(2010 Revised Edition)

(2010 Revised Edition)

Contents

Foreword
Preface
Acronyms
Knowledge for Improved
1 Managing
Performance in Local Governance

13

2 Capacity Development : A New Perspective

25

7 Steps in Capacity Development

Agenda Formulation

3
4 Taking Up the Challenge to
Institutionalize Change

Annex in a CD

35

59

Acronyms

CBMS
CD
CDP-ELA
CIDA
CLUP
DILG
GeRL Ka Ba?
KCO
KM
LGA
LGOOs
LGPMS
LGRC
LGNRC

Community Based Monitoring System

Capacity Development
Comprehensive Development Plan- Executive and Legislative Agenda
Canadian International Development Agency
Comprehensive Land Use Plan
Department of the Interior and Local Government
Gender Responsive LGU Ka Ba?
Knowledge Centric Organization
Knowledge Management
Local Government Academy
Local Government Operations Officers
Local Governance Performance Management System
Local Governance Resource Center
National Local Governance National Resource Center

LGSP II
LGU
SCALOG
SLGR
TWG
UNDP

Philippines-Canada Local Government Support Program Phase II

Local Government Unit
Systems on Competency Assessment for Local Governments
State of Local Governance Report
Technical Working Group
United Nations Development Programme

Managing Knowledge for Improved Performance

in Local Governance

Nan et ipsa scientia potestas est.

Knowledge is power
Oscar Sir Francis Bacon

10

A Word on Knowledge Management and Good Local Governance

Knowledge Management or KM is the

acquisition, storage, retrieval, creation,
sharing, use, application and review of a
group or organizations explicit and tacit
knowledge in a systematic manner to achieve
organizational goals.

Knowledge is information that is

processed with experience and
assumptions and applied for
effective action.
Knowledge Management is about getting
the right knowledge to the right people
at the right time.
KM is not only about information in its
various physical forms. It also includes
tacit knowledge, which is intangible
and resides as intellectual capital of
individual experts and practitioners. KM

is therefore also about connecting those who

know with those who need to know.
KM offers a direction for organization to:
- manage information and
knowledge that it knows it
already has
- manage knowledge that it
does not yet know that it has
- create new knowledge or
innovate

What is the value of

managing knowledge in
promoting excellence in
local governance?
One of the key principles in good
governance is promoting a culture of selfassessment for improved local government
management and performance. The local
governance sector should increasingly have

Figure 1

the capacity to learn from itself and

harness the incremental lessons learned
for more effective, efficient and
responsive governance. And knowledge,
when created, shared, applied and
used, has a far-reaching influence in
developing a culture of learning in local
governance.
Capacity Development Planning is a
process that involves the utilization of
knowledge for improved LGU
performance. It is about acquiring,
analyzing, sharing and using vital
knowledge in order to strategically
address competency gaps and
organizational weaknesses so that
improved capacity is able to input or
lead to strengthened LGU
performance.

Managing Knowledge for Improved

Performance in Local Governance

11

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

Situational
Analysis

M/E

Knowledge

Implementation

Participation

Performance

Planning

Policy Development
Programming
Budgeting

Partnership

For a more comprehensive information on knowledge management

in local governance, refer to the Annex with CD version of
Communities that Learn! A Local Governance Knowledge
Management Framework.

12

DILG and LGA as Knowledge-Centric Organizations:

Synergy, Convergence and Innovation

he support of the Department of the

Interior and Local Government (DILG) to
the local government sector has

considerably evolved over the last few years. The

overall common thread, however, has been one of
DILG taking a stronger leadership role in the
coordination of issues affecting local governance
with a general shift from regulation and
supervision to coordination and facilitation. In
fulfilling its mandate as a catalyst for excellence
in local governance, DILG has been practicing
Knowledge Management through its numerous
initiatives without necessarily labeling it as such.
The use of LGU performance data, the
identification, documentation and replication of
exemplary practices, the enhancement of local
planning system based on the feedback and
experiences of local governments and other
stakeholders, the establishment of the Local
Governance Resource Centers (LGRCs) across the
country, and the convergence and synergy of local

governance initiatives within the DILG and with

other national government agencies are all
examples of KM in action. As the training arm of
DILG and the National Local Governance National
Resource Center (LGNRC), the Local Government
Academy (LGA) is a knowledge hub as it plays a
lead role in building capacity development
programs and strategies for local governments and
DILG personnel.
KM is a way of doing things. DILG as an
organization effectively integrating KM in its
operations becomes a Knowledge Centric
Organization (KCO), one that values people and
the organized use of existing experience and
information to reach its goals. Ultimately, KM is
not exclusively about tools and technology but
about people and what they can and want to do
with their knowledge. KM is also a mindset that
in anchored on a culture of learning and
knowledge sharing where there is no monopoly of

Figure 2

Managing Knowledge for Improved

Performance in Local Governance

13

Convergence in DILG Operations*

Values
knowledge and people are recognized
Culture of Performance
for the value of their own contributions
Participatory Processes
Strategic Leadership
and encouraged to share and utilize
knowledge. With KM as a strategy, DILG
is building convergence and synergy in
its operations to maximize its
QUALITY
contribution to the local government
SERVICES
sector. Figure 2 illustrates how the
DELIVERY
notion of KM is central to DILG
PARTICIPATORY
operations as well as how many DILG
PROCESSES
functions and programs
relate to each other
and can be situated in
Partnerships
a yearly cycle of inter& Resource
Programs
Management
dependence.
LGU Performance Management
Capacity Development
Replication
Advocacy & Public Education
Development Planning
Local Governance Resource Center

