CAPDEV AGENDA

FORMULATION
Changes in the SCALOG
and Capdev Agenda
SCALOG
OLD VS. NEW
Dimensions of Capacity being analyzed
Old SCALOG New SCALOG

 “Organizational Competencies”  “Capacity Pillars” including:

including: o Structure
o Organization and Staffing o Competency
o Legislative Support & Other o Management Systems
Enabling Mechanisms o Enabling Policies
o Transparency o Knowledge and Learning
o Management Systems o Leadership
o Participation
o Continuous Improvement/
Innovation
o Customer Service
Areas Considered
Old SCALOG
 Follows the LGPMS Performance
Areas and Service Areas:
o Social Governance
o Economic Governance
o Environmental Governance
o Administrative Governance
o Valuing Fundamentals of
Good Governance
New SCALOG
 Aligned with the DILG Outcome
Areas:
o Competitive and Business
Friendly LGUs
o Environment Protective,
Climate Change Adaptive and
Disaster Resilient LGUs
o Socially protective and Safe
LGUs
o Accountable, transparent,
participative and effective
Local Governance
Link to CDP-ELA process
Old SCALOG New SCALOG

 Link to the CDP-ELA process is  Links to related steps in the CDP-

recognized but not clearly ELA process are specified to
specified facilitate integration of the
capacity assessment and CapDev
Agenda in the ELA
Who are involved
Old SCALOG
 Involves internal and external
stakeholders
 Facilitated/coordinated by the
LGPMS and/or SCALOG focal
person/team
 Involvement of CDP-ELA Team
not clearly specified
New SCALOG
 Involves internal and external
stakeholders
 Recognizes the role of the CDP-
ELA team in leading/ facilitating/
coordinating the process
Assessment Process
Old SCALOG
 Involves rating of specific
indicators per
performance/service area*
 Covers all areas, some of which
may not necessarily be a priority
for the LGU in the next 3 years
 Inadequate guide for in-depth
analysis
 The ratings are used as basis for
determining capacity
development interventions
New SCALOG
 No ratings required
 Process allows for focusing on the
capacities that are critical to
achieving the performance goals
set by the LGU for the next 3 years
 Involves more in-depth analysis of
the current state of capacity, and
identifying the desired capacity
improvements to achieve
performance goals
 The analysis is used as basis for
determining capacity
development interventions
CAPDEV AGENDA
OLD VS. NEW
Information Captured
Old CapDev Agenda
 Columns in the template include:  Columns in the template include:
o Outcome Area/ Performance
Objectives/ ELA Priority
o Capacity Development
Objectives
o Capacity Development
Interventions
o Expected Output
o Target of CapDev
o Timeframe
o Funding Requirements
o Process Owner/ Office
Responsible
o Source of Support/
Technical Assistance
New CapDev Agenda
o Outcome Area/ Performance
Objectives/ ELA Priority
o Current State of Capacity
o Desired State of Capacity/
CapDev Objectives
o Capacity Development
Interventions
o Expected Output
o Target of CapDev
o Timeframe
o Funding Requirements
o Process Owner/ Office
Responsible
o Source of Support/
Technical Assistance
CapDev framework:
Capacity and
Performance
A work in progress
• Complete the sentence…

video
The process of developing a
framework …

• Aims for usefulness rather than perfection

• Encourages shared understanding
• Recognizes that framework will evolve
over time in response to changing needs
and circumstances, new knowledge and
new evidence about what works
Purpose of the CapDev
Framework
• Define parameters for the assessment, planning,
execution, and monitoring and evaluation of
CapDev
• Promote shared understanding of critical
CapDev components (i.e., objectives, guiding
principles, etc.) among key players and
stakeholders
• Provide context to LGU CapDev and why it is
important to the role of the DILG in LGU
performance oversight and supervision
Components of the Capacity
Development Framework

• Purpose of the framework

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

LGU-driven
Performance-
Strategic and LGU-
focused
Owned

Tracked and
Adaptable Integrated
assessed

Policy-
Innovative
compliant
Guiding Principles for LGU
CapDev

Strategic

• Anchored on the LGU’s vision, mission

and priority development goals
• Attuned to current realities and
developments
• Forward-looking
Guiding Principles for LGU
CapDev

Performance-focused

• Aligned to the performance

improvement objectives and
priority thrust of the LGU
• Reflects LGU’s striving for
excellence and innovation
Guiding Principles for LGU
CapDev

LGU-driven and LGU-owned

• LGU identifies its priority needs and

determines appropriate interventions
• LGU-led but at the same time inclusive
of the needs and interests of relevant
stakeholders, and aligned with national
priorities/ development directions
Guiding Principles for LGU
CapDev

Adaptable

• LGUs have different profiles, contexts

and needs
• CapDev is customized and anchored on
the LGU’s context and change readiness
• Anticipates and responds to changed
circumstances
Guiding Principles for LGU
CapDev

Integrated

• CapDev initiatives are linked and

synergistic
• Uses a holistic, whole-system approach
(whole institution)
• Recognizes and optimizes the interplay
of different actors
Guiding Principles for LGU
CapDev

Tracked and assessed

• Evaluated for effectiveness in

improving LGU performance, lessons
are drawn and serve as basis for the
LGU’s continuous improvement; built
in feedback mechanism
Guiding Principles for LGU
CapDev

Policy Compliant

•Compliant with laws,

rules and regulations
(e.g., LGC, ARTA…)
Guiding Principles for LGU
CapDev

Innovative

•Utilizes various modes of

learning and knowledge
management
methodologies
Guiding Principles for
LGU CapDev

LGU-driven
Performance-
Strategic and LGU-
focused
Owned

Tracked and
Adaptable Integrated
assessed

Policy-
Innovative
compliant
Capacity
• Ability of LGUs to perform functions
to fulfill their accountabilities and
produce desired results
Performance
• Effectiveness of the LGU in doing its
mission or what its mandate says,
and producing desired results
Capacity and Performance

