutory debt service ceilings. The suggested form (Form 8) may be
used for this purpose.
INSTRUCTIONS:
1. Simply compile the total debt service requirements for local general debt obligation for each of the 3 – year
projection period for all LGU obligations from existing accounting records.
2. Enter these amounts in the appropriate columns.
1. Distinguish between recurring revenue sources and non-recurring ones. The LDIP needs a stable source
of financial resources that depend on revenue sources which are assured of being collected every year.
2. Distinguish between the impact on revenue volume of the:
a. Changes in the tax base, such as increases in the number of taxable structures or business; and
b. Changes in tax rates
3. Take into consideration an unusually large increase in particular revenue source for a particular year which
may be attributed to:
a. Change in rates,
b. New system of billing and collection, or
c. Other procedural and systems improvements, e.g., granting of tax amnesty, enactment of new tax
laws and ordinances
Increases attributed to the above cannot be expected to continue in the future. Therefore, their impact
must be segregated in the analyses.
Step 4: Project future recurring revenue and operating expenditure levels. Future
recurring levels can be projected based on a careful assessment of all
probable factors that affect each revenue source.
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INSTRUCTIONS:
1. Enter the Projected Assessed Valuation in Column 1 and the estimated Collection as % of Levy in Column 4.
2. Enter the tentatively Projected Tax Rates in Columns 2a and 2b and enter the total in Column 2c.
3. Multiply the Projected Assessed Valuation indicated under Column 1 by the Total Tax Rate Column in column 2c to obtain
the Total Tax Levy and enter the result in Column 3.
4. Multiply Column 3 by the Collection as % of Levy as shown in Column 4 and enter the result in the Total Property Tax
Revenue in Column 5.
Note: In developing this revenue base for preliminary testing, different assumptions may be used regarding the
projected tax rate. For example:
1. The current tax rate can be used for the entire projection period; or
2. Some change in the tax rate can be assumed over the projection period depending on the adopted LDIP financing package.
b. Business fees and licenses, other taxes, services and operations, and
all others can be projected using either the historical growth rates
(with or without adjustments) or using computed elasticities and
assumed per capita income growth rates. (See Form 10 for Sample
Projection form for these revenue items)
In using either of the two techniques, factor into the projections the
effects of political and organizational developments within the LGU on
the future growth of various departments.
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PROJECTED BUSINESS FEES OTHER TAXES SERVICES & IRA ALL OTHERS PROJECTED
RAL PROPERTY & LICENSES OPERATIONS TOTAL
TAX REVENUE
INSTRUCTIONS:
1. Project business fees and licenses, other taxes, services and operations, and all others using either the
historical growth rates (with or without adjustments) or using computed elasticities and assumed per
capita income growth rates.
2. Get the RPT projection from Form 10.
3. Enter the sums of Columns 1 -4 and enter the result in Column 5.
Step 5: Compute the financial surplus available for the financing of new
investments.
After determining the future revenue inflows and the corresponding revenue outflows, the
new investment financing capacity of an LGU can be established.
P a g e | 111
GROWTH SCENARIOS • Assumes that the present level of financial variable will continue to
the foreseeable future.
• Uses a constant absolute amount based on a recent year or on the
NO CHANGE average over a certain number of years.
• May be used if the historical trend analysis indicates little or no
change, and if there is no reason to expect change in this pattern.
• May also be used to provide a conservative estimate on an uncertain
revenue source such as grants and aids.
CHANGE BY
CONSTANT • Assumes yearly changes based on constant amounts.
AMOUNTS
Box 10
COMPUTING NEW INVESTMENT FINANCIAL CAPACITY
OF AN LGU
Projected Revenues
INSTRUCTIONS:
1. Item No. is to be taken from Form 10.
2. Item No. 2 is to be taken from Form 11.
3. Item No. 4 is to be taken from Form 8.
FIGU RE 24
Step 2: LDC approves the ranked list of projects - The LDC, through a vote
or resolution approves the ranked list of projects with their
individual and aggregate cost estimates.
FIGURE 25
FINAN CING
APPROA CHES
.
