Você está na página 1de 220

I.

INTRODUCTION

Over a decade ago, the National Convergence Initiative (NCI) was formulated as a common
framework for sustainable rural development and poverty reduction through the issuance of Joint
Memorandum Circular (JMC) No. 01 Series of 1999. This was signed jointly by the Department
of Agriculture (DA), Department of Agrarian Reform (DAR) and the Department of Environment
and Natural Resources (DENR) as the 3 leading government agencies in-charge of rural
development focusing on agriculture, agrarian reform and natural resources (AARNR). Nine pilot
convergence areas were implemented during this period, namely: 1) Cagayan Valley River
System 2) Central Luzon 3) Bicol River Basin System 4) Negros Island 5) Panay Island 6) Bohol
7) Zamboanga Peninsula 8) CARAGA 9) Davao del Norte/Oriental Mindoro where strategic
investment plans were prepared. However due to change in leadership in the 3 agencies, the
implementation was delayed.
Another Joint Memorandum Circular (JMC) No. 01 Series of 2004 was issued by a new set of
Department Secretaries to reactivate the NCI in line with the effort of the government to create a
bigger impact in the countryside. Specific convergence zones were identified in each of the
provinces under the nine pilot convergence sites to have more focus in the implementation of
said plans.TheGerman Technical Cooperation (GIZ) then teamed up with the DA, DAR and
DENR to align the GIZ rural development and natural resources management program with the
convergence strategy.
A year after, in 2005, the National Steering Committee earmarked the expansion of the NCI for
nationwide implementation in line with the Medium Term Philippine Development Plan (MTPDP)
for 2005-2010. This involved the development of 2 million hectares of new lands for agribusiness and the generation of 2 million jobs by 2010. The convergence strategy was considered
an appropriate platform to achieve GOAL 1 of theMTPDP.
Between 2008 and 2009, NCI broadened the reach of its convergence strategy by generating
agribusiness investment proposals for specific sites. The 1 st National Agri-Investment Forum was
organized in September 2009 to elicit interest and participation from the private sector on 17
agri-investment proposals developed by NCI. A positive outcome was noted with the interest
shown by various investors and agribusiness firms in pursuing the agri-investment proposals.
By the 1st quarter of 2010, the combined gains from the convergence initiative programs of DA,
DAR and DENR yielded 1.82 million hectares of land developed and the generation of 2.65
million jobs. Most of the reported gains were based on production areas rather than on actual
agri-business endeavours of the said areas.
The administration of President Benigno Simeon C. Aquino III continues to uphold the
commitment to countryside development as the linchpin for poverty reduction. While it will pursue
the agri-based investment proposals already in the pipeline, the current leadership will also
address the main concerns such as: 1) gaps/weaknesses in program implementation; 2) clear
mechanisms for harmonization among the 3 government agencies; 3) conflicting and overlapping
policies among the 3 agencies which affects implementation of convergence activities in the field;
1

4) clear financing scheme for convergence initiatives and 5) empowerment of the LGUs as
implementing arm of convergence initiatives on the local level.
The issuance of JMC No. 01 Series of 2010 by the new Department Secretaries of DA, DAR and
DENR added a new dimension to the convergence strategy through the adoption of the
watershed and ecosystem management approach as the intervention framework in the
convergence areas. This approach had been adopted by DENR in 1999 as basis in program
planning and implementation for watershed areas in all regions. This convergence strategy is
also known as the Ridge to Reef Approach. It is defined as a holistic, collaborative, multiple use
and sustainable management of all resources within the watershed. It takes into account the
human interventions in the forest and upland areas and its impact on lowland areas as well as
coastal and marine areas. The principle behind it is that ecosystems are inter-dependent and
that intervention in one ecosystem will impact other ecosystems.1
With poverty reduction as a primary goal of the government, the convergence initiative has a
defined constituency which are the small farmers (Agrarian Reform Beneficiaries and nonARBs), fisher folks and marginalized upland dwellers within areas covered by tenurial
instruments of DENR and the National Commission on Indigenous Peoples (NCIP).
The convergence initiative will directly contribute to the attainment of outcomes on agriculture,
agrarian reform and natural resources sub-sector specifically in: 1) ensuring food security and
increased income; 2) enhancing access to land and other natural resources and in improving the
quality of the environment; and 3) developing the self-reliance of constituency and increased
resilience of their communities.
Specific objectives of the Convergence Initiatives are to: 1) facilitate the implementation of
different agencies to ensure that resources are maximized by achieving synergy and institutional
efficiency; 2) build partnership between and among the local communities, LGUs and
government agencies to ensure that all development interventions are based on actual needs
and aspirations of the community; 3) expand opportunities for agro-enterprise and agribusiness
development for its constituency; and 4) achieve spatial integration within different ecosystems to
ensure environmental integrity and sustainability.
To implement the convergence initiatives, multi-agency coordinative bodies will be established at
the national, regional, provincial and municipal levels composed of representatives from the DA,
DAR and the DENR with the Local Government Units as the integrating and converging force at
the local level. There is a NCI Steering Committee (NCISC) composed of the Secretaries of DA,
DAR, DENR, DILG and NEDA who shall act as the policy making body of the enhanced NCI.
They will approve the membership of the National Technical Working Group and the 4
Component Working Groups on Policy and Advocacy, Capacity Development, Agro-enterprise
Cluster and Agribusiness, and Knowledge Management. The NCI Steering Committee will be
supported by a National Convergence Initiative Secretariat (NCIS) composed of the Coordinators
of each working group as members. The NCIS shall work closely with the National Focal Person,
the Chair of the different working groups and the agency Convergence Focal Persons. There will
1

Adopted from the Policy Framework and Implementing Strategy for the Enhanced DA-DAR-DENR
Convergence Initiative for Sustainable Rural Development.

be other supporting government line agencies that will be involved in the NCI implementation to
ensure complementation and alignment of enhanced NCI interventions. (See Annex A: Policy
Framework and Implementing Strategy for the Enhanced DA-DAR-DENR Convergence Initiative
for Sustainable Rural Development)

II.

THE OPERATIONS MANUAL

A. Objectives
Through the past years, the experiences generated in implementing the convergence initiative
have shown differences and implementation gaps as experienced in the various Regions,
Provinces and Municipalities. Marked differences have emerged in the process flow in terms of
the various activities conducted, the time frame in conducting the activities and the forms and
tools used in analysing and selecting the convergence area and in developing the convergence
plans. Experiences from the national and the local levels provided a rich resource base for the
writing of this Operations Manual. It had become imperative to issue an Operations Manual to
capture these experiences and best practices, analyze these and identify a general process flow
that will systematize the implementation, clarify gaps and present tools for more efficient
convergence planning and effective implementation. With the adoption of the watershed and
ecosystem management approach as an added dimension in the Convergence strategy, the
Operations Manual will be a tool for implementers in operationalizing the JMC No. 01 Series of
2010. Specifically, the objectives of the Operations Manual are:
1. To systematize the process of planning and implementing the Convergence Initiative at the
national, regional, provincial, municipal and community levels of the various implementers
from the government agencies, local government units, peoples organizations and support
groups and institutions;
2. To serve as a guide in the synchronized and organized management of the various activities
from preparatory, planning and implementation phases; and
3. To reinforce the joint and diverging roles and responsibilities of the DA, DAR, DENR and the
Local Government in the planning, implementation and management of the convergence
initiatives.

B. Framework in the Development of Operations Manual


The development of the Operations Manual typifies the essence of convergence initiative. It is a
collaborative work done by a multi-disciplinary and multi-agency team composed of members
3

from the National Convergence Initiative Technical Working Groups (NCITWG) and selected
members from the Regional and Provincial Technical Working Groups from Regions 5, 6, 8 and
10. The work was spearheaded by the Capacity Development Technical Working Group with
support from the National Convergence Initiative Secretariat. Presented below is the framework
in the development of the Operations Manual:

Figure 1 : Framework in Operations Manual Development


JMC No. 01, Series of 2010
Policy Framework and Implementation Strategy for the
Enhanced DA-DAR-DENR Convergence Initiative for Sustainable
Rural Development

Field Experiences in Convergence Initiative Implementation


(Data Gathering and Field Validation in Regions 5, 6, 8 and 10)

Document
Future
Implementation to
enhance
future
Manual
Revision

Process Used
Implementation
Issues
Best Practices

Policy and Advocacy


Agro-Enterprise Cluster &
Agribusiness Development
Capacity Development
Knowledge Management

Workshops on Presentation of Field Experiences


Process Flow and Implementation Issues
Topic Outline of Operations Manual

Writing of Draft Operations Manual


First Draft
Presentation and Refinement
Finalization

Printing and Distribution

C. Content of the Manual of Operations


The NCI Manual of Operations describes the general process flow in implementing the
Convergence Initiative. It is divided into eleven (11) major steps which fall within three(3) main
phases. These are described in detail in the succeeding Chapter.
PREPARATORY PHASE
A. Mobilization of the Regional and Provincial Convergence Initiative Technical Working
Group
B. Orientation on JMC No. 01, Series of 2010
C. Selection of Convergence Area
D. Formation of Municipal Convergence Initiative Technical Working Group
PLANNING PHASE
E.
F.
G.
H.

Data Gathering and Validation (Convergence Area Profile)


Formulating the Convergence Area Development Plan
Plan Evaluation and Approval
Launching
IMPLEMENTATION PHASE

I. 1. Implementation of the Convergence Area Development Plan


I. 2. Implementation of Convergence Initiative Components
9.2.1. Policy and Advocacy
9.2.2. Agro Enterprise and Agribusiness Development
9.2.3. Capacity Development
9.2.4. Knowledge Management
J. Monitoring and Evaluation
K. Impact Assessment

III.

GENERAL PROCESS FLOW IN THE IMPLEMENTATION OF


CONVERGENCE INITIATIVE

The general process flow in the implementation of the convergence initiative is divided into 11
major activities which fall within the 3 main Phases namely the Preparatory Phase, Planning
Phase and Implementation Phase. Activities of the convergence initiatives are implemented by
the multi-agency coordinative bodies established at the national, regional, provincial and
municipal levels composed of officials coming from DA, DAR and DENR and the Local
Government Units with support from other government line agencies. Presented in detail are the
11 major activities in the implementation of the Convergence Initiative: (See Figure 2)

Figure 2
GENERAL PROCESS FLOW IN THE IMPLEMENTATION OF CONVERGENCE INITIATIVE
PREPLANNINGPREPAR

PLANNING
PHASE

IMPLEMENTATION PHASE

M&E
MOBILIZATION
OF RCITWG AND
PCITWG
(1)

(1)

Issuanc
e of
JMC No.
01
Series
of 2010

PREPARATION OF
CONVERGENCE AREA
PROFILE (CAP)
DATA GATHERING AND
G AND VALIDATION
PROFILE ANALYSIS
(FORMULATION OF
CONVERGENCE AREA
PROFILE)
(5)

ORIENTATION
(2)

SELECTION
OF
CONVERGENC
E AREA
(3)

FORMULATION
OFPREPARATION OF
CONVERGENCE
AREA DEV. PLAN
(CADP)
(6)
Planning
Analysis
and
Write Up
of
Converge
nce Area
Develop
ment
PLAN
Plan&
EVALUATION
( 6)
APPROVAL
(7)

MOBILIZATION
OF MCITWG
(4)

LAUNCHING
(8)

AGROENTER
PRISE
&
AGRIB
USINE
SS
DEVEL
OPME
(9)NT

IMPACT

2)ASSESSMENT
SUSTAINABILITY
PHASE(c/o maam
bem)
*CONSIDER BUDGET
CYCLE

IMPLEMENTATI
ON OF:
CADP
POLIC
Y&
ADVOC
ACY

1) INCLUDE
INSTITUTIONALIZATI
ON PHASE

*PROJECT MGT OFFICE


M&E OF
PROGRESS
OF CADP
IMPLEMEN
TA-TION
AND
COMPONE
NTS
(10)

IMPACT
*TECHNICAL
ASSESSMENT
ASSISTANCE
ON
AARNR

OUTCO
*PROVISION
OF
ME
(11)
DEDICATED
PERSONNEL

*4 TWG
(COMPONENTSUPPORT SERVICES)

CAPAC
ITY
DEVEL
OPME
NT
FEEDBACK LOOP

KNOW
LEDGE
MANA
GEME
NT

PREPARATORY PHASE
A. MOBILIZATION OF THE REGIONAL AND
INITIATIVE TECHNICAL WORKING GROUP

PROVINCIAL CONVERGENCE

The National Convergence Initiative (NCI), as a strategy for sustainable rural development, is a
work in progress. Hence, efforts will be exerted to ensure that convergence implementing
mechanisms and structures established at the local (sub-national) levels are working and
continue to be functional. The convergence structure at the regional level shall be organized as
proposed below.

1. Regional Convergence Initiative-Technical Working Group (RCITWG)


Parallel to the National Convergence Initiative (NCI) TWG, the RCITWG shall manage and
supervise the programs, projects, and other related activities at the regional level. The RCITWG
shall be the regional arm of the NCITWG in carrying out its functions.
The RCITWG shall work closely with other government line agencies and offices and with the
Regional Development Council (RDC) and concerned Provincial Development Council (PDC) to
ensure that the enhanced convergence initiative interventions are aligned with the regional
development agenda and initiatives. It shall likewise facilitate complementation of efforts and
resources for greater impact.
The RCITWG shall coordinate and work closely with the Provincial Local Government Units
(PLGUs) in the implementation of the NCI plans, programs, projects, and other related activities.
The Regional Directors of DA, DAR, and DENR may enter into an agreement with the Provincial
Governor or LGU Leagues, as necessary.

The RCITWG shall be composed of:

Chairperson:
Co-Chairpersons:

Regional Director/Executive Director


Regional Director,
Regional Director,

Member:

Regional Focal Person, Head RCI-TWG Secretariat

The chairperson of the RCITWG shall be a convergence champion and shall be decided by and
among the Regional Directors of DA, DAR and DENR. Upon the finalization of the RCITWG
8

composition, a Resolution or a Joint DA-DAR-DENR Special Order to that effect shall be


submitted to the NCI Secretariat.
Membership of the RCITWG may be expanded to include representatives from the Provincial
LGUs and other agencies as deemed necessary. The RCITWG shall meet monthly or as
deemed necessary.

The RCI Secretariat


The RCI-Secretariat shall be created and would be composed of representatives from the
regional offices of DA, DAR, and DENR. The RCI Secretariat shall be headed by the Regional
Focal Person. The Regional Focal Person shall be designated by the Chairperson of RCITWG
(from the agency where the Chairperson belongs).
The functions of the RCI Secretariat are as follows:
1. Coordinate the conduct of meetings, workshops, write shops, and consultations as deemed
necessary;
2. Facilitate the provision of administrative, logistics, and technical support to the RCITWG;
3. Document, prepare, and disseminate the highlights of meeting/workshops proceedings;
4. Ensure that appropriate
meetings/workshops;

actions

are

taken

on

agreements

reached

during

5. Submit monitoring/progress reports to the NCI Secretariat;


6. Work closely with the RCITWG and other Working Groups; and
7. Maintain effective and efficient data management systems of the RCI.
To ensure that an effective vertical linkage between the national and regional levels is achieved,
the relevant data and information related to the planning and operations of the Convergence
Initiative shall be consolidated, integrated and maintained at the DA Regional Field Units. As
such, the regional offices of the other agencies shall submit the required reports and other
information requirements to the DA Regional Field Units.

2. Provincial Convergence Initiative Technical Working Group (PCITWG)

The PCITWG shall be responsible in implementing plans, programs, projects, and other related
activities of the NCI at their respective provinces in collaboration with the RCITWG. The
PCITWG shall identify or determine appropriate interventions, resources, and support services
needed such as, but not limited to infrastructure, logistics, extension, inputs, lands, and
institutional development for the implementation of the NCI plans and programs.
The Chairperson of the PCITWG shall be agreed upon by the provincial members and shall be
a choice between the provincial head of DAR or of DENR. The Governor of the province shall
be the Co-Chairperson. The members of the PCITWG are the Provincial Environment and
Natural Resources Officer (PENRO), Provincial Agrarian Reform Officer (PARO), Provincial
Agriculture Officer (PAO), and Provincial Planning and Development Coordinator (PPDC).
The respective interface mechanisms shall be LGU-led with DA, DAR, and DENR providing
technical and operational support. Existing LGU mechanisms may be adopted to spearhead or
manage the convergence initiatives at the LGU level.

B. CONDUCT OF THE INTER-AGENCY PROVINCIAL ORIENTATION


1. Objectives:
At the end of the activity, the participants shall have acquired common understanding on the: a)
concept and mechanics of the NCI strategy; and b) how to operationalize the Watershed and
Ecosystem Management or Ridge-to-Reef Approach, and come-up with the long list of potential
convergence areas.

2. Topics:
Concept and Mechanics of the Enhanced National Convergence Initiatives (NCI) Strategy
Watershed and Ecosystem Management or Ridge-to-Reef Approach
Agro-Enterprise Cluster and Agribusiness Development
Criteria in Selecting the Convergence Sites
(Note:A soft copy of all presentation materials in CD format is enclosed at the back of this NCI
Operations Manual.)

10

3. Expected Outputs:
The expected outputs in conducting the Inter-Agency Orientation are to: a) forge an Agreement
among DA, DAR and DENR to adapt the NCI strategy; b) identify the long list of
municipalities/areas considered in convergence site selection; and c) develop a plan on how to
move forward with the various convergence initiative activities.
4. Participants:
The Orientation will be attended by the Provincial heads and other Provincial Government
officials namely: the Regional Director (RD) of DAR; Regional Executive Director (RED) and
Regional Technical Director (RTD) of DA and DENR; Assistant Regional Director for Operations
(ARDO) of DAR; technical staff of DA, DAR, DENR; Provincial Governor; Provincial Planning
Development Officer; Provincial Budget/Finance Officer; other staff from the Office of the
Governor; and the Municipal Mayors.

C. SELECTION OF THE CONVERGENCE AREA

1. Initial Data Gathering

The PCITWG shall request all concerned LGUs that are part of the long list of potential
convergence areas, to submit the following information/data:
Table 1 : Initial Data Requirement
TYPE OF DATA

Updated Provincial Physical


Framework Plan (PPFP)

DATA SOURCE
PLGU

This is the profile of the province


containing baseline information on the
bio-physical, socio-economic,
infrastructure, and investment plans.
Watershed characterization and
management plan

Data on various crops grown (i.e.,


volume of production, number of
hectares/ areas planted, existing and
potential market)

Maps

showing

DENR
Provincial/Municipal Agricultural
Office

DAR through the Agrarian Reform


Community Monitoring and
Tracking System (ARC MTS)
geo-political NAMRIA
11

TYPE OF DATA

DATA SOURCE

boundaries (province, municipalities


and barangays)

Thematic maps showing:


LGU, DA, DENR, NAMRIA
1. topography
2. slope/elevation
3. existing land use
4. soil profile
5. settlement
6. land classification
7. vegetation cover
8. tenure
9. watershed and drainage
10. elevation
11. issues
12. forest development
13. geologic mineral
Infrastructure map showing the road LGU
networks, irrigation and dams, postharvest facilities, transmission lines,
communication
facilities,
banks,
airports, seaports, state universities
and
colleges,
research
and
development centers, market and
trading posts, etc.

2. Screening/Assessment of Nominated Municipalities/ Areas

The PCITWG shall evaluate all the nominated convergence areas using the MUST criterion.
Only those areas which passed the MUST criterion will be evaluated using the Prioritization
Criteria. This will result into the shortlist of selected convergence areas.

12

Table 2 :The MUST and PRIORITIZATION Criteria


Criteria/Parameter
Weight
Descriptor
MUST CRITERIA
1. Completeness
of
ecosystem
zones

Should
cut
across
various ecosystems or
a combination of at
least two ecosystems.

Should be located
within the 141 priority
watersheds
identified/proclaimed
by DENR (Annex B
contains the list of
Watershed Supporting
141 River Irrigation
System of the NIA)

There are huge tracts


of lands for agroforestry development
that are considered key
production areas for
major crops/produce.
There is big potential
for expanding/scaling
up and/or connecting
these key production
areas
to
allied
industries/services for
backward and forward
integration,
and
in
increasing
existing
production level.
Farmers
cultivating
these lands are open to
possible adoption of

Remarks

This is a must
criterion.
As
such, it will also
serve as prequalification
criteria such that
failure of the LGU
to comply with
this parameter will
give the PCITWG
a signal NOT to
proceed with the
evaluation. Since,
this is a must
criterion,
no
weight is given.

PRIORITIZATION CRITERIA
2. Presence of key
production
zones and with
connectivity for
increased
productivity
and income

35%

13

Criteria/Parameter

Weight

Descriptor

Remarks

integrated
farming
systems, or shift from
mono-cropping
to
multi-cropping or high
value crop production.
3. Combination of
sites
across
major poverty
groups

25%

There is a mix of areas


with
a
significant
number of upland and
small farmers, agrarian
reform
beneficiaries
(existing and potential),
agricultural
workers,
fishers,
indigenous
peoples, rural women,
etc.

4. Presence
of
development
oriented local
government
leaders
and
LGU alliances

20%

Local
government
leaders
are
development-oriented;
Proven track record in
implementing
or
supporting
rural
development
and
resource development
related projects;
High
level
of
participation/
involvement
of
provincial
and
municipal officials that
are willing to support
the CI;
Willingness of LGU to
provide
counterpart
funds/resources

5. Presence
of
NGOs,
POs,
private sector
and
an
academic/resea
rch community

20%

There is a mix of rural


development-oriented
NGOs and POs who
are willing to become
development partners
of the LGU to sustain
CIs.
There
are
also
private/business
and
academic institutions
that are willing and
14

Criteria/Parameter

Weight

Descriptor

Remarks

able
to
contribute
expertise
and
resources
in
agricultural/agrarian
and
environmental
research
and
extension.
Potential partners with
proven track record in
implementing
or
supporting rural and
integrated
resource
development
related
projects

3.

Shortlisting and Final Selection of Convergence Area/s

3.1.

Prioritization Criteria for Final Selection

As previously mentioned, only those nominated convergence areas which passed criteria 1:
completeness of ecosystem zones, will proceed to this step, and will be evaluated using the
Prioritization Criteria.
In the assessment/shortlisting process, the PCITWG shall use the following rating system:
Table 3 : Rating System for the Final Selection of Convergence Area/s
Weight
Distributio
CRITERIA
n
1. Key production zones with connectivity for increased
35%
productivity and income
2. Combination of sites across major poverty groups
25%
3. Presence of development-oriented local government leaders and
LGU alliances
4. Presence of NGOs/POs, private sector and academic/research
community
TOTAL

20%
20%
100%

All selected convergence areas will be rated using the scale of 1- 5, where:
15

5 is the highest
1 is the lowest

1. Key production zones with connectivity for increased productivity and income (35%):
Rating
Existing & Available/Potential Area
Commodity Mix
for Production
Rating 1

2,000 - 5,000 hectares

With at least 2 commodities

Rating 2

5,000 - 10,000 hectares

With at least 3 commodities

Rating 3

5,000 - 10,000 hectares

With at least 4 commodities

Rating 4

15,000 20,000 hectares

With at least 5 commodities

Rating 5

More than 20,000 hectares

With
more
commodities

than

2. Combination of sites across major poverty groups (25%)


Rating
Poverty incidence
Direct Beneficiaries
Rating 1

Rating 2

Rating 3

Rating 4

Rating 5

Site is considered non-poor


or non-food-poor based on
the NSCB list
Site is either one of the top
21 and above poorest or
most food-poor provinces
based on the latest National
Statistics
Coordination
Board (NSCB) list
Site is either one of the top
20 poorest or most foodpoor provinces based on the
latest NSCB list
Site is part of the 11th to 20th
poorest and most food-poor
provinces based on the
latest NSCB list

More than 1,000 households

More than 2,000 households

More than 3,000 households

More than 4,000 households

Site is part of the top 10 More than 5,000 households


poorest
and
food-poor
provinces based on the
latest NSCB list

Note: Annex C shows the latest list of poorest and most food poor provinces
16

(NSCB data)

3. Presence of development-oriented local government leaders and LGUalliances. (20%):


Rating 1
Willingness to provide counterpart of at least 5% of the LGU's annual
development fund; with sustained linkage with any government
agencies or other external partners; Strongly supports
programs/projects of DA, DAR and DENR
Rating 2

Willingness to provide counterpart of at least 10% of the LGU's


annual development fund; With sustained linkage with either DA,
DAR or DENR; Strongly supports programs/projects of other
government agencies or other entities operating in the area

Rating 3

Willingness to provide counterpart of at least 15% of the LGU's


annual
development
fund;
Presence
of
LGU-initiated
program/project; With sustained linkage with DA, DAR and DENR or
any entity

Rating 4

Willingness to provide counterpart of at least 20% of the LGU's


annual
development
fund;
Presence
of
LGU-initiated
programs/projects; With sustained linkage with DA, DAR and DENR
or any entity

Rating 5

Willingness to provide counterpart of at least 25% of the LGU's


annual
development
fund;
Presence
of
LGU-initiated
programs/projects; With sustained linkage with DA, DAR and DENR;
Presence of Operations and Maintenance Plan for on-going or past
projects as embodied in the LGU's annual investment plan

4. Aside from DA, DAR and DENR, there is presence of NGOs/POs, private sector and
academic/research community that are willing to support the convergence initiative (20%)
Rating 1
With at least three GAs, POs, NGOs, private sector organizations
that are willing to support the convergence initiative
Rating 2

Presence of at least four GAs,


POs, NGOs, private sector
organizations that have start up projects in the area

Rating 3

Presence of at least five GAs, POs, NGOs, private sector


organizations implementing programs/projects in the last two years

Rating 4

Presence of at least six GAs, POs, NGOs, private sector


organizations implementing programs/projects in the last three years

Rating 5

Presence of at least seven GAs POs, NGOs, private sector


17

organizations implementing programs/projects in the last four years

The format shown as Annex D shall be used as tool for Convergence Area Evaluation.
III.2 Computation
The computation of the overall rating for each nominated convergence area will be guided by
the following:
To get the score per criterion, the formula is: (Rating per Criterion x Weight % / 5) x 100.

Example:
Criteria 1: 5 x 0.35 / 5 x 100 = 35

To get the overall rating, add all the scores corresponding to each of the four criteria.

18

Example: Municipality of San Mateo


Criteria 1: 5 x 0.35 / 5 x 100 = 35
Criteria 2: 4 x 0.25 / 5 x 100 = 20
Criteria 3: 4 x 0.20 / 5 x 100 = 16
Criteria 4: 3 x 0.20 / 5 x 100 = 12
Overall/total rating: 83

3.3.

Prioritization Scheme

Based on the overall/total rating obtained of the nominated convergence areas, the following
prioritization scheme is suggested:
Total Rating
80% and above

Priority 1

60% - 79%

Priority 2

50% - 59%

Priority 3

Below 50%

Not recommended for


inclusion

The interpretation of the overall/total rating of 83% for the Municipality of San Mateo means that it
will be part of Priority 1.

4.

Endorsement of Evaluation Results by the PCITWG and RCITWG

After completing the evaluation process for all nominated convergence sites, the PCITWG shall
submit the evaluation results to the RCITWG and recommend the shortlist of convergence areas
for final approval and confirmation. The PCITWG shall use the format shown in Annex E for this
purpose.

19

5.

Confirmation by RCITWG Regarding the Official Inclusion of Convergence


Areas in the CI and Notification of the Concerned LGUs
After reviewing all documents submitted by the PCITWG, the RCITWG shall send a letter of
confirmation to the concerned LGUs of their inclusion in the Provincial Convergence Initiative,
copy furnished the PCITWG and the NCITWG. The concerned LGU/s shall also be requested to
submit the following additional data/information/documents:
Table 4: Additional Data, Information and Documents
TYPE OF DATA

DATA SOURCE

Comprehensive Land Use Plan (CLUP)


Municipal/barangay development plans
Municipal/barangay profiles
Various maps such as geo-hazard map, ground
rupture hazard map, volcanic hazard map, raininduced landslide hazard map, ground shaking hazard
map, flood hazard map, liquefaction hazard map,
tsunami hazard map, storm surge hazard map, etc., if
available

LGU
LGU
LGU
LGU (Optional)

The pro-forma letter and the summary list of all confirmed convergence areas shown in Annexes
F&G shall be used.

D.

MOBILIZATION OF THE MUNICIPAL


TECHNICAL WORKING GROUP

CONVERGENCE

INITIATIVE

1. Municipal Convergence Initiative Technical Working Group (MCITWG)


The MCITWG shall be responsible in implementing plans, programs, projects, and other
related activities of the NCI at the municipal level in collaboration with the PCITWG. The
MCITWG shall identify or determine appropriate interventions, resources, and support
services needed such as, but not limited to, infrastructure, logistics, extension, inputs, lands,
and institutional development for the implementation of the NCI plans and programs.
The Chairperson of the MCITWG shall be agreed upon by the municipal members and shall
be a choice between the Municipal Agrarian Reform Officer (MARO) or the Community
Environment and Natural Resources Officer (CENRO). The Mayor of the municipality shall
be the co-Chairperson. The members of the MCITWG are the Community Environment and
Natural Resources Officer (CENRO), City/Municipal Environment and Natural Resource
Officer (C/MENRO), Municipal Agrarian Reform Officer (MARO), Municipal Agriculture Officer
(MAO) and concerned City/Municipal Planning and Development Coordinator (C/MPDC).

20

The respective interface mechanisms shall be LGU-led with DA, DAR, and DENR providing
technical and operational support. Existing LGU mechanisms may be adopted to spearhead
or manage the convergence initiatives at the LGU level.
The over-all DA-DAR-DENR Convergence Initiative Structure is graphically presented in
Annex A of the Policy Framework and Implementing Strategy for the Enhanced DA-DARDENR Convergence Initiative for Sustainable Rural Development.

2. Conduct of the Municipal Orientation and Planning Workshop


2.1.

Objectives:

At the end of the activity, the participants shall have acquired an understanding on: a)
concept and mechanics of the NCI strategy; b) how to operationalize the Watershed and
Ecosystem Management or Ridge-to-Reef Approach; and c) the process of preparing the
Convergence Area Profile (CAP).

2.2.
Topics:
a. Concept and Mechanics of the Enhanced National Convergence Initiatives (NCI)
Strategy
b. Watershed and Ecosystem Management or Ridge-to-Reef Approach
c. Agro-Enterprise Cluster and Agribusiness Development
d. Data Requirements and Process Flow on the Preparation of the CAP.
(Note: A soft copy of all presentation materials in CD format is enclosed at the back of this
NCI Operations Manual.)

2.3.

Expected Outputs:

The expected outputs are the LGU commitment to pursue CI strategy and the plan on how to
come up with the Convergence Area Profile (CAP)

2.4.

Participants:

The participants of the Orientation are the Municipal Mayor, Municipal Planning and
Development Officer (MPDO), Municipal Budget/Finance Officer, MAO, MARO, CENRO,
21

other LGU officials, Agricultural Technicians, MPDO staff, DAR Development Facilitator, and
Barangay Captains.

PLANNING PHASE

E.

DATA GATHERING AND VALIDATION FOR THE PREPARATION OF


CONVERGENCE AREA PROFILE
1. Data Gathering and Validation

After identifying the convergence area, data gathering of primary and secondary data, field
verification and ocular inspection will be conducted. This will be undertaken by the PCITWG
together with the MCITWGs within the convergence area. As a result of all the data gathered,
a Convergence Area Profile (CAP) will be prepared, using the format in Annex H.
The CAP is the systematic presentation of all the primary and secondary data gathered and
the result of the field validation and ocular inspection conducted on the convergence area
with supporting maps. It will contain the following data:
1. Situation of the watershed and condition of ecosystem (DENR Report)
2. Comprehensive Land Use Plan (CLUP) which contains the long list of commodities
produced in the area
3. Socio-economic conditions (gender and Indigenous People disaggregated demographic
data and population spread)
4. Existing policies, laws applicable and specific to the area (NIPAS, reservation, LGC,
Fisheries Code, CBFM, IPRA, customary laws-IKSPs)
5. Institutional arrangements (geo-political situationer of the Barangays, Municipalities,
Province covered)
6. Relevant cultural and religious practices
7. Current investment and agribusiness situation (existing commodities, production,
processing and marketing system)
8. Municipal and Provincial Physical Framework Plan (geographical location, physical,
biological, social, infrastructure)
9. SWOT (Strengths, Weaknesses, Opportunities and Threats) analysis of the various
ecosystems (forest, upland, grassland, lowland/urban, coastal and marine) within the
convergence area
10. Maps (from NAMRIA and other sources): geo-political boundaries, topography, slope,
existing land use, soil profile, infrastructure, hazard map, etc.
2. Convergence Area Profile Analysis
Based on identified needs of the convergence area, the necessary inputs, activities and
interventions are identified. These should be in support of the goals of the comprehensive
provincial and municipal development plans and must contribute to the protection of the
22

environment, the management of the ecosystem and the development of new lands for
agribusiness.
Data analysis is the result of the spatial integration of all the data gathered combining and
overlaying these in the maps to arrive at a better understanding on the existing situation of
the watershed in terms of land use, institutional presence (LGUs, GOs, NGOs, private
groups, POs), socio-economic condition of the population, population spread, current
investment and agribusiness situation and issues and constraints that may affect the
implementation of the Plans that will be formulated. The analysis will result in the
identification of the necessary interventions to protect the environment, manage the
ecosystem effectively and develop the agro-enterprise and agribusiness potential of the
convergence area using the combined resources of the LGUs, the three (3) lead agencies
(DA, DAR and DENR), other support groups and institutions and the private sector investors.
The Convergence Area Profile analysis will result in the following:
1.