Capacity Performance

Input Throughput Output Outcome Impact

Resources, Processes Products Benefits Development

enabling Systems Services
mechanisms Programs that meet the Improvement
that lead/ needs of in the lives of
to run... to produce/ contribute to constituents constituents
deliver ... ... and lead to… (e.g., MDG)
Capacity and Performance

Capacity Performance

Input Throughput Output Outcome Impact

Ability of LGU to perform Effectiveness of the LGU in doing

functions to fulfill their its mission or what its mandate
accountabilities and produce says, and producing desired
desired results results

“means” “end”
Capacity and Performance
Capacity Performance

Resources, Processes Products Benefits Development

enabling Systems Services
mechanisms Programs that meet the Improvement
that lead/ needs of in the lives of
to run... to produce/ contribute to constituents constituents
deliver ... ... and lead to… (e.g., MDG)

Ability of LGU to perform Effectiveness of the LGU in doing

functions to fulfill their its mission or what its mandate
accountabilities and produce says, and producing desired
desired results results

“means” “end”
Societal Outcome
Inclusive Growth and Poverty Reduction

Self-
Sectoral Outcome Reliance,
Sustainable Development-Oriented Local Government Law and
Order and
Public Safety
Sub-Sectoral Outcomes

Environment-Protective,
Business-Friendly and Socially-Protective
Climate Change Adaptive and
Competitive LGUs and Safe LGUs
Disaster Resilient LGUs

Organizational
Outcome Accountable, Transparent, Participative
and Effective Local Governance
Reinforcing Agency
Multi-Sectoral

Commitments

Multi-Sectoral
Partnership

Partnership
LG Capacity Development
Major Final LG Performance Oversight
Outputs
LG Performance Incentive

Internal Strengthened Internal Note: Admin Guidance functions are already

Governance Organizational Capacity subsumed in the LG Performance Oversight
Outcome
 LGU Capacity and Performance
Performance
Environment
Protective, Climate
Change Adaptive and
Disaster Resilient LGUs
Socially
Competitive and protective and
Business Safe LGUs
Friendly LGUs

Accountable, transparent,
participative and effective Local
Governance
Capacity

Capacity Development
Performance Oversight
Performance Incentives
 Environment Protective, Climate Change Adaptive
and Disaster Resilient LGUs

Socially protective
Competitive and
and Safe LGUs
Business Friendly
Accountable, transparent,
LGUs
participative and effective
Local Governance

Pillars of
Capacity
 Department of Interior and Local Government
Vision
The Department is primary catalyst for excellence in local governance that nurtures self-reliant,
progressive, orderly, safe and globally competitive communities sustained by God-centered and
empowered citizenry.
Mission
The Department shall promote peace and order, ensure public safety, strengthen capability of local
government units through active people participation and a professionalized corps of civil servants.
Goals
Peaceful, safe, self-reliant and development-dominated communities;
Improve performance of local governments in governance, administration, social and economic
development and environmental management;
Sustain peace and order condition and ensure public safety.
Objectives
Reduce crime incidents and improve crime solution efficiency
Improve jail management and penology services
Improve fire protection services
Continue professionalization of PNP, BFP and BJMP personnel and services
Enhance LGU capacities to improve their performance and
enable them to effectively and efficiently deliver services
to their constituents
Continue to initiate policy reforms in support of local autonomy
 DILG Focal
Point Person

Linkage Policy Adviser

Facilitator and Advocate

Political MLGOO Performance

Analyst
Roles Adviser

Partnership
Compliance
and Synergist
Monitor
Adviser

Capability
Development
Catalyst
 DILG Roles in CapDev
• Policy Support to CapDev
• Monitor and Evaluator of CapDev Agenda
• Quality Controller of CapDev Agenda and Interventions
• Analyst of CapDev needs and trends
• Initiator, Broker and Harmonizer of CapDev
interventions
• Developer and keeper of database on LGU CapDev
needs and service providers
• Educator/Trainer/Facilitator
• Developer of Knowledge Products
• Coordinator
LGU CapDev Cycle

Stakeholder
Engagement

M&E of
CapDev Assessment
Agenda

Implementati
Planning
on of
(Term-based
CapDev
and Annual)
Interventions
 CDP-ELA Process
1 Planning to Plan

LGU Capacity 2 Prioritizing Issues

Development 3 Consulting with Multi-Stakeholders

Stakeholder 4 Defining/ Revisiting the LGU Vision and Mission

Engagement

5 Formulating Goals and Objective

M&E of
CapDev Assessment
Agenda 6 Prioritizing Programs, Projects and Capacity Development Needs

7 Determining Legislative Requirements

Implementati 8 Building Commitment

Planning
on of
(Term-based
CapDev
and Annual)
Interventions
9 Securing Endorsement, Adoption and Approval

10 Moving the ELA to Action

11 Popularizing the ELA

12 Managing and Sustaining ELA Implementation

LGU CapDev Cycle

Stakeholder
Engagement

M&E of
CapDev Assessment
Agenda CapDev Agenda
Formulation Process

Context Analysis

Capacity Assessment
Implementati
Planning
on of
(Term-based CapDev Planning
CapDev
and Annual)
Interventions
 CDP-ELA Process
1 Planning to Plan
CapDev Agenda
Formulation Process 2 Prioritizing Issues

3 Consulting with Multi-Stakeholders

Context Analysis 4 Defining/ Revisiting the LGU Vision and Mission

5 Formulating Goals and Objective

6 Prioritizing Programs, Projects and Capacity Development Needs

Capacity Assessment
7 Determining Legislative Requirements

8 Building Commitment
CapDev Planning
9 Securing Endorsement, Adoption and Approval

10 Moving the ELA to Action

11 Popularizing the ELA

12 Managing and Sustaining ELA Implementation

 CDP-ELA Process
1 Planning to Plan
CapDev Agenda
Formulation Process 2 Prioritizing Issues

3 Consulting with Multi-Stakeholders

Context Analysis 4 Defining/ Revisiting the LGU Vision and Mission

5 Formulating Goals and Objective

6 Prioritizing Programs, Projects and Capacity Development Needs

Capacity Assessment
7 Determining Legislative Requirements

8 Building Commitment
CapDev Planning
9 Securing Endorsement, Adoption and Approval

10 Moving the ELA to Action

11 Popularizing the ELA

12 Managing and Sustaining ELA Implementation

CapDev Agenda Formulation
Context Analysis

• What factors in the internal and external environment facilitate or

hinder the achievement of performance goals?
• Who are our stakeholders?