CO NSE RV AT IVE DE VE LOPMENT AL PRAG MATIC
AP PROAC H A PP RO ACH AP PROA CH
O nly pro j ects tha t ca n T h e sh o rt li st of T hi s is a co mbin atio n
be fun d ed fro m reg ular p ro jec ts is taken as of the tw o o pti on s.
so urc es will be fin al an d irre du cible.
im plemen ted . T h e L GU w ill th en tap
all so ur ces po ss ib le to
raise the n eed ed fu nd s
to impleme nt the
p ro je ct p ack age .
Figure 26
a. Identify areas for complementation of PPAs between and among provinces and their
component cities/municipalities
b. Exercise by the Sangguniang Panlalawigan of its power of automatic review of all
policies and actions of the component LGUs d to effect reconciliation and integration
of programs, projects and activities.
c. Province may develop and undertake joint programs or augment the financial
resources of its component cities and municipalities in implementing programs and
projects that have significant impacts on the province as a whole; and
d. The province may enjoin component cities and municipalities to provide counterpart
resources to implement programs and projects initiated by the province that have
significant impacts on the entire province.
In accordance with the provisions of JMC No. 001 series of 2007, the “LDC shall cull out
the AIP from the current slice of the LDIP, which upon approval of the Sanggunian, shall
serve as the basis for preparing the Executive Budget. The LDC shall endorse the AIP
to the local budget officer for the budget preparation and in determining the annual
budgetary allocations for PPA vis-à-vis allocations for other purposes as indicated in the
AIP Summary Form. (See Table 25)
P a g e | 118
SUMMARY FORM
Table 25
CY ____ Annual Investment Program (AIP)
By Program/Project/Activity by Sector
As of ____________________
Province/city/Municipality/Barangay___________________________________________
AIP REFERENCE CODE PROGRAM/PROJECT/ACTIVITY DESCRIPTION IMPLEMENTING STARTING COMPLETION EXPECTED OUTPUTS FUNDING SOURCE Personal Services Maintenance and Capital Outlay Total
OFFICE/ DATE DATE (PS) other Operating
DEPARTMENT Expenses (MOOE)
(1) (2) (3) (4) (5) (6) (7) (8) (9) (10) (11)
General Public
Services
(10)
Instructions: this form shall be prepared by the Planning and Budget officers of the local government unit based on the approved Local Development Plan of the LGU as approved by the Sanggunian. The annual
components of the Capital Expenditure (Capex) shall be inputted by the planning Officer and shall be integrated by the Budget Officer together with the Personal Services (PS), Maintenance and Other Operating Expenses
(MOOE) and other Capital Outlay (CO) into the total resource Annual Investment Program as the basis for the preparation of the Annual Budget.
Economic Services
(80) Column 1: Indicate the reference code for the sector/sub-sector as per UBOM in order to facilitate consolidation of requirements.
Column 2: Describe briefly the program/project/activity to be implemented and accomplished by the LGU (i.e. infrastructure projects, programs or activities)
Social Services
(30)
1. What is capacity?
a. Individual capacity which refers to the knowledge, skills, attitudes and values of
individual employees;
2
CIDA-LGSP
3
Ibid
P a g e | 120
The CapDev Program outlines the capacity development strategies, programs and
initiatives that need to be undertaken to address identified organizational competency
gaps, indicating the target groups, specific approaches that are recommended,
resources required and the timeline. It requires that the implementation period of the
program also covers the 3-year term of the local chief executive that also coincides with
the term-based plan of the LGU, or the ELA, which should, in turn be the basis for setting
the annual priorities of the LGU as articulated in the annual investment plan.
If the capacity development plan focuses only on human resource development, then it is
referred to as Human Resource Development (HRD) Plan. The HRD plan is a
component of the broader CapDev Program, the latter encompassing other elements
comprising the organization.
At the individual level, or HRD, capability enhancement is not only confined to training.
There are other modes to enhance the skills and knowledge of people in an organization.
These include:
a. coaching,
b. mentoring,
c. exposure trips/exchange program, etc.
At the organizational level, capacity development interventions may include the following:
f. Assign roles and responsibilities to achieve the goal and the capacity objectives.
By its very nature, capacity assessment may appear threatening to some LGU staff
and constrain them from giving accurate information. It is therefore important
that LGU department heads are thoroughly oriented on and understand the process
as they are the key informants.