2.
3.

F.

Providing the physical and infrastructure requirements to develop the area such as
farm-to-market roads, irrigation and post-harvest facilities, and other infrastructure
that will support the protection of the watershed and the management of the
ecosystem;
Identifying activities on environment protection and ecosystem management; and
Providing the cluster commodities and investment requirements that can be
implemented within the convergence area which were identified based on the value
chain analysis (VCA) and market study.

PREPARATION OF THE CONVERGENCE AREA DEVELOPMENT PLAN

1. Preparing the Road Map for the Crafting of the Convergence Area Development
Plan
The Convergence Area Development Plan (CADP) is a comprehensive plan which
addresses the management of the watershed and the ecosystem in a holistic and
sustainable manner. This will be done through the implementation of interventions and
activities that will promote sustainable management of all resources within the
convergence area. The CADP seeks to:
identify interventions and activities that will be implemented within the convergence
area in order to manage the watershed and ecosystems and develop the
agribusiness potential without adversely affecting the watershed and the ecosystems;
demonstrate the complementation and integration of services to be provided by the
DA, DAR and DENR with the Local Government Units (LGUs) and concerned NGOs,
Private Institutions, and Research Centers;
23

present the budgetary/investment requirements in managing and developing the


convergence area within a 5 year period (2011-2015); and
serve as a guide for all implementers in the activities to be implemented and the
synchronization of inputs from the three (3) lead government agencies, the LGUs and
all groups and institutions involved.

The formulation of the CADP is the outcome of the joint analysis made by the LGUs
together with DA, DAR and DENR on the present condition of the ecosystem, institutional
capacities, socio-economic condition, population spread and characteristics, sociocultural practices, current land use practices, issues and constraints of the convergence
site. All the relevant data and maps concerning the Convergence Area are presented in a
Profile Format, which was prepared by the MCITWG in Annex H. The data in the Profile
are analyzed to determine the needs and requirements of the convergence area. This
becomes the basis in formulating the Convergence Area Development Plan.
Presented in Figure 3 is an illustration of the process from data gathering to validation,
formulation of CAP, analysis and the formulation of the Convergence Area Development
Plan (CADP):

24

Figure 3
Process in Preparing the Convergence Area Profile and Convergence Area Development Plan
Data Gathering, Field Validation Activities
Convergence Area Profile (CAP)
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.

Situation of Watershed (DENR Report)


SWOT assessment Ecosystem (DENR and LGU)
CLUP (LGU)
Socio-Economic Condition (demographic data, population spread,
IPs, small farmers, fishers gender and IP disaggregated)
Existing policies, laws applicable to the area (NIPAS, reservation,
CBFM,IPRA, customary laws)
Institutional Arrangements
Cultural and Religious Practices
Current Investment and agribusiness situation
Municipal and Provincial Physical Framework Plan
Maps

CAP ANALYSIS

Convergence Area Development Plan (CADP)


I.
II.
III.
IV.
V.
VI.
VII.

VIII.
IX.

Executive Summary
Introduction/Background/Rationale
Regional/Provincial Context (CLUP, PPFP)
Vision-Mission Statement
Goals and Objectives
Convergence Area Profile
Development Framework Plan
A. Spatial Strategy
B. Spatial Integration
C. Institutional Integration
D. Programs and Projects
Plan Implementation
Expected Benefits

Convergence Area Development Plan Evaluation and


Approval
(LGU > MCITWG->PCITWG->RCITWG->NCISC)
Submission -> Review -> Approval -> For
Information/Approval

25

The Convergence Area Development Plan (CADP) will be formulated based on the
analysis of the Convergence Area Profile and will be guided by the existing issuances of
the DA, DAR and DENR mentioned as follows.

DENR MC 2008-05Guidelines in the Preparation of Integrated Watershed


Management Plans

EO No. 533 Adopting Integrated Coastal Management as a National Strategy


to Ensure the Sustainable Development of the Countrys coastal and Marine
Environment and Resources and Establishing Supporting Mechanisms for its
Implementation

DAR MC No. 04 series 2003 Operationalizing the Development of Kapit-Bisig


Laban saKahirapan Agrarian Reform Zones (KALAHI ARZones)

DAR Memorandum Circular No. 03 series 2006 Intensified Rural Development


Through Agrarian Reform Communities (ARCs) Connectivity

DAR Memorandum Circular No. 13 Series 2009 Operational Directives for the
Development of ARC Clusters

Forest Land Use Planning (FLUP)

Sustainable Agriculture and Fisheries Development Zones (AFMA)

Reports on Coastal Resource Management, Bureau of Fisheries and Aquatic


Resources, Department of Agriculture

2. Suggested Outline of the Convergence Area Development Plan


I.

Executive Summary
The Executive Summary should provide a concise presentation of the key
components of the plan. It should clearly describe the goals/purposes of the plan
as well as the principles underlying its preparation and duration/plan period. It
should highlight the plans framework for development, the strategies, the
programs/projects to be implemented and the resource requirements/costs,
benefits to be derived and the prospective funding sources. The proposed plan
implementation, covering organizational structure and monitoring and evaluation
should likewise be described in this section.

II. Introduction/Background/Rationale
26

This section should clarify that the plan covers only the specific convergence area
targeted for development, which just forms part of the development plan of the
entire province and an input to the regional development plan. It should briefly
discuss the plans relevance to the provincial, regional and national development
thrusts and program. It should specify the time frame for the plan.
It should explain how the document is organized including a short description of
its contents.
The Rationale should answer the questions Why is there a need to formulate a
Convergence Area Development Plan? What are the major reasons for doing so?
This may be answered by introducing the enhanced convergence strategy
elaborated under JMC No. 1 series 2010, its objectives and intended impact for
the rural sector.
It should also include a short description of the planning approach and
methodology used.
III. Regional/Provincial Context
To put the plan in its proper context, the general socio-economic and ecological
situation as well as the overall development directions at the regional and
provincial levels is relevant. This section should focus on key development
indicators described in the Comprehensive Land Use Plan (CLUP), the Regional
Development Plans and the Provincial Physical Framework Plan (PPFP) where
the proposed development strategies and interventions in the convergence area
are expected to contribute.
IV. Vision-Mission Statement
State the vision and mission statements for the long ( 25 years) and medium-term
(5 years) period.
V. Goals and Objectives
State the goals and objectives (general and specific) of the plan. What would be
the contributions of the plan to the overall objectives and targets of the
region/province?

VI. Convergence Area Profile


This section presents a narrative report describing the present condition of the
watershed in accordance with the Watershed Characterization Report (DENR MC
2008-05 Guidelines on Integrated Watershed Management Plan, Annex B). It is
equally important to refer to the CLUP/s of municipalities within the watershed and
27

the sectoral plans (Forest Land Use Plans, ARC Development Plans, Coastal
Resources Management Plans, etc.).
This section should highlight the following:
Characteristics of the Watershed
Development Potentials
Development Constraints
VII. Development Framework Plan
This section should discuss the watershed and ecosystem management approach
in managing the convergence area.
A) Spatial Strategy
The spatial strategy should show in a map the location and specific role/function
of the different convergence areas/municipalities in relation to the overall direction
of the province/ region. It should also illustrate the ecological zones, eg. coastal
and marine, lowland, upland and forest areas and their inter-linkages.
B) Spatial Integration
This section should outline the management strategies to be adopted:

Water Management

Management of Vulnerable areas

Allocation of Best Land Uses


Management of Forest and Upland Ecosystem
Management of Lowland and Urban (urbanizing) Ecosystem
Management of Freshwater/Coastal or Marine Ecosystem
The agribusiness potential in each ecosystem should be identified.
C) Institutional Integration
This section should describe how the different institutions and network of
institutions could converge their services in support of the strategies/interventions
and work together towards the development of the convergence areas. The
following may be discussed:

LGU-alliances
Network of POs

D) Programs and Projects


This section should provide an overview of the program/projects to be
implemented in order to meet the goals and objectives over the plan period.
28

These can be categorized along components, e.g. the main strategies described
in VII.B above. It is important to include the targets (e.g. units/numbers, hectares,
number of seedlings) cost estimates and time frame for each of the proposed
project.
The funding requirements should be presented to reflect the total requirement for
the duration of the plan, broken down by year and by proposed funding source.
In addition to the different components and programs/projects, other support
interventions could be identified e.g. Policy and Advocacy, Capacity Development,
Agro enterprise and Agribusiness Development and Knowledge Management, as
necessary.

VIII.

Plan Implementation

A) Organization and Management Structure


This section should answer the questions - Who will implement the plan? What
will be the composition of the structure? What will be the role/ expected
contributions of each organization? Are present capabilities sufficient to match
future responsibilities? What measures should be taken to augment capabilities?
What will be the relevant post-implementation structure of the program?
The organizational and management structure of the implementation of the plan
should be presented.
1. Monitoring and Evaluation
This section should answer the questions How will the program be monitored?
Who will monitor and what mode and methods of monitoring will be adopted?
2. Schedule of Major Activities
Prepare a timetable of activities, preferably a Gantt Chart of major activities.

B) Expected Benefits
In addition to productivity and income benefits, the social soundness of the
investment should be adequately discussed. The evaluation should take into
account the groups or sectors to be benefited by the program investment, on the
one hand, and which would be adversely affected on the other. The acceptability
of the program to the recipient communities and neighboring areas should be
taken into consideration. The unquantifiable social benefits should likewise be
included, e.g. increased political awareness, gender awareness etc.
29

A section on the likely environmental effects of the proposed investment should be


included and appropriate mitigation measures should be included where adverse
effects are likely to be created.

3.

Identifying the Agri-business Potential in Each Ecosystem


3.1.

Cluster Commodity Selection

a. Conduct of Municipal Orientation and Planning Workshop


The RCITWG together with the representatives from the PCITWG will conduct an
orientation and planning workshop. At the end of the activity, the participants shall
have acquired a common understanding on the concept and mechanics of the NCI
strategy. The participants will also have a common knowledge on how to
operationalize the ridge-to-reef approach and identified the commodities that will be
developed as agro-enterprises in the area.
The participants to the orientation and planning session will be: Municipal Mayor;
Municipal Planning and Development Officer (MPDO); Municipal Budget/Finance
Officer; MAO; MARO; CENRO; other LGU officials; Agricultural Technicians; MPDO
staff; DAR Development Facilitator; barangay captains
The following are the topics that will be presented and discussed:

Concept and mechanics of the Enhanced National Convergence Initiatives


(NCI) Strategy
Ridge-to-Reef Approach
Agro-enterprise Cluster and Agribusiness Development

The expected outputs will be the following:


1) LGU commitment to pursue CI strategy;
2) Long list of crops/commodities to be considered in agro-enterprise cluster and
agribusiness development and corresponding profile; and
3) Plan on how to move forward (especially on how to generate the necessary
data required by the PCITWG)
The profile of identified commodities should establish the expanse of production in
terms of hectares/area planted and available and potential market. The impact of
climate change will also be considered in all aspects in planning and selection of sites
and cluster commodities.
30

b. Shortlisting of Cluster Commodities


The MCITWG shall conduct another session to come up with the short list of
commodity clusters.
This activity shall be attended by representatives from
representatives of the RCITWG and PCITWG, municipal LGU officials,
representatives from NGOs, POs, farmers groups and other organized groups.
A key input in the shortlisting process is the Value Chain Analysis (VCA), which will be
used to assess the economic value of commodities and identify the possible
commodity mix by ecosystem that will facilitate backward and forward integration.
Through VCA, the group will generate data on raw/planting materials sourcing,
production, technology, market demand, etc.
The MCITWG, together with other sectors of the community shall prioritize the
commodities using the following criteria:
Table 5: Criteria for Prioritization of Commodities
Selection Criteria
Weight Distribution
1. Market demand

40%

2. Outreach

20%

3. National Priority Ranking

20%

4. Complementarity

20%
100%

To prioritize the commodities, each of the shortlisted commodities shall be subjected


to the following criteria, using the scale of 1- 5, where:

5 is the highest
1 is the lowest

Table 6 : Criteria on Market Demand (40%):


Rating
Contribution to GDP or Export
Earnings

Market Demand Level

Rating 1

No contribution to GDP/ export


earnings

No market demand for the


commodity

Rating 2

1-3 % contribution to GDP/


export earnings

Limited local market for identified


commodity is present
31

Rating 3

4-7% contribution to GDP/


export earnings

Local market for identified


commodity is available

Rating 4

8-10% contribution to GDP/


export earnings

Provincial and local market


demand is high

Rating 5

At least 11% contribution to


GDP/ export earnings

International, regional, provincial


and local market demand is high

32

Table 7 :Criteria on Outreach (20%):


Rating
Employment Generation
Potential
Rating 1

At least 200 existing and


potential jobs is/shall be
generated

Rating 2

At least 400 existing and


potential jobs is/shall be
generated

Rating 3

At least 600 existing and


potential jobs is/shall be
generated

Rating 4

At least 800 existing and


potential jobs is/shall be
generated

Rating 5

At least 1,000 existing and


potential jobs is/shall be
generated

Presence of Farmers/Organized
Groups that are Engaged in
Production of Chosen Commodity
No farmers'/organized groups'
that are willing to engage in
production of chosen commodity
Presence of farmers'/organized
group' but are hesitant to engage
in production of chosen
commodity
Presence of at least one
farmers'/organized group that is
willing to engage and has
previous experience in producing
chosen commodity
Presence of at least one
farmers'/organized group that is
willing to engage and has
previous experience in producing
chosen commodity
Presence of at least one
successful farmers'/organized
group that is engaged in the
production of chosen commodity
with market linkages

Table 8: Criteria on National Priority Ranking (20%)


Rating 1 Not relevant nor important to the export promotion thrust of the
Government; not mentioned in speeches of government officials nor
included in the LGUs development plans
Rating 2

Low relevance/importance to the export promotion thrust of the


Government and very rarely mentioned in speeches of Government
officials or rarely included in LGUs development plans

Rating 3

Medium level relevance/importance to the export promotion thrust


of the Government and commonly mentioned in speeches of
government officials or commonly included in the LGUs
development plans at all levels
33

Rating 4

High relevance/importance to the export promotion thrust of the


Government and frequently mentioned in speeches of government
officials or frequently included in the LGUs development plans at all
levels

Rating 5

Very high relevance/importance to the export promotion thrust of the


Government and always mentioned in speeches of government
officials or always included in the LGUs development plans at all
levels

Table 9 : Criteria on Complementarily (20%)


Rating
Presence
Availability
of Availability
of
of physical raw/planting
appropriate
(roads,
materials 5%
technology
bridges,
(production,
irrigation,
processing, etc.)
etc.) and
5%
economic
infrastructure
(credit)
5%

Presence/adequacy of
extension services (e.g.
training
services;
business
advisory
services;
demonstration
services; information;
education,
communication support
services through trimedia) 5%

Rating 1

No
physical
infrastructure is
present;
only
informal
credit
sources
are
available

No readily
available or very
limited source of
raw/planting
materials

Appropriate
technology is
not readily
available

No extension services
are locally available

Rating 2

Physical
infrastructure
present is
limited;
only
informal

Raw/planting
materials are
sourced from
nearby
municipalities/ar
eas

Appropriate
technology is
available from
nearby
municipalities/
areas

At least one of the


above-mentioned
extension services is
available on-site

34

sources of
credit is
available
Rating 3

Any one
of the
abovementione
d physical
infrastructure is
present;
at least
one
formal
credit
source is
available

Raw/planting
materials are
readily available
on-site but on
certain months
only

A group of oncall agricultural


technicians is
present to
provide
appropriate
technology;
functional
processing
facilities are
available in
nearby
municipalities/
areas

At least two of the


above-mentioned
extension services are
available on-site

Rating 4

Any two
of the
abovementione
d physical
infrastructure are
present;
at least
two formal
credit
sources
are
available

Raw/planting
materials are
available within
the area year
round

Any three of the abovementioned extension


services are available
on-site

Rating 5

Adequate
physical
infrastructure such
as roads,
bridges,
irrigation
system is
present;

Raw/planting
materials are
available within
the area year
round, with some
surplus available
for sale

A group of
skilled LGU
agricultural
technicians
regularly visits
the area to
provide
adequate
appropriate
technology;
functional
processing
facilities are
available in
nearby
municipalities/
areas
A pool of trained
paratechnicians is
available to
provide a menu
of appropriate
technology;

All of the four abovementioned extension


services are available
on-site

functional
35

at least
three
formal
credit
sources
are
available

processing
facilities are
available on-site

c. Computation of Rating:
1) How to compute the overall rating score per commodity:

The formula to get the score per criterion:


Rating per criterion x Weight / 5 x 100

To get the overall rating, add all the scores corresponding to each of the four
criteria

Example: Commodity 1: Rice


Criteria 1:
5 x 0.10 / 5 x 100 = 10
Criteria 2:

5 x 0.15 / 5 x 100 = 15

Criteria 3:

5 x 0.15 / 5 x 100 = 15

Criteria 4:

3 x 0.15 / 5 x 100 = 9

Criteria 5:

5 x 0.35 / 5 x 100 = 35

Criteria 6:

3 x 0.10 / 5 x 100 = 6

Overall rating 90

Example: Commodity 2: Mango


Criteria 1:
4 x 0.10 / 5 x 100 = 8
Criteria 2:

4 x 0.15 / 5 x 100 = 12

Criteria 3:

4 x 0.15 / 5 x 100 = 12

Criteria 4:

3 x 0.15 / 5 x 100 = 9

Criteria 5:

5 x 0.35 / 5 x 100 = 10

Criteria 6:

5 x 0.10 / 5 x 100 = 6

Overall rating 82
36

Example: Commodity 3: Dairy Products


Criteria 1:
3 x 0.10 / 5 x 100 = 6
Criteria 2:

3 x 0.15 / 5 x 100 = 9

Criteria 3:

4 x 0.15 / 5 x 100 = 12

Criteria 4:

3 x 0.15 / 5 x 100 = 9

Criteria 5:

4 x 0.35 / 5 x 100 = 28

Criteria 6:

3 x 0.10 / 5 x 100 = 6

Overall rating 70

2)

How to Prioritize the Commodities:

Commodities with rating of:


85% and up
= Priority 1
70% - 84%

Priority 2

50% - 69%

Priority 3

Below 50%

will not be favorably


considered

Given the examples above, rice is part of Priority 1; while mango and dairy products are
part of Priority 2.

d. Workshop on Commodity Profiling and Commodity Based Investment


Programming
This is a two-day workshop. Members of the concerned CI-TWGs and selected technical
staff from DA, DAR, DENR and the concerned LGU shall attend the first day. The output
of which are the profiles of priority commodities and their respective investment
requirements from 2011- 2016.
Using the outputs of Day 1, specifically, the commodity profiles and investment
requirements shall be presented to selected farmer leaders, representatives of organized
37

groups and other stakeholders on the second day. Annex I shows the template used in
preparing the Investment Proposal/Business Plan.

e. Refinement and Finalization of the Commodity-Based Investment Plans and


Preparation of Cost-Benefit Analysis
Another two-day workshop will be held for this activity. This will be attended by the
members of the concerned CI-TWGs and selected technical staff of DA, DAR, DENR and
concerned LGU. Resource speakers and agribusiness enterprise development experts
will be invited to guide the local convergence teams in refining and finalizing the
investment plans. The outputs of this activity are the full-blown investment plan, and
capsule proposals for each commodity, for which funding commitments of each agency
shall be defined. (See Annex J: Sample Investment Proposal on Cripy Banana Chips)

f.

Conduct of Investment Forum

To encourage the participation of the private sector and attract private investors and other
possible development partners, a Regional Investment Forum will be conducted annually
or as deemed necessary. Prepared investment plans that need external investments will
be presented in the Regional Convergence Investment Forum.
A National Investment Forum will also be held annually. Investment proposals not picked
up by investors in the Regional Investment Forum will be again presented in this forum.

g. Monitoring and Evaluation


Implementation of the funded investment plans shall be closely monitored by the local
TWG and progress of implementation shall be reported to the Regional CI TWG and
National CI TWG. Unfunded investment plans shall also be monitored, reviewed and
revised if deemed necessary. This will be lined up to other available funding windows.
Evaluation of CI agro-enterprise and agribusiness undertaking will also be done. This
can be done by either the in-house monitoring or evaluation units of DA, DAR and DENR.
Documentation of best practices will be coordinated with the Knowledge Management
Component for dissemination and replication to other areas where deemed applicable.

h. Follow Through Activity : Commodity and Investment Mapping


In preparation for the official CI launching, the technical staff of the LGU shall initiate the
mapping of the identified commodity clusters. Required support investments like farm to
market roads, drying and other post-harvest facilities will be identified. Support
38

infrastructures that are under the banner programs of DA, DAR and DENR will be
proposed to be programmed under said banner programs. Other infrastructure
requirement that cannot be accommodated by the regular programs will be packaged into
a proposal for funding through foreign grants and other external assistance.

G.

CONVERGENCE AREA DEVELOPMENT PLAN EVALUATION AND


APPROVAL
The evaluation of the Convergence Area Development Plan (CADP) will go through a
process of review, field validation and approval. If the convergence area covers only a
single municipality then the CADP will be prepared at the Municipal level and submitted
for review at the Provincial level and for approval at the Regional level. If the
convergence area covers more than one municipality then the Plan will be prepared at
the Provincial level and submitted for review and approval at the Regional level. For
purposes of this write-up, the MCITWG/PCITWG that prepared the CADP will be
referred as the Planning Team while the PCITWG/RCITWG that will review and approve
the CADP will be referred to as the Reviewing Team.

1.

Review and Evaluation of CADP

Upon receipt of the CADP, the members of the Reviewing Team


(PCITWG/RCITWG) will first conduct a table review of the plan.

Meeting/s will be held between the Reviewing Team and the Planning Team to
present and discuss the content of the CADP and assess its feasibility and
consistency with the Municipal, Provincial and Regional Development Plans
and to identify future bottlenecks in the implementation.

2. Field Validation

3.

Field validation will be conducted by the Reviewing Team to verify the actual
situation on the ground and to discuss the CADP with the existing groups and
potential beneficiaries. This will also determine the existing and potential
issues and impediments in the implementation of the plan.
Field Validation Report will be prepared and will be used in the deliberation of
the Reviewing Team.

Result of Evaluation

39

4.

Based on the results of the review and evaluation done through meetings and
field validation, the Reviewing Team will officially inform the Planning Team on
its decision regarding the approval of the CADP. This will be done through an
Official Letter with attachment of the Minutes of the meetings and Field
Validation Report.

The result of the evaluation may require further action by the Planning Team to
comply with the issues raised by the Reviewing Team. In this case, approval of
the CADP will be conditional pending the compliance of the Planning Team on
the issues raised by the Reviewing Team.

Final Approval

The final approval of the CADP will be given by the Reviewing Team after a
thorough review process. This will be communicated through an Official Letter
signifying the approval of the CADP.

The approved CADP will be endorsed to the RCITWG and NCITWG for fund
programming and necessary support.

Upon receipt of the approved CADP, the NCITWG will assess the plan for
completeness and consistency with the specific plans of the concerned
government agencies and groups involved and with the over-all national plan
on Convergence Initiatives.

If the CADP is found in order, the NCITWG will inform the RCITWG of its
confirmation and approval.

The approval of CADP will signify that the convergence area is ready for the
Launching Activity. (See
Figure 4: Review and Approval
GO
Process of CADP)

BACK
TO # 3

GO BACK
TO # 1

FIGURE 4 : REVIEW AND

APPROVAL PROCESS OF
CADP

MCITWG

PREPARES CADP
(1)
SUBMITS CADP
If NO,
(2)

Step
Number

PCITWG
RECOMMENDATION
BASED ON ISSUES
REVIEWS CADP
IDENTIFIED AND
(3)
CONSISTENCY WITH
CONDUCTS
RECOMMENDS
TABLE
PROVINCIAL
PLANS
APPROVAL
REVIEW
(6)
FIELD VALIDATION
(4)
(7)
YES
??
(5)

RCITWG

NCITWG

REVIEWS CADP
REVIEWS CADP
FOR
FOR MORE OF APPROVAL
CONSISTENCY
CONSISTENCY
PROCESS
WITH NATIONAL
WITH REGIONAL
40FUND
PLANS,
MEETINGS
FROM
PLANS ANDFUND
PROGRAMMING
&
If NOT
PROGRAMMING
&
RECOMMENDS
MUNICIPAL
TO
SUPPORT
SUPPORT
OKNO,
APPROVAL
REGION TO(10)
CAPTURE
(9)) ISSUES
Step(8) ??
OKYES
FROM LOCAL

Number 3

H.

LAUNCHING THE CONVERGENCE AREA

Launching of the Convergence Area is the last activity in the Planning Phase. This event will
signify that the Convergence Area Development Plan had been approved for implementation.
Presented in this topic are the activities that will be conducted for the successful conduct of
the launching activity. The objective of which is to guide the RCTWG, PCTWG and MCTWG
in their preparations for the conduct of cost-effective and multi-stakeholder participatory
launching of convergence area.
The Launching of the Convergence Area involves three (3) main activities:
1. Pre-Launching Activities -is the conduct of series of meetings, planning sessions and
the organization of committees for the actual launching.
a. Participants :

RCITWG (DA,DAR,DENR)

Provincial Planning and Development Officer (PPDO)

Provincial Agriculture Officer (PAO)

Provincial Agrarian Reform Officer (PARO)

Provincial
(PENRO)

Community Environment and Natural Resources Officer


(CENRO)

Mayor/s or Representative

Municipal Planning and Development Officer (MPDO)

LGU-Environment and Natural Resources Officer (ENRO)

Municipal Agrarian Reform Officer (MARO)

Selected Civil Society Organizations (CSO) and Peoples


Organization (PO) representatives

Other concerned offices and partners

Environment

and

Natural

Resources

Officer

41

b. Process :
Planning sessions shall include identification of activities for the launching, including
budget requirement, committee tasks, areas where complementation of activities and
resources should be focused.
The Regional Convergence Initiative Technical Working Group (RCITWG) shall lead in
the planning and coordinating the preparations for the launching activity with specific
assigned tasks to the PCITWG and MCITWG:
Suggested working committees for the actual launching are provided below. Committees
may be combined depending on the dynamics arrangement within the LGUs, availability
of staff support and other factors.

1) Finance Committee is responsible for ensuring the availability of funds for


the activity.
2) Food Committee - is responsible for the necessary arrangements and
preparations of food requirements for the activity.
3) Program Committee is responsible in the preparation of the program of
activities, invitations for the guests and VIPs, and overall coordination of the
participants who are attending the launching activity.
4) Physical Arrangement Committee is responsible for the physical
preparation of the venue. Some considerations in selecting venue would
include proximity and accessibility of the area with some of the projects to be
presented during the launching so that the projects would be more
appreciated by the participants.
5) Promotions Committee is responsible in promotional and IEC activities for
awareness of the participants, stakeholders and other partners including the
preparation of IEC materials like posters, leaflets, etc. Press briefing material
may also be prepared by the committee as needed.
6) Documentation Committee - is responsible in the documentation of the
activity through video, photos and tape recording.
7) Technical Committee- is responsible in the preparation of the necessary
technical and legal documents and materials.

c. Major Activities:
1) Creation of the management and planning teams and/or specific committees
2) Identification of key stakeholders who will attend the launching
42

3) Inter-agency meetings and consultations, orientation and levelling-off


meetings
d. Output :
Program for Local Convergence Area Launching or Program of Activities
Investment Plan

2.

Actual Launching

The Regional Convergence Initiative Technical Working Group (RCITWG) shall lead in the
conduct of the launching activity with specific assigned tasks to the PCITWG, MCITWG and
the specific committees:
The Technical Committee is responsible in the preparation of the necessary technical and
legal documents and materials such as: (should be included in the pre-launching)
Launching details will be attached.
a. Project profiles, project briefs, flyers about the CADP
b. Presentation materials on CI and CADP
c. Memoranda of Agreement (MOA) or Memoranda of Understanding (MOU) which
contain the following information:
mission, purpose, scope, terms of
understanding, signatures of concerned parties and witnesses
d. Tokens of recognition/appreciation
e. Land titles for distribution
f.

Agricultural equipment and inputs

g. Facsimile or actual checks


h. Other documents.

Table 10 :Suggested Program of Activities During the Launching.

43

Activity

Office Responsible

Suggested
Guests and

Invocation
National Anthem
Welcome Remarks

Host LGU

Background on the
Convergence Initiative
Presentation
of
Development Plan

DA-DAR-DENR NCI/RCITWG

Convergence

Area PCITWG

Commitment of Support

DA, DAR, DENR

Responses

Governor/
Congressional
District Representative

MOU/MOA Signing

RCITWG/PCITWG

Ceremonial Launching and Turn- Over of


Projects

PCTWG/MCITWG

Closing Remarks

NCI Official or LGU

Press Conference
Participants :

RCITWG

Office of the President


NCI Steering Committee - DA,DAR,DENR
NCI TWG Members DA, DAR, DENR
Governor
Senate/Congressional District Representative

Mayors

NEDA/Regional Development Council (RDC)

Other NGAs (DTI, DOH, DOLE, DSWD etc)

Development partners operating in the area

Other offices and partners (POs) from the concerned LGUs

Representatives from local media


44

The actual launching activity runsfrom2-3 hours.


Resources that may be incurred during the launching activity should be collectively shared by
the LGUs and agencies involved.

3.

Post Launching Activities

The RCITWG, PCITWG and Secretariat shall conduct an assessment of the launching
activity. This would facilitate the information and experiential sharing concerning the results
of the launching. The assessment helps in addressing concerns that need immediate action
of the concerned agencies, POs and CSOs .
The Promotional Committee shall conduct a press release on the results of the actual
conduct of launching. It shall also acknowledge key people for their support. Recognition
could be given to concerned support groups during a major event, (e.g. trade fair).
The RCITWG, PCITWG and Secretariat shall conduct monthly meetings to update the
members on the status of projects/initiatives and agreements reached during the launching
activity. The group shall coordinate the jump-start of projects and continuously follow-up
agency commitments at various levels.
The Regional Secretariat prepares documentation on the conduct of launching and post
launching activities and maintains database of project documents for future reference.

IMPLEMENTATION PHASE
There are 4 major activities under the implementation phase which will be presented in this
Chapter. It will start with the discussion on the implementation of the CADP, then the 4
Components which support the implementation,theMonitoring and Evaluation and lastly the
Impact Assessment.

I.1.

IMPLEMENTATION OF THE CONVERGENCE AREA DEVELOPMENT PLAN


1.

Organization and Management:


a.

Municipal Convergence Initiative Technical Working Group (MCITWG)


as the Management/Implementation Team for CADP
45

In implementing the CADP, a Management/Implementation Team is responsible for


the supervision, management and coordination and monitoring of the implementation
of the projects identified under the CADP. The MCITWG shall act as the
management/ implementation team.
The MCITWG/Implementing Team shall hold its office in a strategic and centrally
located area/office accessible to the team members.
Other modalities may be explored for more effective implementation of CADP projects
and activities.
Options in setting up the Coordinating and Management Offices
Option 1: Regional Project Management Office (PMO) to be established/based at
office of RCITWG Chair
Option 2 : Provincial PMO to be established/based at office of PCITWG Chair
Other options that were gathered from the Provincial level data gathering are:
1) Project Management / Coordinating Office to be formed in a strategic
area within the convergence cluster
2) Creation of a Council or LGU Alliance of Convergence Area
b.

Roles and Responsibilities of Management/Implementing Unit

The management office/implementing unit shall have the following specific duties and
responsibilities:
1) Assist the LGUs in the preparation of project proposals
2) Conduct site validation and preliminary investigation of proposed
projects
3) Secure clearances, endorsements and other necessary documents
pertaining to the implementation of projects approved under the
initiative
4) Submit regular program of activities and accomplishment reports to
the MCITWG, PCITWG and other offices when necessary
5) Monitor the implementation of projects
6) Submit physical and financial status of accomplishment
7) Provide overall management and supervision of the approved projects
8) Coordinate with concerned agencies and institutions to resolve issues
and problems arising during implementation of projects
9) Establish and maintain database of projects and activities for all
components (Policy and Advocacy, Agro-enterprise, Capacity
Development) based on Knowledge Management components
recommended principles and systems
10) Performs other tasks assigned by the MCITWG and PCITWG.

46

c.

Integration and Coordination Mechanisms

Mechanisms to integrate and coordinate interventions for the CADP shall be put in
place by the RCITWG and PCITWG to ensure inter-phasing, consistency and
sustainability.
Regular planning, coordination and assessment activities shall be conducted to
identify implementation gaps, issues and concerns to support the implementation
plan. A complete documentation of concerns per component shall be required for
immediate action of concerned working group. Concerns specific to certain agencies
shall be endorsed to the concerned agency.
TWG Focal Persons at all levels (Annex A: Policy Framework - NCI Organizational
Structure) shall act as Heads of Secretariat which will coordinate the conduct of
meetings,
provide
administrative
and
logistical
support,
document
meetings/workshops and maintain effective and efficient data management systems.
c.1.

Municipal Level Coordination

Municipal level coordination for the CADP shall be undertaken through the
MCITWG. Implementation problems and issues shall be threshed out during the
MCITWG meetings.
Mechanisms to integrate and coordinate concerns/issues of each component
shall be consolidated by the Implementing Team. These shall be processed by
the PCITWG and RCITWG.
Coordination meetings at the municipal level shall be held weekly or as
necessary as determined by the MCITWG.

c.2.