Strategic Functions

Performance
Management

Performance Management
Policy & LGU Oversight
Partnership &
Resource
Management

CULTURE OF
PERFORMANCE

INNOVATION
& LEARNING
LEADERSHIP

Policy & LGU

Oversight
STRONG
ENABLING
ENVIRONMENT

Key Contributions
Excellence in Local
Governance

Innovation and Learning

Quality and Effective Service Delivery
Strengthened Local Governance
Enabling Environment

*SOURCE: Philippines-Canada Local Government Support Program Phase II (LGSP II), Sustaining the
Gains of LGSPs Support to the DILG and Partners, August 2006, Pasig City, Philippines

14

In keeping with the thrust to build

convergence in its operations, DILG
developed an integrative strategy in its
various program designed to building
capacities of local governments for
improved performance.

The objectives of the framework are:

Harmonize capacity development

interventions for local governments
Ensure integrated program
implementation
Maximize the impact of DILG
interventions
The integrative framework in building
LGU capacities is underpinned on key
KM principles of harmonization and
convergence. It promotes establishing
synergy in the implementation of
various programs and in the utilization
of the wide range of tools and
processes. It encourages the vigorous

utilization of performance management and

institutional competency assessment tools and
systematic weaving of the results for a more
in-depth and meaningful analysis.

The components of the Integrative

Framework are the following:

of LGU Performance and

1 Assessment
Institutional Competencies
of the Executive and
2 Crafting
Legislative Agenda
of Capacity Development
3 Provision
Initiatives via the DILG Local
Governance Resource Centers

Support Programs

The State of Local Governance Report (SLGR)

using the Local Governance Performance
Management System (LGPMS) and Community
Based Monitoring System (CBMS) results
provide the invaluable technical inputs to the
process of formulating the Executive and
Legislative Agenda (ELA) and the Capacity

Development Agenda (CD Agenda). Further,

assessment tools, such as the System on
Competency Assessment for Local
Governments (SCALOG) and GeRL Ka ba?, are
harnessed in Capacity Development Planning
and formulating a Capacity Development
Agenda.
With the establishment of the Local
Governance Resource Centers (LGRCs) in
DILG, a dynamic venue has been established to
facilitate the provision of capacity
development for local governments more
efficiently and strategically. It is also seen as
the mechanism that would assist and facilitate
the implementation of the Capacity
Development Agenda of LGUs through its four
dynamic services:
1) Multi-media Knowledge and information
2) Capacity Development
3) Linkage and
4) Public Education and Citizenship Programs.
For more information on the LGRCs, visit
www.lgrc.lga.gov.ph

Figure 3

DILG Training Programs

Other NGA Initiated Programs
Accredited Training Programs
Overseas Assistance Development Programs

LGU Capacity Development

DILG Integrative Strategy

Assessment of LGU
Performance
and
Institutional
Competencies

SLGR
LGU
Competency
Profile

Provision of
Capacity
Development
Intervention
LGRC

Managing Knowledge for Improved

Performance in Local Governance

ELA
CD
AGENDA

CDP Review ELA Coaching

LGPMS, CBMS,
SCALOG,
GeRL Ka Ba?
Other tools

Preparation
of the
ExecutiveLegislative
Agenda

15

16

Locating the DILG Local Government Operations Officers

(LGOOs) in Knowledge Management

s catalysts for excellence in local governance,

LGOOs have a key role in promoting the culture

of learning for excellence in local governance as they build

linkages and networks, and facilitate the process of
knowledge sharing and utilization in their respective
areas. LGOOs are strategic knowledge brokers who can
help transform and apply data and information for
effective and responsive action.
As a knowledge-centric organization, there is a need for
DILG to generate knowledge, be able to share it and ensure
that knowledge is utilized to produce results. This will
strengthen DILGs role as a primary catalyst, knowledge
broker and facilitator of capacity development towards
excellence in local governance.

Figure 4

Knowledge Management in DILG

LG
Excellence

Learn and Innovate

Evaluate

Knowledge Providers
(LGU, NGA, Experts, Practitioners)

Create

Knowledge Brokers
DILG, LGOOs, LGA

Utilize

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

Managing Knowledge for Improved

Performance in Local Governance

17

18

About the Guidebook: A Knowledge Tool in Capacity Development Planning

his Guidebook is a simple, step-bystep guide for formulating a gender

responsive and competency-based

Local Government (LGU) Capacity

Development Agenda.
It is a reference for LGOOs in coaching LGUs
and their ELA teams in developing a Capacity
Development Agenda to more effectively
and meaningfully address LGU priorities and
program, as defined in the LGU local
development plans such as the ELA.
Capacity Development Planning is not new to
LGUs. It is an important aspect of local
development planning, which includes the
formulation of the Comprehensive Land Use
Plan (CLUP), the Comprehensive
Development Plan (CDP) and the Executive
and Legislative Agenda (ELA). While there
are guides for all these various plans, there

was a need for a tool that would systematically

assess organizational competencies of local
governments. The LGA, with support from the
United Nations Development Programme
(UNDP), developed the Systems on Competency
Assessment for Local Government (SCALOG),
which enables LGUs to evaluate their
organizational competencies. The SCALOG
allows the LGUs to systematically conduct a
self-assessment and analyze strengths and
weaknesses in terms of the LGUs set of work
processes, structures, systems and
technologies in order to sustain or further
improve performance and organizational or
institutional capacity.