Table 26
Sample Format of a Capacity Development Plan
Example 1: Computerization of real Treasurer’s Office, Revenue collection 1 year, treasury staff
Increased own- property tax Assessor’s Office from RPT increased
source revenue by ___%
Example 2: Training of rural health Rural health Upgraded knowledge 2 weeks, all rural health
Improve access of workers workers and skills of rural workers in the LGU
the poor to quality health workers on
primary health primary health care
care services
If capacity improvement measures are integrated in the design and budget of sectoral
programs and projects, the budget and operational plan for capacity development, e.g.
training, should be part of the overall plan, annual budget and the three-year investment
plan for the particular program goal. This keeps all the program activities that need to
be carried out, as well as the budgets, together and makes implementation and
accountability clearer. This also reduces the vulnerability of capacity development or
HRD budget from being totally slashed should there be budgetary constraints within the
LGU.
At the same time, there may be good reasons for wanting to see capacity improvement
interventions in one place. For example, many training interventions may be proposed,
and rather than having them scattered and uncoordinated, it may be more efficient to
bring them together under the responsibility of the HRD person or to integrate them into
the LGU’s HRD plan or Development Administration/Institutional Development section
of the CDP. This strategy however puts the plan at high risk of being the first to go, as
has been the practice of many LGUs as it is given the least priority.
nature of a deficiency if such exists, and how it might be addressed. The strategies
and actions to address the deficiency/ies would form part of the LGU’s Capacity
Development Program.
b. SCALOG – The use of SCALOG takes off from a strategic plan of an LGU such as a
Comprehensive Development Plan (CDP) or an Executive and Legislative Agenda
(ELA). It presupposes that any effort to improve LGU capacity should be geared
towards contributing to the attainment of development objectives and goals outlined
in these LGU plans. Using SCALOG as a tool is to ensure that the Capacity
Development Program will help define the necessary capacity requirements for
effective and efficient implementation of the
The legislative requirements of the CDP are the priority legislations that need to be
enacted by the Sanggunian to support development priorities of the LGU in the medium
– and long – term. These may include new legislation as well as amendments and
updates to existing legislation.
For example, if the LGU is undertaking an Investment Promotion Program, there may be
a need for a legislation to amend its existing Investment Code. An example of legislative
requirements to support the goals and objectives, as well as the programs and projects
are shown in Table 27 (Sample Table of Legislative Requirements).
The needed legislative measures to support the implementation of programs and targets
aimed at achieving the goals, objectives and targets set for the 3 – year term of the LCE
and the Sanggunian members comprise the legislative agenda.
a. It is the primary tool of the Sanggunian in performing its role as the legislative body of
the LGU.
b. It serves as a roadmap to guide them in the formulation and enactment of
appropriate ordinances and resolutions during their term of office. Necessarily, the
LA should have a timeframe of three (3) years consistent with the term of office of the
sanggunian.
This will be entered in the 3 – year CDP, or the Executive and Legislative Agenda
(ELA).
3. What is the link between legislative requirements and the legislative agenda?
Figure 27 shows the link between the CDP legislative requirements and the 3 – year
legislative agenda which bears part of the Executive and legislative Agenda (ELA). The
figure shows that only a portion of CDP legislative requirements can be picked-up by the
Sanggunian for their three - year LA which in turn forms part of the ELA priority
legislative requirements.
Figure 27
Legislative requirements are determined after sectoral objectives and targets shall have
been set, that is, during the development of policies, programs and projects that are
aimed towards the attainment of the desired results that will ultimately attain the sectoral
goals and objectives in the short – and medium term, and the LGU vision in the long
term.
P a g e | 125
The local sanggunian members, who are selected to be part of the planning team, are
mainly responsible for determining legislative requirements. This does not however
preclude other stakeholders to recommend legislations to support the development
thrusts of the CDP.
To determine the appropriate action to take regarding local legislations, the fishbone
analysis as shown in Figure 28 may be helpful.