Provincial Level Coordination

Provincial level coordination for the CADP shall be undertaken through the
PCITWG. Implementation problems and issues shall be threshed out during the
PCITWG meetings. Coordination meetings at the Provincial Level shall be held
twice a month or as necessary as determined by the PCITWG.
c.3.

Regional Level Coordination

Regional level coordination for the CADP shall be undertaken through the
RCITWG. Implementation problems and issues shall be threshed out during the
RCITWG meetings. Coordination meetings at the Regional Level shall be held
monthly or as necessary as determined by the RCITWG.
47

c.4.

National Level Coordination

National level coordination for the NCI and CADP shall be undertaken through
the NCI Steering Committee, Component TWGs and NCI Secretariat.
Implementation problems and issues raised during provincial and regional
coordination meetings shall be threshed out and resolved at the national level.
The Steering Committee shall meet at least twice a year; the TWG once every
quarter, and the NCI Secretariat as necessary.
The NCI Secretariat shall coordinate with oversight agencies (NEDA, DBM, PMS,
etc) regarding submission of regular and special reports to be required by such
agencies.
The Planning Offices of DA, DAR and DENR shall ensure that NCI plans and
targets including those under CADPs are incorporated in agency Work and
Financial Plans (WFP).
Accomplishment in agency implemented (counterpart) projects within the CADPs
should also be incorporated in periodic agency accomplishment reports.
2.

Annual CADP Review and Planning

Annual review and planning workshop to be held every December/January aims to


review the overall project annual accomplishment vis--vis planned targets to determine
efficiency of project implementation and discuss major strategies and issues that affect
the implementation of projects under the CADP. Planning for the succeeding shall be
undertaken in the same workshop.
Before the cluster-wide review and planning workshop, each LGU shall conduct its own
assessment and planning workshop to review their plans and accomplishments with
respect to the overall CADP plans and targets.
3.

Financial Aspect

Based on the NCI guiding principles (Joint MC 1, S. 2010), funds necessary to carry out
the implementation of the enhanced Convergence Initiative shall be taken from the
available funds of DA, DAR and DENR. Other sources of funds such as grants,
donations, and other forms of assistance from donor agencies and other public or private
entities may be tapped and facilitated by NCI-TWG subject to regular auditing guidelines
and procedures. Cost-sharing or counter parting schemes among NGAs and LGUs will
be encouraged to support the implementation of the enhanced CI.
Funds for the convergence initiative shall form part of the work and financial plan (WFP)
of each department to effectively and efficiently carry out convergence activities.
These department WFPs are outputs of planning and budgeting process established and
standardized across government offices. They are submitted to DBM and incorporated
in the National Expenditure Program (NEP) and General Appropriations Act (GAA).
48

Processing and downloading of agency funds from Central to field offices shall consider
the governments existing accounting and auditing procedures.

I. 2. IMPLEMENTATION OF 4 COMPONENTS
There are four Components that will provide support and guidance in the implementation of
the Convergence Area Development Plan (CADP). These components are (1) Policy and
Advocacy, (2) Agro-Enterprise and Agribusiness Development, (3) Capacity Development
and (4) Knowledge Management. These components perform an equally important role in the
attainment of the goals and objectives of the convergence initiatives by reinforcing and
enhancing the implementation of CADP. The processes involved in the implementation of
these components are described below:

1.

Policy and Advocacy Component

In the implementation of JMC No. 01 Series of 2010, the Policy and Advocacy Component
will ensure that there are no conflicting, overlapping or unclear policies. This component will
address policy concerns through policy reforms in the context of formulating and amending
policy issuances, resolution of overarching cross-sectoral policy issues and the advocacy for
legislation or other instruments leading to institutional and operational efficiencies and
stakeholder participation under the convergence strategy. In order to operationalize the
processes involved in addressing conflicting, overlapping or unclear policies the following
activities will be implemented all throughout the implementation of the Convergence Area
Development Plan. (See Annex K: Matrix on Policy and Advocacy Component2)
a.
b.
c.
d.
e.
f.
g.
h.

Review of Policy issues


Amendment of proposed policy and crafting of Policy Issue Fact Sheet
Endorsement of Policy Issue Fact Sheet to the Policy and Advocacy Group
Refinement of Draft Policy
Deliberation of Draft Policy by Working Group
Conduct Consultative Fora
Endorsement of Policy
Consideration and passage of Policy by NCISC

Source: 2.
Write-up
of Policy and Advocacy
Working
Group
Agro-Enterprise
Cluster and
Agribusiness

Development Component

49

The Agro-enterprise and Agribusiness Development Component will support the


establishment of agro-enterprise clusters in all provinces. 3. These clusters will focus on agribusiness initiatives based on the potential of the areas. In selecting the agro-enterprise
clusters, due consideration will be given to the environment and ecological integrity of the
agro-enterprise cluster. Hence, models will be developed to ensure that the nature and type
of agro-enterprises will be congruent and in harmony with the ecosystem. Presented below
are the objectives and the process of operationalizing the agro-enterprise and agribusiness
activities.4
a.

Objectives

Generally, this component aims to contribute in promoting sustainable rural development


through convergence.
Specifically, it aims to:
1)
2)
3)
4)
5)
b.

Identify cluster commodities in the selected local convergence agro-enterprise


clusters;
Develop investment plans for the development of the selected cluster commodities;
Implement agro and agribusiness enterprises in the selected convergence clusters;
Promote forward and backward integration of cluster commodities; and
Link the different cluster products to relevant market.

Operationalizing the Agro-enterprise and Agribusiness Activities


1)

Adopt a Combination of Bottom-up and Top-down Approach


Following the DA, DAR, DENR CI policies and guidelines, the National
Convergence Agro-Enterprise and Agribusiness Development TWG will work with
the Regional CI TWG in implementing and operationalizing the Agro-Industry and
Agribusiness Cluster Component. Participatory approach will be observed where a
combination of top-down and bottom-up approaches will be used. Under this
approach, the target beneficiaries or partner implementers will be the one to
identify the package to be included in their cluster based on the agreed selection
criteria as well as their felt need and management capability. The technical
concerns of the selected projects however, will be discussed and approved by the
concerned government agencies.

2)

Adopt a Value Chain Approach

Specific discussion on the establishment of agro-enterprise clusters and commodities is


integrated under the activity on the Preparation of the Convergence Area Development Plan
(CADP) pages 27-35 of this Operations Manual.
4
Source: Write-up of Agro-enterprise Cluster and Agribusiness Development Component

50

To develop a sustainable competitive advantage of the selected agro-enterprise


and agribusiness clusters in the business arena, thevalue chain approach will be
adopted in implementing this component. The value chain approach is a powerful
tool for the small farmer-producers and agribusiness entrepreneurs to identify the
key activities within the firm, which form the value chain for the organization/agrobusiness enterprise and have the potential of a sustainable competitive advantage.
The competitive advantage of an organisation lies in its ability to perform crucial
activities along the value chain better than its competitors. Understanding how
industries in which SMEs participation can become more competitive requires both
systematic and systemic analysis of the factors affecting the performance of the
firms in the value chain and the relationships among these firms.

3)

Set the Selection Criteria


Selection cluster commodities and farmer cooperatives/organizations who will be
selected as partner implementers and who will manage the operation of the
projects and facilities that will be established under this CI component shall be
done in accordance with the selection criteria that will be set and agreed prior to
actual implementation.

4)

Implement Counter-parting Scheme


To foster project ownership, counter-parting will likewise be adopted. Partner
implementers will be required to put up equity (cash or in kind) equivalent to the
corresponding percentage based on the income classification of the municipality.
Partner implementing coops/farmers organizations will likewise be required to
provide counterpart particularly the working capital for the 1 st three months of
operation. To ensure allocation of LGU equity, a Sangguniang Bayan (SB)
resolution will be required from participating LGUs. For the cooperatives and
farmers organizations, a Board Resolution will be required.

3. Capacity Development Component

The Capacity Development Component will ensure that the implementing agencies (DA-DAR
and DENR) and other involved agencies, groups and institutions have a shared appreciation
and understanding of convergence and the common framework for sustainable rural
51

development. To efficiently deliver the necessary NCI interventions and activities at the
national, regional, provincial, municipal and community levels require capacity development
interventions such as training, education as well as institutional development. The process in
implementing the capacity development intervention is presented as follows: (See Annex L :
Process Flow for Capacity Development Component5 and Annex M: Proposed List of
Indicative Training Program)
Phase 1 : Strengthening the partnership and/or establishment of new network with relevant
stakeholders in the Convergence Initiative (CI) sites.

Conduct consultation meetings to establish partnership and define the process of


capability development activities at the RCITWG, PCITWG and MCITWG.

Phase 2: Conduct the training cycle/process (See Annex N: Training Cycle)

Training needs/capability building needs of stakeholders and partners.


a)
Conduct rapid appraisal of training needs/felt needs of partners and
stakeholders in the CI sites
b)
Prepare list of training program based on rapid appraisal
c)
Coordinate arrangements with RCI/PCI/MCI Focal persons regarding
identified/proposed training program. (See Annex N.1)
Training Design and training proposal preparation (See Annexes N.2 to N.8)
Pre-Implementation
a)
Prepare Training Design and Training Plan
b)
Prepare and finalize all administrative arrangements
c)
Prepare training materials
d)
Prepare Resource Speakers
Conduct Training
Training Evaluation

4. Knowledge Management
The function of the Knowledge Management Component is to ensure that the NCI programs,
projects and initiatives are implemented and monitored in an efficient and effective manner.
It will likewise ensure that innovations are documented, shared and disseminated for possible
adoption, expansion and scaling-up. The following are the key activities that will be
implemented under this Component: (See Annex O : Matrix on Knowledge Management
Component6 )
5

Source : Write-up of the Capacity Development Working Group

52

a.

Information and Database Management (IDM)

A Convergence Initiative Database System shall be designed and developed jointly by the
Information Technology Groups (ITG) of the three agencies (DA, DAR & DENR). The system
will be installed at the provincial, regional and central units of the agencies to allow
generation of information at their respective levels. The central database will be maintained
at the DA which shall officially provide information and reports to the oversight agencies. It
shall as well provide and facilitate the necessary access to the different users.
The IDM will facilitate the development and management of Convergence Initiative Database
System and shall include but not limited to the following data;

Agribusiness Land (profiles, validated, developed)


Job Generation
Human Resource Development
Fund Sources
Other pertinent statistics (i.e information)

b. Identify Data/Information Needed


These are the data that will provide information to the executive for decision making
as well as the input for monitoring and evaluation. The Knowledge Management
Technical Working Group (KM-TWG) will design the data capture form to be used for
data gathering.
c. Prepare Plan for Data Gathering and Collection
The KM-TWG in coordination with other NCI TWG and relevant agencies will prepare
the plan for data gathering. The plan and the desired captured form will be
disseminated. The Data gathering and collection shall be undertaken at the municipal
level for submission to the provincial level.

Data Gathering Method


1. Interview with Management, exemplars or workers
Interviews are conducted one-on-one or with a small group.
Write down your questions before the interview and give them to the
person(s) being interviewed, if possible
Decide beforehand how you want to document the information you
gather
Tell the person being interviewed the purpose and how you will use what
they tell you

Source: Write-up of Knowledge Management Component Working Group

53

2. Panel of Experts
This method is used to get the collective observations and opinions of the
best of the breed.
Make sure that each participant is truly an expert
Let participants know well in advance what is expected of them and give
them time to prepare
Focus the discussion on the topic at hand and keep participants on track
Document the panel as interviews are documented.
3. Observations
Direct observation of work performance is an excellent means of gathering
data. These are usually done in conjunction with another data gathering
method that is used to fill in the gaps and answer some questions.
Arrange observations well in advance and get permission from
management
Let workers know why they are being observed.
4. Surveys (Formal or Informal)
Surveys are used when data is gathered from a large number of people and
when it is impractical to meet them all face to face.
Decide up-front if conclusions will be based on statistics. If so, consult an
expert to help determine the sample group, method of data collection
and how to analyze the data gathered.
It is best to use commercially designed instruments, if they are available.
They save development time, and they have been tested to ensure
they work
If own survey has to be designed, it must be tested to a sample group from
the target population.
d.

Design and Develop Database Management System


The Knowledge Managements Information Technology Group (KM-ITG) will plan for
the design and development of the Database Management System particularly;
1.
2.
3.
4.

e.

Design an input and output forms to be used for


data gathering and report generation.
Design Database structure based on the input and output forms.
Identify resource requirements (hardware, software and peopleware) and the
budget corresponds to it.
Development of Data Entry, Inquiry and Report Generation programs.

Database Build-up

54

Data entry and initial processing shall be done at the provincial level. Information
generated at the provincial level shall be submitted electronically to the regional
and national level for consolidation, processing and analysis.

1.

Training/Orientation
Preparation for training/orientation will be done by KM-TWG. The processes
to be done are the following;

Prepare users manual for the encoding of data/information.


Prepare materials needed for the training/orientation.
Encode data/information from the prescribed capture form.
Verify/validate data for accuracy

2. Report Generation and Data Analysis


The three agencies shall assign at least two focal persons to analyze data and
translate to a narrative report with corresponding recommendations for
submission to the NCITWG and the National Convergence Initiative Steering
Committee (NCISC). These reports will then be formally endorsed to the
Oversight agencies.
3. Database Maintenance
Updating and modification of data will be done at the municipal level on a
regular basis to make sure that all the information in the database is current.
Updates will be submitted to the provincial level for encoding of the data.

f.

Information Dissemination

The objective of the information dissemination is to ensure the sharing and circulation of
information to all NCI stakeholders.

Prepare Dissemination Plan

The dissemination plan will be prepared by KM in coordination with DENR-PAO,


DAR-PAS, DAR-BARIE, DA-AFIS and NCI Secretariat.

Package information materials (content, target audience)


Identify dissemination methods

55

1)
2)

3)
4)

5)

6)

7)

8)

9)

10)

11)

Newsletter - use the organizations newsletter to announce the project,


give regular updates, develop a profile, and get buy-in.
Website - project website is one of the most versatile dissemination
tools. Put plenty of information there for different audiences. Add to it
regularly so people keep coming back. Sell the project and engage the
community.
Press Release (Tri-media) - A press release is a formal announcement to
the national press, television or radio broadcast.
Flyer/Brochures - Though much communication is electronic, it is still
often useful to create an A4 flyer that can be circulated in printed form (e.g.
to hand out at conferences or to colleagues at your institution). The
electronic version (e.g. PDF file) can also be circulated electronically.
Programme/Cluster Meeting these meetings are excellent
opportunities for projects to learn from each other, discuss common
issues, and get feedback on their work.
Conference Presentation - conferences are an important opportunity to
share achievements with experts in the field (e.g. agriculture, fishery,
technology etc).
Posters - A poster session at a conference may be more appropriate
when you have work in progress. You write up your work in poster format,
and present it to delegates who attend the session. It may not be as
glamorous as doing a presentation in the auditorium, but its an excellent
way to practice engaging people, gauge their reactions, and get one-toone feedback.
Workshops - small interactive events held to achieve a specific
objective. A workshop could be used to get feedback from users on a
demo or to get feedback from experts on a particular issue.
Demonstration - show what youve developed and get feedback. Demos
are useful early in the project to get feedback from stakeholders on
functionality, usability, and look-and-feel.
Journal Articles - Any and every opportunity should be taken to get
articles published about the project. Consider peer reviewed journals in
relevant disciplines near the end of the project when you have data and
results to report.
Reports and other documents - reports on specific topics or anything
that project has developed that may be useful to others (e.g. guidelines,
methods, evaluation criteria, questionnaires) can be post the website so
they are accessible to a wide audience.

g. Monitoring and Evaluation


This activity aims to improve performance and determine the relevance, effectiveness and
impact of the project. KM TWG in coordination with other NCI TWG will do the following for
the development of the Result Based Monitoring System. (See Annex P : M&E Template)
56

1)

Develop Results Based Monitoring System


a)
b)
c)
d)
e)
f)

2)

Training/Orientation on M&E System


a)
b)
c)
d)

3)

Clarify project aims, objectives, values and activities


Clarify the target groups
Identify outputs and outcomes
Set performance indicators
Set frequency of monitoring
Design M&E form or Logical Framework for monitoring.

Preparation of training needs/materials


Identification of participants
Conduct the actual training
Evaluate the effectiveness of the system for modification and
enhancement.

Implementation of M&E System


a) Prepare implementation plan
b) Identify convergence area/project for pilot testing of the system.
c) Conduct monitoring and evaluation using the prescribed M&E form and
Logical Framework (See Annex Q : Guide in the Formulation of Logical
Framework)

h.

Documentation of Innovations and Best practices.

This activity is intended to identify the innovations and best practices for adoption,
expansion and development of the projects/programs.
Best practice is defined as the development initiatives which have resulted in concrete
and measurable impact in the quality of life and local resource base of targeted
communities in particular and of agrarian reform communities in general. In addition,
there should be some evidence of expansion, scaling-up or adoption in other areas,
beneficiary-groups or communities.
Innovative strategies or approaches are pioneering and creative strategies,
processes and procedures that have provided new insights in the enhancement of
alternative development models and paradigms
1)
2)

Identify criteria for best practices and innovations


Conduct consultation to identify areas with good practices/innovations.
57

3)
4)
5)
6)
7)
8)

Prepare questionnaires and send to LGUs with good practices and response
screened by the region before sending to Central Office (CO).
Short listing by CO based on the criteria identified.
Visit the area for validation with CO and RO staff with contractor to collect
data/interview.
Report writing, review and finalize
Store in the Database System
Package/Disseminate information thru fora, trainings and presentation for
adoption.

J. MONITORING AND EVALUATION


The Monitoring and Evaluation (M&E) System is a tool or mechanism that aims to keep track
on the status of the program implementation of activities within the Convergence Areas. The
system will also be able to address issues, problems, and bottlenecks affecting the program
implementation. Indicators for the M & E shall be based on the Policy Framework and
Implementing Strategy of the Enhanced DA-DAR-DENR Convergence Initiative for
Sustainable Rural Development.
The M & E System must be able to support the following management requirements:
1.

Policy level. The M&E system must provide the necessary feedback on the
effectiveness of policies and programs.

2.

Strategic Concerns. Improvement or enhancements of program designs are


dependent on the quality of information and insights received by implementers.

3.

Operational Efficiency. Accurate and timely information are needed to make quick and
decisive adjustments in the operations.

The NCI Technical Working Group (TWG) on Knowledge Management (KM) shall lead the
preparations and implementation of the M & E System in cooperation with the other TWGs.
1.

Logical Framework Matrix and Implementation Plan

The logical framework (Logframe) matrix aims to set goals and targets for the NCI that will
serve as basis for the success of the project.

58

The Logframe is created in order to provide a clear coverage and/or boundary as to what is
going to be monitored and evaluated. This matrix is also used in order to indicate what the
desired objectives are. The matrix is composed of:
a.

Goal.Poverty eradication (poverty reduction in the medium term) and sustainable


rural development.

b.

Purpose. (1.) Ensured food security and increased income, (2.) Enhanced access to
land (and other natural resources) and improved quality of the environment and (3.)
Self-reliance of constituency and increase resilience of their communities.

c.

Output.The outputs can be grouped into four components: (a) Policy and Advocacy,
(b) Agro-enterprise Cluster and Agribusiness Development, (c) Capacity
Development, and (d) Knowledge Management.

d.

Input/Key Interventions. Key interventions under each of the components will be


anchored on the outputs.

Parameters that will ask the requirements as basis for monitoring and evaluation are the
following:
1.

Objectively Verifiable Indicator(OVI).These are the indicators that show the aimed
targets and resources to be used. The indicators are usually quantifiable.

2.

Means of Verification(MOV).This refers to the validation of the Objectively Verifiable


Indicators. These usually come in reports, survey results, studies, and observation,
among others.

3.

Important Assumptions(IA).This refers to the factors that were not included in


setting up the indicators.

Please refer to Table 11 for the NCI Logframe and Figures 5 for the Logical Framework
Matrix.

Table 11: NCI Logframe


Narrative Summary
Goal
Poverty eradication
and sustainable rural
development

Objectively Verifiable Indicator

Sustained growth that


creates jobs
Draws the vast majority into
the economic and social
mainstream
Continuously reduces mass
poverty

Means of
Verification

Important
Assumption

Terminal and
Impact
Assessment
Reports

59

Purpose
(1.) Ensured food
security and increased
income
(2.) Enhanced access
to land (and other
natural resources) and
improved quality of the
environment
(3.) Self-reliance of
constituency and
increase resilience of
their communities.

Output
(a) Policy and
Advocacy

Household income of
constituency increased
above the poverty line
Food staples available at
reasonable prices at all
times
Improved conservation,
protection and rehabilitation
of natural resources
Increase in no. of
constituency with titles to
land or other tenurial
instruments
Increase in no. of
constituency engaged in or
employed in market-led
and environment-friendly
agri-enterprises
Constituency or
organization of constituency
and communities able to
participate in local
governance, and
management of resources
Constituency/organizations
able to cope with socioeconomic shocks,
environmental hazards and
climate-related risks

Formulated and amended


policies related to
convergence under the rural
development sector
Legal instruments,
resolutions or agreements
by and among government
agencies as regards to the
harmonization and
resolution of conflicting
policy issues and concerns
in the implementation of
laws and policies on rural
development
Policies expanded or
improved to address gaps
Advocacy networks for
policy reforms established

Annual
Reports,
Midterm
Reports
Analysis of
existing data
and statistics
Cooperation
workshops
(Mutual
assessment of
key
stakeholders)
Focused
Group
Discussions
Surveys
Interviews

Monthly and
Quarterly
Reports
Cooperation
workshops
(Mutual
assessment of
key
stakeholders)
Focused
Group
Discussions
Surveys
Interviews

60

(b) Agro-enterprise
Cluster and
Agribusiness
Development

(c) Capacity
Development

(d) Knowledge
Management

Agro-Enterprise clusters
established in all provinces
Agro-Enterprise cluster
models developed
Planning and management
tools to facilitate agroenterprise cluster and
agribusiness development
introduced

Developed shared interest


and common understanding
of the convergence strategy
and intervention framework
among the implementers at
the national and local levels
Capacitated implementers
and the technical working
groups in the following
areas: policy analysis, agroenterprise cluster and
agribusiness development,
knowledge management,
and monitoring & evaluation
Network of institutions (for
capacity development)
established
Monitoring and tracking
system developed, installed
and operationalized
Experience and learning
exchange facilitated
Success stories/innovative
practices documented and
disseminated

Field Validation
Cooperation
workshops
(Mutual
assessment of
key
stakeholders)
Focused
Group
Discussions
Surveys
Interviews
Field Validation
Cooperation
workshops
(Mutual
assessment of
key
stakeholders)
Focused
Group
Discussions
Surveys
Interviews

Field Validation
Cooperation
workshops
(Mutual
assessment of
key
stakeholders)
Focused
Group
Discussions
Surveys
Interviews

Secondary data such as reports, previous studies can be used in setting up the Logframe as
well as survey instruments, key informant interviews and focus group discussions. The
Logframe must be presented to the stakeholders for validation. The development of a
Logframe may be started at the Local Convergence Agro- Enterprise Cluster (LCAEC)
development workshops (regional level).
61

It is necessary to link the logical framework to the NCI implementation plan, which indicates the
targets based from the logical framework. As seen in Figure 6, the inputs and outputs can be
presented in a detailed manner, indicating the indicators and its target during the first month,
and so on.

62

Figure 5: Logical Framework Matrix

Detailed
Implementation Plan
or Annual Plan

NS OVI MoV IA
GGoa
l
Purpo

see
Outp
uts
Inpu
ts

Output
Code

Figure 6: Linking the Logical Framework to


the Implementation Plan
The NCI TWG on Knowledge Management shall lead the group on setting-up the M & E
System and provide technical support to Regional Convergence Initiative TWGs (RCITWG) in
formulating the matrices. The RCITWG shall draft the link of the logical framework and
implementation plan and shall oversee the implementation in their covered areas. The
formulation of a Logframe and implementation plan shall take two months.

2.

Monitoring and Evaluation System: Report Validation

The M & E System comprises of four aspects, namely Progress M & E, Initial Gains Evaluation,
Results M & E and Impact Assessment. Figure 7 shows the stage of the implementation and
the points where the aspects of M & E will take place.

63

Figure 7: The Four Types of Monitoring & Evaluation

a.

Progress Monitoring and Evaluation.

The Progress M & E basically deals with the updating of the project as it moves forward until its
completion. Reports to be submitted for progress M & E include the Monthly Report, Quarterly
Report, Semi-annual/Mid-Year Report, and Annual Report. The contents include the inputs
deployed and outputs achieved, targets versus accomplished, physical versus financial, and
explanation for slippages. The annual report shall include a narrative summary of the years
progress. The monitoring forms will be populated by the Municipal Convergence TWG to be
submitted to the Provincial Convergence TWG for verification and be forwarded to the Regional
Convergence TWG for final validation in the local level. Same process flow will be done with
the Initial Gains Evaluation and Results Monitoring and Evaluation. The reporting duration for
the monthly and quarterly report will be two weeks, through electronic mail. The reporting
duration for the semi-annual and annual reports will be for one month, through electronic mail
and a hard copy to be sent to the NCI TWG concerned which they will review and process the
report and be submitted to the KM TWG for consolidation. (Please refer to Annex P for the
Monthly Reporting Format and for the Quarterly, Mid-year and Annual Reporting Format).

b. Initial Gains Evaluation.


The Initial Gains Evaluation refers to the progress of the project entering the half-way mark.
Included here are the accomplishments of the first three years of the project (halfway point). In
here, the initial developments and changes happened should be highlighted. Along with this,
the usual reporting on the targets versus accomplishments and physical versus financial
should also be included. Finally, a narrative summary shall be included discussing the
highlights of the first half of the project. The reporting duration should be within two to three
64

months, through electronic mail and a hard copy to be sent to the NCI TWG concerned which
they will review and process the report and be submitted to the KM TWG for consolidation.
The monitoring form for the Initial Gains Evaluation will be dependent on the submitted
Progress Monitoring and Evaluation reports.

c. Results Monitoring and Evaluation.


In Results M & E, the initial results of the project are incorporated. The accomplishments of the
projects are included. The initial developments as result of the interventions should be captured
as well. Aside from these, the reporting on the targets versus accomplishments and physical
versus financial should also be included. Finally, a narrative summary shall be included
discussing the highlights of the first half of the project. The reporting duration should be within
two to three months, through electronic mail and a hard copy to be sent to the concerned NCI
TWG for their review and processing of the report and will be submitted to the KM TWG for
consolidation. The monitoring form for the Results Monitoring and Evaluation will be
dependent on the submitted Progress Monitoring and Evaluation reports.
d. Impact Evaluation/Assessment.
The Impact Evaluation component of M & E shall be discussed in the next chapter.

3. Monitoring and Evaluation System: Field Validation


Another tool for M & E is the field validation. Site visits shall be conducted in order to validate
selected accomplishments mentioned from the reports submitted. The NCI shall form a
Validation Team that will be composed of the representatives from the Planning Units of DA,
DAR and DENR Central Office, NCI Secretariat, TWG on Agribusiness and Agro-Enterprise
Development, Knowledge Management Technical Working Group (KMTWG); along with the
respective RCITWG.
The bases for field validation include significant gaps or discrepancies on targets and
accomplishments, financial and physical. Also to be looked at are the dubious or unfilled data
that needs actual visit to validate the reports submitted. For those that showed poor
performances, the implementation processes shall be looked at in order to suggest the
necessary adjustments.
The field validation shall be conducted biannually for one to two weeks. The validating team
shall provide a report to the NCI TWG on KM.

65

K. IMPACT ASSESSMENT
The impact assessment provides an in-depth analysis of the results of the entire project.
Looking back at the logframe, the impact assessment will answer whether or not the long-term
goals of the project were achieved. The impact assessment aims to evaluate the extent of the
results of the project and to determine whether or not the project was able to achieve its ultimate
goals based on in-depth analyses of the results of the project.
Impact assessment should be done at two levelsRegional and National. At the regional level,
impact assessment should be done at their respective convergence areas. As for the National
level, the assessment should collate all the evaluations from the Regions to provide sole report
on the Impact Assessment of the NCI. The Impact Assessment Reports should contain the
following:
1.
2.
3.
4.

Evaluation of the effectiveness of the project in terms of the target groups


Should discuss whether or not the goals are achieved
Assessment of the actual benefits gained from the project.
Provide recommendations on how to move about once the project is finished

In conducting impact assessments, it is possible to draw services from consultants, especially


at the compilation of the impact assessment reports from the regions. The timeframe of the
impact evaluation at the regional level shall be for two to four months while the compilation for
a National Convergence Impact Assessment shall be done within two months. The reports shall
be collected by the NCI KMTWG.

66

LIST OF ANNEXES

ANNEX A
ANNEX B
ANNEX C

Policy Framework and Implementing Strategy for the Enhanced DA-DAR-DENR


Convergence Initiative for Sustainable Rural Development
List of Watershed Supporting the 141 River Irrigation Systems of NIA
List of Poorest and Most Food Poor Provinces

Ranking of Provinces by Poverty Incidence


ANNEX D
ANNEX E
ANNEX F
ANNEX G
ANNEX H
ANNEX I
ANNEX J
ANNEX K
ANNEX L
ANNEX M
ANNEX N
ANNEX N.1
ANNEX N.2
ANNEX N.3
ANNEX N.4
ANNEX N.5
ANNEX N.6
ANNEX N.7
ANNEX N.8
ANNEX O
ANNEX P
ANNEX Q

Format for Convergence Area Evaluation


Endorsement of Evaluation Results
Pro-Forma Letter Re: Confirmation on Convergence Area Selection
List of All Confirmed Convergence Area
Convergence Area Profile Format
Investment Proposal/Business Plan Template
Sample Investment Proposal on Crispy Banana Chips from Friends of Bislig
Incorporated, Cebu City)
Matrix on Policy and Advocacy Component
Process Flow for Capability Development
Proposed Indicative Training Program
Training Cycle
Developing a Training Program
Different Training Methods
Checklist in Implementing Training Program/Activities
Checklist of Training Forms/Supplies/Materials
Sample Budget Estimate
Training Forms
Training Design Format
Training Report Format
Matrix Knowledge Management Component
Monitoring and Evaluation Template
Guide in Formulating the Logical Framework

67

LIST OF TABLES
Table No.
TABLE 1
TABLE 2
TABLE 3
TABLE 4
TABLE 5
TABLE 6
TABLE 7
TABLE 8
TABLE 9
TABLE 10
TABLE 11

Title
Initial Data Requirement
The Must and Prioritization Criteria
Rating system for the Final Selection of Convergence Area
Additional Data, Information and Documents
Criteria for Prioritization of Commodities
Criteria for Market Demand
Criteria for Outreach
Criteria for National Priority Ranking
Criteria for Complementarity
Suggested program of Activities During the Launching
NCI Logical Framework

Page
10
12
14
19
30
31
32
32
33
43
60

List of Figures
Number
FIGURE 1
FIGURE 2
FIGURE 3
FIGURE 4
FIGURE 5
FIGURE 6
FIGURE 7

Title
Framework in the Operations Manual Development
General Process Flow in the Implementation of National
Convergence Initiative
Process in Preparing the Convergence Area Profile and
Convergence Area Development Plan
Review and Approval Process of CADP
Logical Framework Matrix
Linking the LogFrame to the Implementation Plan
The Four Types of Monitoring and Evaluation

Page
4
6
24
40
62
62
63

Attachment
Orientation Material

Compact Disc Containing:


1.
NCI Final Video
2.
NCI AVP
3.
Powerpoint
Presentation on NCI Standard Presentation as of
June 1, 2011

68

ANNEXES

69

ANNEX A

POLICY FRAMEWORK AND IMPLEMENTING STRATEGY FOR THE


ENHANCED DA-DAR-DENR CONVERGENCE INITIATIVE
FOR SUSTAINABLE RURAL DEVELOPMENT

I.