Capacity Assessment

• What are the performance issues that need to be addressed?

• What capacity do we need to improve to address the performance
issues?

Capacity Development Planning

• What solutions will improve capacity?

• How do we prioritize?
• How do we scope and sequence interventions?
CapDev Agenda Formulation
Context Analysis
Causal Loops Stakeholder Map

Capacity Assessment
Capacity Pillars Change Matrix

Capacity Development Planning

Solution Generation Prioritization
Capacity Development Agenda
Formulation Process, Steps and Tools
• Questions
• Process
• Steps
• Tools
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives  Current Performance
 Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG)  Analyze current capacity
 What is the desired state of capacity that will  Current State
 Define desired capacity
 Desired State
enable us to achieve our performance goal?  Identify capacity development
 What interventions do we need to undertake  CapDev Interventions
Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
If I had 60 minutes to solve
a problem, I’d spend 55
minutes defining it and 5
minutes solving it.
--Albert Einstein
CONTEXT ANALYSIS
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives  Current Performance
 Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG)  Analyze current capacity
 What is the desired state of capacity that will  Current State
 Define desired capacity
 Desired State
enable us to achieve our performance goal?  Identify capacity development
 What interventions do we need to undertake  CapDev Interventions
Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
STEP 1: IDENTIFY THE FACTORS
THAT CONTRIBUTE TO THE LGU’S
PERFORMANCE

Causal Loop
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives  Current Performance
 Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG)  Analyze current capacity
 What is the desired state of capacity that will  Current State
 Define desired capacity
 Desired State
enable us to achieve our performance goal?  Identify capacity development
 What interventions do we need to undertake  CapDev Interventions
Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
The Nature of Problems
Cynefin Framework:
D. Snowden and M. Boone

Simple Problems Best Practice

Complicated Problems Experts

Complex Problems Emergence

Chaotic Problems Rapid Response

COMPLEX SOCIAL
ISSUES
 The Philippine Divide
ECONOMIC RP ARMM
Poverty Incidence, 2000 34.0% 62.9%
Average Household Income, 2000 P144,039 P81,519
HEALTH RP ARMM
Life Expectancy (Women) 71.6 59.3
Life Expectancy (Men) 66.3 55.5
Infant Mortality, 1995 (per 1,000 live births) 49 63
Maternal Mortality, 1995 (per 100T live births) 180 320
Access to Safe Water, 2000 76.3% 61.6%
EDUCATION RP ARMM
Net Enrollment Rate (Primary), 2001 96.4% 82.0%
Net Enrollment Rate (Secondary), 2001 72.2% 39.2%
Cohort Survival Rates (Elementary), 2001 67.2% 33.6%
Cohort Survival Rates (Secondary), 2001 73.1% 64.1%
Functional Literacy (Female), 1994 85.9% 59.1%

Source: Human Development for Peace and Prosperity in the Autonomous Region in Muslim Mindanao
 A Philippine Divide-circa 2006

Source: NSCB, PEF Poverty Indicators 2007, PHDR 2005, DepEd 2008
What we need to
Understand
• Social issues are complex

• Systems Thinking & Societal

Learning are prerequisites for
sustainable change
Nature of Complex Social Issues

NATURE OF HIGH
COMPLEXITY
Dynamic Cause and effect are far in
time and space

Social People who are part of the

problem look at things
differently

Generative Solutions to the problem/s are

not in sight
 Working Through
Complex Social Issues
Nature of Intervention Methodology
Complexity Approach
Dynamic Systemic Systems Thinking

Social Participative Multi-Stakeholder

engagement

Generative Emergent Creative

SYSTEM THINKING
Using a Causal Loop
What is the Causal loop
• An analytical tool used to understand complex issues or
problems.
• Can be used to trace the causes and effects of a
problem, or a series of problems, and how they link or
interact with each other.
• It identifies what variables LGUs can effectively influence
and what actions are beyond their ability to change.
Why do a causal loop
• Offers a comprehensive view of complex issues in the
LGU;
• Provides an opportunity for stakeholder engagement;
• Provides a coherent picture of the issue, having
incorporated the views of different stakeholders.
When to use the causal loop
• Issue identification and analysis
• Solution generation
 Leaders For Our Time: The Mirant Leadership Fellows

Peace and Order Divide

s Military
Action o
Impact of:
• Religious National
Sentiments o
• Historical Security
Context Proliferation Quality of
s s of Firearms Justice
o s System
Social o
Unrest
o Peace & Private
Order Armies o
HDI s o Rido
Poverty
• Delivery of Armed s
s Basic Services Conflict
• Support for s
Impact on: Economic
Development
• Economic
Development s
• Participation
• Governance
SOURCE: Loong, . AIM-Mirant Center for Bridging Leadership Fellow.
 Political
differences
Disaster Preparedness
s DRRM Plan
LGU Priorities
Capacity s on DRRRM s
s s
Disaster Funds
Governance Early warning
system s
s
s
Check and DRRMO
balance Awareness
s s
s s
Local
Participation experience & Disaster LGU assistance
profile s Preparedness • Pre-
s emptive
s
o
evacuation
• Weather
Trust and advisory
confidence in Vulnerability/r
gov’t isks

s
o Damage to life
Disease and s and property
deaths
SOURCE: RDs and ARDs, Leadership Development Training, Tagaytay City. 15 January 2013
Causal loop: An example
 Drawing a Causal Loop =
Systems Thinking
1. Identify a SOCIAL DIVIDE or a COMPLEX SOCIAL
ISSUE in your outcome area
2. Choose a case giver; assume different roles
(women, children, NGO, LCE, church, etc.)
3. Tell the STORY as you understand it (different
individuals will have different angles to the “story”)
4. Identify the VARIABLES
5. Show the LINKS between variables
6. Label the RELATIONSHIPS between variables as
either S or O
7. CHECK if the causal loop depicts the story as you
(individual or group) understands it.
2 Main Questions