IMPLEMENTED STRENGTHEN
PROPERLY IMPLEMENTING
AGENCY
STILL SOUND DEFICIENT
LEGISLATION IMPLEMENTATION
INCREASE
NEEDED NOT SANCTIONS FOR
IMPLEMENTED VIOLATORS
AT ALL
REPLACE
STRENGTHEN
IMPLEMENTING
EXISTENT DEFECTIVE REPEAL AGENCY
AMEND
INADEQUATE REPLACE
P a g e | 126
a. Leads the executive and the legislative branches towards a unified vision, mission,
goals and objectives;
b. Enables the executive and legislative branches to agree on priority problems and
issues;
c. Helps the LGU focus on a set of interventions towards the attainment of a common
set of objectives and goals;
d. Increases the chances for implementation of priority programs of the executive
department, if the legislative branch formulates ordinances in support of the LCE
program of government; and
e. Speeds up the implementation of priority projects.
a. provides a basis for ensuring that 3-year LGU programs, projects and legislative
measures are implemented and are producing the desired impact; and
b. helps various departments of the LGU set performance targets for a 3-year period,
thus encouraging greater accountability for results.
3. What is the relationship of ELA with the CLUP and the CDP?
It is important to bear in mind that the ELA does not replace or supplant the existing
plans of the LGU (How to Formulate an Executive and Legislative Agenda for Local
Governance and Development, page 10). Rather, it builds on existing plans which LGUs are
mandated to prepare, i.e., the CLUP and the CDP. In fact, the ELA can be considered as
an implementing instrument of the CDP and for that matter, the CLUP, considering that
the CDP can also be considered as a tool for implementing the CLUP.
The relationship of the ELA with the CLUP and the CDP and with their respective
principal tools for implementation is illustrated in Figure 29:
The CLUP is the plan for the long-term management of the local territory, which is a
function of an LGU as a political body and partner of the national government. As earlier
described, it is the skeletal-circulatory framework of the territory’s physical development
that identifies areas where development can and cannot be located and directs public
and private investments accordingly.
The CDP, on the other hand, is the 6-year (medium – term) action plan utilized by every
local administration to develop and implement priority sectoral and cross-sectoral
programs and projects in the proper locations to put flesh on the skeleton as it were,
gradually and incrementally, until the desired shape or form of development is eventually
attained over the long term. The identification, screening, and prioritization of programs
and projects in the CDP will be guided by the location policies in the CLUP.
P a g e | 128
The Executive and Legislative Agenda (ELA) is a 3-year program of action crafted based
on the priorities and thrusts of newly or re-elected LCEs and Sanggunian members in the
context of the vision, goals and objectives of the LGU. The preparation process adopts
mechanisms that facilitate convergent planning and decision-making processes between
the executive and legislative departments of the LGU with technical support and inputs
from the Local Development Council and its sectoral and functional committees.
The ELA is not meant to replace or duplicate existing planning systems in LGUs. Rather,
it adds greater value to the CLUP and the CDP by moving them forward to getting
implemented and monitored.
It is highly desirable that ELA preparation commences within the first six (6) months from
the assumption into office of the re-elected or newly-elected local officials, i.e., Mayors,
Vice Mayors and members of the Sanggunian.
LGUs are advised to prepare an ELA even in the presence of a CDP or CLUP to guide
the Local Chief Executives and members of Sanggunian in developing their localities for
the duration of their three-year term of office. The preparation of the ELA will in fact be
greatly facilitated when a medium-term CDP is already in place for the following reasons:
a. planning targets for the 3-year term of the LCE can be extracted from CDP; and
b. strategies of the ELA can be based on 6-year CDP, particularly those that can be
realistically accomplished in three years.
In preparing the ELA LGUs are, however, enjoined to adhere to the following principles:
1. Preliminaries
2. Sectoral Situationer
7. What are the scenarios under which the ELA may be formulated?
The preparation of an ELA may be undertaken under one of the following scenarios
indicated below:
Scenario 1: The LGU has an updated and Code-compliant CDP and CLUP
a. Re-visit the long-term CLUP and/ or the medium-term CDP and review the extent to
which the LGU vision/ mission has been achieved.
b. Re-visit of the Vision, Goals and Objectives/Targets
c. If necessary, re-formulate policies, strategies, goals and objectives/ targets indicated
in the CDP to make them more responsive to the current reality and with due
consideration given to the priorities of the LCE and the Sanggunian.
d. Identify and prioritize programs and projects for implementation within the term of the
local elective officials and input to the Local Development Investment Program.
e. Review the immediate past 3-year Capacity Development (CapDev) Program.