This tool is a companion piece of the

SCALOG Manual and the Manual on Local
Planning Process: Focus on the CDP and
ELA. The steps in this guidebook take off
from the SCALOG process and results,
which are informed and guided by the
LGPMS. LGPMS and SCALOG provide useful
data and information that can be utilized
for an in depth analysis of an LGUs state
of local governance, its development
administration program and institutional
capacity.
In addition to LGPMS and SCALOG, the
formulation of a capacity development
agenda also takes into consideration
results of other tools that may be used to
assess organizational competencies and
enrich the results in undertaking SCALOG.
The range of tools, when utilized together,
will be beneficial to the local governments

in determining capacity development

priorities
Assessing organizational competencies is a
crucial aspect in the process of
formulating an LGU short term plan such
as an ELA. Thus, this guidebook is also an
important and useful material in the
context of local development planning,
specifically in formulating a CDP or an
ELA, which provides the strategic basis for
identifying priority capacity development
agenda. In particular, this guidebook
supports the section on Determining
Capacity Development Needs for Plan
Implementation or Step 6 in the ELA
process. The Capacity Development
Agenda will help define the necessary
capacity requirements for effective and
efficient implementation of the priority
LGU programs and projects.

Managing Knowledge for Improved

Performance in Local Governance

This learning tool is primarily

designed for Local Government
Operations Officers LGOOs of the
DILG at the regional, provincial, city
and municipal levels as they play the
role of knowledge brokers and
facilitators of capacity development
in local governance and as they
engage in coaching local governments
for improved performance.
The samples cases illustrated in this
Guidebook are actual results of the
process undertaken by an LGU and
for purposes of this Guidebook is
labeled as LGU XYZ (located in
Region 3).

19

Capacity Development: A New Perspective

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

into it, move with it, and join the dance.
Alan W. Watts

22

Capacity Development Defined

What is capacity and capacity development?

It is important to better understand

capacity development to contextualize
Capacity Development Planning in local
governance. The evolving definition of
capacity development includes the
following:

Capacity development is any system,

effort or process which includes among its
major objectives strengthening the
capability of elected chief executive
officers, chief administrative officers,
department and agency heads and
programme manager in general purpose
government to plan, implement, manage
or evaluate policies, strategies or
programs designed to impact on social
conditions in the community. (Cohen,
1993).

Capacity strengthening is an ongoing

process by which people and systems,
operating within dynamic contexts,
enhance their abilities to develop and
implement strategies in pursuit of
their objectives for (Lusthaus et al.
for IDRC, 1995).

Capacity building is any support that

strengthens an institutions ability to
effectively and efficiently design,
implement and evaluate development
activities according to its mission
(UNICEF Namibia, 1996).

Capacity building is a process by which

individuals, groups, institutions,
organizations and societies enhance
their abilities to identify and meet
development challenges in a
sustainable manner. (CIDA, 1996)

Development:
2 Capacity
A New Perspective

Capacity development is a process by

which individuals groups,
organizations, institutions and
societies increase their abilities to
perform functions, solve problems
and achieve objectives; to
understand and deal with their
development need in a broader
context and in a sustainable manner
(UNDP, 1997)
Capacity development is a concept
which is broader than organizational
development since it includes an
emphasis on the overall system,
environment or context within which
individuals, organizations and
societies operate and interact (and
not simply a single organization).
(UNDP, 1998)

Capacity is the combination of

people, institutions and practices
that permits countries to reach
their development goals
Capacity building is... investment
in human capital, institutions and
practices (World Bank, 1998)

Capacity is a condition of a system

that emerges out of a combination
of attributes. It refers to
collective capabilities to act and
survive, generate development
results, relate, adapt and selfrenew, and achieve coherence
(Peter Morgan, European Center
for Development Policy
Management (EDPM) May 2006)

Capacity is the power to perform

tasks and produce output, to

define and solve problems, and

make informed choices (Real
Lavergne, CIDA)

In its culminating publication Trekking

the Good Local Governance Terrain:
The LGSP Capacity Development Way,
the Philippines-Canada Local
Government Support Program Phase II
(LGSP II), the flagship governance
program of the Canadian International
Development Agency (CIDA) from
2000-2006, offers the view of capacity
development as a complex, holistic
process that takes place at different
levels of the system in a web of
interconnectedness. It describes an
open system with the local governance
stakeholder terrain at the individual,
organizational and institutional levels.

23

24

New Ways of Thinking on Capacity Development*

According to LGSP II, capacity

development promotes excellence in
local governance by enhancing the ability
of people to improve processes,
maximize opportunities, harness and
manage resources, and develop potential
for sustainable growth1
New ways of thinking on capacity
development has expanded beyond
staff training to include the
development of public organizations
and the enabling environment, apart
from building individual capacities and
developing leadership capacities in
local governance.

Element
Change Unit
Method
Design Basis
Emphasis
Analysis
Intervention
Beneficiaries
Expertise
Scope
Principle

Old
Individual
Build knowledge and skills
Individual Needs
Learners Abilities
Strengths and Weaknesses
Series of Activities
Beneficiary Participation
Externel solutions
Organization Specific
Consultation

New
Individual, Organization and System
Apply knowledge and skills
Organizational and System Priorities
Learning Environment
Performance and Results
Change process
Beneficiary ownership
Local solutions
Sector Specific
Coordination and Collaboration

*Source: Trekking for Good Local Governance Terrain: The LGSP Capacity Development Way, The Philippines-Canada
Local Government Support Program Phase II (LGSP II), 2006, Pasig City, Philippines.