1. What are the factors that

contribute to the complex
social issue?
2. What are the consequences?
Relationship between
Variables
S ame  When one variable goes
up, the other goes up;
when one goes down,
the other also goes
down

O pposite  When one variable goes

up, the other goes down;
when one goes down,
the other goes up
Lets do it!

Step 1
• Identify a complex issue

• Identify the factors or variables contributing

Step 2 to the problem and their consequences

• Show the links between variables by

Step 3 identifying what is influencing what

• Label the relationship between variables as

Step 4 "s" for similar or "o" for opposite

• Check if the causal loop depicts the story as

Step 5 it is understood by stakeholders
Examples of Complex Issues
• On Business-Friendly and Competitive LGUs
1. Processing time
2. Revenue Code
3. Roads Infrastructure
4. Pass-thru fees (illegal fees)
• On Environment-Protective, Climate Change Adaptive,
and Disaster-Resilient LGUs
5. Denudation
6. DRRM Plan or DRRMC Functionality
7. Flooding
8. DRRM Fund
• On Socially-Protective and Safe Communities
9. LPOC Functionality
10. Criminality
11. WatSan
12. Waterless Communities
Some notes on Causal Loops
• Story can be told in positive or negative language
• Loops need not close
• Some factors may not yet link to any of the loops
• Original focus issue may turn out not to be the central
issue
• Write data statements on the causal
loop variables.
• Data sources: LGPMS, CBM, etc.
 Low
functionality
of SWMB
SWM not a
priority of
the LCE

Increasing
complaints

SWM plan not

up to date

Volume of
SW dumped
in dumpsite

Waste
heaps in
coastline Environment
al code not
up to date

50-74% of
Barangays
with MRF Inadequate
financing
Controlled
dumpsite
• Write data statements on the causal
loop variables.
• Data sources: LGPMS, CBM, etc.
Increasing
complaints

5MT/ day
solid waste
dumped in
dumpsite

Huge waste
heaps in
coastline

50-74% of
Barangays
with MRF
• Indicate how LGU is doing

+ Doing well

+⁄− Somewhat doing

well

− Not doing well

• Indicate how LGU is doing

+ Doing well

+⁄− Somewhat doing

well

− Not doing well

 Low
functionality
of SWMB
SWM not a
priority of
the LCE

Increasing
complaints

SWM plan not

up to date

Volume of
SW dumped
in dumpsite

Waste
heaps in
coastline Environment
al code not
up to date

50-74% of
Barangays
with MRF Inadequate
financing
Controlled
dumpsite
STEP 2: IDENTIFY AND ANALYZE
STAKEHOLDER
NEEDS/INTERESTS/ROLES
Stakeholder map
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives  Current Performance
 Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG)  Analyze current capacity
 What is the desired state of capacity that will  Current State
 Define desired capacity
 Desired State
enable us to achieve our performance goal?  Identify capacity development
 What interventions do we need to undertake  CapDev Interventions
Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
What is stakeholder analysis
• Used to identify the key people, groups or institutions who
have
• an interest in a particular complex issue or problem,
• their position on the issue, and
• how they can contribute in addressing the issue.
• Develops engagement and buy-in among stakeholders
who can potentially play a role in the conceptualization,
implementation, monitoring and evaluation of your
CapDev Agenda.
Why do a stakeholder analysis
• Knowing the needs of stakeholders makes us more
sensitive and responsive to these needs;
• Getting targeted stakeholders involved in our process
encourages buy-in in the formulation of the CapDev
Agenda, implementation, monitoring and evaluation of
the CapDev interventions.
• Getting targeted stakeholders involved generates more
possibilities of support (resource mobilization) for the
implementation of the CapDev intervention.
Sample stakeholder analysis
Lets do it!

Task 1 • Identify your

stakeholders

• Prioritize your

Task 2 stakeholders;Fill
up the rest of
the table;

• Implement
action needed to

Task 3 maintain
engagement of
stakeholder
group
Stakeholder Map Regional

Secondary Primary Key Key Primary Secondary

stakeholders stakeholde stakeholders stakeholders stakeholders stakeholders
rs
Your Programme
Insights
• What are your thoughts about this tool?
• Is it effective in achieving its objectives? helpful? Easy?
• What was challenging about the tool?
• How can we enhance the tool?
Capacity Assessment
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
Capacity
• Ability of LGUs to perform functions
to fulfill their accountabilities and
produce desired results
Performance
• Effectiveness of the LGU in doing its
mission or what its mandate says,
and producing desired results
Capacity and Performance

Capacity Performance

Input Throughput Output Outcome Impact

Resources, Processes Products Benefits Development

enabling Systems Services
mechanisms Programs that meet the Improvement
that lead/ needs of in the lives of
to run... to produce/ contribute to constituents constituents
deliver ... ... and lead to… (e.g., MDG)
Capacity and Performance

Capacity Performance

Input Throughput Output Outcome Impact

Ability of LGU to perform Effectiveness of the LGU in doing

functions to fulfill their its mission or what its mandate
accountabilities and produce says, and producing desired
desired results results

“means” “end”
Capacity and Performance
Capacity Performance

Resources, Processes Products Benefits Development

enabling Systems Services
mechanisms Programs that meet the Improvement
that lead/ needs of in the lives of
to run... to produce/ contribute to constituents constituents
deliver ... ... and lead to… (e.g., MDG)