BACKGROUND

The National Convergence Initiative (NCI) was created through Joint Memorandum Circular 01,
series of 1999, signed by the Secretaries of the Department of Agriculture (DA), Department of
Agrarian Reform (DAR), and the Department of Environment and Natural Resources (DENR), and
duly approved by the President. It aims to develop and operationalize a common framework for
sustainable rural development (SRD) that will facilitate the convergence of the resources of the three
agencies to maximize the impact on countryside development. The underlying principle is that
complementation of agency initiatives within a defined area under a common intervention strategy
will maximize impact, compared to a situation where these agencies would work independently of
each other.
The convergence initiative promotes a framework of sustainable agriculture and rural development
which integrates the people, their economy and their environment. Moreover, this strategy would
optimize resources, create substantial effect in the short-term, and make possible model-building
across ecosystems, production systems, and rural poverty sectors and small producers in the longterm. The three lead rural development agencies will spearhead the completion of such development
tasks and lay down policy environment that encourages the active participation of the private sector,
non-government agencies and civil society organizations, the LGUs, academe, and other government
agencies based on the interest of their respective stakeholders.
Following an agreed set of criteria, the three agencies jointly identified nine convergence sites.
These were: Cagayan Valley River System, Central Luzon, and Bicol River Basin System in Luzon;
Negros Island, Panay Island, and Bohol in Visayas; and Zamboanga Peninsula, CARAGA, and
Davao del Norte/Oriental in Mindanao. Pilot convergence initiatives were developed in these sites.
Strategic investment plans were subsequently formulated for each of the convergence zones to
initiate operationalization of the NCI; however changes in leadership in each of the agencies delayed
the implementation of said plans.
In 2004, Joint Memorandum Circular No. 1, series of 2004 was issued by a new set of department
Secretaries to reactivate the NCI in line with the governments efforts to create a bigger impact in the
countryside. Specific convergence zones were identified in each of the provinces under the nine pilot
convergence sites to have more focus in the implementation of the NCI. Consequently, The German
70

Technical Cooperation (GTZ) and the three agencies agreed to align the GTZ rural development and
natural resources management program with the convergence strategy.
In 2005, the National Steering Committee decided to expand the scope of the NCI from the priority
convergence sites to nationwide implementation in line with Goal 1 targets under the MTPDP (20052010), particularly to develop two million hectares of new lands for agribusiness and generate two
million jobs by 2010. The convergence strategy was deemed an appropriate platform to achieve Goal
1 of the MTPDP. It will particularly focus on: (a) sharing of expertise and information; (b)
collaboration and complementation of projects; (c) realigning limited resources; and (d)
reconfiguring agency activities to more focused interventions in identified project sites. Five batches
of convergence planning workshops were conducted from April to June 2005 to come up with
provincial action plans for convergence implementation. The plans were geared towards the
achievement of the over-all MTPDP target of 2.05 million hectares developed and 2.65 million jobs
generated. This was followed by a National Strategic Planning Workshop in August 2005 which
defined a clear structure and implementing mechanisms to ensure attainment of the targets.
The respective agencies provided regular reports to the NCI Secretariat on their accomplishments for
hectares developed and jobs generated. Most of the reported accomplishments were based on
production areas and not necessarily agribusiness engagements covering the said areas. In 2008, NCI
stepped-up its efforts to further enhance the convergence strategy by generating agribusiness
investment proposals for specific convergence sites. The 1 st National Agri-Investment Forum was
conducted in November 2009 to drum-up interest from the private sector on 17 agri-investment
proposals developed through the NCI. Some of these proposals are currently being pursued by
various investors and agri-business firms.
As of the first quarter of 2010, NCI has reported that combined efforts of DA, DAR, and DENR
yielded 1.82 million hectares of lands developed representing 89% of the 2.05 million hectares
MTPDP target. This translates to 2.65 million jobs generated or 92% of the MTPDP target of 2.87
million jobs. As indicated earlier, most of the reported accomplishments cover only production areas
under the different programs of DA, DAR and DENR. The agri-investment proposals are still in the
pipeline and these are expected to yield higher value agri-production and jobs.
At this point, there is a need to revisit and enhance the National Convergence Initiative for
Sustainable Rural Development. The administration of President Benigno Simeon C. Aquino III
remains committed to ensuring countryside development as the strategy for poverty reduction. The
enhanced NCI will sustain the agribusiness investment engagements that have been initiated,
particularly those already in the pipeline. It will likewise address the weaknesses and gaps that were
experienced during implementation. Clear mechanisms for harmonization and complementation
among the three agencies should be laid-out as there was a tendency for each agency to concentrate
on its own programs even in convergence areas. Corollary to this is the need to address the conflicting
and overlapping policies among the three agencies, which hamper the implementation of programs
71

and projects on the ground. There is likewise a need to set a clear financing scheme for convergence
initiatives, particularly on which areas will require regular funds from the agencies and those that
would need to be financed by the NCI. The LGUs would have to be given a more pro-active role in
identifying and implementing convergence initiatives at the local level.
II.

FRAMEWORK FOR DEVELOPMENT

The convergence strategy is an environmentally sustainable approach to development. Human


interventions in the forest and upland areas would impact on the lowland areas, and this in turn would
affect the coastal and marine areas. The three agencies have general jurisdictional mandates relating
to these ecosystems: DENR for forest, upland, coastal, and marine areas, DAR for lowland and
upland areas, and DA for lowland and coastal areas. In addition, there are common areas within the
jurisdictional mandates of DA, DAR and DENR, such as key production areas may be within
agrarian reform communities. The convergence strategy shall adopt the watershed and ecosystem
management approach as the intervention framework in the convergence areas. The approach has
been adopted by DENR in 1999 and is the basis for program and project planning and
implementation for watershed areas in all regions.
Watershed and ecosystem management is the holistic, collaborative, multiple use and sustainable
management of all resources within a watershed. Note that convergence zones that straddle multiple
ecosystems form part of the watershed. This approach is also known as ridge to reef and is
premised on the principle that ecosystems are inter-dependent and that interventions in one
ecosystem affects other ecosystems. This approach is particularly critical for coastal and marine
ecosystem management since sustaining fisheries and other marine resources depends on how well
we manage human impacts from the mountains to the sea. In the same vein, prime agricultural lands
can substantially be degraded by run-off from the mountains. This becomes an appropriate and
relevant approach to address the issues of climate change, risk reduction and biodiversity
conservation.
The Convergence Initiative Framework Using the Watershed and Ecosystem Management Approach
is graphically presented in Annex A.
While the development within the watershed should be viewed holistically, the regulatory,
management, and jurisdictional mandates of areas within the watershed is distinct. Hence, the
tendency is for each agency to pursue development interventions independent of the other. This
creates conflicts in areas where there are overlapping mandates and jurisdictions. In addition, at the
local level, it is the Local Government Unit (LGU) which has the mandate to coordinate and manage
local development. The LGUs have their respective Comprehensive Land Use Plans (CLUPs) which
defines the thrusts and key areas for development interventions within its jurisdiction.
72

Convergence is a response to the fragmented delivery of agriculture and rural development services
towards improved governance and maximize use of resources. The convergence strategy will
facilitate governance of sustainable rural development in an institutionally horizontal manner while
adopting the watershed and ecosystem management approach. It will: (a) facilitate complementation
of different agencies to ensure that resources are maximized by achieving synergy and institutional
efficiency; (b) build partnership between and among the local communities, LGUs, and government
agencies to ensure that all development interventions are based on the actual needs and aspirations of
the community; (c) expand opportunities for agro-enterprise and agribusiness development for its
constituency; (d) achieve spatial integration within the different ecosystems to ensure environmental
integrity and sustainability.
As a response to the poverty reduction goal of the government, convergence has a defined
constituency. It shall focus interventions to the small farmers (ARBs and non-ARBs), fisherfolks and
marginalized upland dwellers especially those within the areas covered by the tenurial instruments of
DENR and National Commission on Indigenous Peoples (NCIP).
The implementation of the convergence strategy shall be guided by the following principles:
1. The DA-DAR-DENR Convergence Initiative shall be treated as a complementation strategy
between and among the three rural development agencies. Whenever, the opportunity arises,
the convergence shall also work with other national line agencies, donor agencies,
international and local NGOs;
2. The primacy of the LGUs as the integrating and converging force for sustainable rural
development at the local level shall be emphasized;
3. The participatory approach shall be adopted in all phases of development: from planning,
implementation, and monitoring and evaluation;
4. Complementation of resources and expertise of the concerned agencies and LGUs shall take
primordial consideration in the implementation of the Convergence Initiative;
5. Convergence shall be mainstreamed in all programs, projects and activities of the national
government agencies and concerned LGUs;
6. Funds for the Convergence Initiative shall form part of the Work and Financial Plan of each
Department to effectively and efficiently carry out convergence activities;
7. Networking and linkaging with other government entities such as, but not limited to, the DOJ,
DILG, SCUs, and GOCCs, shall be undertaken by the three rural development agencies for
coverage of potential areas under the Convergence Initiative for agribusiness development;
8. Enabling environment to encourage investment by the private sector.
III.

CRITERIA FOR SELECTION OF CONVERGENCE AREAS


73

There is a need to ensure that the identification and selection of convergence areas will be aligned
with the objectives of the NCI as well as conforms to the watershed and ecosystem management
approach. The following criteria shall guide the selection of convergence agro-enterprise cluster:
1. Completeness of ecosystem zones.The convergence sites should cut across the various
ecosystems or should be a combination of two or more ecosystems;
2. Key production zone and with connectivity for increased productivity and income.The
convergence sites should be current key production areas or with potential to substantially
expand and scale-up production. As such, the area may transform from mono-cropping to
integrated, multi-cropping or high value farming system. In terms of connectivity, the key
production zone may be linked with surrounding areas for allied industries/services or for
backward linkages;
3. Combination of sites across major poverty groups. The convergence sites must cover a
significant number of small farmers/agricultural workers including potential and current
ARB, fisherfolks, indigenous peoples, and rural women;
4. Presence of development-oriented local government leaders and LGU alliances.The
convergence sites should have LGUs and LCEs (Local Chief Executives) that share a
common perspective in rural development and are willing to support the convergence
initiative;
5. Presence of NGOs, POs, private sector and academic/research community.The convergence
sites should have active POs and/or NGOs that are willing to support the convergence
initiative. Presence of private/business and academic/research institutions who are willing to
partner within the convergence framework shall be an advantage.

IV.

GOAL (IMPACT)

The National Convergence Initiative is a strategy to enhance the implementation of rural development
initiatives particularly those which would benefit from the complementation of resources of the three
agencies. It will likewise address and resolve policy and jurisdictional gaps that impede the effective
and efficient implementation of the programs and projects of different agencies.
Thus the enhanced NCI shall contribute to the over-all national pursuit of inclusive growth, as
articulated in the Medium Term Philippine Development Plan (CY 2011-2016), particularly those
relating to the rural development sector.

74

Inclusive growth means growth that is rapid enough to matter: sustained growth that creates jobs,
draws the vast majority into the economic and social mainstream, and continuously reduces mass
poverty.
The above national pursuit of inclusive growth shall be achieved through
development efforts across different sectors.

a confluence of

For the rural development sector, the long-term development goals are poverty eradication (poverty
reduction in the medium term) and sustainable rural development.
V.

PURPOSE (OUTCOMES)

The enhanced NCI shall contribute to the rural development sector outcomes, particularly that of
agriculture, agrarian reform, and natural resources (AARNR subsector).
The rural development outcomes can be viewed from the perspective of breaking out from the
perennial condition of poverty, inequity and lagging human development. Bulk of the poor remains
to be in the rural areas. These are largely the focus and defined constituency of the national
convergence initiatives.
Hence, the primary outcome is on food security and increased incomes within the context of
improving and maintaining the quality of the ecosystem for sustainable rural development which is
one of the ultimate goals (together with poverty eradication) of the rural development sector. This
implies enhancing the role of agriculture as provider of environmental services.
Food security exists when all people, at all times, have physical and economic access to
sufficient, safe and nutritious food that meets their dietary needs and food preferences for an active
and healthy life. (World Food Summit 1996).
Rural growth or increasing per capita income in the rural areas lead to poverty reduction and
eradication (in the long term) which again is one of the goals of rural development.
There is also the recognition that there are abundant resources in rural areas. However, there is a
highly inequitable distribution of such resources. There are key gaps in access to land and other
natural resources and this constrains the productive potentials of the rural population. There is a need
to secure the property rights or tenurial status to agricultural land, forest and coastal areas. Access to
resources by the rural poor can also be viewed from the context of spatial integration. Inclusive
growth shall also mean putting investments (specifically capital or physical investments) in the rural
areas. This is to maximize the use of, and have a better share of the benefits from the resources.
Hence, enhancing access to land and other natural resources is an important outcome in rural
development.
The access to resources and physical investment should be coupled with investment in human
resources for sustained and broadbased growth. Such investment in human resources shall redound
to self-reliance and increase resilience of the constituency and their communities: which is another
75

dimension of sustainable rural development. Hence, in totality, rural development outcomes address
the imperative of growth with equity or the national pursuit of inclusive growth.
The AARNR outcomes are specific to the agriculture, agrarian reform, and natural resources subsector. The outcomes where the specific convergence initiatives can directly contribute are:
1. Ensured food security and increased income
2. Enhanced access to land (and other natural resources) and improved quality of the
environment
3. Self-reliance of constituency and increase resilience of their communities
Some of the parameters to measure the above outcomes are:
Household income of constituency increased above the poverty line
Food staples (rice, white corn and other starchy food) available at reasonable prices at all
times
o Decrease in food subsistence incidence (% of population)
o Increase in rice self-sufficiency ratio (%)
o Stable average inflation rates among basic food commodities (%)
Improved conservation, protection and rehabilitation of natural resources
o Forest cover increased by _____ hectares
o Increase in no. of adaptors (and area in ha.) of natural farming system and other
environment-friendly farm practices
o No. and area of abandoned, underutilized and unproductive fishponds reverted
back to mangroves
o Complete the delineation and local ordinance of _______municipal waters

Increase in no. of constituency with titles to land (agricultural/ancestral lands) or other


tenurial instruments (provides security of tenure/access to resources: communitybased
forest management agreement (CBFMA) . . .
Increase in no. of constituency engaged in or employed in market-led and environmentfriendly agi-enterprises (agriculture, forestry and fisheries)
Constituency or organization of constituency and communities able to participate in local
governance, and management of resources
Constituency/organizations able to cope with socio-economic shocks, environmental
hazards and climate-related risks
o Constituency covered with crop insurance, micro-insurance, health insurance
o Constituency with access/eligible to credit, micro-finance and other financial
Services

The Convergence Initiative will contribute to the achievement of the above-stated outcomes through
three main avenues:
76

1. Institutional efficiencies. A common intervention framework will promote harmonization and


complementation. Resources will be maximized resulting to higher level of outputs and/or
lower cost for the different agencies. In addition, the removal of policy and operational
bottlenecks will likewise lead to a more efficient delivery of services and interventions.
2. Expanding opportunities for agro-enterprise development. The enhanced NCI through its
agro-enterprise cluster component and agribusiness initiatives will facilitate agribusiness
investments that may directly contribute to increasing farm production and productivity as
well as rural employment and livelihood opportunities. It will likewise provide capacity
development interventions that would promote a demand-led and market driven agri-based
production system.
3. Spatial integration. The watershed and ecosystem management approach will ensure that
productive activities and other development interventions within the convergence area take
into consideration their respective impacts on biodiversity, environmental conservation, and
effects of climate change. It will directly contribute to the specific outcome on ENR
sustainably managed.

On the basis of the above, convergence intermediate process outcomes (to show that there is
convergence) would include:
Planning
Identified common focused constituency and area
Harmonized and synchronized planning at all levels (municipal, provincial, regional and
national)
Formulated and agreed among key Rural Development (RD) players on
Convergence Area Development Plan (with Agro-enterprise Cluster Plan as lead
component)
Agreed funding commitment from Key RD players/other stakeholders
Financing
Complementation of resources (financial and manpower)
Mobilization of and increased in investments from other institutions (specifically from the
private sector: private-public partnership)
Implementation
More timely and synchronized delivery of services ( with reference to above agreed
Convergence Area Development Plan)
77

VI.

Developed and established institutional arrangement for management and implementation


of projects
Established market linkages and network
Increase level of participation and engagement of constituency in all aspects of the
development cycle (planning, implementation, monitoring and evaluation), governance,
and management of natural resources.

COMPONENTS (OUTPUTS)

The concrete outputs of the enhance NCI are those that will directly contribute to the achievement of
the objectives or outcomes enumerated above. The outputs can be grouped into four components: (a)
Policy and Advocacy, (b) Agro-enterprise Cluster and Agribusiness Development, (c) Capacity
Development, and (d) Knowledge Management. These components are mutually-reinforcing and are
equally important in ensuring that the objectives are achieved.
1. Policy and Advocacy
The over-riding concerns in implementing rural development initiatives, particularly through the
convergence approach, are emerging policy requisites and the harmonization of previously issued
policies which are deemed conflicting, overlapping, or unclear. Such policies cut across land
administration, regulatory frameworks, operational strategies and jurisdictional boundaries. The
component is envisaged to address policy concerns through policy reforms in the context of
formulation and amendment of policy issuances, resolution of overarching cross-sectoral policy
issues and the advocacy for legislation or other instruments leading to institutional and
operational efficiencies and stakeholder participation under the convergence strategy.
The following are the key output indicators under this component:
a. Formulated and amended policies related to convergence under the rural development sector;
b. Legal instruments, resolutions or agreements by and among government agencies as regards
the harmonization and resolution of conflicting policy issues and concerns in the
implementation of laws and policies on rural development;
c. Policies expanded or improved to address gaps
d. Advocacy networks for policy reforms established.
2. Agro-enterprise Cluster and Agribusiness Development
The component shall address the issue on poverty and employment generation. There is a need to
expand economic opportunities in the rural areas by increasing agri-productivity and diversifying
78

agricultural production. The NCI will facilitate enterprise development and agribusiness within
the convergence sites.
The outputs under this component are as follows:
a. Agro-Enterprise clusters established in all provinces;
b. Agro-Enterprise cluster models developed;
c. Planning and management tools to facilitate agro-enterprise cluster and agribusiness
development introduced (e.g., value chain, cluster management, M & E system for cluster
development and operations).

3. Capacity Development
There is a need to ensure that the three agencies have a shared appreciation and understanding of
convergence and the common framework for sustainable rural development. At the same time,
the delivery of NCI interventions by the key stakeholders at different levels would require
capacity development interventions such as training and education as well as institutional
development.

Under this component, the following outputs will be pursued:


a. Developed shared interest and common understanding of the convergence strategy and
intervention framework among the implementers at the national and local levels;
b. Capacitated implementers and the technical working groups in the following areas: policy
analysis, agro-enterprise cluster and agribusiness development, knowledge management, and
monitoring & evaluation.
c. Network of institutions (for capacity development) established
4. Knowledge Management
The multi-agency, multi-discipline, and multi-level set-up of the convergence strategy
necessitates that pertinent data and information is gathered, processed, shared, and utilized to
ensure that NCI programs, projects and initiatives are designed, implemented and monitored in
an efficient and effective manner. It shall likewise ensure that innovations are documented,
shared, and scaled-up.
The knowledge management component will be measured by the following output indicators:
a. Monitoring and tracking system developed, installed and operationalized;
79

b. Experience and learning exchange facilitated;


c. Success stories/innovative practices documented and disseminated.
VII.

KEY INTERVENTIONS (INPUTS)

Key interventions under each of the components will be anchored on the particular outputs that have
been earlier identified.
1. Policy and Advocacy
A key task under the component is the formulation of requisite policies and the amendment of
conflicting and overlapping laws and policies that are under the ambit of the three lead agencies
and/or other related agencies and offices. Addressing emerging policy imperatives and the
resolution of conflicting or overlapping policy concerns are expected to result in efficiencies in
implementing rural development programs and projects under the convergence strategy.
Stakeholder consultation and information sharing shall be pursued under the advocacies for
legislation and other endeavors towards improving rural development. Supporting the policy
requirements of the other NCI components and other cross-cutting policy and advocacy related
concerns shall be facilitated through the convergence policy processes and mechanism managed
under this component. The policy issues and concerns (PINCs) identified or proposed by the
NCI components shall essentially be drawn from operational requisites or bottlenecks
encountered in the course of the implementation of programs and projects under NCI.

Public hearings, roundtable discussions and review by technical experts may be conducted to
ensure that resulting policies are sound and would adequately resolve the issue and problems. For
those that can be addressed administratively, the department heads shall issue enabling
orders,clarificatory issuances and joint resolutions. For those that require enactment of laws or
legislation, the leadership of the three agencies shall advocate/recommend legislative action to be
taken by Congress.
2. Agro-Enterprise Cluster and AgribusinessDevelopment
The key intervention under this component is the establishment of agro-enterprise clusters in all
provinces. These clusters will be the focus of agribusiness initiatives based on the potential of the
areas. In selecting the agro-enterprise clusters, due consideration will be given to the
environment and ecological integrity of the convergence agro-enterprise cluster. Hence, models
will be developed to ensure that the nature and type of agro-enterprises will be congruent and in
harmony with the ecosystem. Convergence agro-enterprise clusters with environmentally critical
areas would require higher level of protection and less extractive production processes (e.g.,
ecotourism) compared to convergence agro-enterprise clusters which are generally composed of
80

productive lowland areas. Either way, there is a need to adopt natural resource management or
sustainable development approaches in planning and implementing the agro-enterprise clusters.
The following is an initial listing of potential activities in convergence agro-enterprise clusters:
Coastal and Marine Ecosystem
a. Mariculture / Fish Culture / Fish Cages
b. Seaweed Farming
c. Mangrove Rehabilitation
d. Fish Sanctuary
e. Marine Protected Area
f. Ecotourism
g. Responsible and regulated small-scale mining operations
Lowland Ecosystems
a. Commercial plantation of high value commercial crops and vegetables
b. Livestock/poultry
c. Rice/corn/grain production
d. Diversified contour farming system
e. Organized backyard farming
f. Agro-ecotourism
g. Biomass and biogas (from agricultural wastes)
h. Streambank stabilization
i. Responsible and regulated small-scale mining operations
Upland Ecosystem
a. Commercial fruit/forest tree farming
b. Livestock/halal/pasture/dairying
a. Reforestation / Assisted Natural Regeneration
c. Agroforestry
d. Agro-aqua-silvipastoral
e. Diversified farming system
f. Biomass/biofuels/biogas production from farm waste
g. Slope/streambanks stabilization
h. Responsible and regulated small-scale mining operations
81

i. Special Land Uses pertaining to specific requirement of the convergence plan

Forest Ecosystem
a. Reforestation / Assisted Natural Regeneration
b. Slope/streambanks stabilization
c. Ecotourism
d. Biodiversity conservation
e. Climate mitigation / carbon sink
f. Responsible and regulated small-scale mining operations
g. Watershed Conservation/Protection Measures
To support the development and establishment of the convergenceagro-enterprise clusters, the
National Convergence Initiative shall facilitate the access to and the provision of appropriate
interventions across the agro-enterprise or agribusiness value chain that shall bring about the
most benefits to the constituency. Such interventions may include financing, market
development, and those related to capacity development .
Financing support shall include access to credit facilities that would provide the necessary capital
for different types of requirements. Market development support includes the provision of market
information particularly on market outlets and prices. NCI will likewise facilitate market
linkages and the development of marketing networks. Capacity development will focus on
effective market oriented advisory services, demand driven skills development, desired essential
skills and knowledge, and values formation/education towards sustainable agriculture. NCI will
assist in facilitating fiscal and other specific incentives applicable under existing laws, rules and
regulations for investors interested to invest in convergence agro-enterprise clusters through
private-public partnership (PPP).
3. Capacity Development
Interventions under capacity development will include orientation and planning sessions among
the three agencies at the national and regional levels. This will ensure a common understanding
and appreciation of the convergence initiatives. This will be followed by the formulation of a
comprehensive capacity development plan for implementers and other key stakeholders involved
in the convergence initiative. The plan will include the design of assessment instrument and
training needs assessment, identification of trainings and other capability development
interventions and the resources required, and the conduct of capacity building intervention.
4. Knowledge Management
82

Key interventions under the component include the design, installation and operationalization of a
monitoring system for the NCI. This system will track the progress of NCI implementation
across the different components. It will likewise maintain a database for basic information on
key NCI initiatives.
Process documentation of innovative approaches will likewise be done to come up with lessons
and experiences which may be a jump-off point for scaling-up and replication. Knowledge
sharing will be done through learning exchanges and forums to showcase innovative and
successful approaches in NCI implementation. Publication and dissemination of these
approaches and experiences will be done to reach a broader population.
All assessment and planning sessions for the enhanced NCI will be under the knowledge
management component. Annual reports and performance reports will likewise be under the
component.
The Logframe for the Convergence Initiative is presented as Annex B.
VIII. IMPLEMENTATION MECHANISMS AND ORGANIZATIONAL STRUCTURE
To effectively implement the enhanced NCI, multi-agency coordinative bodies will be established at
the national, regional, provincial, and municipal levels.
A. National Level
The National Steering Committee (NSC)
The National Steering Committee shall act as the policy making body of the enhanced NCI. The
NSC shall issue all policies related to the implementation of the NCI. This includes approval of the
enhanced Sustainable Rural Development Framework and the selection of convergence agroenterprise clusters. It shall also review fulfillment of the commitments of the respective agencies
related to the implementation of the enhanced NCI.
The Secretary of the Department of Agriculture (DA) shall act as Chair Convenor while the
Secretaries of the Department of Agrarian Reform (DAR) and the Department of Environment and
Natural Resources (DENR) shall act as Co-Convenors. The Secretaries shall appoint their respective
permanent alternate representative with a rank of undersecretary.
The NSC shall meet on a monthly basis and may hold special meetings as deemed necessary.
However, hosting of NSC meetings maybe done in rotation amongst the three agencies.
83

The NSC shall likewise approve the implementation and coordination structure of the enhanced NCI,
including the membership of the National technical Working Group (NTWG) and the four
component working groups, through a joint special order.

The NSC shall be composed of:


Chair Convenor
Co-Convenor
Co-Convenor

Secretary, Department of Agriculture


Secretary, Department of Agrarian Reform
Secretary, Dept. of Environment and Natural Resources

Functions of the NSC:


1. Provide overall policy directions for the implementation of programs/projects and other
related activities under the enhanced NCI;
2. Appoint the National Focal Person for the enhanced NCI and the Head of the NCI Secretariat;
3. Approve/ratify implementing rules and regulations, programs, projects and plans pertaining to
the operation of the enhanced NCI;
4. Allocate resources to carry out the plans, programs, projects, and other related activities of the
enhanced NCI;
5. Consult with other concerned national government agencies, stakeholders, and partner
agencies on policies and major programs related to sustainable rural development.

The National Convergence Initiative Technical Working Group (NCI-TWG)


A National Convergence Initiative Technical Working Group shall serve as the advisory and
recommendatory body to the NSC on matters related to the implementation of the Convergence
Initiative.
The functions of the NCI-TWG are as follows:
1. Ensure adherence to the SRD framework and recommend to the NSC necessary adjustments.
84

2. Recommend to the NSC the operational plans, programs, and guidelines relevant to the NCI
Framework
3. Mobilize concerned personnel to actively participate in various activities relative to the
Convergence Initiative.
4. Facilitate the formation of Convergence teams together with other concerned stakeholders.
5. Monitor and evaluate the progress of implementation of Convergence projects/activities.
6. Meet monthly or as deemed necessary.

The NCI-TWG shall be composed of:


Head
Members:

National Focal Person


Chairperson, Working Group on Policy and Advocacy
Chairperson, Working Group on Agro-Enterprise Development
Chairperson, Working Group on Knowledge Management
Chairperson, Working Group on Capacity Development
Convergence Focal Person, DA
Convergence Focal Person, DAR
Convergence Focal Person, DENR
Head, NCISecretariat

The NTWG National Focal Person shall convene the members of the respective Working Groups to
elect amongst them the Chairperson for each Working Group. The Chairperson of each Working
Group shall then designate or appoint a Coordinator from their respective agency.
Each agency shall likewise designate a Convergence Focal Person who shall be responsible for the
coordination and management of the convergence program in their respective agency (national and
field levels).
The agency Convergence Focal Person shall likewise be a member of the NCI-TWG. The agency
Convergence Focal Person shall work closely with the NCI Secretariat for effective coordination of
concerns of NCI and the working groups relative to their respective agency.

Working Groups of the NCI Technical Working Group


1. Working Group on Policy and Advocacy
85

The Policy and Advocacy group shall be mainly responsible for the review and audit of
conflicting and overlapping laws, policies and programs that hamper the implementation of
programs and projects of the different agencies. It shall recommend and draft the relevant policies
and other issuances that would harmonize or improve existing policies. It shall likewise identify
those issues that require legislation and coordinate with the appropriate offices and agencies and
stakeholder groups involved in advocating for the respective legislation.

The Policy and Advocacy Working Group shall be composed of:


Chairperson:
Core Members:

Member:

To be elected among the core members


Director, DA - Policy and Planning
Director, DENR - Planning and Policy
Director, DAR - Planning Service
Director, DAR Policy and Strategic Research Service
Working Group Coordinator (To be appointed by the WG Chair from
the same agency and shall be a member to the NCI- Secretariat)

Membership of the Working Group on Policy and Advocacy may be expanded to include
representatives from the three agencies whose work and responsibilities are related to the
component and other partners who can productively contribute to the initiatives of the working
group.

2. Working Group on Capacity Development


The Capacity Development group shall be responsible for formulating comprehensive capacity
development plans for the Convergence Initiative stakeholders to include training needs
assessment, identification of required trainings, training design, access and implementation of
training, information, education, and communication (IEC), community organizing, and
institutional development.
The Capacity Development Working Group shall be composed of:
Chairperson
Core Members:

To be elected among the core members


Director, DA-Bureau of Agricultural Research
Director, DA - Agriculture Training Institute
86

Director, DAR- Bureau of Agrarian Reform Beneficiaries Development


Director, DAR Bureau of Agrarian Reform Information and
Education
Director, DENR-Forest Management Bureau
Director, DENR-Human Resources Development Service
Member:

Working Group Coordinator (To be appointed by the WG Chair from


the same agency and shall be a member to the NCI-Secretariat)

Membership of the Working Group on Capacity Development may be expanded to include


representatives from the three agencies whose work and responsibilities are related to the
component and other partners who can productively contribute to the initiatives of the working
group.

3. Working Group on Agro-Enterprise ClusterDevelopment and Agribusiness


The Agro-enterprise ClusterDevelopment and Agribusiness group shall be responsible for the
development and monitoring the implementation of agro-enterprise cluster development and
agribusiness within the selected convergence agro-enterprise clusters.
The Agro-enterprise ClusterDevelopment and Agribusiness Working Group shall be composed of:
Chairperson:
Core Members:

Member:

President, DA-Philippine Agricultural Development and


Commercial Corporation
Director, DA - Field Operations Service,
Director DA - Agribusiness and Marketing Assistance Service
Director, DAR-Project Development and Management Staff
Director, DAR- Bureau of Agrarian Reform Beneficiaries
Development
Director, DENR-Forest Management Bureau
Director, DENR-Foreign Assisted and Special Projects Office
Director, NCIP Socio-Economic Service
Working Group Coordinator (PADCC Representative) and shall be a
member to the NCI Secretariat

Membership of the Working Group on Agro-Enterprise Cluster Development and Agribusiness


may be expanded to include representatives from the three agencies whose work and

87

responsibilities are related to the component and other partners who can productively contribute
to the initiatives of the working group.
4. Working Group on Knowledge Management
The Knowledge Management group shall be responsible for developing a common database of
information for the national, regional and provincial Convergence Initiatives. It will spearhead
the development of a monitoring system for the enhanced NCI and facilitate the conduct of
learning exchange and dissemination. It shall organize and manage orientation and assessment
activities for the enhanced NCI.
The Knowledge Management Working Group shall be composed of:
Chairperson:
Core Members:

To be elected among the core members


Director, DA-Information Technology Center for Agriculture and
Fisheries
Director, DA- Field Operations Service
Director, DA - Planning Service
Director, DAR-MIS
Director, DAR - Planning Service
Director, DENR-NAMRIA
Director, DENR- Planning and Policy
Director, DENR-Forest Management Bureau

Member:

Working Group Coordinator (To be appointed by the WG Chair from


the same agency and shall be a member to the NCI- Secretariat)

Membership of the Working Group on Knowledge Management may be expanded to include


representatives from the three agencies whose work and responsibilities are related to the
component and other partners who can productively contribute to the initiatives of the working
group.
National Convergence Initiative Secretariat
The NSC shall appoint the Head of the NCI Secretariat with the Coordinators of each of the Working
Groups as members. There will also be permanent members of the Secretariat coming from the three
agencies on top of the coordinators of each working group. The NCI Secretariat shall work closely
with the National Focal Person, the Chairperson of the different Working Groups and the agency
Convergence Focal Person.
The NCI Secretariat shall:
88

1. Coordinate the conduct of meetings, workshops, writeshops, and consultations as deemed


necessary;
2. Facilitate the provision of administrative and logistics support to the NSC and NTWG;
3. Document, prepare, and disseminate the highlights of meeting/workshops proceedings;
4. Ensure that appropriate actions are taken on agreements reached during meetings/workshops;
5. Submit monitoring/progress reports to the NTWG and NSC and other oversight bodies;
6. Work closely with the NCI-TWG and Working Groups;
7. Together with the National Focal Person, convene the members of each Working Group and
conduct election for the Chair of the Working Groups;
8. Maintain effective and efficient data management system of the NCI.

Support Government Line Agencies and Offices


The National Convergence Initiative shall work closely with other government line agencies and
offices to ensure complementation and alignment of enhanced NCI interventions with that of other
related agencies and offices. Among these are:

National Commission on Indigenous Peoples (NCIP)

Department of Science and Technology (DOST)

Department of Finance (DOF)

Department of Budget and Management (DBM)

Land Bank of the Philippines (LBP)

Development Bank of the Philippines (DBP)

Department of Trade and Industry (DTI)

Board of Investments (BOI)

Philippine Economic Zone Authority (PEZA)

Department of Public Works and Highways (DPWH)

Department of Energy (DOE)

Department of Interior and Local Government (DILG)


89

Department of Labor and Employment (DOLE)

Palawan Council for Sustainable Development (PCSD)

Commission on Higher Education (CHeD)

Technical Education and Skills Development Authority (TESDA)

Department of Education (DepEd)

Department of National Defense (DND)


Department of Tourism (DOT)

When necessary, each bureau and line agencyidentified above shall assign a focal person for
Convergence Initiative.
The NCI shall likewise work with Non-Government Organizations coalition groups, Farmers and
Fisherfolk Associations and groups, Academe (State University and Colleges - SUCs), and the
Private/Business Sector.

B. Sub-National Level
It shall be noted that the National Convergence Initiative as a strategy for sustainable rural
development is a work in progress. Convergence implementing mechanisms and structures
established at the local (sub-national) levels and are working may be continued and further
documented as to its functionality. Otherwise, the convergence local structures shall be organized as
proposed below.
3.