Identify new, additional and/or revise CapDev Program to make it consistent with the
revised sectoral goals and objectives and thrusts and priorities of the LCE and the
Sanggunian.
f. Review the immediate past legislative agenda. Identify new, additional and/or revise
legislative requirements and actions to make them consistent with the revised
sectoral goals and objectives and thrusts and priorities of the LCE and the
Sanggunian.
P a g e | 130
g. Consolidate outputs of Steps “b” to “f” above and submit to LDC for approval. When
approved, LCE submits the same to the Sanggunian for adoption.
h. Package the ELA (Please refer to 4.5 of this Chapter).
i. Prepare the Annual Investment Program (AIP) based on the LDIP contained in the
ELA using AIP Summary Form provided under JMC No. 001 s. 2007.
a. In the case of a non-compliant CLUP, coordinate with HLURB and enjoin the LGU to
prepare a Code-compliant CLUP.
b. Proceed to Steps “a” to “i” under Scenario 1.
Box 11
RESOLUTION NO. ___, Series of ____*
WHEREAS, the Executive-Legislative Agenda (ELA) sets the local government’s strategic directions for the next three
years and provides an explicit expression of the present administration’s goals, objectives, strategic priorities and
programs that are consistent with the LGU vision and mission;
WHEREAS, the formulation of the ELA involved the participation of various stakeholders in the community in its
various stages, from needs identification to plan implementation, monitoring and evaluation;
WHEREAS, the ELA represents the collective aspiration, needs and priorities of the local community and therefore
enjoys broad-based support;
WHEREAS, the ELA is this administration’s sincere invitation to all its constituents and resource institutions to be its
pro-active partners in progress;
RESOLVED, to adopt as it hereby adopts, the Executive-Legislative Agenda of the Municipality/ Province/City of
______.
CARRIED
(Date)
I hereby certify to the correctness of the foregoing resolution which was duly adopted by the Sanggunian
Bayan/Panlalawigan/Panglungsod during its Regular Session on _______.
(Signed)
__________________
Secretary to the SB
ATTESTED:
________________________
Presiding Officer
APPROVED:
____________________________ _______________________
Mayor /Governor Secretary to the Sanggunian
* Adopted from the Manual on How to Prepare an Executive and Legislative Agenda
P a g e | 132
8. How does the original 12 – step ELA formulation process fit into the process under
this Enhanced Guide to CDP Preparation?
The table below shows where each of the 12 steps in the ELA Formulation process fits in
the Enhanced Guide to CDP Preparation following the steps in the simplified sectoral
planning process.
12- STEP ELA Formulation Process Contents of the Enhanced Guide to CDP
(Manual on How to Formulate an Executive Preparation following the Simplified Sectoral
and Legislative Agenda) Planning Process
Step 3: Consulting with Stakeholders This is an integral part of each step in the CDP process
and not taken separately or independent of all the other
steps.
Step 4: Defining / Re-visiting the LGU Vision Setting the Vision (Chapter II)
and Mission
Step 5: Formulating Goals and Objectives Setting Sectoral Goals (Chapter II)
Step 6: Prioritizing Programs and Capacity o Transforming Goals into Actions (Chapter II)
Development Needs o Local Development Investment Programming
(Chapter III)
o Capacity Development Agenda (Chapter III)
Step 7: Determining Legislative Requirements o Legislative Agenda (Chapter III)
Step 10: Moving the ELA into Action Steps 6, 7 and 10 are consolidated as discussed in
Chapter III (Implementing the Plan) of the Enhanced
Guide
Step 12: Managing and Sustaining ELA o Plan Monitoring and Evaluation (Chapter IV)
Implementation
The ELA preparation process may take three (3) to six (6) months depending on
availability of data and information for consideration and basis for crafting the document,
schedule and mutual acceptance of the LCE and Sanggunian of the draft ELA, as well as
the capacities of the LGU in terms of resources and technical readiness for Plan
preparation.
The Local Development Council is the planning structure mandated to formulate plans
for the LGU, for approval of the Sanggunian. A functional committee under the LDC to
be known as the ELA Planning Team, however, may be created to assist the LDC in
preparing the ELA. To the extent possible, it should include not only heads or
representatives of the various LGU offices or departments but also members of the
standing committees of the Sanggunian and representatives from the private sector,
non-government organizations and national government agencies operating in the
locality.