For more comprehensive information on the LGSP Capacity Development

Framework, CD strategies that worked, lessons learned and results, see
enclosed CD on Trekking the Good Local Governance Terrain:
The LGSP Capacity Development Way.

Red Batario, et al. Trekking the Good Local Governance Terrain: The LGSP Capacity Development Way, Philippines-Canada
Local Government Support Program, 2006, Manila, Philippines, p.20.

Development:
2 Capacity
A New Perspective

Why a Capacity Development (CD) Agenda?

Who is it for? What is it for?

apacity Development becomes

strategic if it is based on a

strategic plan of an LGU such as a

Comprehensive Development Plan (CDP) or
an Executive and Legislative Agenda (ELA).
Any effort to improve LGU capacity should
be geared towards contributing to the
attainment of its development objectives
and goals.2

A Capacity Development Agenda outlines

the capacity development strategies,
programs and initiatives that need to be
undertaken to address identified
organizational competency gaps, indicating
the target groups, specific recommended
approaches, resources required and
timeline.

The development of a gender responsive and

competency-based LGU Capacity Development
Agenda aims to:
Define the necessary capacity requirements
for a gender responsive, effective and
efficient implementation of the priority LGU
programs and projects
Help rationalize and strategically focus
capacity development efforts of the LGU
Provide DILG/LGA and other local
governance stakeholders with necessary
information that will facilitate delivery of
necessary technical assistance and support
to LGUs
Facilitate knowledge capital planning and
build- up in the LGU and the DILG Local
Governance Resource Center, providing a
responsive, efficient and accessible
environment for addressing LGU knowledge
and capacity requirements

Maria Concepcion Pabalan, et al. How to Formulate an Executive and Legislative Agenda for Local
Governance and Development: Facilitators Guide, Philippines-Canada Local Government Support
Program, 2004, Manila, Philippines.

25

26

In undertaking the process of capacity

development planning and in
formulating a capacity development
agenda, it is important to take into
consideration the following principles:

Maximize the utilization of

appropriate performance
management and institutional
competency assessment tools
Do not limit analysis with the use
of one tool or process. Correlate
and validate results with other
competency assessment tools for a
more in-depth and accurate
analysis.
Mainstream gender and
participatory governance
processes in capacity development
planning.
SCALOG integrates participatory
processes such as dialogues,
consultations and consensusbuilding in identifying

organizational strengths and weaknesses of

LGUs. The use of GeRL Ka Ba?, alongside
SCALOG, as a capacity development selfassessment tool allows for a systematic
integration of gender in the Capacity
Development Agenda.
Include all five (5) LGPMS and SCALOG
Performance Areas in Capacity Development
Planning.
All fourteen (14) Service Areas under the
five (5) Performance Areas should be
assessed. A Capacity Development Agenda
may include all performance and service
areas, including both areas of strengths and
weaknesses. The CD Agenda will be good for
three years, aligned with the LGUs short
term plan such as the ELA and will also be
the basis for the annual priorities of the LGU
as articulated in the annual investment plan.
Integration and Convergence are important
in Capacity Development Planning.
Capacity Development planning and
formulation of the CD Agenda is not to be
taken separately from other institutionalized

Development:
2 Capacity
A New Perspective

Figure 5

local governance programs such as

LGPMS, ELA,GO-FAR and Local
Governance Knowledge Management.
Integration is key in the process of
developing a meaningful and relevant
Capacity Development Agenda for
improved performance of an LGU.
Disjointed plans will most likely lead
to waste of resources and problematic
governance and development results.
Build consensus among development
partners in defining the kind and
extent of capacity development
It is important in capacity
development planning to determine
the answers to the following
questions:
What capacity is needed by whom
and for what purpose?
How will the capacities be developed
and exercised over time?

Knowledge Management and Capacity Development Planning

LG
Excellence

Learn and Innovate

Evaluate
ELA Report Back
CD Agenda M/E

Create
Knowledge Providers
(LGU, NGA, Experts, Practitioners)

LGPMS
SCALOG

Knowledge Brokers
DILG, LGOOs, LGA

Utilize
CDP-ELA
CD Agenda

27

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

SLGR

28

The Role of DILG Local Government Operations Officers in

Capacity Development Planning

s facilitators of capacity development in local governance, the DILG Local

Government Operations Officers (LGOOs) play a central role in the
formulation of a Capacity Development Agenda for local governments. The following
are important considerations for LGOOs in order to maximize their role effectively
in undertaking and facilitating the process:

1
2

LGOOs must have a working knowledge of a whole range of local governance

management and planning systems, processes and tools such as LGPMS, CDP,
ELA, LGU Organizational Competency Assessment, CBMS and Gerl Ka Ba?

LGOOs must be well versed with problem analysis tools such as Problem Tree,
Objective Tree, Fishbone and Force Field Analysis among others and able to
undertake and facilitate data analysis and validation

LGOOs must have a solid grasp of capacity development and its emerging

Take the lead in facilitating the preparatory steps for the conduct of the
Capacity Development (CD) Planning and Agenda Formulation.

principles and strategies as applied to local governance

Development:
2 Capacity
A New Perspective

This includes the following important tasks:

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

Facilitate the actual conduct of the CD Planning and Agenda Formulation

Ensure that a debriefing takes place with the LGU Technical Working Group (TWG) at
the end of the process to validate results.