Ability of LGU to perform Effectiveness of the LGU in doing

functions to fulfill their its mission or what its mandate
accountabilities and produce says, and producing desired
desired results results

“means” “end”
Performance vs. Capacity
Capacity
• Appropriate organizational
structure
• Competent employees
• Efficient and effective
Management systems
• Enabling policies
• Presence of Knowledge
management mechanisms
• Adequate resources
• Effective leadership
Performance
• Increase in farmers
participating in agri-extension
program
• Increase in business
registration
• Increase in local revenues
• Increase in income of farmer
households
• Decrease in infant mortality
• Client satisfaction
• Compliance with Environmental
Code
STEP 3: DETERMINE
PERFORMANCE GOALS
AND OBJECTIVES
Change matrix
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
What is the performance change
matrix
• Objectively reflects the current and desired states of
performance
Why do the performance change
matrix
• Agree on performance targets;
• Agree on actual performance levels;
• Objectively gain a shared understanding of desired
performance and actual performance levels;
• Provides anchor and objective basis for analyzing
capacity needs and requirements.
Lets do it!

1. Organize the Performance Change Matrix

according to LGU priority or outcome areas.

2. Group according to (1) Competitive and

business friendly LGUs; (2) Environment
Protective, Climate Change Adaptive and Disaster
Resilient LGUs; (3) Socially protective and safe
LGUs; (4) Accountable, transparent, participative
and effective local governance.

3. Fill up the Performance Change Matrix following

these tasks
Performance Change Matrix
Sample Performance Change
Matrix
Filling up the Performance
Change Matrix

1. Cull data on the current

state of performance

2. Formulate goals and

objectives
What are the
performance
issues?
Increasing
complaints

5MT/ day
solid waste
dumped in
dumpsite

Huge waste
heaps in
coastline

50-74% of
Barangays
with MRF
What is our current
level of
performance?
Determining current levels of
performance
• Possible sources
• Causal loop discussions and other anecdotal data
• LGPMS
• CBMS, Seals, and other tools
Causal loop as source of
performance data
• Choose performance-related data from your causal loop
• Make the performance statements more specific by citing
actual values
 Low
functionality
of SWMB
SWM not a
priority of
the LCE

Increasing
complaints

SWM plan not

up to date

Volume of
SW dumped
in dumpsite

Waste
heaps in
coastline Environment
al code not
up to date

50-74% of
Barangays
with MRF Inadequate
financing
Controlled
dumpsite
Sample Performance Change
Matrix
Increasing
complaints

5MT/ day
solid waste
dumped in
dumpsite

Huge waste
heaps in
coastline

50-74% of
Barangays
with MRF
What is our targeted
level of
performance?
Goals Objectives
Desired/targeted levels of
performance
Goals
• In the hierarchy of results, goal
is the higher objective.
• Goals are long-term results that
bring the LGU closer to the
vision.
• They represent and measure
the desired changes in the lives
of the local community.
• Goals impact on the lives of
your constituents.
• They are measured in terms of
actual benefits to people.
Objectives
• Objectives are immediate
results that LGUs are directly
accountable for.
• They can be achieved in the
shorter term.
• The realization of several
objectives can contribute to the
achievement of a goal;
strategies to achieve the goal
Sample Performance Change
Matrix
STEP 4: ASSESS
CURRENT AND DESIRED
STATE OF CAPACITY
Capacity Change Matrix
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
What are the
capacity
issues?
 Low
functionality
of SWMB
SWM not a
priority of
the LCE

Increasing
complaints

SWM plan not

up to date

5MT/day of
SW dumped
in dumpsite

Waste
heaps in
coastline Environment
al code not
up to date

50-74% of
Barangays
with MRF Inadequate
financing
What is capacity assessment
• Capacity assessment is the process of identifying
the elements that facilitate or hinder the
performance of an LGU.

• It aims to determine the core factors that need to

be addressed to improve performance
How to assess capacity
• The process of analyzing capacity uses a
framework called the Capacity Pillars.

• These are the factors that indicate an LGU’s

capacity or its “ability to perform functions to fulfill
their mission and deliver desired results.”

• The intended desired results will largely revolve

around economic, environment, social and
governance outcomes
 Environment Protective, Climate Change
Adaptive and Disaster Resilient LGUs

Competitive and Socially protective

Business Friendly and Safe LGUs
LGUs Accountable, transparent,
participative and effective
Local Governance

Pillars of
Capacity
Structure
• Presence ofappropriate structure (office, committee
or work group) with defined authority and
accountability for performing the necessary functions
within a program
• Note: include external support groups, e.g., LDRRMC,
SWMB

• Points for assessment:

• Presence/ absence of formal structure?
• Functional? (appropriate staffing/membership, meeting regularly,
producing required outputs, provided with budget)
Competency
• Knowledge and skills of people who need to perform
their assigned functions in the program
• Technical competencies
• Program management competencies
• Planning
• Designing
• Implementing
• Monitoring and evaluation

• Points for assessment:

• Level of proficiency (proficient, needs improvement, not proficient)
• Level of motivation/ productivity
Management Systems
• Systems, processes and procedures for managing
programs
• Planning and budgeting
• Design and Development
• Implementation
• Monitoring and Evaluation

• Pointers for assessment:

• Documented? (manual, flowchart, plan, protocols, SOP)
• Approved?
• Standardized?
• Streamlined?
• User-friendly/ customer-focused?
• Implemented/ used?
• Participatory?
• Transparent?
Enabling Policies
• Presence of policy and legislative support for
planning, developing, implementing, monitoring and
evaluating service delivery functions, programs and
projects

• Points for assessment:

• Presence/ absence?
• Sufficient/ effective/ with gaps?
• Conflicting?
• Up-to-date?
• Disseminated?
• Enforced?
Knowledge and Learning
• Mechanisms for generating, analyzing and using
data and information as basis for decision-making and
continuous improvement