P a g e | 134
CHAPTER IV
For planning to be truly continuous, however, it must form part of the regular function of the
LDC. One major activity that the LDC is mandated to perform is to “coordinate, monitor,
evaluate the implementation of development programs and projects” (Section 109 (a) (5), RA
7160).
Plan monitoring and evaluation must serve as the link between two planning cycles.
1. What is monitoring?
2. What is evaluation?
M & E are essential tools for management. Properly utilized, they are mutually
reinforcing in that:
a. A well – functioning monitoring system can greatly reduce the need for in – depth
evaluation as problems are revealed and resolved in a timely manner.
b. Monitoring can also indicate the need for in – depth evaluation of problems and
issues.
c. In – depth evaluation may show the need for a new and improved monitoring system.
Plan M & E is concerned not with mere project outputs per se, but with the:
P a g e | 135
TABLE 29
Salient Features of Monitoring and Evaluation
Differentiating Factors
Between M & E Monitoring Evaluation
Focus Programs, projects and activities Overall relevance, impact and sustainability
Importance Tracks progress (or lack thereof) of plan Generates information and provides
implementation and determines whether lessons that would guide the LGU in
priority programs and projects outlined updating the Local Development Plan;
in the plan are actually implemented;
Ensures informed decision-making
Ensures that programs and projects are
implemented and managed efficiently and Identifies the extent to which the
effectively; objectives of the Local Development
Plan are achieved or whether the Local
Identifies problems in plan Development Plan addresses effectively
implementation in its early stage and the needs of the citizens; and
allows decision and policy makers to
address the problems or make Ensures that resources are
appropriate adjustments; strategically managed and put to the
best possible use.
Alerts managers to problems and
provides options for corrective actions;
and
M & E serves as the link between one planning cycle to the next. The concerns of M & E
for cyclical planning, therefore, are much broader and deeper than those of project M &
E. Its critical important lies in the production of new information derived from the
following:
The principal aim of M & E for cyclical planning is to build up the planning database for the successor plans.
Cyclical planning in which an M & E system in place makes possible need not involve the preparation of new
successor plans every time. Revision of certain features of the predecessor plan does not make the
process any less cyclical or continuous.
New and feedback information should be clustered around the five development sectors
with specific responsibilities to describe and possibly measure changes in the area over
the long - term as follows:
d. Infrastructure Sector
i. Adequacy of social and physical capital build up to under gird economic
prosperity, public health, safety, comfort and convenience;
ii. Appropriateness of infrastructure to support the realization of the chosen spatial
strategy;
iii. Status in the backlogs in the provision of basic social services;
iv. Changes in the quality of services and facilities resulting in changes in the
general welfare of the residents;
v. Changes in the level of vulnerability of the residents as a result of facilities to
rduce environmental risks and disasters; and
vi. Changes in the environmental quality owing to the integrity of the protective
structures and civil works
e. Institutional Sector
i. Institutionalization of local structures and processes for planning, program and
project development and management, and monitoring and evaluation of the
outputs, outcomes and impacts of plans, programs, services, regulatory
measures and other forms of public intervention;
ii. Efficiency and effectiveness with which the local government bureaucracy utilizes
resources to deliver services demanded by its various publics;
iii. Changes towards ensuring participation in governance processes, transparency
in LGU transactions and accountability of public officers; and
iv. Indication of responsiveness of successive administrators to the needs of their
constituents as can be inferred from the accumulated legislative output during the
last decade.
Using the new set of data – The new set of data derived from monitoring and
evaluating the status of development after a lapse of one decade may not be used to
prepare another plan altogether. It may well be that the long-term vision and goals are
still sound and valid. But the new characterization of the current reality might warrant a
revision of the current reality rating and a corresponding change in the vision-reality gap.
A new appreciation of the gap should result in new sectoral goals, objectives and targets
to recalibrate the indicators originally formulated which are not yet fully attained.
Another feature of the CLUP that needs reviewing at the onset of new M & E data is the
chosen spatial strategy or urban form. The new data might indicate variance in the
direction, intensity or size of the built environment from the chosen spatial form. This
may be due to unrealistic assumptions in making growth forecasts or to certain shortfalls
in the needed interventions. Either way the needed adjustment may not entail a complete
change of the plan.