Facilitate the dissemination of the LGU Capacity Development Agenda as appropriate

within the LGU and to external partners, such as the Local Governance Resource Center
LGRC.

LGOOs may act as the facilitator in some cases

or as a coach to the LGU Technical Working
Group when it takes the lead in conducting
the process

29

7 Steps in Capacity Development Agenda Formulation

To be prepared is half the victory.

Miguel de Cervantes

9 Steps in Capacity Development

Agenda Formulation

Before You Start!

The following are prerequisites in undertaking the 7 steps:

1. The LGU should have completed their:

o
State of Local Governance Report (SLGR) as an
output of the Local Governance Performance
Management System (LGPMS) tool.
o
SCALOG: LGU Organizational Competency
Assessment result with the LGU Organizational
Competency Profile as an output.

Some considerations in organizing the

members of an LGU Technical Working
Group :
LCE to issue an Executive Order
creating the LGU Technical Working
Group preferably composed of the
following:
o

2. It may also help to make readily on hand results of other

performance assessment tools (e.g. CBMS, GeRL Ka ba?) as the
information they offer may be crucial in successfully completing the
process.
3. An LGU Technical Working Group (TWG) has been organized and
oriented with the new ways of thinking on Capacity Development.
Together with the MLGOO, they should also have with a solid grasp
of the result of these assessment tools.
4. The Comprehensive Development Plan (CDP) Executive and
Legislative Agenda (ELA) must also be reviewed as the CapDev
Agenda represents the Institutional Capacity Sector of the CDP-ELA.

o
o
o

Head of Human Resource

Department, as Capacity
Development Agenda
Focal Person and Head of
the TWG;
City/Municipal Planning
Development
Coordinator, as LGPMS
and SCALOG Focal Person ;
City/Municipal
Administrator
Other Department Heads
ELA Coordinator

33

34

There is no one way to formulate a CD Agenda. The following are suggested steps with corresponding tools in
conducting Capacity Development Planning and Agenda Formulation.

7 Steps in Capacity Development Agenda Formulation

Step

Determine the Current Situation

Closely review the LGU Organizational Competency Profile (Appendix B of SCALOG-LOCA) and compare results with the indicators for
consistency. It is important that the data entered herein is validated.
Focus on the list of competency strengths and gaps as summarized in the LGU Organizational Competency Profile. Form No. 1 as illustrated,
indicates the list of competency strengths and gaps per competency area.
Form 1: Organizational Assessment Result
ORGANIZATIONAL ASSESSMENT RESULT
Municipality XY

Competency Assessment Result (7 competency areas)

Service Areas
High competency
Note:
High Competency
- 3.5 - 5.0
Low Competency
- 1.0 - 3.49

SOCIAL GOVERNANCE
Peace, Security and Disaster
Preparedness

Organization & staffing

Legislative & other
enabling mec
Transparency
Mngt. System

Low Competency
Customer Service
The LGU streamlines its peace, security and disaster preparedness
services in terms of reduction in:
3.4.7.2.1 processing/transaction time
3.4.7.2.2 number of requirements
3.4.7.2.3 number of signatories
3.4.7.2.4 number of steps
The LGU solicits feedback from its clients regarding its services through
informal means (e.g., spontaneous feedback from clients, interviews and
other methods that are unstructured or done randomly)
Participation
Lesser participation of the community in planning, project
implementation,
monitoring & evaluation.

Step 2

7 Steps in Capacity Development

Agenda Formulation

35

Validate LGU Competency gaps with reference to other

tools that generate LGU data and information.

The intention in undertaking this step is to establish the

consistency of SCALOG results with other analysis.
It should be noted that the LGU Capacity Development Agenda is an integral part of the ExecutiveLegislative Agenda. This undertaking should have considered the following Calendar in administering
assessment tools and instruments and the formulation of the plan:

LGPMS Data Gathering and Analysis

Presentation of LGPMS Result
SCALOG Administration and Analysis
ELA Preparation Steps 1-5

- January to end of February

- on or before March 31
- April
- July to August

Some of the tools and processes that may be used to correlate SCALOG results and enrich the qualitative
analysis further are CBMS, GeRL Ka Ba? and other tools focused on assessing child-friendly LGUs,
environmental impact and evaluating LGU financial management, among others.

Form No. 2
Performance Index

LOCAL GOVERNANCE PERFORMANCE MANAGEMENT SYSTEM (LGPMS) Result

MUNICIPALITY XY

Service Areas

Performance
Rating

Performance
Index (Adjectival
Rating)

Form No. 2 illustrates the performance

gaps as captured under the Local
Governance Performance Management
System and describes the factors
affecting low performance.

Factors Affecting Performance

Partial functionality of POC
POC does not meet as often as necessary

SOCIAL GOVERNANCE
Peace, Security and
Disaster Preparedness
3.60

Fair

Lesser quality of IACPSP

Partial participation in IAPSP formulation
Partial participation in IASCP formulation
No M & E for IAPSP

36

Form No. 3 correlates existing

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

Form No. 3
CDP-ELA Objectives

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

MUNICIPALITY XY

ELA Devt. Goals/Objectives

Performance Areas /Service Areas
Goals (Performance Areas)

SOCIAL SERVICES
Peace, Security & Disaster Prep.