Regional Convergence Initiative-Technical Working Group (RCI-TWG)

Parallel to the NCI-TWG, the RCI-TWG shall manage and supervise the programs, projects, and
other related activities at the regional level. The RCI-TWG shall be the regional arm of the NCITWG in carrying out its functions.
The RCI-TWG shall work closely with other government line agencies and offices and with the
Regional Development Council (RDC) and concerned Provincial Development Council (PDC) to
ensure that the enhanced convergence initiative interventions are aligned with the regional
development agenda and initiatives. It shall likewise facilitate complementation of efforts and
resources for greater impact.
The RCI-TWG shall coordinate and work closely with the Provincial Local Government Units
(PLGUs) in the implementation of the NCI plans, programs, projects, and other related activities. The
90

Regional Directors of DA, DAR, and DENR may enter into an agreement with the Provincial
Governor or LGU leagues, as necessary.
The RCI-TWG shall be composed of:
Co-Chairpersons:
Regional Director,
Chairperson:
Regional Director/Executive Director

Member:

Regional Director,
Regional Focal Person, Head RCI-TWG Secretariat

The chairperson of the RCI-TWG shall be a convergence champion and shall be decided by and
among the Regional Directors of DA, DAR and DENR. Upon the completion of the RCI-TWG
composition, a resolution to that effect shall be submitted to the NCI Secretariat.
Membership of the RCI-TWG may be expanded to include representatives from the Provincial LGUs
and other agencies as deemed necessary.
The RCI-TWG shall meet monthly or as deemed necessary.
The RCI-Secretariat shall be created and would be composed of representatives from the regional
offices of DA, DAR, and DENR. The RCI Secretariat shall be headed by the Regional Focal Person.
The Regional Focal Person shall be designated by the chairperson of RCI-TWG (from the agency
where the chairperson belongs).
The functions of the RCI Secretariat are as follows:
8. Coordinate the conduct of meetings, workshops, write shops, and consultations as deemed
necessary;
9. Facilitate the provision of administrative, logistics, and technical support to the RCI-TWG;
10. Document, prepare, and disseminate the highlights of meeting/workshops proceedings;
11. Ensure that appropriate actions are taken on agreements reached during meetings/workshops;
12. Submit monitoring/progress reports to the NCI Secretariat;
13. Work closely with the RCI-TWG and Working Groups;
14. Maintain effective and efficient data management systems of the RCI.
To ensure that an effective vertical linkage between the national and regional levels is achieved, the
relevant data and information related to the planning and operations of the Convergence Initiative
shall be consolidated, integrated and maintained at the DA Regional Field Units. As such, the
91

regional offices of the other agencies shall submit the required reports and other information
requirements to the DA Regional Field Units.
4.

Provincial Convergence Initiative Technical Working Group (PCI-TWG)

The PCI-TWG shall be responsible in implementing plans, programs, projects, and other related
activities of the NCI at their respective provinces in collaboration with RCI-TWG. The PCI-TWG
shall identify or determine appropriate interventions, resources, and support services needed such as,
but not limited to infrastructure, logistics, extension, inputs, lands, and institutional development for
the implementation of the NCI plans and programs.
The chairperson of the PCI-TWG shall be agreed upon by the provincial members and shall be a
choice between the provincial head of DAR or of DENR. The Governor of the province shall be the
co-chairperson. The members of the PCI-TWG are the Provincial Environment and Natural
Resources Officer (PENRO), Provincial Agrarian Reform Officer (PARO), Provincial Agriculture
Officer (PAO), and Provincial Planning and Development Coordinator (PPDC).
The respective interface mechanisms shall be LGU-led with DA, DAR, and DENR providing
technical and operational support. Existing LGU mechanisms may be adopted to spearhead or
manage the convergence initiatives at the LGU level.

5.

Municipal Convergence Initiative Technical Working Group (MCI-TWG)

The MCI-TWG shall be responsible in implementing plans, programs, projects, and other related
activities of the NCI at their respective municipalities in collaboration with the PCI-TWG. The MCITWG shall identify or determine appropriate interventions, resources, and support services needed
such as, but not limited to, infrastructure, logistics, extension, inputs, lands, and institutional
development for the implementation of the NCI plans and programs.
The chairperson of the MCI-TWG shall be agreed upon by the municipal members and shall be a
choice between the Municipal Agrarian Reform Officer (MARO) or the Community Environment
and Natural Resources Officer (CENRO). The Mayor of the municipality shall be the co-chairperson.
The members of the MCI-TWG are the Community Environment and Natural Resources Officer
(CENRO), City/Municipal Environment and Natural Resource Officer (C/MENRO), Municipal
Agrarian Reform Officer (MARO), Municipal Agriculture Officer (MAO) and concerned
City/Municipal Planning and Development Coordinator (C/MPDC).

92

The respective interface mechanisms shall be LGU-led with DA, DAR, and DENR providing
technical and operational support. Existing LGU mechanisms may be adopted to spearhead or
manage the convergence initiatives at the LGU level.
The over-all DA-DAR-DENR Convergence Initiative Structure is graphically presented in Annex C.

IX.

FINANCING

Funds necessary to carry out the implementation of the enhanced Convergence Initiative shall be
taken from available funds of DA, DAR, and DENR. Other sources of funds such as grants,
donations, and other forms of assistance from donor agencies and other public or private entities may
be tapped and facilitated by NCI-NSC/TWG to support the objectives identified subject to regular
auditing guidelines and procedures. Cost-sharing or counter- parting schemes among national
government and LGUs will be encouraged to support the implementation of the enhanced
Convergence Initiative.

X.

MONITORING AND EVALUATION

A monitoring and evaluation system based on progress and program indicators of performance shall
be developed in accordance with the MfDR guidelines/approach.
The M&E design for Convergence Initiative shall be based on a common plan as agreed by the three
agencies. The plans shall ensure that it can contribute to the attainment of the overall goals and
objectives of MfDR.

93

94

ANNEX A
CONVERGENCE INITIATIVE FRAMEWORK USING THE WATERSHED AND
ECOSYSTEM APPROACH

95

ANNEX B
National Convergence Initiatives
for Sustainable Rural Development
Logical Framework Matrix
Overall Societal Goal (Per MTPDP 2011-2016):

Inclusive growth
Socio-economic growth that is rapid enough
to matter;
Sustained growth that
creates jobs,
draws the vast majority into the
economic and social mainstream and
continuously reduces mass poverty

Rural Development Sector


Long Term Development Goal: Poverty eradication and sustainable rural development
Indicators for the Goal:
o Poverty incidence in rural areas reduced from ___% to ___
% by 2016 (medium term)
(contributes to overall decline in incidence of poverty from
33.1% in 1991 to 16.6% by 2015 - per MDG commitments)
o Ensure ecological integrity and mitigating the effects of
climate change
Purpose (Outcomes):
o Ensured food security and increased income
o Enhanced access to land ( and other natural resources) and
improved quality of the environment
o Self-reliance of constituency and increase resilience of their
communities

Indicators for the Purpose:


o Household income of constituency increased above
poverty line
o Food staples (rice, white corn and other starchy food)
available at reasonable prices at all times
Decrease in food subsistence incidence (% of
population)
Increase in rice self-sufficiency ratio (%)
96

o
o
o

Stable average inflation rates among basic food


commodities (%)
Improved conservation , protection and rehabilitation of
natural resources
Forest cover increased by ______ hectares (% increase
in area in ha.)
Increase in no. of adaptors (and area in ha.) of natural
farming system and other environment friendly farm
practices
No. and area of abandoned, underutilized and
unproductive fishponds reverted back to Mangroves
Complete the delineation and local ordinance of
_______ municipal waters
Increase in no. of constituency with titles to land
(agricultural/ ancestral lands) or other tenurial instruments
(that provides security of tenure and access to resources );
community-based forest management agreement (CBFMA)
Increase in no. of constituency engaged in or employed in
market-led and environment-friendly agri-enterprises
(agriculture, forestry and fisheries)
Constituency or organization of constituency and
communities able to participate in local governance, and
management of resources
Constituency/organizations able to cope with socioeconomic shocks, environmental hazards and climaterelated risks
Constituency covered with crop insurance, microinsurance, health insurance..
Constituency with access/eligible to credit, microfinance and other financial services

Convergence Intermediate
Process Outcomes
Planning
Identified common focused constituency and area
Harmonized and synchronized planning at all levels (municipal, provincial,
regional and national)
Formulated and agreed among key Rural Development (RD) players
on Convergence Area Development Plan (with Agro-enterprise Cluster
Plan as lead component)
Agreed funding commitment from Key RD players/other stakeholders
Financing
97

Complementation of resources (financial and manpower)


Mobilization of and increased in investments from other institutions
(specifically from the private sector: private-public partnership)
Implementation
More timely and synchronized delivery of services ( with reference to above
agreed Convergence Area Development Plan)
Developed and established institutional arrangement for management and
implementation of projects
Established market linkages and network
Increase level of participation and engagement of constituency in all aspects
of the development cycle (planning, implementation, monitoring and
evaluation), governance, and management of natural resources.

98

99

NCI Components Outputs:


Policy and Advocacy
Outputs
National Convergence
Initiatives (NCI) policy
making processes and
mechanism
institutionalized

Indicators
Joint Administrative
Order governing the
policy making
process governing
NCI adopted

Agri-business/Agro- Enterprise /
Agro-forestry Cluster Development
Outputs
Indicators
Strategic convergence Number of
sites identified and
convergence
prioritized
clusters identified

Capacity Development
Outputs
Learning packages
for field
implementers/const
ituents developed

Policies and legal


instruments related to the
rural development sector
approved and
disseminated

No. of legal
instruments
formulated ,
approved and
disseminated to
concerned units

Policy and Advocacy


Outputs
Advocated for the

Indicators
No. of advocacy-

Clusters established
and models
developed.

number of clusters established


Models, programs
on capacity
number of models
development for
constituents /field
implementers
developed

Agri-business/Agro- Enterprise /
Agro-forestry Cluster Development
Outputs
Indicators
Tools and learning
Number and types

Indicators
Joint interventions among the 3
agencies (training, enterprise
development projects, policy and
advocacy, Monitoring &
Evaluation, Knowledge
Management)at all levels
(national, regional, provincial,
municipal
Increased access to information
(technology, market info) or
decision making
Implementers at local level
demonstrate adequate skills on
strategic partnership, conflict
management, facilitation,
communication, Resource Mob
responsive participation and
involvement in the convergence
initiative
Innovative modalities on
convergence capacity
development

Capacity Development
Outputs
Capacity

Indicators
Implementers are able to engage

Knowledge Management
Outputs
NCI unified
approach for
identifying
convergence areas
and projects /
interventions in
place

Indicators
Convergence areas
and projects are
identified jointly by
DA-DAR and DENR
according to the
agreed criteria

NCI programs,
projects and
initiatives are
implemented and
monitored in an
efficient and
effective manner

DA DAR-DENR
incorporate
Convergence
requirement in their
PPAs and reported
accordingly

Knowledge Management
Outputs
NCI innovations,

Indicators
Convergence

100

passage of National Land


Use Act (NLUA), Land
Administration Reform
Act (LARA), Sustainable
Forest Ecosystem
Management Act
(SFEMA) by Congress

related
commitments of
support from the
government, civil
society organization,
lawmakers

implementation kits
developed and
institutionalized

of tools and learning


kits

development
network
(institutions,
academe, NGOs)
established

Approved Executive
Order (EO) for the
implementation of the
Greening Program

No. of EO approved
and disseminated

Functional
convergence network
and pool of champions
established and
sustained

number of networks
and pool of
champions
established

M and E
constituency
satisfaction
assessment
developed and
institutionalized

Implementing
Guidelines
formulated and
approved

Access facilitation of
cluster development
services

Services
accessedbyagrienterprise cluster

Operational M&E for


cluster development
and operations for
replication /
improvements

System generated
Monitoring and
Evaluation Reports

and involve strategic partners at


local level to manage the local
resources/solve local problems
and meet local needs

best practices,
lessons
documented,
shared and
disseminated for
possible adoption,
expansion, scaling
up and funding
support.

experiences
translated in various
forms: publications,
web port and
funding proposals

increased participation of
beneficiaries/stakeholders in
community activities
responsive participation and
involvement in the convergence
initiative

101

ANNEX C
DA-DAR-DENR CONVERGENCE INITIATIVE STRUCTURE

102

ANNEX B
LIST OF WATERSHED SUPPORTING 141 RIVER IRRIGATION SYSTEMS OF NIA7
NO.

Name of Watershed
Grand Total
CAR
Chico River

NIS
Supported

Lower Chico River


Upper Chico River

2
3

Region I
Bolo River
Bonga River

Barbaquezo River

Cura RIS

Vintar River

Sta. Maria River

LaoagVintar River
WMC Pasuqui
Tagudin RIS
Sta Maria-Burgos

7
8

Sta. Lucia-Candon
Dipalo River

Sta. Lucia-Candon
Dipalo RIS

Ambayoan River

Ambayoan RIS

10
11

Dumoloc River
Bued River

Dumoloc RIS
San Fabian RIS

Bolo RIS
Bonga Pump
Dingras RIS

Location
(Province)

Mt. Province
Kalinga
Apayao
Mt. Province
Kalinga
Ifugao
IlocosNorte
IlocosNorte
Abra
Apayao
IlocosNorte
Apayao
IlocosNorte
Ilocos Sur
Ilocos Sur
Abra
Ilocos Sur
Pangasinan
Nueva Ecija
San Nicolas
Nueva Ecija
Pangasinan
Pangasinan
La Union

Data Source : Department of Environment and Natural Resources

Watershed Area
(Ha)
5,885,206
1,603,080
220,000

River Basin

Cagayan River Basin

110,000
918,680
147,800
17,200
55,700
14,000
7,900
29,000
24,000
25,600
16,400
16,800
4,200

Buhi RB
Laoag RB

Bacarra-Vintar RB
Silay-Sta. Maria RB
Agno River Basin

30,000
8,200
29,700

103

NO.

Name of Watershed

12

Agno River

NIS
Supported
Lower Agno Toton
Agno RIS

Location
(Province)
Pangasinan
Nueva Ecija
Ifugao
Benguet
Nueva Vizcaya
Pangasinan
Pangasinan
La Union
Benguet
Ilocos Sur
La Union

13
14
15

Sinucalan River
ADRIIS Extension
Amburayan River

Agno Sinucalan RIS


Pangasinan RIS
Amburayan RIS

16

Masalip RIS

17

Masalip River
Region II
Magat River

18

Mallig River

Mallig RIS

19

Gatto Creek

Pamplona RIS

20

Baua, Lacub and


Tuctucaras River
Abulog River
Pinacanauan River
Dummun River

Baua RIS

Nueva Vizcaya
Ifugao
Mt. Province
Kalinga
Cagayan
Apayao
Cagayan

Abulog-Apayao RIS
Pinacanauan RIS
Dummun RIS

21
22
23
24
25
26
27

Paranan,
Taguntungan&
Paned River
Zinundungan River,
Siculao and
Banurbur Creeks
Pinacanauan de
Tumauini River
Pinacanauan de San
Pablo River
Region III

Magat RIS

Watershed Area
(Ha)
228,380

River Basin
Agno River Basin

152,350
152,350
5,900
99,300

Dagupan River Basin


Amburayan River Basin

27,300
776,850
412,300

Cagayan River Basin

45,580

SIFU Mallig Cagayan RB

1,920
5,000

Baua River Basin

Cagayan
Cagayan
Cagayan

205,000
12,920
20,600

Baggao RIS

Cagayan

20,950

Abulog River Basin


Cagayan River Basin
Cagayan and Dummun
RB
Cagayan RB

Zinundungan RIS

Cagayan

21,500

Cagayan RB and
Zinundungan RB

Tumauini RIS

Isabela

17,630

Cagayan RB

San Pablo-Cabagan
RIS

Isabela

13,450

Amburayan RB

381,370
104

NO.

Name of Watershed

28

Tarlac River

29

Camiling River

30

31

Talavera River
Talavera River, de
Babuyan Creek
Talavera Vasra
Creek, Murion Pas
Creek
Pampanga RiverTacalo Creek
Caulaman River

Caulaman RIS

32
33

Nayom River
Sto. Tomas River

Nayom RIS
Sto, Tomas RIS

34

Bucao River

Bucao RIS

35

Porac-Gumain River

PoracGumain RIS

36
37
38

Angat-Maasim River
Ipo River
Colo River
Region IVA
Balanac River
Mabacan River
Mayor River
Sta Cruz Lapad
River
Sta Maria & Mata
River
NPC Tailrace &Lewin
Creek

ANgat-Maasim RIS
La Mesa Dam
Colo RIS

Zambales
Bataan
Zambales
Pangasinan
Zambales
Zambales
Tarlac, Capas
Pampanga
Zambales
Bulacan
Bulacan
Bataan

Balanac RIS
Mabacan RIS
Mayor RIS
Sta Cruz RIS

39
40
41
42
43
44

NIS
Supported
Tarlac RIS
San Miguel Odonell
RIS
Camiling RIS
UPRIIS
UPRIIS I

Location
(Province)
Tarlac

Watershed Area
(Ha)
26,750
26,100

Tarlac
Zambales
Pampanga

24,700

River Basin
Agno/Odonell RB
Agno/Camiling RB

82,900
Pampanga River Basin

UPRIIS II
UPRIIS III
1,800
1,835
18,100

Nayom River Basin


Sto. Tomas River Basin

55,320

Bucao River Basin

22,500

Pampanga River Basin


Pampanga RB/Angat RB
Bulacan

Laguna
Laguna
Laguna
Laguna

61,300
6,600
8,850
242,636
6,660
4,900
3,300
8,000

Sta Maria RIS

Laguna

1,150

Sta Maria River Basin

Luban RIS

Laguna

1,350

Pasig-Laguna Bay RB
Sta. Cruz River Basin

105

NO.

Name of Watershed

45
46
47

Laguna FLIS
Cavite
Palico River

48
49
50
51

Laguas-Balakin River
Hanagdong River
Dumasca River
Agos River

Laguas RIS
Hanagdong RIS
Dumasca RIS
Agos RIS

52

Marikina River
Region IV B
Langkawan-Bansud
River
Bucayao-Langkawan
River

53
54

NIS
Supported
Laguna FLIS RIS

Location
(Province)
Laguna

Palico RIS

Wawa Dam

Batangas
Cavite
Quezon
Quezon
Quezon
Quezon
Rizal
Rizal

Bansud RIS

Mindoro Oriental

55

Pula River

Pula RIS

56

Mag-asawangTubigMapalo Rivers

Mag-asawangTubig
RIS

57

Pagbahan River

Pagbahan RIS

58

Patrick River

Amnay-Patrick RIS

59

Mongpong River

Mongpong RIS

60

Caguray River

Caguray RIS

61

Lumuitao River

Lumiutao RIS

62

Malatgao River

Malatgao RIS

Mindoro Oriental
Mindoro
Occidental
Mindoro Oriental
Mindoro
Occidental
Mindoro Oriental
Mindoro
Occidental
Mindoro
Occidental
Mindoro Oriental
Mindoro
Occidental
Mindoro Oriental
Mindoro
Occidental
Mindoro
Occidental
Mindoro
Occidental
Palawan

Watershed Area
(Ha)
30,630
52,900
11,800
1,860
1,360
8,500
91,260
18,966
188,815
7,000

River Basin
Laguna

Bukal (Lalangan)
Agos River Basin
Pasig-Laguna de Bay
Bansud River Basin

26,000
12,970

Pula River Basin

19,565

Mag-asawangTubig River
Basin

23,380
20,750

Amnay River Basin

22,300

Mongpong River Basin

12,900

Caguray River Basin

38,600

Lumiutao River Basin

5,350

Malatgao River Basin


106

NO.

Name of Watershed

NIS
Supported

Location
(Province)

63

Region V
Quinale River

Albay

Barit river

Hibiga RIS
Mahaba RIS
Nasisi RIS
Ogsong RIS
Barit RIS

64
65
64
65

Daet River
Talisay river
BuhiLalo River

Daet RIS
Talisay RIS
BuhiLalo RIS

66

Libmanan River

Libmanan-Cabusao
RIS

67
68
69
70
71

Pili River
THI river
Bulan River
San Francisco River
Rida River
Region VI
TipuluanSibalom
Rivers
Mambusao River

Pili RIS
THI RIS
Bulan RIS
San Francisco RIS
Rida RIS

Aganan -Tigum
Rivers
Barotac Viejo River

Aganan RIS

Antique
Ilolilo
Capiz
Aklan
Iloilo

Barotac Viejo RIS

IIoilo

72
73
74
75

Sibalom-San Jose
RIS
Mambusao RIS

Jalaur River
76

Jalaur-Suage River

77

Sibalom-Tigbanan
Rivers
Sta Barbara River

78

Jalaur RIS
Suage RIS
Sibalom-Tigbanan
RIS
Sta Barbara RIS

Albay
Camarines Sur
CamarinesNorte
CamarinesNorte
Camarines Sur
Albay
Camarines Sur
CamarinesNorte
Quezon
Sorsogon
Camarines Sur
Sorsogon
Sorsogon

Iloilo
Capiz
Iloilo

Watershed Area
(Ha)
134,240
10,090

River Basin
Bicol river Basin

19,500
6,320
2,820
21,850

Daet-Bansud River Basin


Bicol River Basin

54,200

Sipucot River Basin

2,680
8,990
6,200
1,590
363,390
61,600

Sibalom River Basin

31,630
11,300

Jaro-Aganan River Basin

9,150

Iloilo

107,700
17,480
11,400

Iloilo

19,200

Jalaur River Basin


Jalaur RB
Sibalom River Basin

107

NO.

Name of Watershed

79

Bago River

NIS
Supported
Bago RIS

80

Pangiplan River

Pangiplan RIS

81

Panukayan river

Panukayan RIS

82
83
84

85
86
87
88
89
90
91
92

93
94
95

Region VIII
Balire River
BaoBaleonCabugaoMaasin Rivers
Binahaan-Candiis
Rivers
Bito River
Daguitan River
Gibuga River
Guinarona River
Mainit River
Ponggo River
Tibak-Maslog Rivers
Salog-PanipianBejirong-Magtagoy
Creeks
Region IX
Salug-Pako
Salog-Piit-Osugan
Rivers
Timonan-DumingagGuitran-Dipolog
Rivers
Libungan-PulusanLantian-Tiwagan

Location
(Province)
Negros
Occidental
Negros
Occidental
Negros Oriental
Aklan
Antique

Watershed Area
(Ha)
62,500

River Basin

8,030
23,400

Balire North RIS


Bao RIS

Northern Leyte
Northern Leyte

71,460
4,500
5,800

Binahaan North RIS

Northern Leyte

10,540

Binahaan River Basin

Binahaan South RIS


Lower Binahaan RIS
Bito RIS
Daguitan RIS
Gibuga RIS
Guinarona RIS
Mainit RIS
Ponggo RIS
Suong-Tibak RIS
Hindang-Hilongos

Leyte

5,670
5,700
11,380
4,300
5,400
1,450
3,150
4,020
2,350
7,200

Binahaan River Basin

Northern Leyte
Northern Leyte
Northern Leyte
Northern Leyte
Northern Leyte
Northern Leyte
Northern Leyte
Northern Leyte
Southern Leyte

Daguitan River Basin

132,360
30,900

Salug River Basin

Salug RIS

Zamboanga del
Sur

Dipolog RIS

Zamboanga del
Sur

36,300

Dipolog River Basin

Labangan RIS

Zamboanga del
Sur

43,360

Labangan River Basin


108

NO.

Name of Watershed

NIS
Supported

Location
(Province)

Watershed Area
(Ha)

River Basin

Sibuguey Valley RIS

Zamboanga del
Sur

21,800

Sibuguey River Basin

Manuplai RIS
Muleta RIS

Bukidnon
Bukidnon

RoxasKuya RIS

Bukidnon

Batutu RIS
Libuganon River

Davao del Norte


Davao del Norte
Agusan del Sur
Bukidnon
Davao del Norte
Compostela
Valley
Davao del Norte
Davao del Sur
Davao del Sur
Sultan Kudarat
Davao del Sur
Sultan Kudarat
North Cotabato
Davao Oriental
South Cotabato
Sarangani
Davao del Sur
South Cotabato

100
101

Rivers
Sibuguey-Dipili
Rivers
Region X
Manuplai River
Muleta-Kulaman
Rivers
Kuya River
Region XI
Batutu River
Libuganon River

102

Saug-Madgao Rivers

Saug RIS

103

Lasang River

Lasang RIS

104

Mal river

Mar RIS

105

Padada-SakubOdaka-Balutakay
Creeks
Sumlog River
Buayan-Tinagacan
Rivers

Padada RIS

Allah-Lomon-Sepaka
Rivers
Banga River

Allah I RIS

96
97
98
99

106
107
108
109
110
111

Siluay-Klinan Rivers
Marbel-Taplan Rivers
Region XII

Lupon RIS
Buayan RIS

Banga RIS
Siluay RIS
Marbel RIS 1&2

South Cotabato
Sarangani
SuiltanKudarat
South Cotabato
South Cotabato

44,600
13,850
21,450
9,300
507,625
10,500
74,730

Compostela Valley
Tagum-Libuganon River
Basin

41,100

Saug River Basin

39,450

Lasang River Basin

35,400
81,850

Padada-Malitiit

25,540
7,580

Sumlog River Basin


Buayan-Tinagacan River
Basin

88,700

Allah River Basin

28,800

Mindanao River Basin

53,300
20,675
285,940

Mindanao River Basin


Mindanao River Basin
109

NO.

Name of Watershed

113
114

Cabayugan River
Kabakan River

115

Libungan River

NIS
Supported
Maranding RIS
KabakanPagalungan RIS
Libungan RIS

116
117

Mlang River
Malasila River

Mlang RIS
Malasila RIS

118

Allah II Lambayong
RIS

119
120
121
122

KapingkongDumaguil
River
Region XIII
Cabadbaran River
Taguibo River
Andanan River
Simulao River

123

Camac-an River

Cantilan RIS

124

Tago River

Tago RIS

125
126

ARRM
Rugnan River
Alip River

Cabadbaran RIS
Taguibo RIS
Andanan RIS
Simulao RIS

Rugnan RIS
Alip RIS

Location
(Province)
Lanao del Norte
North Cotabato

Watershed Area
(Ha)
39,350
74,000

Maranding River Basin


Kabakan River Bsin

North Cotabato
Maguindanao
North Cotabato
North Cotabato
Davao del Sur
Sultan Kudarat
Sultan Kudarat
South Cotabato

51,700

Libungan River Basin

20,100
31,200

Mlang River Basin


Malasila River Basin

3,131

Mindanao River Basin

Agusan del Norte


Agusan del Sur
Agusan del Sur
Agusan del Sur
Davao del Norte
Davao Oriental
Surigao del Sur
Agusan del Norte
Surigao del Sur
Agusan del Sur
Lanao del Sur
Sultan Kudarat

River Basin

208,060
7,350
8,430
19,200
42,900
12,180
118,000
56,100
18,150
37,950

110

ANNEX C
LIST OF POOREST AND MOST FOOD POOR PROVINCES
Ranking of Provinces by Poverty Incidence8
Region

ARMM
ARMM

Province

SULU
MAGUINDAN
AO
REGION V
MASBATE
REGION XI SARANGGAN
I
CARAGA
AGUSAN DEL
SUR
REGION
SULTAN
XII
KUDARAT
ARMM
LANAO DEL
SUR
REGION IV
ORIENTAL
MINDORO
ARMM
TAWI TAWI
REGION
COTABATO
XII
CAR
MOUNTAIN
PROVINCE
REGION IV
PALAWAN
REGION IV OCCIDENTAL
MINDORO
REGION IX ZAMBOANGA
DEL NORTE
REGION
NORTHERN
VIII
SAMAR
CAR
IFUGAO
CARAGA
SURIGAO
8

Poverty
Incidence

Rank
(Poorest
= 1)

0.6753
0.6687

1
2

Probabilit
y in
Poorest
40
1.0000
1.0000

0.6429
0.6328

3
4

1.0000
1.0000

0.5994

1.0000

0.5986

1.0000

0.5923

1.0000

0.5848

1.0000

0.5596
0.5553

9
10

1.0000
1.0000

0.5460

11

1.0000

0.5422
0.5356

12
13

1.0000
1.0000

0.5274

14

1.0000

0.5264

15

1.0000

0.5262
0.5260

16
17

1.0000
1.0000

Source: Estimation of Local Poverty in the Philippines, November 2005, the World Bank

111

Region

REGION
VIII
REGION XI
REGION IV
CARAGA
REGION V
REGION VI
REGION
VII
CAR
REGION
XII
REGION IV
REGION IX
REGION V
REGION VI
REGION V
REGION X
REGION VI
REGION XI

Province

DEL NORTE
SAMAR
DAVAO
ORIENTAL
ROMBLON
SURIGAO
DEL SUR
SORSOGON
CAPIZ
NEGROS
ORIENTAL
KALINGA
LANAO DEL
NORTE
MARINDUQU
E
BASILAN
ALBAY
ANTIQUE
CAMARINES
SUR
CAMIGUIN
AKLAN
COMPOSTEL
A VALLEY
BOHOL

REGION
VII
REGION
BILIRAN
VIII
CAR
APAYAO
REGION IX ZAMBOANGA
DEL SUR
REGION V CATANDUAN

Poverty
Incidence

Rank
(Poorest
= 1)

Probabilit
y in
Poorest
40

0.5190

18

1.0000

0.5099

19

1.0000

0.5075
0.5000

20
21

1.0000
1.0000

0.4953
0.4936
0.4902

22
23
24

1.0000
1.0000
1.0000

0.4830
0.4827

25
26

0.9800
1.0000

0.4777

27

1.0000

0.4770
0.4741
0.4724
0.4723

28
29
30
31

0.9400
1.0000
1.0000
1.0000

0.4695
0.4645
0.4644

32
33
34

0.9000
0.9900
0.9200

0.4536

35

0.8500

0.4536

36

0.8300

0.4485
0.4468

37
38

0.6600
0.7600

0.4399

39

0.6300
112

Region

REGION X
REGION
VIII
REGION VI
CAR
REGION VI
REGION V

Province

ES
BUKIDNON
EASTERN
SAMAR
NEGROS
OCCIDENTAL
ABRA
GUIMARAS
CAMARINES
NORTE
QUEZON
LEYTE

REGION IV
REGION
VIII
REGION VI
ILOILO
CARAGA
AGUSAN DEL
NORTE
REGION IV
AURORA
REGION II
CAGAYAN
REGION X
MISAMIS
OCCIDENTAL
REGION III NUEVA ECIJA
REGION
SOUTHERN
VIII
LEYTE
REGION I
ILOCOS SUR
REGION II
ISABELA
REGION XI
SOUTH
COTABATO
REGION
CEBU
VII
REGION I PANGASINAN
REGION I
LA UNION
REGION XI
DAVAO
REGION IV
BATANGAS
REGION II
QUIRINO

Poverty
Incidence

Rank
(Poorest
= 1)

Probabilit
y in
Poorest
40

0.4379
0.4370

40
41

0.5200
0.5600

0.4321

42

0.3700

0.4270
0.4222
0.4206

43
44
45

0.3200
0.3500
0.2200

0.4191
0.4077

46
47

0.1000
0.0300

0.4007
0.4000

48
49

0.0000
0.0400

0.3985
0.3899
0.3818

50
51
52

0.0300
0.0000
0.0000

0.3728
0.3696

53
54

0.0000
0.0000

0.3512
0.3493
0.3489

55
56
57

0.0000
0.0000
0.0000

0.3478

58

0.0000

0.3462
0.3431
0.3378
0.3339
0.3277

59
60
61
62
63

0.0000
0.0000
0.0000
0.0000
0.0000
113

Region

Province

Poverty
Incidence

Rank
(Poorest
= 1)

REGION X

MISAMIS
ORIENTAL
SIQUIJOR

0.3238

64

Probabilit
y in
Poorest
40
0.0000

0.3102

65

0.0000

NUEVA
VIZCVAYA
ILOCOS
NORTE
DAVAO DEL
SUR
BENGUET
TARLAC
BATANES
PAMPANGA
ZAMBALES
BULACAN
BATAAN
RIZAL
LAGUNA
CAVITE
ST
1 DISTRICT
3RD DISTRICT
4TH DISTRICT
2ND DISTRICT

0.2991

66

0.0000

0.2916

67

0.0000

0.2647

68

0.0000

0.2509
0.2482
0.2338
0.2204
0.2196
0.1622
0.1556
0.1532
0.1297
0.1287
0.1133
0.0999
0.0729
0.0655

69
70
71
72
73
74
75
76
77
78
79
80
81
82

0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000

REGION
VII
REGION II
REGION I
REGION XI
CAR
REGION III
REGION II
REGION III
REGION III
REGION III
REGION III
REGION IV
REGION IV
REGION IV
NCR
NCR
NCR
NCR

114

115

ANNEX D
FORMAT FOR CONVERGENCE AREA EVALUATION
Name of Potential Convergence
Area/Municipality:_________________________________________
Criteria

Weight
%
Distrib
ution

Rating Scale (Descriptor)


2
3
4

Rating/S
core

Selection
Criteria
(Must)
1.

2.

--

--

--

--

--

--

--

--

--

--

35%

2,000
to
5,000 ha
with
at
least
2
crops

5,000
to
10,000 ha
with
at
least
3
crops

10,000 to
15,000 ha
with
at
least
4
crops

15,000 t0
20,000 ha
with
at
least
5
crops

More than
20,000 ha
with more
than
6
crops

25%

More than
1,000
households

More than
2,000
households

More than
3,000
household

More than
4,000
households

More than
5,000
households

Complet
eness of
the
ecosyste
m zones
which
cut
across
various
ecosyste
ms or a
combina
tion of at
least two
ecosyste
ms.
Should be
located
within the
143 priority
watersheds
identified/pr
oclaimed
by DENR
(append list
c/o EDU)

Prioritizati
on Criteria
1.