P a g e | 138
In the simplified planning process, the role of M & E is to determine the changes in the
current reality after a lapse of time so as to make new estimate of the vision – reality gap
and thereby formulate new sectoral goals, objectives and targets, identify new programs,
projects or activities, etc.
This entails updating the database for planning, such as the ecological profile, but more
importantly, the LDIs.
The shortest planning cycle where M & E finds useful application is the annual
investment programming as an integral part of the annual budgeting process. The
investment programming process takes place prior to the start of the budget preparation
to ensure that priority programs and projects get the proper budgetary allocation, and are
implemented in the ensuing fiscal year.
In making up the priority list in any the successor AIP, not only the LGU’s financial
performance in implementing the programs, projects and services but also feedback
information regarding the effects of the previous year’s programs and projects should be
used. The only practical feedback information from M & E that could be used in
preparing the succeeding year’s budget are the monitored outputs of the previous year’s
interventions and possibly the monitored financial performance in the implementation of
the current year’s budget up to the third quarter.
To inject rationality in the budgeting process and ensure transparency and accountability
in public expenditure management, the scope and purposes of the M & E should be
expanded to include an assessment of the following:
The preparation of the successor CDP or ELA will require feedback information on
outcomes and impacts. This is because the effects of intervention do not manifest
themselves until after two or three years from the completion of the intervention.
a. Local Development Council (LDC) – Section 109 (a) (5) of the Local Government
Code “coordinate, monitor, evaluate the implementation of development programs
and projects”.
b. Sectoral and Functional Committees of the LDCs – M & E is a built – in function of
the sectoral or functional committees (Rule Xxiii, Art. 182, (g) (3) vi, IRR of RA 7160),
which directs them “to provide the LDC with data and information essential to the
formulation of plans, projects and activities”. These planning information are derived
from baseline surveys, in – depth studies, as well as from M & E.
c. Local Planning and Development Office(LPDO) – Through the sectoral committees,
the LPDO performs its M & E functions as provided for under the Sec. 476 (b) (4), RA
P a g e | 139
7160) stated as follows: “To monitor and evaluate the implementation of the different
programs, projects and activities in the local government unit concerned in
accordance with the approved development plan”.
d. Planning Information Management Division – The M & E function is embedded in this
division of a full – blown LPDO.
e. Functional Committee – In the case of lower – income LGUs the M & E function
could be devolved to a functional committee consisting of a representative of each of
the sectoral committees coordinated by the head of any staff of the LPDO.
f. Implementing office or agency – For short – term M & E or project implementation.
Project monitoring results may be discussed during executive meetings of the LGU.
g. The Project Monitoring Committee (PMC) – The Project Monitoring Committee
(PMC) at the provincial, city and municipal levels are tasked to monitor government
projects funded from foreign and national funds including development projects
funded from the IRA and projects funded from locally-generated resources (EO 93,
1993).
The composition of the PMC is left to the discretion of the LDC subject to the inclusion of
the following as mandatory members:
The Chair of the PMC will be appointed by the LCE from among three nominees
nominated out of the seven PMC members.
During committee hearings and meetings, the sanggunian may invite their
counterparts in the executive department to brief its members on the status of a
particular program that it wants to evaluate. To illustrate, the Committee on Trade
and Industry may invite the members of the local tourism board to present a report on
the implementation of its tourism program. Meetings of this type can be scheduled on
a monthly or quarterly basis (Villaluz 2004).
a. Suggestion box
b. Sending short message service (SMS) or text to local officials
c. Report Card Survey
a. For the 3 – year CDP or ELA – The ideal time is during the usual hiatus following
the last elections. Results of this assessment will find their way into the successor
LDIP and ELA of the next administration. This ensures smooth transition and
conveys a sense of continuity and stability between succeeding local administrations.
i. In a 4-year scenario which shows the two change-over points after each
election, the following M & E schemes are recommended:
2nd Quarter in the 6-week interval between the election and July 1 – M
& E to assess the impacts of the previous administration’s 3-year LDIP
or Executive-Legislative Agenda. This M & E will provide inputs to the
preparation of the new 3-year LDIP/ ELA of the succeeding
administration.