• Pointers for assessment:

• Data or database is accessible to and used by stakeholders
• M&E data are used
• Engaging citizens/ stakeholders to provide feedback on service
delivery
• Continuous benchmarking with good practices
• Comparing own performance with other LGUs
• Documenting and sharing good practices
Leadership
• Presence of mechanisms for:
• Defining vision, mission and values, and setting strategic
directions
• Ensuring transparency and accountability in the LGU’s operations
• Instituting participatory mechanisms
• Establishing partnerships and collaboration
• Visible sponsorship of programs

• Pointers for assessment

• Social Contract, CDP-ELA, Strategic Plan, etc.
• SGH compliance, Ulat ng Bayan, etc.
• Involvement of CSOs, citizen feedback mechanisms
• Partnerships with NGAs, regional, sectoral groups, private sector,
media, etc.
• Active involvement in program, providing resources, etc.
 Environment Protective, Climate Change
Adaptive and Disaster Resilient LGUs

Competitive and Socially protective

Business Friendly and Safe LGUs
LGUs Accountable, transparent,
participative and effective
Local Governance

Knowledge & Learning

Management Systems
Pillars of

Enabling Policies
Competency

Leadership
Structure

Capacity
What is the Capacity Change
Matrix
• The capacity Change Matrix is used as a tool for
systematically answering the following questions:

• What are our capacity requirements given our performance goals

and objectives?
• What is the current state of our capacity?
• What is the desired state of capacity that will enable us to achieve
our performance goal?
• What interventions do we need to undertake to improve our
capacity?
Why do the Capacity Change
Matrix

• Gain a shared understanding of the root causes of the

performance problems/gaps

• Demonstrate the need for a systems approach to solving

performance problems/gaps

• Used as basis for generating solutions that address the

root causes of the performance problems/gaps

• Used as basis for prioritizing the solutions

Benefits of using the Capacity
Change Matrix
• Concise documentation of the current and
desired state of each capacity pillar

• Allows coherent analysis of LGUs’ performance

and corresponding CapDev to achieve its
performance goals

• Ensures consistency and alignment

Key Questions and Tools

✓
✓
Context
Analysis What factors contribute to
Causal Loops
the LGU’s performance?

Who are the

Stakeholder Map
stakeholders?
 ✓
Key Questions and Tools
Capacity What is the extent of SLDR, SLGPR,
Assessment the problem? CBMS, others

What are the capacity

Capacity Pillars
issues?

What is not working/

Change Matrix
lacking/ missing? What (Current State)
are the consequences?
What is the desired Change Matrix
state? (Desired State)
 not
What is
working well?
What are the
consequences?
Examples
Leadership

SWM is not a priority of the LCE

Poor plans and programs
Insufficient funding support
Examples
Structure

Low functionality of the SWMB; no regular

meetings
No coordination among members of the Board leading to
poor implementation and overlapping of PPAs

ENRO just designated; has dual function

(also the CPDC)
Programs not properly monitored
Examples

Knowledge and Learning

Lack of benchmark information & best

practice relative to SWM; Insufficient data
(e.g., volume of solid waste generated, and number of
households practicing segregation at source)
Poor plans
Poor program design
Inefficient technologies used
 Change Matrix
Current State
Volume of solid waste dumped
in dumpsite

Waste heaps in coastline

Leadership

SWM is not a priority of the

LCE
Poor plans and programs
Insufficient funding support
 Change Matrix
Current State

Structure

Low functionality of the

SWMB; no regular meetings
 No coordination among
members of the Board
leading to poor
implementation and
overlapping of PPAs

ENRO just designated; has

dual function (also the CPDC)
 Programs not properly
monitored; resources wasted
 Change Matrix
Current State
Knowledge and Learning

Lack of benchmark
information & best practice
relative to SWM; Insufficient
data (e.g., volume of solid
waste generated, and number
of households practicing
segregation at source)
Poor plans
Poor program design
Inefficient technologies used;
resources wasted
 What is
working well?
What are the
positive
effects?
Lets do it!
• Revisit Causal Loops
• What factors are related to the capacity
pillars?
• In other factors, what are the underlying
or implied capacity issues?
Lets do it!
Cull the Current and Desired State
of Performance on one outcome
area from the Performance Change
Matrix completed in Step 3, and
place in the Performance section of
the Capacity Change Matrix.

Determine the causes of

the performance gaps or
the factors contributing to
good performance.
What is the
desired
state?
Desired State: In 3 years…
• What would the future state look like if the current issue/s
are addressed?
• What is the improvement?
• What would be there that was missing or lacking before?
• What would be working better compared to the current
situation?

Current Desired
State State
 Change Matrix
Current State
100 metric tons of solid waste
dumped in dumpsite
Waste heaps in coastline
Leadership
SWM is not a priority of the
LCE
Poor plans and programs
Insufficient funding support
Desired State
Volume of solid waste
dumped in dumpsite by
50%
No waste heaps in
coastline
SWM is among the
strategic priorities of the
LGU; updated SWM plan
in place; budget based on
plan
 Change Matrix
Current State
Structure
Low functionality of the
SWMB; no regular meetings
 No coordination among
members of the Board
leading to poor
implementation and
overlapping of PPAs
ENRO just designated; has
dual function (also the CPDC)
 Programs not properly
monitored; resources wasted
Desired State
SWMB meets regularly
(PNA) & collaboration with
different stakeholders is
being practiced resulting
to a more responsive
SWM plan and
harmonized PPAs
ENRO appointed with
office & personnel;
management systems
established
 Change Matrix
Current State Desired Sate
Knowledge and Learning
Sufficient & updated
Lack of benchmark database is in place as
information & best practice well as knowledge of best
relative to SWM; Insufficient practices & technology are
data (e.g., volume of solid used as inputs for SWMP
waste generated, and number
of households practicing
segregation at source)
Poor plans
Poor program design
Inefficient technologies used;
resources wasted
Generating Solutions