Sectoral objectives (Service Areas)

A peaceful and safe community

7 Steps in Capacity Development

Agenda Formulation

Form No. 4 establishes relationships and

provides for the complementation of the
results of the different tools and
processes to enrich the qualitative
analysis for each performance area/
service area.

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

Performance Areas /
Service Areas
SOCIAL GOVERNANCE
Peace, Security & Disaster Prep.

CDP/ELA (Sectoral
Performance Index
Objectives
(Weak performance areas)
Peaceful and
safe community

Fair
POC does not meet as often as
necessary
Partial participation in IAPSP
formulation
Partial participation in IASCP
formulation
No M & E for IAPSP

Low Competency

Customer Service
The LGU streamlines its peace, security and
disaster preparedness services in terms of
reduction in:
3.4.7.2.1
3.4.7.2.2
3.4.7.2.3
3.4.7.2.4

processing/transaction time
number of requirements
number of signatories
number of steps

The LGU solicits feedback from its clients

regarding its services through informal means
(e.g., spontaneous feedback from clients,
interviews and other methods that are
unstructured or done randomly)
Participation
Lesser participation of the community in
planning, project
implementation, monitoring & evaluation.

37

38

Suggested Tool #1

Step

Undertake analysis of the

identified problems

Use one or a combination of

tools and processes in analyzing
the problem/s. The suggested
tools are Problem Tree Analysis,
Fishbone Analysis, Strength,
Weaknesses, Opportunities and
Threat (SWOT) Analysis,
Alternative Analysis Approach,
Participatory Issue
Identification, Pairwise Ranking
The Problem Tree Analysis is
discribed in the suggested
tool #1.

PROBLEM ANALYSIS

Using metacards,
list all problems. One
card per problem.
Formulate each
problem as a
negative condition.

The convergence point

for all the problems
identified is referred
to as the core
problem & becomes
the
overriding concern
that will have to be
addressed.

How to undertake Problem analysis

STEP 1
Identify the
problems

STEP 2
Establish the cause and
effect relationship
among the problems
identified

From among
the listed
problems, try
& agree on
which is the
cause &
which is the
effect.

STEP 3
Establish a
convergence
point/s

STEP 4
Review the
diagram as
a whole.

Verify the cause and

effect relationship
and agree on the
soundness and
completeness of the
problem tree.

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

39

Suggested Tool # 2

Suggested Tool # 3

B. Sample Case Using SWOT

C. Sample Case Using Fishbone Analysis

How to do a SWOT

Step 1 Information collection - In the here and now

List all strengths that exist now. Then in turn, list all
weaknesses that exist now. Be realistic but avoid modesty!
o

You can conduct one-on-one interviews. Or get a

group together to brainstorm. A bit of both is
frequently best.

Youll first want to prepare questions that relate

to the specific company or product that you are
analyzing. Youll find some questions and issues
below to get you going.

When facilitating a SWOT - search for insight

through intelligent questioning and probing

Step 2 What might be

List all opportunities that exist in the future. Opportunities
are potential future strengths. Then in turn, list all threats
that exist in the future. Threats are potential future
weaknesses.

Follow these steps to solve a problem with a Cause and Effect Diagram:
1. Identify the problem:
Write down the exact problem you face in detail. Where appropriate
identify who is involved, what the problem is, and when and where it occurs.
Write the problem in a box on the left hand side of a large sheet of
paper. Draw a line across the paper horizontally from the box. This arrangement, looking like the head and spine of a fish, gives you space to
develop ideas.
2.Work out the major factors involved:
Next identify the factors that may contribute to the problem. Draw
lines off the spine for each factor, and label it. These may be people involved
with the problem, systems, equipment, materials, external forces, etc. Try
to draw out as many possible factors as possible. If you are trying to solve
the problem as part of a group, then this may be a good time for some
brainstorming.
Using the Fish bone analogy, the factors you find can be thought of
as the bones of the fish.
3. Identify possible causes:

Step 3 Plan of action

Review your SWOT matrix with a view to creating an action
plan to address each of the four areas.

References:
http://rapidbi.com/created/SWOTanalysis.html#Definition
http://www.mindtools.com/pages/article/newTMC_03.htm
http://web2.concordia.ca/Quality/tools/18pairwise.pdf

For each of the factors you considered in stage 2, brainstorm possible

causes of the problem that may be related to the factor. Show these as
smaller lines coming off the bones of the fish. Where a cause is large or
complex, then it may be best to break the it down into sub-causes. Show
these as lines coming off each cause line.
4. Analyze your diagram:
By this stage you should have a diagram showing all the possible
causes of your problem that you can think of. Depending on the complexity
and importance of the problem, you can now investigate the most likely
causes further. This may involve setting up investigations, carrying out surveys,
etc. These will be designed to test whether your assessments are correct.

40

Step 4

Formulate the Competency Objectives .

Obejctives are specific measures used to

determine whether or not we are successful
in achieving a goal.
When sitting down to formulate your objectives, it would help to have a very clear idea
of what you want to be in the future and
what you are going to do to get there. your
obejctives therefore should be SMART!

Specific

Not a vague aspiration but a clear

description of where you want to be

Measurable

So that you can demonstrate that

objective can be achieved

Achievable

Within your control of influence

Resourced

Clearly linked to the resources needed

to get you where you want to be

Time-bounded

Deadline!