4th Quarter of the second and third years of the incumbent leadership
– M & E to assess the outputs and financial performance to provide
inputs to the Year-end Report of the Local Chief Executive.
ii. M & E to assess the outcomes of the completed budgets and AIPs of the last
half year of the previous and the first year of the incumbent administration.
For clarity please refer to the scenario as shown in the following table.
QUARTER
YEAR Q1 Q2 Q3 Q4
o M & E (Outputs
and Financial
Performance)
o End-of-Year Report
b. For Long – term Planning – The feedback information required for the revision or
reformulation of long – term plans such as the CLUP and the long – term CDP should be
collected after a lapse of 9 – 10 years. This should be synchronized with the national
census which has as interval of one decade. Data capture on socio-economic and
physical indicators of change when it is done in the same year that an actual population
count is held will allow analysts to relate actual growth with actual population change.
Every census year therefore should be marked out for conducting comprehensive data
collection to update ecological profiles, statistical compendiums, thematic maps, and
other forms of information systems.
Various tools are already being used to monitor and evaluate the achievement of results
at the local level. Some of these tools are discussed below:
d. The M & E Strategy Template – One other tool that can be used is the M & E
Template. The purpose of the tool is to develop an approach to M & E that will yield
good information to be used in the next planning period and for other decision
making purposes
An M & E Strategy template has also been devised to aid the Monitoring Team in its
preparation (See Table 32).
5. CBMS – CBMS – generated data are most useful for impact evaluation purposes and
CBMS – monitored changes can be used as benchmarks for the next cycle of short-
and medium- term development plans. The use of CBMS can also extend to setting
and exacting standards of performance from concerned LGU offices or frontline
service providers.
6. LGPMS - As a LGU performance management mechanism or specifically as a
performance monitoring and management tool, LGPMS provides the process and
results that indicate LGU’s effectiveness and progress in promoting the general
welfare of its constituents along the 5 performance areas. Annually, the input and
output dimensions of LGPMS indicators provide information as to the LGU’s efficiency
in its utilization of inputs to realize the output, Corrective measures to address the
causes of unsatisfactory performance can result from this type of monitoring.
The effectiveness of outputs in realizing the desired outcomes can be ascertained as
LGPMS outcome indicators are reviewed and “rated” every three (3) years. By
combining the use of LGPMS outcome indicator results with other appropriate tools,
LGUs can meaningfully evaluate the extent to which public expenditures, through the
LDIP & AIP processes, contributed to the attainment of broader social and economic
goals that were identified in their respective CDP and ELA.
P a g e | 143
Table 31
CY __________ ANNUAL/END-OF-TERM ACCOMPLISHMENT REPORT
Province/City/Municipality of ______________________________________
Programs and Projects per Output Indicators Target Accomplishment Beneficiary Area Covered Estimated Project Actual Disbursement
Sector Sector Cost (Php)
1. Social Sector
Nutri-Health Program Number of All barangays 50% of barangays Women and 50 % of 2 Million
barangays covered Children barangays
by micro-nutrient
supplementation
Number of
barangays covered 20% of barangays Women and
by nutrition All barangays children 50 % of 1.2 Million
education barangays
Water Supply Project % of total number 5% of all 10% of all Urban Poor Barangay 5 Million
households covered households households Poblacion
2. Economic Sector
3. Infrastructure
P a g e | 144
Table 31
CY __________ ANNUAL/END-OF-TERM ACCOMPLISHMENT REPORT
Province/City/Municipality of ______________________________________
Programs and Projects per Output Indicators Target Accomplishment Beneficiary Area Covered Estimated Project Actual Disbursement
Sector Sector Cost (Php)
4. Environment
5. Institutional
P a g e | 145
Table 32
M & E STRATEGY
Goal/Impact (Long term) Mortality Rate of children Reduce children under-five LGU Health Office Document review Every three years Monitoring Team
aged 1-5 (LGPMS mortality rate by two-thirds and at the end of
o Reduce infant mortality outcome indicator) by 2015 (MDG Target no. 4) nine years
(MDG no. 4)
Outputs/ Deliverables/
Products and Services Annual Monitoring Team
delivered (Short term)
REFERENCES