3.

Presence
of key
producti
on zones
with
connecti
vity for
increase
d
producti
vity and
income
Combina
tion of
sites

-116-

Criteria
across
major
poverty
groups

Weight
%
Distrib

Site is
considered
non-poor
nor non
food-poor
based on
the NSCB
list

5.

Presence
of
develop
ment
oriented
local
governm
ent
leaders
and LGU
alliances

20%

Willingness
to provide
counterpa
rt of at
least 5% of
the
LGUs
annual
developme
nt fund,
With
sustained
linkage with
any
2
government
agencies or
other
external
partners.
Strongly
supports
programs/p
rojects
of
DA,
DAR
and DENR

Rating Scale (Descriptor)


2
3
4

Site is
either one
of the top
21 and
above
poorest or
most foodpoor
provinces
based on
the latest
NSCB list
Willingness
to provide
counterpa
rt of at
least 10%
of the LGUs
annual
developme
nt fund,
With
sustained
linkage with
DA,
DAR
andDENR
Strongly
supports
programs/p
rojects
of
other
government
entities
operating in
the area.

s majority
of
whom
are small
farmers,
agrarian
reform
beneficiari
es,
agriculture
workers,
fishers, IPs
and rural
women

majority of
whom are
small
farmers,
agrarian
reform
beneficiari
es,
agriculture
workers,
fishers, IPs
and
rural
women

Site is
either one
of the top
20 poorest
or most
food-poor
provinces
based on
the latest
NSCB list

Site is part
of the 11th
to 20th
poorest
and most
food-poor
provinces
based on
the latest
NSCB list

Willingnes
s
to
provide
counterp
art of at
least 15%
of
the
LGUs
annual
developm
ent fund,

Willingness
to provide
counterpa
rt of at
least 20%
of
the
LGUs
annual
developme
nt fund,

Willingness
to provide
counterpa
rt of at
least 25%
of
the
LGUs
annual
developme
nt fund,

Presence of
at
least
two LGU
initiated
program/pr
ojects

Presence of
at
least
three LGU
initiated
program/pr
ojects

With
sustained
linkage
with
DA,,DAr,
DENR
or
amy entity
operating
in the area
in the last
3years.

With
sustained
linkage
with
DA,
DAR, DENR
in the last
4 years.

Presence
of at least
one LGU
initiated
program/p
roject
With
sustained
linkage
with
DA,
DAR,
DENR
or
any entity
operating
in the area
in the last
2 years..

-117-

majority of
whom are
small
farmers,
agrarian
reform
beneficiari
es,
agriculture
workers,
fishers, IPs
and
rural
women
olds
Site is part
of the top
10 poorest
and foodpoor
provinces
based on
the latest
NSCB list

Presence of
Operations
and
Maintenanc

Rating/S
core

Criteria

6.

Presence
of NGOs,
POs,
private
sector
and an
academi
c/researc
h
commm
unity

Total Rating

Weight
%
Distrib

Rating Scale (Descriptor)


2
3
4

20%

Presence of
at least 3
POs, NGOs,
private
sector
organizatio
ns that are
willing
to
support
convergenc
e initiative

Presence of
at least 4
POs, NGOs,
private
sector
organizatio
ns
that
have start
up projects
in the area

100%

--

---

Presence
of at least
4
POs,
NGOs,
private
sector
organizati
ons
implement
ing
programs
and
projects in
the last 2
years.
--

Presence of
at least 5
POs, NGOs,
private
sector
organizatio
ns
implementi
ng
programs
and
projects in
the
last
3years.

Presence of
at least 6
POs, NGOs,
private
sector
organizatio
ns
implementi
ng
programs
and
projects in
the last 4
years.

--

--

Evaluated by: ____________________________________________


____________________________________________
____________________________________________
____________________________________________
____________________________________________
Date:

5
e Plan for
on-going or
past
projects as
embodied
in
the
LGUs
annual
investment
plan.

____________________________________________

-118-

Rating/S
core

ANNEX E
Pro-Forma Letter re: Endorsement of the Evaluation Results for Site Selection

TO:

THE CHAIRPERSON
REGIONAL CONVERGENCE INITIATIVE
TECHNICAL WORKING GROUP

We respectfully endorse the evaluation results covering the following areas/sites for possible
inclusion in the DA-DAR-DENR Convergence Initiative of the Province of ___.

Based on the evaluation results, the following sites/areas are favourably recommended for inclusion
in the Provincial Convergence Initiative:

1.
2.

Attached are the pertinent documents for your review. Should you find them in order, may we
request the confirmation of the recommended sites so we can jump start the PCI activities in these
areas.

FROM: THE CHAIRPERSON


PROVINCIAL CONVERGENCE INITIATIVE
TECHNICAL WORKING GROUP

119

ANNEX F
PRO-FORMA LETTER RE: CONFIRMATION ON CONVERGENCE AREA SELECTION

___________________________
Date

The Chairperson
Provincial Convergence Initiative Technical Working Group
Dear ________________,
This is to confirm the selection of __________________________ as the site of the National
Convergence Initiative for the period ___________________ to _____________________ as per
result of the selection process undertaken by the PCITWG on _________________ to
___________________.
It is understood that the necessary steps will be taken at your end to commence the development
activities in your area and facilitate the achievement of the convergence initiative goals.
Very truly yours,

________________________
Chairperson, Regional Convergence Initiative Technical Working Group

120

ANNEX G
LIST OF ALL CONFIRMED CONVERGENCE AREA

Short List of Convergence Areas


Region:
____________________
Province:
__________________

Municipalities Covered

Barangays
Covered

Areas to be
developed

Target Beneficiaries

121

ANNEX H
CONVERGENCE AREA PROFILE FORMAT
EXISTING SOCIO-ECONOMIC DEVELOPMENT INFRASTRUCTURE

Coverage
Number

Kind

(ha./km./lm)

___________________
_

_________________________________________

____________________

___________________
_

_________________________________________

____________________

___________________
_

_________________________________________

____________________

___________________
_

_________________________________________

____________________

___________________
_

_________________________________________

____________________

ON-GOING DEVELOPMENT

DEVELOPMENT REQUIREMENTS

PROJECTS IN THE AREA

OF THE AREA
Agency

Name of Project

Responsible

Name of Project

Estimated Cost

___________________

___________________

___________________

___________________

___________________

___________________

___________________

___________________

___________________

___________________

___________________

___________________

___________________

___________________

___________________

___________________

EXISTING ORGANIZATIONS IN THE AREA

Name of Organizations

Organization Type (PO,

Services/Business

122

NGO, business,
academic, etc.)
___________________________________

____________________

___________________

___________________________________

____________________

___________________

___________________________________

____________________

___________________

___________________________________

____________________

___________________

___________________________________

____________________

___________________

___________________________________

____________________

___________________

DEVELOPMENT POTENTIALS OF THE


AREA
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
BASIC FEATURES OF THE AREA TO SUPPORT ITS POTENTIALS
(Characteristics of the area that leads toward its development to the potential type of
Zone)
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________

123

SYNTHESIS MAP
OF THE CONVERGENCE AREA

MAP OF THE PROVINCE

LEGEND
Road Network
including Bridges

Livestock Development/
Agro Forestry Area

Mineral Deposits

Barangay/Municipal
Boundaries
Bodies of Water
Lowland Agricultural
Area

Economic/CommercialC
enters
Growth Centers
Market Distribution
Centers

Tourism Zones
Other Protected Areas
124

ANNEX I
INVESTMENT PROPOSAL/BUSINESS PLAN TEMPLATE

* Cover Page
* Table of Contents
* Executive Summary - Answers the what, who, when,
where,how, and how much with respect to the company,
management, business objectives, financing, repayment strategies, etc.
a. Description of the Business discuss what are the main
activities of the investment proposal, who is the proponent, what are
the goal and objectives of your proposed undertaking, what modality
you are proposing (open investment, joint-venture, partnership or
just a loan financing)
b. Product/Service Summary - present here the products that
your project will be producing or the services that the project will
be doing
c. Business Strategy discuss here how you plan to run and
manage your business, where and how you source out your raw
materials, what are your market and promotion strategies
d. Financial Strategy show in here the total financial
requirement of the project and the breakdown of the financing
summary, how much is being proposed for investment and how
much is the equity of the proponent.
Chapter 1- Industry and Market Analysis - This portion describes the
industry you are
getting into, your target market as well as your competitors. It looks
at the nature and trend of the industry that allows you to make the
appropriate strategy foryour product or service.
a. Product or Service please back up with a picture
- Product/Service Description

125

- Product application/uses
- Product packaging

b. Market Research
- Market Trends(discuss here the market trend, the supply and
demand gap of your proposed and related products)
- External Research(if there are external research conducted to
support that
there is really a market potential of your proposed
product)
- Market Estimates discuss here how much of the current market
you want to serve.
c. Marketing Plan & Sales Strategy
- SWOT Analysis
- Competitive Analysis discuss here the comparative advantage of
the project considering the capacity of the
proponent/management team or the target group or area that
the project will be dealing, the presence of strong support group,
etc.
- Target Customer Groups discuss here who are your target
customers/markets. If you already have a list of potential market
and their volume requirement, discuss and present it here.
- Customer Demographics
- Sales Strategy discuss in here where your
- Pricing & Positioning
- In-depth Marketing Plan
- Advertising & Promotion
Chapter 2 - Company Summary or Business Structure - This section
presents your management team, business
location, and
business organization. This illustrates the organizational structure
and their functions.

126

a. Management team
b. Business Location
c. Business Organization
Chapter 3 - Company Positioning or Operational Plan
a. Goals & Objectives/Mission Statement
b. Strategy of Implementation or Action Plan
c. Technical Processes of the product or service
d. Resource Allocation
- Human Resource
- Raw Materials
e. Budget Allocation
Chapter 4 -Financial Plan - This section includes realistic financial
points, forecasts and system. It is important to visualize the worst case,
expected case, and best-case financial forecasts. The forecasts must be
backed up by the marketing plan and industry trend figures to ensure the
reliability of your assumptions. Always include current data.
a. Staffing & Employees
b. Start-up Budget
c. Forecast Profit & Loss Account
d. Forecast Balance Sheet
e. Forecast Cash flow
f. Sales & Profit Forecasts
g. Sales Charts & Graphs
Attachments
a. Monthly Cash Flow Analysis
b. Monthly Profit & Loss Analysis

127

c. Monthly Sales by Product


d. Monthly Costs & Margins by Products
e. Monthly Balance Sheets
ANNEX J
COMMODITY PROFILE TEMPLATE

KAMAYO

INVESTMENT
PROPOSAL
128

TABLE OF CONTENTS

Chapter

Description
Executive Summary

Page
2

Industry and Market Analysis

12

II

Business Structure

18

III

Operations Plan

23

IV

Financial Plan

27

Attachments/Annexes

33

129

EXECUTIVE SUMMARY

A. Description of the Business


The proposed business undertaking will involve the production of export quality banana
chips using state-of-the-artprocessing equipment and its production technologies
compliant to international standards for processed foods.
This business undertaking was conceptualized to add value to the cardaba, a local
banana variety, which is abundant in Bislig City and other municipalities of the province of
Surigao del Sur.It is also positioned in order to take advantage of the increasing demand
of banana chips both local and abroad and to provide employment for the people of
BisligCity and in increasing income particularly to the banana farmers.
The proposed business will be established in Bislig City,
City, specifically within the 500hectare designated Provincial Agro-Industrial Center (PAIC) at barangay San Vicente I
which is about eighteen (18) kilometers from the commercial districts Mangagoy.
The proposed modality is either a loan from a financial institution or a jointventure with interested investor/s.
For this presentation, a loan from a government financing institution is being
considered as a financing modality.
The loan fund is assumed to bear an interest rate of twelve percent (12%) per annum
and payable within a period of ten (10) years.
Other possible modalities considered will be a joint venture with foreign or local
investors. Under the joint venture agreement, interested investors can acquire not more
than seventy percent (70%) stake to the project.Twenty two percent (22%) will be
provided by the proponent organization as equity and the remaining eight percent (8%)
stake will be provided by the banana growers as theircapital contribution.
The proponent, FRIENDS OF BISLIG INCORPORATED (FOBI) is a duly
registered organization with the Securities and Exchange Commission with
Registration Number CN200831928. Its main office is located at 72C-Good
Shepherd Road, Banawa, Cebu City. The Mindanao Chapter based in Bislig
City will be the direct implementer of the project.

130

B. Product Summary
Product Description
The main product of the project is banana chips.
These are deep-fried and/or dried slices of banana, either plain or provided
with flavoringsuch as honey or caramel.
Other variants of banana chips may be covered with chocolate instead.
The chips are crispy and have a sweet taste.

Table 1.Banana chips - Nutritional Analysis (per serve):

Energy
Protein
Fat, Total
- Saturated
- Polyunsaturated
Monounsaturated
Cholesterol
Carbohydrate
Sugars
Dietary Fiber
Thiamin
Riboflavin
Niacin Equivalents
Vitamin C
Folate
Vitamin A
Sodium
Potassium
Magnesium
Calcium
Phosphorus
Iron
Zinc

Average Quantity
per Serving
392kJ (94Cal)
1.7g
0.1g
0.0g
0.0g
0.0g
0.0mg
19.9g
16.9g
2.2g
less than 0.1mg
0.1mg (7%RDI)
0.9mg (9%RDI)
12.1mg (30%RDI)
14.1ug (7%RDI)
13.1ug (2%RDI)
1mg
345mg
19.2mg (6%RDI)
5.1mg (1%RDI)
26.3mg (3%RDI)
0.5mg (4%RDI)
0.2mg (2%RDI)

Average Quantity per


100g
388kJ (93Cal)
1.7g
0.1g
0.0g
0.0g
0.0g
0.0mg
20.1g
17.1g
2.2g
less than 0.1mg
0.1mg
0.9mg
12.0mg
14.0ug
13.0ug
1mg
348mg
19.0mg
5.0mg
26.0mg
0.5mg
0.2mg

131

Product Application/Uses

Banana chips are primarily used as snack food.


Other food preparations use banana chips as cake toppings, ice cream mix,
pastries and chocolate bars.

Product Packaging

Finished product will be packed in polyethylene plastic printed with the


business name and other pertinent information that should appear in the label.
Packaging will come in four (4) variants such as: 50 grams; 75 grams; 100
grams; 150 grams pack.

C. Business Strategy
The business is designed to process locally-produced cardaba bananas. Farmers shall
be provided with proper and regular training regarding the quality requirements or
specifications of fresh cardaba acceptable to the plant. Premium price will also be given
to fresh banana deliveries falling under the Extra Class and Class I.
Banana farmers will not be treated as raw material suppliers only but as partner farmerinvestors. As such, they will be allowed to subscribe and contribute a considerable stake
in the ownership of the business entity. One (1) seat in the Project Management Board or
Board of Director as soon as the business establishment will acquire a separate legal
personality will be allocated to them.
Farmer`s capital contribution will come in the form of retention from the total value of
fresh banana deliveries. Amount to be retained will depend on the subscribed capital of a
particular farmer and volume of deliveries in a given period.
To conform to the specifications of the export market, processing facility and its
equipment will be acquired from fabricators recognized by the industry. Following are the
equipment necessary for the operation of the processing plant:
Banana Slicing Machine -To slice the bananas into thin slices for making
bananachips as per required type and thickness. It is possible to make different styles
by simply changing the cutting knife of the machine..
BananaSlice Washing Machine -To wash the prepared slices and remove starch
form it.
Water De-hydrator Machine -To reduce the moisture content from the banana slices
so that they get easily fried in the frying machine.

132

Contunuous Frying Machine -To fry the banana slices in hot cooking oil.
Oil Extractor Machine -To extract the excess oil from the bananachips before
packing.
Automatic Seasoning Machine -To add oil and required seasoning to the fried
bananachips to give the different flavors to the bananachips.
Automatic Pouch Packing Machine -To pack the bananachips into attractive printed
pouches with gas flushing.
The Process Flow of the Project is shown in Figure 1.
The project plans to market its produce both local and abroad. Seventypercent (70%)
of its production will be designated for the export market and the balance for the local
market. Regional Chapters of the Friends of Bislig Incorporated (FOBI), both local and
foreign, will serve as the marketing arm of the project.
Figure. 1 Process Flow Chart
SORTING/
WEIGHING

WASHING

PEELING

WASHING

CHIPPING

WASHING/

FIRST

DEWATERING

FRYING

EXCESS OIL
EXTRACTION

SECOND
FRYING

PACKAGING

133
MARKETINGST
ORING/

D. Financial Summary
The total financial requirement for putting up the project into full operation amounts to
PhP55 Million. Twenty two percent (22%) will be provided by the proponent and eight
percent (8%) will be provided by the banana growers in terms of fresh banana deliveries
during the early part of the project implementation stage.

Table 2.BusinessFinancing
2.BusinessFinancing Scheme
Particulars

LOAN/
Investment

FOBI

Farmers

Total

Land

500,000

500,000

Site development

500,000

500,000

Water system

500,000

500,000

8,950,000

1,050,000

10,000,000

Weighing scale

50,000

50,000

Cooling system

300,000

300,000

Overhead crane

500,000

500,000

Cooking oil tank

150,000

150,000

Input warehouse

500,000

500,000

2,000,000

2,000,000

750,000

750,000

20,000,000

20,000,000

500,000

500,000

5,000,000

5,000,000

Water de-hydrator machine

250,000

250,000

Oil extractor machine

250,000

250,000

Transport vehicle

2,000,000

2,000,000

Crates

170,000

170,000

Processing house

Water treatment facility


Banana slicing machine
Continuous frying machine
Automatic seasoning
machine
Automatic pouch packing
machine

134

Office equipments

100,000

100,000

Tools

24,000

24,000

Cooking oil

300,000

300,000

Supplies

520,000

520,000

Other ingredients

150,000

150,000

Utilities

150,000

150,000

Working capital

4,228,000

4,228,000

8,456,000

Labor

480,000

480,000

Training and development

126,000

174,000

300,000

Fees/Licenses

300,000

300,000

Promotion and
advertisement

300,000

300,000

38,500,000

12,098,000

4,402,000

55,000,000

70.00

22.00

8.00

100.00

Total
Percentage

The proponent equity will be equitably divided from the members of FOBI at the
minimum investment of PhP10,000.00 per member. This is equivalent to two (2)
shares valued at PhP5,000.00 per share. At present, the organization has more than
three hundred (300) members.
Each Farmer-Investor on the other hand, will be allowed to invest a minimum paid-up
capital of one (1) share. Converting their investment in terms of fresh bananas, it is
equivalent only to 715 kilos. It will be paid within a period of one (1) yearin twelve (12)
equal installments or at least 60 kilograms of fresh cardaba bananas per month.
The City Government of Bislig is already considered as an investor to this business
endeavor. Cost of land and land development of the proposed business is the
potential area where the LGU could come in as their support.
Other interested individuals, particularly those who are former PICOP employees now
residing in Bislig City, will also be allowedto invest.

135

Return on Investment (ROI)

Operating Income
(Net Income before
Interest/Taxes) OI
18,415,700.00

55,390,821.68

ROI
(0I / TA)
%
33.25%

18,349,700.00

55,723,563.36

32.93%

18,280,400.00

55,995,321.04

32.65%

18,207,635.00

56,203,045.52

32.40%

18,131,231.75

56,343,535.14

32.18%

17,978,077.96

56,349,249.43

31.90%

17,809,973.45

56,207,031.74

31.69%

17,625,441.37

55,902,425.82

31.53%

17,422,858.11

55,419,546.64

31.44%

10

17,200,438.65

34,002,437.21

50.59%

Year

Total Assets - TA

340.54%
10
ROI =

34.05%

Payback Period

Cumulative
Year

Net Income

Net Income

Cumulative
Depreciation

(NI)

Depreciation
(Depn)

10,007,521.74

10,007,521.74

4,304,400.00

4,304,400.00

9,956,041.74

19,963,563.48

4,304,400.00

8,608,800.00

9,901,987.74

29,865,551.23

4,304,400.00

12,913,200.00

9,845,231.04

39,710,782.27

4,304,400.00

17,217,600.00

9,785,636.51

49,496,418.78

4,304,400.00

21,522,000.00

9,666,176.55

59,162,595.33

4,304,400.00

25,826,400.00

136

9,535,055.03

68,697,650.36

4,304,400.00

30,130,800.00

9,391,120.01

78,088,770.37

4,304,400.00

34,435,200.00

9,233,105.07

87,321,875.44

4,304,400.00

38,739,600.00

10

9,059,617.89

96,381,493.32

4,304,400.00

43,044,000.00

Average

9,813,950.05

Payback Period (PP) =

4,304,400.00

Total Investment Cost


NIAVE + DepAVE
55,000,000.00

PP=

14,118,350.05
PP=

3.90 years

As can be gleaned from the table above, the business will pay-off its investments within a
period of almost four (4) years from the start of its processing operations.

NET PRESENT VALUE


Present
Value

Year

Disc.

Revenue

Revenue

Revenue

Revenue

TOTAL

(n)

Factor

Source 1

Source 2

Source 3

Source N

SALES

1.0000

0.8929

58,708,800

58,708,800

52,418,571

0.7972

58,708,800

58,708,800

46,802,296

0.7118

58,708,800

58,708,800

41,787,764

0.6355

58,708,800

58,708,800

37,310,504

0.5674

58,708,800

58,708,800

33,312,950

0.5066

58,708,800

58,708,800

29,743,705

0.4523

58,708,800

58,708,800

26,556,880

(P)

137

0.4039

58,708,800

58,708,800

23,711,500

0.3606

58,708,800

58,708,800

21,170,982

10

0.3220

58,708,800

58,708,800

18,902,662

NET PRESENT BENEFITS (NPB)=

331,717,814

Project Costs
Present
Value

Year

Disc.

Investments/

Production/

Operating

Taxes &

TOTAL

(n)

Factor

Fixed

Manufacturing

(Admin/Mrktg)

Other

COSTS

1.0000

55,000,000

55,000,000

55,000,000

0.8929

37,260,760

3,032,340

4,029,310

44,322,410

39,573,580

0.7972

37,260,760

3,098,340

4,035,910

44,395,010

35,391,430

0.7118

37,260,760

3,167,640

4,042,840

44,471,240

31,653,750

0.6355

37,260,760

3,240,405

4,050,117

44,551,282

28,313,145

0.5674

37,260,760

3,316,808

4,057,757

44,635,325

25,327,282

0.5066

37,260,760

3,469,962

4,073,072

44,803,794

22,698,997

0.4523

37,260,760

3,638,067

4,089,883

44,988,709

20,350,607

0.4039

37,260,760

3,822,599

4,108,336

45,191,694

18,252,167

0.3606

37,260,760

4,025,182

4,128,594

45,414,536

16,376,937

10

0.3220

37,260,760

4,247,601

4,150,836

45,659,197

14,701,040

NET PRESENT COSTS (NPC)=

307,638,936

r =12.00%

(P)

where r = Discounting Rate

Disc. Factor =( 1 + r )-n


TotalSales x Disc.Factor
Present Value =

331,717,814
Net Present Value (NPV) =NPB - NPC:

TotalCosts x Disc.Factor

-307,638,936
NPV:

24,078,878

331,717,814
Benefit-Cost Ratio (BCR) =NPB / NPC:
307,638,936
BCR :

1.08

138

Internal Rate of Return (IRR)* =

IRR :

12.00%

*the discounting rate used when NPV = 0 or BCR = 1.0

SENSITIVITY ANALYSIS-BENEFITS

Year

Disc.

Revenue

Revenue

Revenue

Revenue

TOTAL

Present Value

(n)

Factor

Source 1

Source 2

Source 3

Source N

SALES

(P)

1.0000

0.8929

58,708,800

58,708,800

52,418,571

0.7972

58,708,800

58,708,800

46,802,296

0.7118

58,708,800

58,708,800

41,787,764

0.6355

58,708,800

58,708,800

37,310,504

0.5674

58,708,800

58,708,800

33,312,950

0.5066

58,708,800

58,708,800

29,743,705

0.4523

58,708,800

58,708,800

26,556,880

0.4039

58,708,800

58,708,800

23,711,500

0.3606

58,708,800

58,708,800

21,170,982

10

0.3220

58,708,800

58,708,800

18,902,662

NET PRESENT BENEFITS (NPB)=

331,717,814

Project Costs
Year

Disc.

Investments/

Production/

Operating

Taxes &

TOTAL

Present Value

(n)

Factor

Fixed

Manufacturing

(Admin/Mrktg)

Other

COSTS

(P)

1.0000

55,000,000

55,000,000

55,000,000

0.8929

37,260,760

3,032,340

4,029,310

48,546,755

43,345,317

0.7972

37,260,760

3,098,340

4,035,910

48,626,274

38,764,568

0.7118

37,260,760

3,167,640

4,042,840

48,709,769

34,670,652

0.6355

37,260,760

3,240,405

4,050,117

48,797,440

31,011,655

0.5674

37,260,760

3,316,808

4,057,757

48,889,493

27,741,212

139

0.5066

37,260,760

3,469,962

4,073,072

49,074,019

24,862,425

0.4523

37,260,760

3,638,067

4,089,883

49,276,558

22,290,213

0.4039

37,260,760

3,822,599

4,108,336

49,498,890

19,991,772

0.3606

37,260,760

4,025,182

4,128,594

49,742,971

17,937,814

10

0.3220

37,260,760

4,247,601

4,150,836

50,010,951

16,102,188

NET PRESENT COSTS (NPC)=

331,717,814

r =12.00%

where r = Discounting Rate

Disc. Factor =( 1 + r )-n


TotalSales x Disc.Factor

331,717,814

Present Value =

Net Present Value (NPV) = NPB - NPC


TotalCosts x Disc.Factor

-331,717,814

Costs may increase by:9.5309%

NPV:

0.00

331,717,814
Benefit-Cost Ratio (BCR) = NPB / NPC
331,717,814
BCR :

1.00

Internal Rate of Return (IRR)* =IRR :

12.00%

*the discounting rate used when NPV = 0 or BCR = 1.0

SENSITIVITY ANALYSIS-COSTS
Year

Disc.

Revenue

Revenue

Revenue

Revenue

TOTAL

(n)

Factor

Source 1

Source 2

Source 3

Source N

SALES

Present
Value
(P)

1.0000

0.8929

58,708,800

54,447,220

48,613,589

0.7972

58,708,800

54,447,220

43,404,990

0.7118

58,708,800

54,447,220

38,754,456

140

0.6355

58,708,800

54,447,220

34,602,193

0.5674

58,708,800

54,447,220

30,894,815

0.5066

58,708,800

54,447,220

27,584,656

0.4523

58,708,800

54,447,220

24,629,157

0.4039

58,708,800

54,447,220

21,990,319

0.3606

58,708,800

54,447,220

19,634,213

10

0.3220

58,708,800

54,447,220

17,530,548

NET PRESENT BENEFITS (NPB)=

307,638,936

Project Co
Year

Disc.

Investments/

Production/

Operating

Taxes &

TOTAL

(n)

Factor

Fixed

Manufacturing

(Admin/Mrktg)

Other

COSTS

Present
Value
(P)

1.0000

55,000,000

55,000,000

55,000,000

0.8929

37,260,760

3,032,340

4,029,310

44,322,410

39,573,580

0.7972

37,260,760

3,098,340

4,035,910

44,395,010

35,391,430

0.7118

37,260,760

3,167,640

4,042,840

44,471,240

31,653,750

0.6355

37,260,760

3,240,405

4,050,117

44,551,282

28,313,145

0.5674

37,260,760

3,316,808

4,057,757

44,635,325

25,327,282

0.5066

37,260,760

3,469,962

4,073,072

44,803,794

22,698,997

0.4523

37,260,760

3,638,067

4,089,883

44,988,709

20,350,607

0.4039

37,260,760

3,822,599

4,108,336

45,191,694

18,252,167

0.3606

37,260,760

4,025,182

4,128,594

45,414,536

16,376,937

10

0.3220

37,260,760

4,247,601

4,150,836

45,659,197

14,701,040

NET PRESENT COSTS (NPC)=

307,638,936

r =12.00%

where r = Discounting Rate

Disc. Factor =

( 1 + r )-n
TotalSales x Disc.Factor

Present Value =

307,638,936
Net Present Value (NPV) = NPB-NPC

TotalCosts x Disc.Factor
Revenues may decrease by:

7.2588%

-307,638,936
NPV:

(0.00
)

141

307,638,936
Benefit-Cost Ratio (BCR) =NPB / NPC:
307,638,936
BCR :

1.00

Internal Rate of Return (IRR)* =IRR :

12.00%

*the discounting rate used when NPV = 0 or BCR = 1.0

Chapter 1
INDUSTRY AND MARKET ANALYSIS

A. The Product

The main product of the project is banana chips.


These are deep-fried and/or dried slices of banana, either plain or provided with
flavoringsuch as honey or caramel.
Other variants of banana chips may be covered with chocolate instead.
The chips are crispy and have a sweet taste.

Banana chips

142

B. Market Research
Industry data shows that traditional markets like the United States, the European
Union, Japan, Australia and South Korea have consistently expanded, although emerging
markets, particularly China and Russia and former Eastern Bloc countries have posted
exponential growth in the last four years. The most surprising market perhaps is Vietnam,
where the imports of banana chips from the Philippines has surged over the past three
years.

The annual value of banana chips exports from the Philippines is approximately $35
million, and 70-80% of the product comes from Mindanao, where cardaba bananas are
grown throughout the region. Although annual exports declined in 2005 due to traderelated issues in the China market, the market rebounded in 2006, with export volumes to
China recovering and growing by a robust 16% versus the previous year.
In 2006, Mindanao exported about $16.3 million of banana chips, or 45% of the
banana chip exports of the country. The value was 40% higher than the value in the
previous years.
During the past years, Growth for Equity in Mindanao (GEM) has helped six Mindanao
banana chip processors to join major trade fairs in China, which provided venues for the
processors to access the China market, the Philippines fastest-growing buyer of banana
chips.
These support efforts have been successful because banana chips have become an
important product for the export market. The production of banana chips has emerged as
one of Mindanaos strategic industries. There are now more than twenty banana chip
processing plants in Mindanao compared to 15 factories five years ago. However, this
number remains inadequate to fill the increasing demand.
Thousands of small banana growers depend on the chip processors as primary markets
for their produce, as the raw material needs of the banana chip industry require the yield
of at least 30,000 hectares annually. Since cardaba production is dominated by smallholder growers, with average farm size of one hectare or less, the total number of
farmers involved ranges from 30,000 to 50,000.
In the local market scenario, in Davao Region, the Department of Trade and Industry
(DTI) launched the product as a substitute for junk foods in school canteens, in an effort
to help spur local demand. The agency commissioned a private company to formulate
new banana chips variants in an attempt to encourage students to try the product
because of its nutritional value. A dozen of new varieties were successfully launched last

143

year. Homegrown singer Joey Ayala was hired to compose a catchy jingle to promote the
product to school children.
With the farmers already having direct links with the processors and other markets, and
with demand increasing steadily, banana growing has become an attractive proposition.
Banana-chip exporters, 10 of whom are considered the main exporters, have a minimum
daily requirement of 400 tons of which only 60 percent are being satisfied without this
competition.
The domestic market for fresh cardababanana is captured by middlemen who pay very
low farm gate prices. The products are either disposed in the local market or shipped to
Manila and Cebu via the ports of Cagayan de Oro City, Davao City and General Santos
City. From Manila and Cebu, fresh bananas are distributed by consignees to wholesalers
in Luzon and Visayas. The wholesalers then sell the commodities to local retail markets in
Luzon and Visayas such as fruit stands, supermarkets, wet markets and mobile retailers.

C. Marketing and Sales Plan


C.1 SWOT Analysis

STRENGTHS:

WEAKNESSES:

Available production inputs:

Lack of good processing facilities.

Fresh cardaba bananas


Cooking oil

Inadequate knowledge on international


quality standards for processed foods.

Available processing technologies

Strong support of the government particularly


in organic farming and sustained re-tooling of
agricultural extension workers (AEWs).

Weak organization among cardaba banana


producers and processors.

Presence of tissue culture laboratories

OPPORTUNITIES:

THREATS:

144

High demand of banana chips in the export


market.

Worldwide economic recession will linger.

C.2 Comparative Advantage

There is an existing 500-hectare Provincial Agro-Industrial Center (PAIC) being


developed by the City of Bislig. At present, forty four (44) hectares has already been
acquired by the City Government.

Presence of international seaport.


Presence of banana production areas with existing road network.

Public utility transport to the cities of Butuan and Davao is available 24 hours.