The objective analysis will facilitate the

identification of the Core Competency
Objective for Capacity Development (CD).
Hence, it is strongly suggested that the use
of Problem Tree Analysis be undertaken to
identify the problems as suggested under
the Step 3.
What is Objective Analysis?
It is a tool to:
- describe a situation that would exist
after solving a problem or problems
- Identify means-ends relationship to
meet the objectives
- Visualize the relationships in a diagram.
See Tool # 2 and follow the process
described in steps

9 Steps in Capacity Development

Agenda Formulation

46
41

Step 1: Reformulate all

OBJECTIVE ANALYSIS

negative statements in the

problem tree into positive
statements

Step 2: Form a diagram showing

means-ends relationship in the
form of an objective tree.

The process takes off

from the problem
analysis undertaken
earlier (see Suggested
Tool #1). Instruct the
team to go through the
following steps:

Step 3: Reformulate Core

Objective into a Core
Competency Objective

Step 4: Reformulate all MEANS

statements into appropriate
strategies, and END statements into
appropriate goals

Step 5: Add or do away with

strategies as appropriate.

Step 6: Review the diagram as a

whole and verify its validity and
completeness.

How do you identify the Core Competency Objective for CD?

Translate the core objective as stated in the Objective Analysis to a specific
competency that needs to be developed. See Illustration # 4 for sample of
an actual case.

42

Developing Core Competency Objective for CD and Strategies Using Objective Analysis
Illustration No: 4
Sample Case Using Objective Tree

Appropriate systems in
place that make use of
staff time & resources to
the maximum &
efficiently

Availability of
funds to
finance
development
projects

Taxpayers are
aware of
payment
obligations

ENDS
Expansion of
revenue
generation
base

Citizens have
motivation to
pay their taxes

Establishment
of a one-stop
shop

Willingness of
taxpayers to pay

TO DEVELOP A LOCAL REVENUE PLAN

WITH AN UPDATED REVENUE CODE

Communication Strategy
developed to convince
citizens of incentives and
benefits of paying taxes

MEANS

The public are informed

of their responsibility to
pay their taxes

Tax campaign
developed &
implemented

Efficient systems on:

-Assessment
-Collection
-Business registration

LGU system
streamlined

LGU has
a public service
orientation

Penalties are
strictly
implemented

Political will to
collect taxes

Presence of competent
staff complement to
support tax collection
initiatives
Financial
management
system
implemented

CORE OBJECTIVE

G
O
A
L
S

Core Competency
Objective for CD

1.
2.
3.
4.

To
To
To
To

convince citizens that paying taxes will improve the quality of their lives.
establish a one-stop shop to enhance local revenue generation.
strengthen citizenship in the area of revenue generation in local governance.
expand the local revenue generation base and identify traditional & non traditional sources
of income.
5. To ensure that local revenue are allotted for development oriented & enhanced service
delivery programs & projects.

ENHANCE LGU CAPACITY TO STRENGTHEN

LOCAL REVENUE GENERATION

STREAMLINING OF LGU SYSTEM

S
T
R
A
T
E
G
I
E
S

9 Steps in Capacity Development

Agenda Formulation

INDIVIDUAL
-Build capacity of staff to provide
appropriate support to tax collection
initiative
ORGANIZATION
-Develop & implement systems in place in
terms of assessment, collection, &
business registration
SYSTEM / INSTITUTIONAL
-Formulate & implement local policies,
i.e. Executive Order on streamlining and
implementation of incentives and
penalties.

BUILD CAPACITY
OF LGU STAFF IN DEVELOPING THE LOCAL
REVENUE PLAN
DEVELOPMENT OF A COMMUNICATION
STRATEGY aimed at:
Increasing awareness of citizens and LGU
leaders on the benefits of paying taxes
(External & Internal buy in)
Developing a public service orientation of LGU
(Internal buy in)
Strengthening citizenship & public participation

43

Tips
- Add new strategies
if there are relevant
ones that come up
during the
discussion and
would be
necessary to
achieve an
objective at a
higher level
- Delete strategies
that do not seem to
be necessary
as a result of the
discussion

44

Step 5

Prioritize gaps for Capacity Development intervention.

Reconcile Core Competency Objective

for CD with the priority development
agenda and capacity development
requirements as stated in the LGU
SLGR, if available. Also refer to the
LGU CDP-ELA and list the CDP-ELA
priorities per performance area, if
available.

Key Questions to Ask!

.

This step is crucial and its purpose is to

establish the link of the identified
competency gaps with the priority
development agenda of the LGU.

Are the capacity development

requirements identified in the SLGR
consistent with the Core Competency
Objective for Capacity Development?
Are the identified core competency
objective/s for CD aligned with the
thrust of improving the state of local
governance of the LGU?
Would addressing the competency
gaps contribute in accomplishing the
priority program, projects and
activities of the LGU as articulated in
the CDP-ELA?
Would efforts to address the
competency gaps potentially lead to
institutionalizing change in the LGU?