Well-defined problems
have a clear path to
their solution
LGU Influence

Capacity Performance

Input Throughput Output Outcome Impact

Resources, Processes Products Benefits Development

enabling Systems Services
mechanisms Programs that meet the Improvement in
that lead/ needs of the lives of
to run... to produce/ contribute to ... constituents and constituents (e.g.,
deliver ... lead to… MDG)

Factors within LGU influence

Factors beyond LGU influence
Capacity Development

• Enhancing individual competencies

and organizational capacity through
strategic and integrated interventions
to equip and empower LGUs to fufill
their accoutabilities, and produce
desired results
 What
solutions
will improve
capacity?
Activity
• What solutions/ interventions will help achieve our desired
state?
 Change Matrix
Current State
100 metric tons of solid waste
dumped in dumpsite
Big waste heaps in coastline
Leadership
SWM is not a priority of the
LCE
Poor plans and programs
Insufficient funding support
Volume of solid waste
dumped in dumpsite by
50%
No waste heaps in
coastline
Include SWMP in the SWM is among the
agenda of the LDC strategic priorities of the
meetings for LGU; updated SWM plan
prioritization & fund in place; budget based on
appropriation plan
 Change Matrix
Current State
Structure
Low functionality of the
SWMB; no regular meetings
 No coordination among
members of the Board
leading to poor
implementation and
overlapping of PPAs
ENRO just designated; has
dual function (also the CPDC)
 Programs not properly
monitored; resources wasted
Reactivation of SWMB meets regularly
SWMB (PNA) & collaboration with
different stakeholders is
Conduct of monthly being practiced resulting
SWMB meeting to a more responsive
SWM plan and
harmonized PPAs
Enact ordinance & ENRO appointed with
allocate budget for office & personnel;
the creation of management systems
ENRO established
Recruit ENRO and
staff; conduct
training
 Change Matrix
Current State
Knowledge and Learning
Lack of benchmark
information & best practice
relative to SWM; Insufficient
data (e.g., volume of solid
waste generated, and number
of households practicing
segregation at source)
Poor plans
Poor program design
Inefficient technologies used;
resources wasted
Research on best Sufficient & updated
practice for database is in place as
replication well as knowledge of best
practices & technology are
Develop and install a used as inputs for SWMP
SWM database
• Conduct survey to
gather relevant
data & update the
same regularly
Lets do it!
Cull the Current and Desired State of Performance
on one outcome area from the Performance Change
Matrix completed in Step 3, and place in the
Performance section of the Capacity Change Matrix.

Determine the causes of the performance gaps or the

factors contributing to good performance.

Determine Desired State of capacity.

Identify Capacity Development Interventions

Sample Capacity Change Matrix
Other possibilities
• Menu of Capacity Development Interventions
Source : Worley and Cummings
CapDev Planning
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
STEP 5: PRIORITIZE
CAPDEV INTERVENTIONS
Contribution-Effort Quadrant
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
and Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
What
are the
priorities?
Why prioritize?
• Time: What can be done in 3 years?
• Resources: What can be done with the resources
currently available?
• Optimize the gains: What interventions will generate the
best results?
• Multiple demands: What interventions will yield benefits
for more stakeholders?
What is the Contribution-effort
Matrix
• This tool is used in choosing solutions that seem easiest
to implement but with the biggest contribution to the
desired outcome.
• The tool is based on two criteria: (1) its contribution to the
desired outcome and (2) level of effort in implementing
the solution.
Prioritizing Solutions
Level of Effort

• Time Frame (short-, medium-, long-term)

• Availability/amount of resources
• Accessibility of resources

Level of Contribution

• Directly addresses the issue

• Addresses gaps in achieving desired outcomes
• Builds on and sustain current and projected gains
from past and current interventions
Contribution-Effort Matrix
Benefits of using a Prioritization Matrix
• It helps prioritize complex or unclear issues, and projects,
using multiple criteria for determining importance
• It provides a quick and easy, yet consistent, method for
evaluating options
• It offers a means of quantifying the decision with numeric
rankings
• It is an adaptable tool that can be used in various priority-
setting needs
• When used as a group activity, it facilitates consensus on
priorities and key issues
• It offers a venue for conversations among LGU team
members
Let’s do it!
• From the Change Matrix, retrieve the proposed CapDev
interventions.
1
• Construct an empty diagram with level of effort required to
implement the CapDev solution on the horizontal axis and
impact or contribution of the solution on the vertical axis, and
2 divide it into four quadrants

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

3
STEP 6: DETERMINE
RISKS AND MITIGATION
STRATEGIES
Risk Register
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
and Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
What is the risk register?
• The tool is prepared at the beginning of a project to
characterize/identify all the risks associated with the
project.
• Is used to identify project risks, analyze the probability of
the risks occurring and the impact it would have on the
project should the risks occur, and determine strategies
that will mitigate the effects of the risks
Elements of the Risk Register

RISK LEVEL
RISK DEFINITION establishes the
defines the key intensity of the
risks to the project risk, e.g. High,
Medium or Low

RISK MITIGATION
STRATEGY RISK OWNER
outlines the risk identifies the
response owner of the risk,
strategies that will or the person or
be used to unit responsible for
manage the risk to dealing with the
prevent a risk risk event
event
Why do the risk register?
• Reduce the likelihood of the risk occurring.
• Increase the visibility of the risk.
• Increase the ability of the project team to handle
the risk, should it occur.
• Reduce the impact of the risk, should it occur.
Lets do it!
• Identify risks for each risk category
1