C.3 Target Customers


For the foreign market, we will be establishing tie-up with consolidators or
repacking establishment in these particular countries. In the local market, on the other
hand, we will be dealing with distributors and supermarkets or big stores in the
locality.
C.4Sales Strategy
C.4.1 Procurement of Fresh Banana
Fresh bananas will be procured directly from the banana farmers. At present, there are
400 hectares of fruit-bearing banana plants in the province of Surigao del Sur. The
banana farmers will be clustered and a focal person will be designated in each
production cluster to act as coordinator and consolidator. Harvested fruits will be
delivered directly to the processing plant or will be picked-up by contracted haulers.
The standards set by the Bureau of Agriculture and Fishery Products (BAFPS) will be
followed in the quality control of banana for processing. According to the Philippine
National Standards/Bureau of Agriculture and Fishery Products Standards-PNS/BAFPS
8:2004, ICS 65.020.20), in all classes, subject to the special provisions in each class and
tolerances allowed, the fruits must meet the following requirements:

The fruits must be reasonably clean (fruit exhibits unavoidable dirt, latex stains
and other foreign materials incidental to proper harvesting), free from
diseases, insects, molds and other contaminants.
Pesticide residues shall meet the requirements of the Codex Alimentarius
Commission. Vol.2

145

Sizes classification:
Length (cm)

Diameter (cm)

More than 14

More than 4.5

Large

12 14

4.5

Medium

10 12

4.0

Not less than 8

3.5

Size

Extra Large

Small

Classification- Each size shall be classified according to its general appearance, quality
and conditions as follows:
Extra Class:
Bananas in this class must be of superior quality. Hands of one variety are
mature, clean, well-formed, well-trimmed and free from decay, split fingers,
loose fingers, bruises, blemishes and discoloration caused by diseases,
insects, latex burn, mechanical or other means.

Class I:
Bananas of this class must be of good quality. Hands of one variety are
mature, clean, well-formed, well-trimmed and free from decay, split fingers,
loose fingers, bruises, blemishes and discoloration caused by diseases,
insects, latex burn, mechanical or other means.

Class II:
Bananas of this class are those which do not qualify for inclusion in the
higher class classes but satisfy the minimum requirements.Hands of one
variety are mature, reasonably clean, fairly well-formed, well-trimmed and
relatively free from decay, split fingers, loose fingers, bruises, blemishes and
discoloration caused by scars, diseases, insects and mechanical or other
means.

Tolerances

146

Extra Class:
Not more than five percent (5%) by number or weight for the off-size and no
more than five percent (5%) by number or weight for other defects are allowed
in any lot, including not more than one percent (1%) by number or weight for
hands affected by decay, provided they conform with the requirements of the
next lower class.

Class I:
Not more than ten percent (10%) by number or weight for off-size and not
more than ten percent (10%) by number or weight for other defects are
allowed in any lot, including not more than one percent (1%) by number or
weight for hands affected by decay, provided they conform with the
requirements of the next lower grade.

Class II:
Not more than twenty percent (20%) by number or weight for off-size, not more
than fifteen percent (15%) by number or weight for other defects are allowed in
any lot, including not more than two percent (2%) for hands affected by decay.

C.4.2 Disposal of Finished Products


Marketing of finished products shall be undertaken by the regional chapters of the
FOBI particularly those that are based outside of the country. The Project
Management Board shall designate Marketing Officers in every regional cluster.

C.5 Advertising and Promotion

Print
Local newspapers will be tapped to promote the product and solicit support from the
populace to patronize the Kamayo Banana Chips as a nutritious snack food.

Broadcast

147

The FM and AM Radio Stations based in the locality will also be used to ensure better
penetration of the product among local consumers particularly school children.

Television
The local cable service providers will be tapped also to support massive information
campaign particularly during the initial stage of the business.

Farmers/barangay assemblies
A Project Management Staff will be required to attend during Barangay Assemblies in
order to promote the product. This is to ensure patronage to the local product and at
the same time create considerable awareness regarding the quality standards for
fresh cardaba bananas.

148

Chapter 2

BUSINESS STRUCTURE

A. Management Team
A.1 Management during the pre-operating and full-scale operating period
During the project implementation phase, major bulk of the activities will be undertaken
by the Project Management Board. It will also serve as the policy-making body by the
time the business will take full-scale operations. It will be composed of thefollowing:

FOBI President as the Chairman


Representative/s from the Investor/Creditoras the Vice Chairman
FOBI Regional Head for Bislig City a Member
FOBI Regional Finance Officer as Member
Representative from the Banana Farmers as Member

They will be responsible for the following:

Negotiation with other investors, financiers, consultants and other


stakeholders.
Acquisition of permits, clearances, and licenses.
Recruitment and organization of Project Management Team.
Formulation of operating policies, systems and procedures.
Establishment and institutionalization of marketing service centers in the
regional chapters.

149

A.2 Management of the business during its day to day operation

OPERATIONS
MANAGER

CONSULTANT

MACHINE
OPERATORS

MARKETING
OFFICERS

FINANCE OFFICER/CASHIER
CLERK/BOOKKEEPER
DRIVER/DELIVERYMAN
QC INSPECTOR

CONTRACTORS

COMBINATION
HELPER

A.2.1 Duties and Functions

Operations Manager Responsible for managing the day to day operations of


the business particularly to ensure that production targets are met and
reasonably cost effective.

Consultant Provide technical support to the business particularly its


compliance to established international standards for food items. Also undertake
product development activities.

150

Marketing Officer Maintain a good market share of the product in both local
and foreign market. Also undertake development research activities.
Quality Control Inspectors Ensure that raw materials, production inputs,
production process and production output follow established standards.
Finance Officer/Cashier Custodian of the funds and other valuable resources
of the business.
Clerk/Bookkeeper Record all transactions of thebusiness and provide office
support services particularly to the Operations Manager.
Machine Operators Ensure optimum availability and production efficiency of
the assigned equipment. Prepare equipment operations report and perform
preventive maintenance services.
Driver/Deliveryman Provide mobility support for the efficient movement of
both raw materials and timely distribution/delivery of finished products.
Combination Helper Provide labor support at the receiving area of inputs and
raw materials, for the machine operators during machine servicing and
maintenance and housekeeping activities within the business establishment.
Contractors Provide labor support in the entire production process from
washing/peeling to loading and delivery of finished products for distribution.

B. Business Location
The proposed business will be established in the City of Bislig within the designated
Provincial Agro-Industrial Center (PAIC). The processing facility will be located in San Vicente
I more or less 18 kilometers from Mangagoy, the central business district of Bislig City.

151

C a g u y a o

S a n V ic e n te

T u m a n a n

B u cto

S a nta C r uz
M a h a r l ik a
S a n R o q u e ( C a d a n g la s a n )

K a h ay ag

L a w ig a n

S a n F erna n d o
P o b l a c io n

B u rb o a n a n

S a n I s id r o ( B a g n a n )

L a b is m a

Co m aw a s

S a n A n t o n io

M an ga g oy

T ab o n

N
W

E
S

C. Business Organization

152

The newly established Bislig City Integrated Coconut Processing Complex located at
the Provincial Agro-Industrial Center (PAIC), San Vicente I, Bislig City. This facility will
be one of the major supplier of cooking oil to the Banana Chips Processing Plant.

C. Business Organization

The proponent, FRIENDS OF BISLIG INCORPORATED (FOBI) is a duly registered


organization with the Securities and Exchange Commission with Registration Number
CN200831928. Its main office is located at 72C-Good Shepherd Road, Banawa, Cebu City.
The Mindanao Chapter based in Bislig City will be the direct implementer of the project.

153

Existing Officers of the organization are composed of socio-civic oriented


personalities and made exemplary performances and good tract records in
community organizing, mobilization and development.

The organization is headed by a President, Mr. Martin V.Santos who is based in


Canada.

Its operation is clustered into regions. Bislig City as the primary beneficiary
community, is considered as one region. It is headed by a Regional Head in the
person of Mr. Roberto A. Dormendo.

The Bislig City Region is given the responsibility to handle planning and
implementation while those operating outside Bislig City handles fund sourcing
activities.

At present, aside from expanding its membership and acquiring accreditation from the
Local Government Units, the organization is involved in sourcing funds for the
Christmas Gift-Giving and the Adopt-a-School Project. Both projects are intended to
support indigent families in the City of Bislig.

Following are the objectives of FOBI:

1. To support social and civic functions through sponsorships of community outreach


activities and/or programs;
2. To promote academic excellence by supporting scholars through the organization;
3. To conduct fund raising events through games, shows, lotteries, dinner dances and
other similar events of similar nature;
4. To solicit funds as a non-profit organization from public and private companies or
institutions;
5. To acquire reading or writing materials, toys, clothings and other items of similar
nature.

154

Chapter 3
OPERATIONS PLAN
A.

Project Objectives
Generally, the project aims to provide employment opportunity to at least 2,000
displaced workers of PICOP Resources Incorporated (PRI) and other unemployed
people of Bislig City.
Specifically, it aims to:

Establish 1 banana chip processing plant for the value-adding of the existing
banana product which is abundant in Bislig City;

Enhance the development of the banana industry in the province of Surigao


del Sur; and

Optimize the utilization of existing land resources particularly within the


expiring TLA areas.

B. Action Plan for the Next 12 Months


Period
August 2009
September 2009
October 2009
November 2009 to
February 2010
March
to
April 2010

Activities

Presentation and discussion of the proposal to the


Provincial Agriculture and Fishery Council (PAFC),
proponent and banana growers
Presentation of the proposal to the investors or
financiers
Organization of the Project Management Board
Fund sourcing, Formalizing project financing
agreements
Formalizing raw materials supply agreements,
Acquisition of permits, clearances and licenses

May 2010

Project launching and groundbreaking ceremonies


for the plant site

June October 2010


November 2010

Construction of the processing facility, acquisition of


the required machineries & equipment
Start of plant operation

155

C. Value-Adding Activities
The present practice of banana farmers is to sell their produce as fresh bananas to the local
buyers or traders. However, with the advent of the proposed business entity, no fresh
bananas will get out from Surigao del Sur. Instead, it will be traded in the form of chips.
Based on the computations made, every metric ton of fresh banana processed into chips can
generate an added value of PhP14,000.00
Figure 1 shows the Process Flow of banana processing. Figure 2 on the other hand shows
the proposed Plant Lay Out.
Fig. 1 Process Flow Chart

SORTING/
WEIGHING

WASHING

PEELING

WASHING

CHIPPING

WASHING/

FIRST

DEWATERING

FRYING

EXCESS OIL
EXTRACTION

SECOND
FRYING
PACKAGING

STORING/
MARKETING

156

Figure2. Plant and Machinery Lay-out

AUTOMATIC POUCH PACKING MACHINE

CONTINUOUS FRYER

BANANA CHIPPING MACHINE

157

D. Resource Allocation
For the smooth and sustainable implementation of the business, following resources are
necessary:
1. Human Resource

Ten (10) skilled workers as regular employees to include the Operations


Manager

Forty four (44) labor service providers contractual workers as peelers,


packers and others

2. Land Resource

1,000 hectares of small-scale banana plantations

At least one thousand (1,000) banana growers or suppliers to sustain the


production and supply of at least eight (8) tons of fresh cardaba banana
per day.

3. Budget Allocation
Loan/Investment PhP38,500,000.00 representing cost of the processing house and
equipment.

Proponent Equity-PhP12,098,000.00
Equity-PhP12,098,000.00 representing cost of land and site development,
water facility, ingredients, acquisition of delivery van, office equipments, cost of
training and working capital.

Banana Farmers` Equity-PhP4,402,000.00


Equity-PhP4,402,000.00 representing share capital provided by the
banana farmers in the form of fresh cardaba bananas during the initial stage of
project operations.

158

Chapter 4
FINANCIAL PLAN

A. Staffing and Employees


Management

Position/Designation

Monthly
Salary (P)

Project Manager

No. of
Personnel

Annual Labor
Cost (P)

25,000

300,000

Monthly
Salary (P)

No. of
Personnel

Annual Labor
Cost (P)

Cashier

10,000

120,000

QC Inspector

15,000

180,000

Clerk/Bookkeeper

7,000

84,000

Driver/Deliveryman

9,000

108,000

Machine Operator

8,000

288,000

Combination Helper

5,000

120,000

Piece Rate

44

1,860,320*

Labor
Position/Designation

Contractors

Assumed that each contractual worker can render a total of 302 working days per
year with an average daily earning of P140.00.

159

Consultants
Monthly
Position/Designation
Consultant

Salary (P)

No. of
Personnel

Annual Labor
Cost (P)

10,000

120,000

Preferablythe consultant that will be hired is either a Registered Nutritionist or


Licensed Chemical Engineer that will beresponsible for the designing and monitoring
the processing systems.
This is necessary in order to ensure that the final product will substantially
conform to the nutritional analysis as prescribed by local authorities and international
accreditation bodies.
B. Start-up Budget
Amount

Purpose
Land acquisition and project site development broken
down as follows:

PhP1,000,000.00
Land acquisition
Site development
PhP300,000.00

PhP500,000.00
PhP500,000.00

Processing of permits and clearances. This includes


Business Permits and its relative requirements,
Environmental Clearance Certificate and others.

PhP500,000.00

Establishment of water system

PhP39,600,000.00

PhP5,144,000.00

Construction of the processing house


Acquisition of processing equipment
Purchase of cooking oil and other ingredients
Acquisition of delivery van, office equipment and
supplies
Cost of training
Promotion and advertisement
Other organizational and pre-operating expenses

PhP8,456,000.00
Purchase of fresh cardaba bananas pegged at

160

PhP6.00 to PhP7.00 per kilo, depending on the class


or quality, delivered at plant site.
C.Projected Income Statement
Particulars

Year 1

Year 2

Year 3

Year 10
58,708,800.0
0

CASH SALES/REVENUES (CSR)


Less: Cost of Goods Sold (MPC)
(All Manufacturing/
Production Costs)

58,708,800.00

58,708,800.00

58,708,800.00

10,056,000.00

10,056,000.00

10,056,000.00

Total Cost of Goods Sold (MPC)


GROSS PROFIT
(GF = CSR - MPC)

37,260,760.00

37,260,760.00

37,260,760.00

21,448,040.00

21,448,040.00

21,448,040.00

10,056,000.0
0
37,260,760.0
0
21,448,040.0
0

Total Administrative Expenses (Ad)


o All Marketing Costs

1,809,240.00

1,875,240.00

1,944,540.00

3,024,501.3
5

Total Marketing Expenses (Mk)


TOTAL OPERATING EXPENSES (OP
= Ad + Mk)
OPERATING INCOME
(OI = GF - OP)

1,223,100.00

1,223,100.00

1,223,100.00

3,032,340.00

3,098,340.00

3,167,640.00

18,415,700.00

18,349,700.00

18,280,400.00

1,226,500.26

1,226,500.26

1,226,500.26

17,189,199.74

17,123,199.74

17,053,899.74

Less: Income Taxes/VAT (Tx)

2,877,278.00

2,862,758.00

2,847,512.00

Depreciation
NET INCOME
(NI = IncBT - Tx)

4,304,400.00

4,304,400.00

4,304,400.00

10,007,521.74

9,956,041.74

9,901,987.74

4,003,008.70

3,982,416.70

3,960,795.10

6,004,513.05

5,973,625.05

5,941,192.65

OPERATING EXPENSES
o All Administrative Costs

Less: Interest & Bank Charges (IB)


INCOME BEFORE TAXES (IncBT = OI
- IB)

Less: Withdrawals/Dividends (Wd)


RETAINED EARNINGS
(RE = NI - Wd)

1,223,100.0
0
4,247,601.3
5
17,200,438.6
5
1,226,500.2
6
15,973,938.3
9
2,609,920.5
0
4,304,400.0
0
9,059,617.8
9
3,623,847.1
6
5,435,770.7
3

161

D.Projected Cash Flow


Cash Inflow/
Outflow Items

Pre-Imp

Year 1

Year 2

Year 3

Year 10

INFLOWS
Cash Sales/Revenues

58,708,800

58,708,800

58,708,800

58,708,800

Loan/Investment

38,500,000

FOBI

12,098,000

4,402,000

55,000,000

58,708,800

58,708,800

58,708,800

58,708,800

44,044,000

300,000

10,056,000

37,260,760

37,260,760

37,260,760

37,260,760

Operating/Administrative/Marketin
g

300,000

3,032,340

3,098,340

3,167,640

4,247,601

Contingencies/Miscellaneous

300,000

4,029,310

4,035,910

4,042,840

4,150,836

55,000,000

44,322,410

44,395,010

44,471,240

45,659,197

NET CASH INFLOW

14,386,390

14,313,790

14,237,560

13,049,603

Less: Loan Repayments

6,813,890

6,813,890

6,813,890

6,813,890

Less: Income (Corporate)


Taxes/VAT

2,877,278

2,862,758

2,847,512

2,609,921

4,695,222

4,637,142

4,576,158

3,625,792

Add: Cash Balance Beginning

4,695,222

9,332,363

18,420,646

CASH BALANCE ENDING

4,695,222

9,332,363

13,908,521

22,046,437

Farmers

Total Inflows
OUTFLOWS
Fixed Investments
Venture Initiation
Permits/Licenses/Clearances
Manufacturing/Production

Other Costs

Total Outflows

Sub-Total

E. FUNDING REQUIREMENTS

162

Investment Summary

Land

Unit of
Issue
hectare

Unit
Cost
500,000

Site development

hectare

Water system

Particulars

Usage

Amount

500,000

500,000

500,000

unit

500,000

500,000

Processing house

unit

10,000,000

10,000,000

Weighing scale

unit

25,000

50,000

Cooling system

unit

75,000

300,000

Overhead crane

unit

250,000

500,000

Cooking oil tank

unit

150,000

150,000

Input warehouse

unit

500,000

500,000

Water treatment facility

unit

2,000,000

2,000,000

Banana slicing machine

unit

250,000

750,000

Continuous frying machine

unit

10,000,000

20,000,000

Automatic seasoning machine

unit

250,000

500,000

Automatic pouch packing machine

unit

5,000,000

5,000,000

Water de-hydrator machine

unit

250,000

250,000

Oil extractor machine

unit

250,000

250,000

Delivery van

unit

1,000,000

2,000,000

850

200

170,000

Crates

piece

Office equipments

set

100,000

100,000

Tools

set

6,000

24,000

barrel

15,000

20

300,000

Supplies

rolls

5,000

104

520,000

Other ingredients

liter

300

500

150,000

month

25,000

150,000

tons

7,000

1,208

8,456,000

Labor

month

80,000

480,000

Training and development

session

15,000

20

300,000

Cooking oil

Utilities
Working capital

163

Fees/Licenses

document

100,000

300,000

month

50,000

300,000

Provision for Contingencies


Total

55,000,000

F. Financing Scheme
Particulars

LOAN/

FOBI

Farmers

Total

Investment
Land

500,000

500,000

Site development

500,000

500,000

Water system

500,000

500,000

8,950,000

1,050,000

10,000,000

Weighing scale

50,000

50,000

Cooling system

300,000

300,000

Overhead crane

500,000

500,000

Cooking oil tank

150,000

150,000

Input warehouse

500,000

500,000

2,000,000

2,000,000

750,000

750,000

20,000,000

20,000,000

500,000

500,000

5,000,000

5,000,000

Water de-hydrator machine

250,000

250,000

Oil extractor machine

250,000

250,000

Transport vehicle

2,000,000

2,000,000

Crates

170,000

170,000

Office equipments

100,000

100,000

Tools

24,000

24,000

Processing house

Water treatment facility


Banana slicing machine
Continuous frying machine
Automatic seasoning machine
Automatic pouch packing
machine

164

Cooking oil

300,000

300,000

Supplies

520,000

520,000

Other ingredients

150,000

150,000

Utilities

150,000

150,000

Working capital

4,228,000

4,228,000

8,456,000

Labor

480,000

480,000

Training and development

126,000

174,000

300,000

Fees/Licenses

300,000

300,000

Promotion and advertisement

300,000

300,000

38,500,000

12,098,000

4,402,000

55,000,000

70.00

22.00

8.00

100.00

Total
Percentage

165

ATTACHMENTS

Schedules
Schedule of Processing-Volume in MT
Year

Sorting/

Peeling

Slicing

First fry

Second fry

Washing

Recovery
pegged at
45% based
on procured

Recovery
pegged at
90% based
on peeled

Recovery
pegged at
50% based
on sliced

Assumed
that no
shrinkage
due to

166

fresh
bananas by
volume or
weight

bananas by
volume or
weight

bananas
by volume
or weight

added
ingredients

2,416

1,087

978

489

489

2,416

1,087

978

489

489

2,416

1,087

978

489

489

2,416

1,087

978

489

489

2,416

1,087

978

489

489

2,416

1,087

978

489

489

2,416

1,087

978

489

489

2,416

1,087

978

489

489

2,416

1,087

978

489

489

10

2,416

1,087

978

489

489

Total

24,160

10,872

9,785

4,892

4,892

Schedule of Production

50 grams
pack
30 percent
2,935,440

75 grams
pack
30 percent
1,956,960

100 grams
pack
20 percent
978,480

125 grams
pack
20 percent
782,784

2,935,440

1,956,960

978,480

782,784

2,935,440

1,956,960

978,480

782,784

2,935,440

1,956,960

978,480

782,784

2,935,440

1,956,960

978,480

782,784

Year

167

2,935,440

1,956,960

978,480

782,784

2,935,440

1,956,960

978,480

782,784

2,935,440

1,956,960

978,480

782,784

2,935,440

1,956,960

978,480

782,784

10

2,935,440

1,956,960

978,480

782,784

Total

29,354,400

19,569,600

9,784,800

7,827,840

Schedule of Sales - PhP


Year

50 grams
PhP6/pack

75 grams
PhP9/pack

100 grams
PhP12/pack

125 grams
PhP15/pack

Total

17,612,640

17,612,640

11,741,760

11,741,760

58,708,800

17,612,640

17,612,640

11,741,760

11,741,760

58,708,800

17,612,640

17,612,640

11,741,760

11,741,760

58,708,800

17,612,640

17,612,640

11,741,760

11,741,760

58,708,800

17,612,640

17,612,640

11,741,760

11,741,760

58,708,800

17,612,640

17,612,640

11,741,760

11,741,760

58,708,800

17,612,640

17,612,640

11,741,760

11,741,760

58,708,800

17,612,640

17,612,640

11,741,760

11,741,760

58,708,800

17,612,640

17,612,640

11,741,760

11,741,760

58,708,800

10

17,612,640

17,612,640

11,741,760

11,741,760

58,708,800

Total

176,126,400

176,126,400

117,417,600

117,417,600

587,088,000

Schedule of Depreciation

168

Acquisition
Cost
500,000

No. of
Units
1

500,000

Estimated
Life - years
10

Annual
Depreciation
50,000

10,000,000

10,000,000

10

1,000,000

Weighing scale

25,000

50,000

10

5,000

Cooling system

75,000

300,000

10

30,000

Overhead crane

250,000

500,000

10

50,000

Cooking oil tank

150,000

150,000

10

15,000

Input warehouse

500,000

500,000

10

50,000

2,000,000

2,000,000

10

200,000

250,000

750,000

10

75,000

10,000,000

20,000,000

10

2,000,000

250,000

500,000

10

50,000

5,000,000

5,000,000

10

500,000

Water de-hydrator
machine

250,000

250,000

10

25,000

Oil extractor machine

250,000

250,000

10

25,000

1,000,000

2,000,000

10

200,000

850

200

170,000

10

17,000

100,000

100,000

10

10,000

6,000

24,000

10

2,400

Description
Water system
Processing house

Water treatment facility


Banana slicing machine
Continuous frying
machine
Automatic seasoning
machine
Automatic pouch packing
machine

Delivery van
Crates
Office equipments
Tools
Total

30,606,850

Amount

43,044,000

4,304,400

Schedule of Loan Amortization


Principal

PhP38,500,000.00

Interest

12 percent per annum

Maturity

10 years

169

Amortization

PhP6,813,890.00 per year

Period

Principal

Interest

Amt Due

Balance

2,193,890

4,620,000

6,813,890

36,306,110

2,457,157

4,356,733

6,813,890

33,848,953

2,752,016

4,061,874

6,813,890

31,096,937

3,082,258

3,731,632

6,813,890

28,014,679

3,452,129

3,361,761

6,813,890

24,562,550

3,866,384

2,947,506

6,813,890

20,696,165

4,330,350

2,483,540

6,813,890

16,365,815

4,849,993

1,963,898

6,813,890

11,515,822

5,431,992

1,381,899

6,813,890

6,083,831

10

6,083,831

730,060

6,813,890

Total

38,500,000

29,638,903

68,138,903

Labor employed and taxes paid


Year

Regular
Employee

Contractors/
Farmers

Annual
Payroll

Withholding
Tax

Business
Tax

10

644

3,322,260

332,226

2,877,278

10

744

3,322,260

332,226

2,862,758

10

844

3,322,260

332,226

2,847,512

10

944

3,322,260

332,226

2,831,504

10

1,044

3,322,260

332,226

2,814,695

10

1,044

3,322,260

332,226

2,781,001

10

1,044

3,322,260

332,226

2,744,018

10

1,044

3,322,260

332,226

2,703,421

170

10

1,044

3,322,260

332,226

2,658,853

10

10

1,044

3,322,260

332,226

2,609,921

33,222,600

3,322,260

27,730,961

Total

171

ANNEX K
POLICY DEVELOPMENT PROCESS MATRIX9

ACTIVITIES

OBJECTIVE

STEPS

PERSONS/BODY
RESPONSIBLE

1. Motuproprio or
collaborative
review of policy
issues related to
the components
or agencys
convergence
programs or
activities

-To Identify policy


issues that need to
be resolved or which
must be addressed
by a new or
amended policy
instrument or
Resolution under the
NCI
-To collect pertinent
data and information
as inputs to policy
development/
formulation

-Armchair review of
issues using empirical
inputs from the field or
discussions of the NCI
component/agency

-NCI Proponent
Component/WG
-NCI Proponent
Agency/OGA

2.1 Formulation or
amendment of the
proposed policy
instrument

-Prepare working
draft of policy
instrument

-Drafting/formulation
of policy instrument
-Draft explanatory
notes on the policy
instrument

INSTRUMENT/
FORMS
NEEDED
Data inputs

TIME FRAME
2 weeks
depending
on the
scope of
policy to be
covered

-Field visits to conduct


FGDs with key
informants to obtain
additional information
or clarify the policy
issues or bottlenecks

-NCI Proponent
Component
/WG
-NCI Proponent
Agency /OGA

-Draft NCI
Joint
Administrativ
e Order (AO)
or

4 to 6 weeks

Source: Prepared by the Policy and Advocacy Working Group

172

2.2 Crafting of
Policy Issue Fact
Sheet detailing the
policy issue and
other attendant
facts

3.Endorsement of
draft policy
instrument or
policy issue fact
sheet to Policy and
Advocacy
Component/Workin
g Group (PAG)

Memorandum
Circular (MC)
-Prepare Policy Issue
Fact Sheet for
resolution

-For information and


initial review of draft
instrument /policy
issue fact sheet by
the NCI-NFP
-Official recording of
submission of draft
policy instrument or
policy fact sheet and
endorsement/
transmittal of the

-Research/data
gathering on the policy
issue
-Drafting of policy
issue fact sheet which
should include
recommendations
-Prepare CSW
memorandum to NCI
National Focal Person
(NCI-NFP) and
submit policy
instrument or policy
issue fact sheet to NCINFP together with a
list of OGAs/NCI
agency officials and
other individuals or
institutions/
stakeholders who may
serve as resource
persons in the
deliberations,
concomitant forms if
any, process flow chart
- As stated

-NCI Proponent
Component
/WG
-NCI Proponent
Agency/OGA

NCI National
Focal Person
(NCI-NFP)

-As stated
NCI Secretariat

4 to 6 weeks

-Fact Sheet of
Policy Issue
for Resolution

-Within 3
days from
receipt of
draft policy
instrument
or policy
issue fact
sheet from
proponent
NCI
component/
173

4.Conduct initial
discussions,
refinement of the
draft instrument or
the preparation of
recommendations
on the resolution
of a policy issue

same to the Policy


and Advocacy
Working Group (PAG)
Chair for processing
under the NCI
institutionalized
Policy Development
process
To assist the NCI
proponent
component/WG/agen
cy in ensuring the
correctness of facts
supporting the draft
policy instrument or
policy issue fact
sheet and
recommendations
prior to submission of
the same to the NCIPolicy Development
Committee (NCI-PDC)

WG or NCI
agency

-Upon receipt of a
proposed policy
instrument or policy
issue Fact Sheet from
the NCI-NFP, the PAG
shall coordinate with
the Proponent for
initial discussions,
refinement of the draft
instrument or the
preparation of
recommendationson
the resolution of a
policy issue
-Revision of draft
policy instrument or
policy issue fact sheet
or further research if
necessary

PAG and
Proponent

-PAG CSW
memorandum
to the NCIPDC
endorsing the
draft policy
instrument or
policy issue
fact sheet
and
recommenddations for
consideration

Within 3
weeks from
receipt of
transmittal
from the
NCI-NFP

-Proponent
-Revised draft
policy
instrument or
policy issue
fact sheet

-Review of the
Proponents revised
draft by the PAG

-PAG

-Revised
draft to be
re-submitted
by the
proponent to
the PAG
within 2 to
4 weeks
depending
on the
extent of
revision or
further
174

5.Deliberation and
consideration of
the draft NCI policy
instrument or
policy issue fact
sheet by the NCI
Policy
Development
Committee (NCI
PDC)

To consider and pass


upon the attendant
details of the draft
policy instrument or
policy issue for
resolution based on
the fact sheet and
the
recommendations of
the proponent and
the PAG, and to
provide inputs,
recommendations,
and suggestions for
the refinement of the
draft issuance,
further
research/study of
related issues, or the
conduct of
consultative fora with
stakeholders/OGAs
when deemed
necessary

-Calendarthe draft
policy instrument or
policy issue for
deliberation and
consideration by the
NCI Policy
Development
Committee (NCI PDC)
-Coordinate the
technical and
administrative
requirements for the
NCI-PDC meetings
such as ensuring the
correctness of the
subject document
based on initial
consideration of the
same with the
Proponent ,
preparation of briefers,
provision of
documentation and
reproduction
requirements and
provision of cost
sharing arrangements

-PAG

-PAG

research to
be
undertaken
-Within 1
week from
resubmission
of revised
policy
instrument/f
act sheet
Immediately
after
submission
of CSW to
the NCI-PDC
Within 7
days from
the
submission
of the CSW
to the NCIPDC

-NCI-PDC

-Proponent and

-Within 10
days from
transmittal
of CSW by
175

for the meeting/s

PAG

-Conduct by the NCIPDC of deliberations

the PAG
-During the
NCI-PDF
meeting

-NCI-PDC

6.Conduct of
consultative fora

To obtain comments,
recommendations
and perspectives of
stakeholders, the
NCI Regional
(RCI)/Provincial
(PCI)/Municipal (MCI)
Technical Working
Groups, concerned
institutions, and
expertson proposed
policies or
amendments to
policy with the end
view of ensuring an

-Sponsorship and
defense of draft policy
instrument or policy
issue fact sheet/
recommendations
before the NCI-PDC
during deliberations
-If deemed necessary,
the NCI-PDC shall call
for the conduct of
consultative
fora with stakeholders/
institutions/fieldmen/
OGAs
-Calendar and
coordinate the conduct
of the consultative fora
-Conduct of
consultative fora
-Revision of policy
instruments or
preparation of
recommendation on
policy issues for
resolution
-Further meetings on
the revised policy
instruments or
recommendations to
policy issues subject of

During the
NCI-PDF
meeting
-PAG in
coordination
with the
Proponent

Within two
weeks from
the NCI-PDF
meeting

-NCIPDC/PAG/Propo
nent
-Proponent/PAG

-NCI-PDC

176

7. Endorsement of
policy instruments
and Resolutions to
policy issues for
consideration by
the NCI National
Steering
Committee (NCINSC)

8.Consideration
and passage by
the NCI-National
Steering
Committee (NCINSC) of policy
instruments or
Policy Resolutions

eclectic approach to
resolving contentious
or critical policy
issues
Passage of policy
instruments or
Resolutions
necessary to the
operationalization
and implementation
of programs under
the National
Convergence
Initiative

Passage of
Administrative
Orders/Memorandum
Circulars/Policy
Resolutions required
in the
operationalizaton
and implementation
of programs and
projects under the
National
Convergence

resolution

-Upon its approval of a


policy instrument or
Draft Resolution on a
policy issue, the NCIPolicy Development
Committee (NCI-PDC),
headed by the NCI
National Focal Person
(NCI-NFP), shall
endorse the same for
consideration by the
NCI National Steering
Committee through a
CSW memorandum.
-the PAG Chair shall
calendar and cause
the NCI-NSC to
convene for
deliberation of the
subject policy
instrument or draft
Resolution.
-Conduct of
deliberations to be
sponsored primarily by
the members of the
NCI-PDC and the
Proponent, with
technical support of
the PAG
-Finalization of policy
instrument /resolution
based on NCI NSC

-NSC-NFP

Two to three
days from
passage by
the NCI-PDC

-PAG Chair

One week
from
endorsemen
t of the
policy
instrument/r
esolution by
the NCI-PDC

-NCI National
Steering
Committee

-NCI
PDC/Proponent/
PAG

Ten days
from NCINSC
approval

-PAG/Proponent
177

Initiative

inputs, agreements,
suggested revisions
-If approved, signing
by the three NCI
Secretaries
(DA,DAR,DENR)

NCI-NFP/NCI
Secretariat

Three days
from
submission
by PAG and
Proponent
of finalized
policy
instrument/r
esolution

178

ANNEX L
PROCESS FLOW FOR CAPABILITY DEVELOMENT COMPONENT
Phase 1: Strengthen partnership and/or establish new networks with relevant stakeholders in CI sites
ACTIVITY

Conduct consultation
meetings to establish
partnership and refine
the process of
capability development
activities in CI sites
a. RCI TWG
b. PCI TWG
c. MCI TWG

IMPLEMENTATION
STEPS
Prepare communications
(set date, venue, agenda,
participants)

TIMEFRAME
3rdQtr2011onwards
(continuing)

RESOURCES
NEEDED
Food, supplies
and other
incidentals

Conduct coordination
meetings

Identify activities that will


necessitate capabilitybuilding interventions

Determine presence
and/or extent of
capdev assistance
extended

RESPONSIBLE
PERSON

OUTPUT

Coordination
meetings established/
commenced
Draft list of areas of
cooperation on
capacity development
identified/ prepared

August, 2011
onwards
(continuing)

supplies and
other incidentals

Coordination with
LGUs and other
stakeholders
commenced by RCI
Focal Persons
Focal persons/HR
coordinator from
LGUs identified and
roles defined

179

Phase 2:Conduct training needs /capability building needs of stakeholders and partners
ACTIVITY

IMPLEMENTATION STEPS

TIME-FRAME

RESOURCES
NEEDED

RESPONSIBLE
PERSON

OUTPUT

TNA
Conduct rapid appraisal of
training needs/felt needs of
partners and stakeholders
in CI sites

Conduct of FGDs and/or


administer survey forms

July, 2011
onwards

Document result of FGDs


and/or survey, collate and
summarize information;
review related literature

Transpo and other


incidentals for
staff

Rapid appraisal of
training needs
conducted

Food and
accommodation
Per diems

Package rapid appraisal/TNA


result, collate and summarize
info.
1. Prepare list of
training programs
based from the
rapid
appraisal/TNA
result of
stakeholders
2. Coordinate
arrangements with
RCI/PCI/MCI focal
persons
regardingidentified
/ proposed training
programs
TRAINING DESIGN
Prepare course

August, 2011
onwards

Conduct consultation on the


result of the rapid appraisal
for inputs and suggestions

Write rationale and

-do-

Proposed list of
training programs
prepared

Food, transpo
Supplies and
other incidentals

September,

Agreed upon /
final course design for
training program to be
implemented

Course design /
180

design/training proposal

objectives, determine
contents/ and or curriculum,
target participants

2011 onwards

training proposal
prepared

Research on appropriate
methods, SLEs, and RPs to
be tapped
PRE-IMPLEMENTATION
Finalization of training
program
Finalization of all
administrative arrangements
(budget, venue, participants,
presentations of RPs, etc.)
Preparation of necessary
communications (resource
persons, admin
arrangements, etc.)
Preparation of handouts,
forms, etc.