Matrix

Local Governance
Performance Areas

9 Steps in Capacity Development

Agenda Formulation

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

LGU Priority Development

Agenda as stated in the SLGR
(Outcomes/Outputs)

CDP- ELA
Priorities

Core Competency Objective for

Capacity Development (Step 7)

Governance
Administration Revenue Generation

Service Delivery
Economic
Development
Environmental
Management

Enhance tax collection efficiency and

Revenue Generation Activities
improve the citys coffers
computerize payment and tax
collection system
invest in local economic revenue
generating enterpriseUpdate the
Local revenue Code
conduct tax mapping operations
to
establish the tax base and identify
additional taxable properties and
businesses
expand economic activities
covered by a new tax scheme
offer better incentives to
prospective investors

Update the
Revenue
Code
Develop
traditional
and non
traditional
sources of
revenue

Enhance LGU capacity to

strengthen local revenue
generation

45
50

46

Step 6

Develop the Capacity Development Agenda

6.1 Organize the Capacity Development Agenda according

to Local Governance Performance Areas
6.2 Indicate Core Competency Objective for CD
6.3 Identify specific and appropriate capacity
development strategy/approach/initiative that needs
to be taken to meet the specific objective.
At this point, review results of Step 7- Objective
Analysis - and look closely at the identified means to be
able to meet the objectives. This section will provide
ideas on specific and appropriate capacity development
strategies and approaches

Remember, capacity development is NOT just about training

or staff development and may involve a whole range of
strategies and approaches e.g. learning by doing, peer to
peer mentoring, work place learning , on-site coaching
among others.

6.4. Prioritize the capacity development

initiatives as High, Medium and Low to
indicate which one should be implemented
first

Core Competency Objective for CD

and corresponding initiatives that are
aligned with the Priority Development
Agenda, Capacity Development
Requirements identified in the SLGR
and CDP-ELA priorities should be
marked as high in the priority list.
Review Matrix 1.

6.5. Identify target outcomes or milestones

that would be the basis for monitoring and
evaluation of the results of implementing
the CD Agenda.
6.6. Identify target individual, divisions,
systems, structures and policies that
should be primarily involved in and/or
should be addressed by the proposed
capacity development initiatives. These
may also include specific structures,
systems and/or processes that may be
influenced by the capacity development
agenda and process

9 Steps in Capacity Development

Agenda Formulation

6.7. Assign specific roles and responsibilities to achieve the capacity

objectives and targets
6.8. Indicate target deadline for the completion of each capacity
development initiative
6.9. Draw up realistic resource requirements and indicate funding
sources, if able to identify.

Resource requirements may take various forms: human, material and monetary.
Sources may be internal (from within the LGU budget) or external.

6.10. Identify potential sources of support or technical assistance.

For example, the Local Governance Resource Centers may be tapped to
facilitate specific capacity development initiatives. Similarly, national
agencies, academia or NGOs may be harnessed. It would be helpful if the
plan will indicate these potential sources of assistance.

47
52

48

Remember, capacity development is NOT just about training or staff development and may involve a whole range of
strategies and approaches e.g. learning by doing, peer to peer mentoring, work place learning, on-site coaching among
others.
This is how a CapDev Agenda Looks like:

Performance
Areas /
Service
Areas

Competency
Objectives

Capacity
Development
Responses
(Strategies/ Approaches/P/P/As)

EXPECTED
OUTPUT

TARGET BENEFICIARIES

No.

Type

Level
of
Priority

Funding Requirement
Time
Frame
2010

2011

2012

Source of
Office
Respon Support/
Technical
sible
Assistance

49

Step

Monitor Progress of the plan and make necessary adjustments

1. Keep track of the progress of the milestones in the agenda and document factors that
helped or hindered the achievement of the milestones.
2. Prepare regular status report of implementation of the capacity development
initiatives, strategies or approaches.
3. Adjust the plan based on the findings of the regular monitoring being conducted.

Taking Up the Challenge to Institutionalize Change

The best way to predict the future is to create it

Peter Drucker

52

or any local capacity development initiative to be strategic and effective, it is imperative for it to be based
on the strategic plan of an LGU. Efforts to enhance LGU capacities for improved performance should be
aligned with the LGU development goals and priorities. Conversely, LGU plans and priorities should be
supported by organizational and institutional competencies for its successful implementation.
Here lies the challenge of capacity development planning. Given its crucial place in the local development
management process, it should be prioritized and integrated meaningfully and systematically in local development
planning. At present, capacity development planning is a less prioritized task in many LGUs. Issues around time and
resources tend to set capacity development aside. Moreover, the view of capacity development as limited to training
removes the creativity from the process and tends to marginalize the whole range of CD strategies.
Promoting the culture of learning in pursuit of good local governance entails the need to address organizational and
institutional competency gaps. LGUs should not ignore or deny any shortcomings. Rather, the opportunity to build a
culture of self-assessment could not be more real and possible than now. Capacity development planning as a
knowledge process is a way to improving LGU performance.
It is important for an LGU to prioritize vis--vis a whole gamut of programs and projects when formulating a CD
Agenda. For example, the Core Competency Objectives for Capacity Development that align with LGPMS results and
CDP-ELA priorities must be high in the list of priorities. Moreover, the CD Agenda may also address areas that would
help sustain a particular performance area and make it even better. What would it take to sustain effective systems
and make them even more responsive? How can it be institutionalized?
The Local Government Operations Officers (LGOOs) play a pivotal role in promoting a culture of learning and selfassessment in local governance. The key is to understand what it takes to broker the knowledge created and made
available so that LGUs may be able to use it effectively to address their own needs and priorities. Knowledge capital
build-up or organizing the relevant data, information and knowledge needed to respond to the LGU CD Agenda is a
key result of capacity development planning. The LGOO is in the best position to facilitate this process in
coordination with the DILG Local Governance Resource Center. LGOOs have within their reach a wealth of tools and
strategies that would support LGUs craft a gender responsive Capacity Development Agenda.
One must not want to institutionalize change. One must choose to.