• Decide on the risk level or intensity of the

2 risk, using a rating scale

• Identify risk response strategy/ies for each

3 risk factor identified

• Identify the risk owner

4
Sample Risk Register
STEP 7: FORMULATE
THE CAPDEV AGENDA
CapDev Agenda
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
and Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
What is the CapDev Agenda
• A roadmap of appropriate individual and
organizational enhancement interventions
• within specific timeframes
• identified milestones and deliverables
• available and accessible resources
• …. to address priority capacity development
needs along defined LGU performance
outcomes
What are the elements of the
CapDev Agenda?
• Targeted Outcome Area/ ELA Priority and Performance
Goals
• Current State of Capacity
• Desired State of Capacity (Capacity Development
Objectives)
• Capacity Development Interventions
• Expected Output
• Target of CapDev
• Timeframe
• Funding Requirements by year
• Process Owner/ Office Responsible
• Source of Support/ Technical Assistance
Why formulate the CapDev
Agenda?
• The CapDev Agenda serves as basis for:
• Communicating the strategic directions and reform
agenda of the current leadership;
• Allocating the budget requirements of each capacity
development intervention across outcome areas of the
LGUs;
• Mapping out a results framework/ monitoring and
evaluating the effectiveness of the CapDev
interventions.
• Generating accountabilities for institutionalizing and
reaping the gains of the capacity development
intervention
Let’s do it!
• Cull the current state of capacity.
• This is captured in the Capacity Change Matrix of Step 4;
1

• Cull the desired state of capacity.

• This is also captured in the Capacity Change Matrix of Step 4.
2

• Cull the capacity development interventions.

• This is also discussed in the Capacity Change Matrix of Step 4.
3

• Identify expected outputs of the intervention

• The output may be a written policy, guideline or procedure reflecting improvements
4 in systems and processes introduced as a result of the Capdev intervention
Let’s do it
• Identify the target individuals, divisions that should be involved in or
should be addressed by the proposed capacity of the Capdev
5 intervention.

• Identify timeframe of the implementation of the CapDev intervention.

• Specify the start start and end of completion of each capacity
6 development intervention.

• Identify the funding requirements for Year 1.

• Refer to Step_5 on Prioritizing CapDev interventions. Choose Year 1
7 CapDev interventions.

• Identify the funding requirements for Year 2

8
Let’s do it
• Identify the funding requirements for Year 3.
9
• Identify the process owner/office responsible.
• The process owner owns the process that is being
10 improved.

• Identify the source of support or technical

assistance for each intervention.
11
CapDev Agenda

• Expected Output: plan, program, system, process, trained staff

• Target of CapDev: who will be trained or be involved in the intervention
• Timeframe: which year, and what is the duration (e.g., 3months, etc.)
• Funding Requirements: estimated cost/ budget required
• Process Owner/ Office Responsible
• Source of Support/ Technical Assistance
Sample CapDev Agenda
Considerations in CapDev
Planning
• Sequence of interventions (which comes first)
• Timing of interventions (is this the right time?)
• Quick-wins vs long term solutions (demonstrate
benefits quickly to gain support/ momentum)
STEP 8: INTEGRATING
THE CAPDEV AGENDA IN
THE CDP/ELA
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives Current Performance
Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG) Analyze current capacity
Current State
 What is the desired state of capacity that will Define desired capacity
Desired State
enable us to achieve our performance goal? Identify capacity development
CapDev Interventions
 What interventions do we need to undertake Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
and Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
Format of the CDP/ELA
Format of the CDP/ELA
LGU CapDev Cycle

• Term-based
LGU Performance
• Aligned with budget cycle Goals Achieved
Activity
• Arrange your solutions in order of priority.
What is
plan
the
of action?
TYING IT ALL UP… 
 Key Questions Process Steps Tools

Step 1.Identify the factors that

Causal Loops
What factors contribute the LGU’s performance? contribute to the LGU’s performance

Who are our stakeholders and what are their Context Analysis
interests? Step2.Identify our key stakeholders
Stakeholders Map
and their interests

What are our performance goals and objectives?

 What is the current state of our performance? Step 3. Determine performance goals Change Matrix (Performance)
 What is the desired state of our performance? and objectives  Current Performance
 Desired Performance
Capacity
What are our capacity requirements given our
performance goals and objectives? Assessment Step 4. Assess capacity
Change Matrix (Capacity)
 What is the current state of our capacity? (SCALOG)  Analyze current capacity
 What is the desired state of capacity that will  Current State
 Define desired capacity
 Desired State
enable us to achieve our performance goal?  Identify capacity development
 What interventions do we need to undertake  CapDev Interventions
Interventions
to improve our capacity?

Given our resources and other considerations,

Step 5. Prioritize interventions Contribution-Effort Quadrant
what are our priority interventions in the next 3
Prioritization Matrix
years?
Capacity
What are the risks in implementing our planned Development Step 6.Determine risks and mitigation
interventions? How do we mitigate them? Planning strategies Risk Register

(CapDev Agenda)
What is our CapDev Agenda for the next 3 years?
Step 7. Develop the CapDev Agenda CapDev Agenda

How do we integrate the CapDev Agenda in the

CDP/ELA?
Step 8. Integrate CapDev Agenda in
Integration the CDP/ELA
How do we manage and sustain the CapDev
Agenda?
CapDev Agenda Formulation
Process

Context Analysis

Capacity Assessment

CapDev Planning
 Key Steps and Tools

Context
Analysis 1. Identify the factors
contribute to the LGU’s
performance in a sector/ Causal Loops
performance area/
service area

2. Identify the stakeholders

and what are their Stakeholder Map
interests
 Key Steps and Tools
Capacity 1. Determine the extent of SLDR, SLGPR,
Assessment the problem CBMS, others

2. Identify the capacity

issues (or underlying Capacity Pillars
capacity issues

3. Analyze the current

state: What is not
Change Matrix
working/ lacking/ (Current State)
missing? What are the
consequences?
4. Describe the desired Change Matrix
state (Desired State)
 Key Steps and Tools
Capacity 1. Identify solutions to
Change Matrix
Development improve capacity
Planning`
2. Determine the Contribution-Effort
priorities Quadrant

3. Formulate the plan

CapDev Agenda
of action
--modified Chinese proverb