September,
2011 onwards

Supplies and
other incidentals

Final program
prepared
Administrative
arrangements finalized

Needed
communications and
invitation letters
farmed-out
Training forms
prepared
(participants profile,
resource persons
profile, evaluation
forms

181

ACTUAL TRAINING IMPLEMENTATION


Implementation of training
Actual conduct of training
programs and other
capability building activities
Documentation of
proceedings; issues and
concerns
TRAINING EVALUATION
Administer and score
Document feedback and
recommendations
training evaluation forms

October, 2011
onwards

(refer to list of
budgetary
requirements)

Training program
conducted

Supplies and
other incidentals

Training report prepared/


submitted

Summarize information
gathered
Preparation of training report
Closure of financial
transactions and other
administrative concerns

182

MAJOR ACTIVITIES OF DA-DAR-DENR NATIONAL CONVERGENCE INITIATIVE


TECHNICAL WORKING GROUP ON CAPACITY DEVELOPMENT

MAJOR ACTIVITIES

MILESTONES/INDICAT
ORS

RESPONSIBLE
BODY

COOPERATING
BODIES

2011
1st
Qtr.

Convergence Capacity
Development Framework

Documentation of best
innovative practices
available

Competency Resource
Profile of each agency

List or Inventory of
Expertise for RPs

-do-

Curriculum development/
training cycle
(TNA, module
development. etc.)

Toolkits, manuals

-do-

Conduct of training,
coaching, advisory
services, convergence
interventions at the local
level
Partnership development
at national, regional, local
level
(partnership mapping,
stakeholder analysis with
local partners)

Note:
Customized learning
packages
E-learning and Distance
Learning Courses

Documentation of
partnership experiences

NCI Secretariat

DA ATI
DAR BARIE

2ndQtr

3rdQt
r

4thQtr

DENR-FMB
HRD-DA
BARIE/BARBD

DENR-HRDS

-do-

183

ANNEX M
INDICATIVE LIST OF PROPOSED TRAINING PROGRAMS
TITLE
1. Business Proposal Writing

OBJECTIVE

TARGET PAX

DURATION

How to access financing


objective is or are

2.
3.
4.
5.
6.

Market Demand Identification


Financial Management
Financial and Economic Analysis for LGUs
Training on Upland Agroforestry
Orientation on Sustainable Upland
Development
7. Integrated Ecosystem Management (IEM)
The Ridge to Reef Approach
8. Climate Change
9. Integrated Ecosystem Management
10. Training on Eco-Tourism for Protected Area
Superintendents (PASUs) and Protected
Area (PA) Staff
11. Strengthening Organic Farming
12. Commodity Marketing/Trading
13. Community Organizing and Networking
14. Resource Mobilization and Enterprise
Development
15. Re-orientation on the Local Government
RA 7160 requires all LGUs to use
Code for LGUs and POs (RA 7160)
all their powersenhance the
right of the people to a balanced
ecology
16. Training on Tenure Instrument Issued by
DENR, DAR and NCIP in CI sites

LGUs shall share


To determine whether the farmers
or were adequately informed
of available land tenure
options/instruments
**Inventory of issues raised on
184

land tenure options/instruments


***List of tenurial cases existing
in CI sites
***Planned activities to address
the tenurial problems
17. Orientation on the Devolved ENR
Functions
18. Orientation on Public-Private Partnerships
and its Application on NCI Sites

19. Training on Environmental Users Fee for


LGUs

PPP as joint venture and comanagement scheme


Promote or enhance investment
atmosphere
Translate into monetary value the
likely effects or environmental
stresses due to the presence of
economic activities in CI sites
For LGUs to have financial
source to protect the environment
brought about by the possible
reactions of the environment to
economic undertakings in the
form of agri-business activities.
These undertakings could range
from resource extraction, product
or materials processing, etc.
Ascertain the role of the LGU as
a key actor in environmental
protection

185

ANNEX N
TRAINING CYCLE
The cycle has four distinct stages: training needs analysis, training design, training implementation,
and training evaluation. These stages have to be viewed in their entirety, not as a series of isolated
activities. The outcome of one stage provides the inputs for the next stage, and the absence of any
stage would undermine the validity of the whole process.

The cycle starts with a needs analysis and returns back to another needs analysis in its attempt to
respond to the dynamic demands of the organization as shown in below.

The Training Cycle

Training needs analysis Training needs analysis (TNA) is conducted to determine


competency gaps of the employees/staff of the departments/divisions/units in the
organization. The identified competency gap/s will be the basis of the formulation of training
and non-training recommendations. This phase aims to identify what training is needed, and
ensure that the training is based on reliable and identified training requirements. The process
involves job and task analysis, performance review, position holder analysis,gap analysis and
formulation of recommendations.
186

Training design. This includes the following activities: formulation of training title, objectives,
designing the training module, development of training materials and session guides and
arrangement for training delivery.
For a TNA-based course design to be meaningful, learning activities should be given more
emphasis that will ultimately lead the participants into mastering the concepts and skills
defined in the course learning outcomes. Such learning activities should also prepare the
participants for subsequent assessments. The learning activities should be interactive and
provide the participants with opportunities to deepen their understanding; explicitly teach
participants on how each learning activity relates to a specific learning outcome to help them
recognize the rationale for the activity consistent with the course design.

Training Implementation This involves the effective delivery of the formulated training plan.
This is the stage when the trainer should be able to manage the dynamics of the group, and
see to it that training content is communicated to and shared clearly with the participants. In
this stage, all arrangements and preparations prior to the conduct of the training,
requirements during the training, and after the completion of the training are attended to.
The best interventions mirror the learning activities that the participants have participated in
throughout the training course. It should offer participants the opportunity to demonstrate,
and further develop their knowledge and skills. Informative assessments should present
valuable feedback to improve, and align each component of the course designs.

Training Evaluation. Evaluation is the systematic way of determining the strengths,


weaknesses and effects of the training. It involves the analysis of the value of the training in
terms of narrowing the competency gaps, and instilling among the participants the desired
knowledge and skills and changes or re-orientation in attitudes. In addition, during the actual
training, the trainer monitors the progress and response of participants to the daily training
activities to evaluate the effectiveness of the design and delivery as the training unfolds,
making adjustments or changes during the session as needed.
Training results lead to course design improvement when HR practitioners continually
evaluate the course learning outcomes, learning activities, and assessments in order to make
the necessary changes that will further improve these.

187

Annex N1:
DEVELOPING A TRAINING PROGRAM
Phase I: Conceptualization
-

Answering why, what and whom do we train


Determining the rationale and objectives of the program, content and participants

Phase II: Operationalization


-

Preparing the training design. A training design is the detailed outline of the program
objectives, training curriculum, evaluation scheme and other administrative concerns in
implementing a training program. This include (a) selection and/or recruitment of participants;
(b) curriculum development stating the objectives, methodologies and content; and (c) setting
up the mechanics for organizing the training

With the curriculum as point of reference, determine the following:


o
o
o
o

o
o

Duration how long will the training be, time devoted for each topic, workshop, etc.
Venue where the training sessions be held, accessibility to participants, availability
of seminar facilities (whiteboard, chairs, tables, workshop areas, sound system,
ventilation, lighting, etc.
Funding or the financial arrangements
Administrative arrangements who will act as the secretariat, in-charge of board and
lodging if live-in, transportation, coordination with agencies regarding field visits, if
any, communications and other related correspondences, supplies and materials,
training forms, handouts, etc.
Documentation and evaluation scheme how it will be carried out
Resource speakers

Phase III: Implementation


-

This involves the actual conduct of the training including its pre and post training activities

a. Pre-training
1) Finalization of training program, venue, invitation of participants and resource
speakers, board and lodging, transpo, etc.
2) Preparation of needed handouts, forms, etc.
b. Actual implementation
1) Training facilitator to ensure that curriculum is adapted to the training situation
2) Managing and controlling the use of time, facilities, resources
3) Ensuring training objectives are met

188

4) Cliniquing sessions or informal evaluations may be conducted from to time after the
training sessions
5) Documentation of proceedings
c. Post-Training Activities
1) Preparation/finalization of training documentation
2) Closure of financial transactions and other administrative concerns
Phase IV: Program Evaluation
1) Preparation/submission of training evaluation report.
2) Documentation of feedback and recommendations

189

Annex N.2:

TYPE
WORKSHOP

LECTUREDISCUSSION

LECTURESYNTHESIS

CASE STUDIES

SIMULATION

GROUP DYNAMICS

DIFFERENT TRAINING METHODS


DESCRIPTION
ADVANTAGES
The group is divided Participants are
into several subgiven the opportunity
groups to accomplish to contribute their
a certain task.
ideas.
A moderator and
secretary are chosen Provides a way of
per sub-group from
teaching them how
among the
to handle group
participants to
discussions
systematize
discussions
Discussion between
Trainees participate
the participants and
in the discussion
resource person is
interspersed in the
Boredom can be
lecture session.
minimized
Usually done through
leading questions
Discussion is based
The trainees
on the results of a
experiences are
preceeding
incorporated into the
workshop.
lecture to make it
At the same time,
more relevant to
previously presented their perceived
ideas are
needs and individual
summarized, the
perspectives.
session is used to
relate theories and
topics to one
another.
Actual/hypothetical
Group members
conditions are
develop problempresented in written
solving ability
or oral form. This
then become the
Gives opportunity to
springboard for
test own ideas in a
further study.
simulated situation
Based on a case
It strengthens
study, participants
understanding and
are asked to assume assimilation of ideas.
certain roles and act The situation is
them out.
discussed and acted
out at the same time
Structured exercises Participants become

DISADVANTAGES
Time consuming if
moderator cannot
effectively handle the
group

May also be timeconsuming


Varied ideas may be
brought up which are
irrelevant to the main
topic
Workshop results are
not always suited to
the objectives and
expected content of
the session.

Requires intensive
preparation prior to
training
Suitable case
materials are not
always available
Close supervision
and careful study are
required. Simulation
exercises have to be
developed to suit
target groups.
The exercises have

190

meant to evoke
certain group
processes are
interspersed in the
discussions to stress
some points .
These are also used
for team-building
sessions
PANEL
Speakers from
DISCUSSION
different
sectors/groups are
asked to give their
opinion on certain
topics which the
trainees can react
afterwards
INDIVIDUAL/GROUP The trainees are
PROJECTS
asked to make
certain projects
related to particular
skills either as
individuals or as a
group (e.g. project
proposals, collage,
etc.)
FIELD VISITS
The trainees are
divided into groups
and fielded to
different areas to
observe according to
certain guidelines
AUDIO-VISUAL
Slides, films, posters
TEACHING
or other forms of
creative literature
relevant to the
content are
presented
PLENARY
Conclusions,
SESSIONS
recommendations
and questions are
generated regarding
ideas presented
within a specified
period of time. (i.e.
modules
DEMONSTRATION
Actual presentation
of a technique by the
resource person or
the participants.

more involved in the


learning situation
since it calls for
analyzing their own
experiences and
relating these to
certain concepts

to be suited to the
course objectives
and the trainees
characteristics. It
should also be
pertinent to a
particular situation

Varied views on
certain topics are
discussed to as to
give the participants
a wider perspective
on the subject
matter.

Speakers have to be
properly briefed on
the objective and
expected content of
their session.

It allows the trainees


to practice certain
skills being taught
them and to use their
creativity

It requires adequate
and clear guidelines
and supervision by
the staff

The trainees are


able to relate
concepts/skills
discussed during the
training to real life
conditions
It provides variety to
the discussion
Ideas are presented
in less time and in a
more interesting
manner
Ideas are
summarized.
It provides continuity
to the training in
terms of connecting
one topic/part to
another.

Field arrangements
have to be wellcoordinated. The
observation
guidelines should be
clear to the trainees
The materials have
to be selected in
advanced.

Experiential; the
participants actually
sees the method

Requires more time


and materials

Adequate time
should be provided.
Repetitions should
be avoided unless
called for.

191

Annex N. 3
CHECKLIST IN IMPLEMENTING TRAINING PROGRAMS / ACTIVITIES
Title of Training:
_________________________________________________________________________
Date of Implementation: ______________________________________________________
I. PRE-IMPLEMENTATION
ACTIVITY

REMARKS

Meeting with organizing office to discuss the training program


(title, objectives, topics, participants, funding, etc.)
(identify criteria in the selection of participants)
Package training proposal for approval
Identify speakers to be invited. Invite/send out letters.
Get conforme
Invite participants. Send needed communications
Conduct dry-run for the venue. Determine the number of
hours of travel, check training facilities, training hall,
ventilation, sleeping quarters, etc.
Prepare facilitators control copies of communications
Prepare list of supplies needed. Purchase supplies
Prepare travel documents of resource persons, training staff,
and others
Prepare training kits, manuals, handouts, IDs, name plates,
flash signs, mood barometer, freedom wall, training forms,
opening/closing program, etc.

192

Invite guests/officials for the opening/closing program.


Get their confirmation.
Prepare room assignments of RPs, participants, training staff
Check/coordinate Welcome streamers and / or tarpaulins of
the training activity
Prepare Certificates of Completion/Attendance/Appreciation
II. IMPLEMENTATION
ACTIVITY

REMARKS

Advance party/training staff to check training hall, sound


system, computer, LCD, equipment operator, etc. a day
before start of training activity
Supervise registration/billeting of participants, training staff,
resource persons
Supervise signing of attendance sheets
Do Opening Program and Training Overview. Discuss
administrative arrangements, forms to be accomplished,
house rules, host teams, etc.
Document proceedings (issues raised, how it was resolved)
Administer Program Evaluation Questionnaire
(Resource Person and Training Evaluation Forms)
Do Closing Program . Distribute Certificates of
Participation/Attendance
III. POST-IMPLEMENTATION
ACTIVITY

REMARKS

Tabulate/analyze results of evaluation form


Conduct post assessment meeting with the training staff

193

Prepare training report


Annex N. 4
CHECKLIST OF TRAINING FORMS / SUPPLIES / MATERIALS
No.

Particulars

Status

FORMS
Participants Profile
Resource Persons Profile
Post Course Evaluation
Resource Persons Evaluation
Attendance Sheets
Directory (hard and electronic copy)
Cue cards / Time Mgt. Cards
Mood Barometer
Expectations Check cards
House Rules
SUPPLIES
Expanding Envelopes / Training Kits
Bond Paper A4
Staples ( heavy duty stapler - for manuals)
Xerox powder (for repro. of handouts)
White board marker (12) black, blue, red
Pentel pens ( 1 box)
Board eraser
Ballpens
Manila paper
Cartolina (assorted) / meta cards
ID holder
Masking Tape (wide)
Tape Dispenser
Stapler and staple wire
Staple remover
Scissors
Cutter
Pencils
Computer ink (B & W, colored)
Board Paper (Certificates)
Sharpener
Paper clips
Yellow pads
CDs recordable (e-copy of
presentations/handouts)

194

Batteries AA
OTHERS
First Aid Kit
EQUIPMENT
Notebook/Laptop
Computer Cables
Printer(if needed)
Printer cables(if needed)
Computer ink
LCD
Flash disk
Extension wires
Digicam. and charger
Video Camera and charger
Laser pointer

195

Annex N.5
SAMPLE BUDGET ESTIMATE

TITLE:

______________________________________________________

DURATION:

______________________________________________________

VENUE:

______________________________________________________

NO. OF PAX:

______________________________________________________

NO. OF RESOURCE ______________________________________________________


PERSONS:
NO. OF TRAINING

______________________________________________________

STAFF:

I.

TRAVELLING EXPENSES
Pax

Way

Pax

Trip = __________

RP

Way

RP

Trip = __________

Staff

Way

Staff

Trip = __________

Sub Total

II.

= __________

ACCOMODATION (Board and Lodging)


Pax

/Day/Person

x Days
Staff

/Day/Person

= ________________
x

x Days
RP

/Day/Person

Pax

Persons
= ________________

Persons

196

x Days

= ________________

Sub Total
III.

= ________________

PER DIEM
Pax

/Day/Person

Persons

x Days
Staff

= __________

/Day/Person

Persons

x Days
RP

= ___________

/Day/Person

Persons

x days

= ___________
Sub Total =

IV.

____________

HONORARIUM
RP

/ Hour

Hour
= _________________

Sub Total
V.

SUPPLIES and MATERIALS

Training kits (ballpens, bond papers, cartolina,


IDs, whiteboard markers, pentelpensetc.)
:

/Day/Person

Pax

x Days

VI.

= _________________

= __________________
Sub Total

= __________________

Sub Total

= __________________

MISCELLANEOUS

197

TOTAL:

__________________________________________________

198

Annex N.6
TRAINING FORMS

PARTICIPANTS PROFILE
Last Name

Date of Birth

First Name

Place of Birth

Present Position

Sex

M.I.

Nickname

Age

Civil Status

Designation

Place of Assignment

Total No. of Years in Govt. Service

Office Tel. No.

Telefax:

Mobile No.

Bachelors Degree

Name of School

Year Graduated

Masters

Name of School

Year Graduated

Diploma course, others, etc.

Name of School

Year Graduated

Doctorate

Name of School

Year Graduated

Educational Attainment

Duties and
Responsibilities

1.
2.
3.

Related Training
Programs Attended for the
last three (3) years

1.

199

2.
3.

Signature: ______________________________

Date: _________________________

200

RESOURCE PERSONS PROFILE


Last Name
Date of Birth

First Name
Place of Birth

Present Position

Sex

M.I.

Nickname

Age

Civil Status

Designation

Place of Assignment

Total No. of Years in Govt. Service

Office Tel. No.

Telefax:

Mobile No.

Educational Attainment
Bachelors Degree

Name of School

Year Graduated

Masters

Name of School

Year Graduated

Doctorate

Name of School

Year Graduated

Others (Diploma course, etc.)

Name of School

Year Graduated

Areas of Specialization

No. of Yrs. Subject Has


Been Handled

1.
2.
3.
4.
5.
Other related information
1.
2.

Signature: ______________________________

Date: _________________________

201

RESOURCE PERSONS EVALUATION

RESOURCE PERSON: ________________________________ DATE:


________________________
TOPIC:_______________________________________________TIME:
________________________

A. Please check on the space which


appropriately describes the speaker

EXCELLENT

VERY
SATISFACTORY

SATISFACTORY

CAN BE
IMPROVED

POOR

1. Mastery of the subject matter


2. Method of Presentation
a. Presented in a logical
sequence
b. Use of illustration, visual aids
3. Poise and personality (voice,
diction, articulation, ability to hold
the participants interest)
4. Ability to elicit group involvement
(encourage questions, comments
and suggestions)
5. Effective use of time (spaced
his/her time effectively by giving
more time and emphasis on more
important topics)

B. Comment on the relevance and value of the subject matter to your position.
1. [ ] Very relevant and valuable
2. [ ] Slightly relevant and valuable
3. [ ] Less relevant and valuable
The subject matter would have been more relevant and valuable to me if:
________________________________________________________________________________
________________________________________________________________________________
______

202

C. In general, what are the weaknesses in the presentation/discussion of the subject matter?
________________________________________________________________________________
___
D. Comments/recommendations. How would you like the topic to be discussed/presented in the
future?
________________________________________________________________________________
________________________________________________________________________________
______
___________________________________
NAME OFPARTICIPANT
(optional)

203

POST COURSE EVALUATION QUESTIONNAIRE


To the Participants:
We would like to seek you opinion about the courses sessions/activities. The data that you
will provide will serve as basis in the continuous improvement of this training as well as determine
the possible application of knowledge/skills acquired.
Please be candid and open in accomplishing this form. Thank you.

1.

How would you rate the quality of this training in terms of:
Excellent

a. Content and Organization


____________

Above Ave.

Average

Below Ave.

Poor

____________ ____________ _____________

b.

Process (Methodologies,
____________ ____________ _____________
____________
Procedures)
c. Duration and Schedule
____________ ____________ _____________
____________
of the Course
Comments:
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_________
2.

Topics/Activities you like best:


_____________________________________________________________________________
_____________________________________________________________________________
______

3.

Topics/Activities you like least:


_____________________________________________________________________________
_____________________________________________________________________________
______
Comments:

204

How useful were the following methodologies/aids in providing knowledge skills?


Learning Methodology/Aid

Usefulness
Very
Useful

a. Lecture

Useful
UsefulUseful

Somewhat

Not

Applicable

___________ ___________ _________ __________

b. Class discussion/participation

___________ ___________ _________ __________

c. Structured Learning Exercise ___________ ___________ __________________

4.

d. Case Analysis

___________ ___________ ________ __________

e. Practicum

___________ ___________ ________ __________

f. Workshop

___________ ___________ ________ __________

g. Visual Aids

___________ ___________ ________ __________

h. Hand Outs

___________ ___________ ________ __________

i. Others (pls. specify)

___________ ___________ ________ __________

How did you find the time allocated for each topic?
Sufficient ___________
______________

5.

Too Much ___________

Insufficient

How would you rate the training environment in terms of:


Rating
Very Good

Good

Poor

a. Seating arrangement

___________ ___________ ___________

b. Lighting

___________ ___________ ___________

c. Sound System

___________ ___________ ___________

d. Ventilation/air-conditioning

___________ ___________ ___________

e. Food

___________ ___________ ___________

205

Needs Improvement? Please specify:


_____________________________________________________________________________
_____________________________________________________________________________
______
6.

How would you rate the training staff in managing the training?
Excellent ______
Poor

7.

Very Satisfactory ______

Satisfactory ________

Fair ______

Comments:
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_________

Name: _______________________________

Date:

206

Annex N. 7

TRAINING DESIGN FORMAT

1. Rationale
2. Objectives
a. General
b. Specific
3. Participants
4. Course Outline / Topics
5. Methodology
6. Participants
7. Resource Persons
8. Date and Venue
9. Budgetary Requirements

207

ANNEX N. 8

TRAINING REPORT FORMAT

1. Executive Summary
2. Introduction (cite rationale and objectives)
3. Participants
4. Highlights
a. Opening Program
b. Training Proper
c. Presentations
d. Field Visit / Practicum, if any
e. Closing Program
5. Issues Raised / How it was resolved / Clarifications
6. Result of Evaluation
7. Findings
8. Recommendations
9. Conclusion
10.

Photo Documentation

208

ANNEX O
KNOWLEDGE MANAGEMENT COMPONENT MATRIX
Knowledge Management Component

Function: To ensure the NCI programs, projects and initiatives are implemented and monitored in an efficient and effective manner. It will likewise
ensure that innovations are documented, shared and disseminated for possible adoption, expansion and scaling-up.

Step by Step Process


Matrix

ACTIVITIES
Manage NCI
Database

OBJECTIVES
To facilitate the
development and
management of
NCI Database
System

STEPS
1. Identify Data /Information
Needed
2. Data Gathering Methods
Identify methods for
data gathering
Prepare plan for
data gathering
Design
questionnaires/form
s
Interview/D
isseminate
survey and
report
forms
Collect/consolidate
Processed data

PERSON
RESPONSIBLE
KM Group in
coordination with
Other NCI TWG and
other relevant
agencies

TOOLS/FORMS
NEEDED
List of NCIs Programs/
Projects and Locations
Questions,
Survey Forms

TIME
FRAME (SPECIFY)
1 month
3 months

Any RDBMS (Oracle, My


SQL)

6months

3. Design and develop

209

ACTIVITIES

OBJECTIVES

STEPS

PERSON
RESPONSIBLE

TOOLS/FORMS
NEEDED

TIME
FRAME (SPECIFY)

Database Management
System
Design input and
output forms
Design Database
structure
Identify resource
requirements
Development of
Data Entry,
Inquiries and
Report Generation
programs.

3months
(depending on the
volume of data)

4. Database Build-up
Training/Orientation and
Encode information from
the Survey forms

Monthly/as need
arises

Verify data for accuracy


5.

Report Generation
Quarterly/as need
arises

6. Database Maintenance
Updating/Modification
Information
Dissemination

To ensure the
sharing and
circulation of
information.

1. Prepare Dissemination Plan


Packaging Information
Materials
(Content
, Target Audience)
Identify Dissemination
Methods

KM in Coordination
with DENR PAO,
DAR-PAS
DAR-BARIE
DA-AFIS
NCI Secretariat

Newsletter
Website
Press Release
(Tri Media)
Flyers/Brochures
Cluster Meeting

3 months

210

ACTIVITIES

Monitoring and
Evaluation

OBJECTIVES

To improve
performance and
determine the
relevance,
effectiveness and
impact of the
project.

STEPS

1. Develop Results Based


Monitoring System
- Clarify project aims,
objectives and values and
activities
- Clarify the target groups
- Identify outputs and
outcomes
- Set performance
indicators
- Set Frequency of
Monitoring
- Design M&E Forms
2. Training/Orientation on
M&E System
- Preparation of training
needs/materials
- Identification of
participants
- Actual training
3. Implementation of M&E
System

PERSON
RESPONSIBLE

KM Group in
coordination with
Other NCI TWG and
other relevant
agencies

KM/CAPDEV

TOOLS/FORMS
NEEDED
Conference
Presentation
Posters
Workshops
Demonstrations
On-line
discussion
Journal Articles
Reports and
other Documents
M& E Forms
SWOT Analysis Tool
SMART Tool
Logframe

TIME
FRAME (SPECIFY)

6months to 1 year

3months

211

ACTIVITIES

OBJECTIVES

Documentation
of Innovations
and best
practices

To identify the
innovations and
best practices for
adoption,
expansion and
development of the
projects/programs.

STEPS
1. Gather best practices,
innovations achieved for
each project/program
2. Store in the NCI database
3. Package/ Disseminate
Information thru Fora,
Trainings, Presentations

PERSON
RESPONSIBLE
KM Group in
coordination with
Policy and
Advocacy.
component

TOOLS/FORMS
NEEDED
Forms

TIME
FRAME (SPECIFY)
Annual

212

213

ANNEX P
MONITORING AND EVALUATION TEMPLATE
Proposed M&E Template

Project Name
:
__________________________
Implementing Agency: __________________________
Project Description :
__________________________
Budget Allocation:
__________________________
Goal/General Objective :_____________________________________________________________________________
Input
Output
Targets
Budg
Accomplishments
Budg External Factors
Objectives/Activ Indicat Indicat
et
et
/ Remarks
ities
ors
ors
(P00
(P00
0)
0)
1stQ 2nd 3rd 4thQ
1st
2nd 3rdQ 4th
tr
Qtr Qt tr
Qtr Qtr tr
Qtr
r

Objective 1
Activity 1.1
Activity 1.2
Activity 1.3

Objective 2
Activity 2.1
Activity 2.2
Activity 2.3

214

Fill-up Instructions
(Proposed M&E template)
Heading:
1.

Write down the Name of the Project, Project Description, Goal of the Project, Implementing Agency and the Budget Allocated
or Requested for the Project.

M & E Template
A. Setting up the Target
1.
2.
3.
4.

List down the specific objectives and the activities that correspond to it. (Column 1)
Set the input indicators needed. (Column 2)
Set the output indicators for each activity. (Column 3)
Indicate the Budget allocated for each activity. (Column 4)

B. Filling up the Accomplishment


1.

Write down the actual figure of the given output indicator per activity.

C. External Factors/Remarks
External factors are the important events, conditions or decisions which are necessarily outside the control of the
project, but which must remain favorable for the project objective to be attained. Remarks are comments, observations or
explanations that hinder in the accomplishment of the project.

215

Annex Q
GUIDE IN FORMULATING THE LOGICAL FRAMEWORK
Project Title:

Implementing Agency:

Sponsor:

Budget Allocated/Requested:

Narrative Summary

Project Targets Objectively


Verifiable Indicators (OVIs)

Means of Verification
(MOV)

Assumptions

Goal:

Purpose:

Project Outputs:

Activities:

Inputs:

216

Fill-up Instructions:

Goal:
The goal statement is the context of the project intervention. Your project will contribute to the achievement of this Goal.

Purpose:
The purpose is the statement of the end objective of the project. This is stated in terms of what the target group (the primary
beneficiary) can do after the project. This statement is the guiding post of your project interventions.

Project Outputs:
The output is the statement of the deliverables of the project. This is stated in terms of what the implementer will be delivering during
the project. This statement is the project intervention to achieve the project purpose.

Inputs:
The input is the statement of the resources that will be provided for the project in order to produce the project output. This is stated in
terms of what the implementer will be given during the project.

Objectively Verifiable Indicators (OVIs)


These metrics are for:

217

Measuring the contribution of your project to the goal statement


Measuring the achievement of your purpose statement and measure of the project's effectiveness.
Measuring the achievement of your output statement and project's efficiency.
Measuring the input statement and measures the resource allocation.

Means of Verification (MOV)


These are the authoritative source of :

the goal statement metrics.


the purpose statement metrics.
the output statement metrics.
the input statement metrics.

Assumptions
The statement of risks that may have a bearing on the:

achievement of the goal statement.


achievement of the purpose statement.
achievement of the output.
allocation of the input.

218

REFERENCES:

Joint Memorandum Circular No. 01, Series of 2010 on Policy Framework for
the Enhanced National convergence Initiatives among DA-DAR-DENR

Joint Memorandum Circular No. 01, Series of 2006 Adopting the Guide for
Implementation in DA-DAR-DENR Convergence Initiatives Towards
Sustainable Rural Development

Policy Framework and Implementing Strategy for the Enhanced DA-DARDENR Convergence Initiative for Sustainable Rural Development

NCI Strategic Planning Workshop Report, Tagaytay, 4-5 January, 2011-06-22

DENR MC 2008-05 Guidelines in the Preparation of Integrated Watershed


Management Plans

EO No. 533 Adopting Integrated Coastal Management as a National Strategy


to Ensure the Sustainable Development of the Countrys coastal and Marine
Environment and Resources and Establishing Supporting Mechanisms for its
Implementation

DAR MC No. 04 series 2003 Operationalizing the Development of Kapit-Bisig


Laban saKahirapan Agrarian Reform Zones (KALAHI ARZones)

DAR Memorandum Circular No. 03 series 2006 Intensified Rural Development


Through Agrarian Reform Communities (ARCs) Connectivity

DAR Memorandum Circular No. 13 Series 2009 Operational Directives for the
Development of ARC Clusters

Estimation of Local Poverty in the Philippines, The World Bank, November


2005

List of Critical Watersheds Supporting the National Irrigation Systems and


Domestic Water Supply Facitlities, DENR

Integrated Ecosystem Management (IEM) Framework, DENR, EcoGov 2


Project

Four (4) Field Reports of the Field Validation Teams composed of


representatives from the NCI Technical Working Groups and selected
Regional and Provincial Converegence Initiative Working Groups from
Regions 5, 6 ,8 and 10

219

Report on Mount Balatukan Range Convergence Zone, Misamis Oriental,


Region 10

Business Plan of Socorro Empowered Peoples Cooperative (SOEMCO),


Surigao del Norte

Bito Watershed Presentation, Javier, Leyte

Local Convergence Agro-Enterprise Cluster Development, Central Antique


Experience, Region 6

Northern Samar Provincial Convergence Initiative: a Proposal

Forest Land Use Planning (FLUP)

Sustainable Agriculture and Fisheries Development Zones (AFMA)

Reports on Coastal Resource Management, Bureau of Fishersies and Aquatic


Resources, Department of Agriculture

DENR-Human Resource Development Service Training Forms

Notes on the Training Cycle, Draft DENR-HRDS Medium Term Development


Plan, 2011

Notes on Participatory Training Administration conducted by Research and


Extension Development Office-College of Social Work and Community
Development, UP Diliman.

220