Building on the Full Disclosure Policy: Strengthening...

Building on the Full Disclosure Policy:

Strengthening Citizen Demand for Local Governance

Project Background to the Capacity Building Workshop

Capacity building workshops were held on April to May 2012 to support the Department of the Interior and Local Government’s Full Disclosure Policy (FDP) goals. The DILG issued the FDP in 2010 to mandate LGUs to publicly disclose 12 key reports on local government budgeting, planning, procurement, and gender and development. The pilot capacity building program was part of an effort of the World Bank (with the broader support of development partners of the Philippine Development Forum, Working Group on Decentralization and Local Government) to strengthen the capacity of CSOs, including the academe, to utilize the disclosed LGU reports in the context of their specific local development advocacies and missions. The program aimed to enhance the ability of the CSOs to engage LGUs through advocacy and development activities, to effectively participate in Local Special Bodies, and to monitor LGU fiscal performance.

The International Center for Innovation, Transformation and Excellence in Governance (INCITEGov) was contracted to design and deliver the workshops based on the guidelines of the over-all project objective and the project design. An integral part of the project design were the activities undertaken that guided the training design. These were the identification of the target organizations and participants and the assessment of their training needs.

There were two target groups for the capacity building program. The first was a sample of NGOs chosen according to their previously stated organizational needs, their track record of engagement with LGUs, and their commitment to engage local governments through advocacy and development activities as shown by their current projects and/or work-plan/agenda. The second was a sample of NGO representatives that are currently members of LSBs in select LGUs.

The project required that the training design be guided by adult learning methodologies and be focused on the problems, issues, and/or projects to be specified beforehand by each participating CSO, for which an increased understanding of the 12 mandatory documents will be of use. It was expected that this approach will concretize for the participants the value of the competencies to be learned and will increase the probability that the CSOs will apply these in their on-going engagement with LGUs. A short duration of on-line post-workshop coaching sessions was available to the participants.

The Capacity Building Design that they used and subsequently revised follows. The CapDev Team suggested for this training

is composed of: one or two budget experts, a highly skilled facilitator, and a documenter. Resource persons are to be invited based on the key learning contents.

Capacity Building Design of 17

CAPACITY BUILDING DESIGN Overall Project Objective: Strengthen the capacity of civil society organizations (CSOs) to utilize in their local governance activities Local Government Unit (LGU) Reports disclosed under the Full Disclosure Policy Terminal Objective: At the end of the workshop, participants will be able to improve their Action Plans by utilizing specific LGU Reports & its analyses. The Action Plans are on pre-identified problems, issues, &/or activities in local governance that the participants’ organizations are facing.

Number of Participants: 15 persons, men & women

Activities & Time Allotment

Session Objectives

At the end of the module/session,

participants will be able to:

Key Learning Contents & References

Method & Process Responsible Person/s

Note to Trainers: Prior to Day 1, provide participants with the Simplified Guide, the FDPP URL & other project background materials

DAY 1

I. Preliminaries: (15 mins.)

- National Anthem & moment of silence for prayers (optional)

A. Welcome Remarks: FDP Goal, Project Background & Workshop Objectives

Relate the workshop w/ the broader project & the goal of the FDP

Rationale of the workshop (introduction of the FDP, its goal & project background)

Introduction of Capacity Development (CapDev) Team

Plenary Session

Presentation

CapDev Team Leader (Budget Expert) or Cap Dev Team Facilitator & Representative from Department of the Interior & Local Government BLGS Partnerships Office

B. Introductions & Expectations Setting

Align their expectations with the workshop objectives & write their expectations on meta cards

Self Introductions

Overview of Workshop Program Contents of

Interactive Getting-to-Know-You The facilitator will present

Cap Dev Team Facilitator



Session Objectives





(45 mins.)

Explain the pre-identified problem or issue or activity in local governance that their organization is facing

Look through the contents of their CapDev kit & view the FDP Portal

Express agreement on house rules

See & ask clarificatory questions on the initial Action Plan template (for completion at night of Day 1)

CapDev kit & FDP Portal http://fdpp.blgs.gov.ph or http://fdpp.dilg.gov.ph

Expected individual output by the end of workshop (introduction to Action Plan & explanation of template)

Participants’ expectations

House Rules

See Reference Day 1 Introduction to Action Plan

questions to guide the writing of expectations on meta cards. Possible guide questions: - Reviewing your pre-

identified problem or issue or activity in local governance, how can it be addressed by participating in this workshop?

- What is your personal goal after this workshop?

Powerpoint Presentation on initial Action Plan & brief Q&A

C. Administration of CapDev Learning Questionnaire (pre) (15 mins.)

Accomplish questionnaires

Purpose of the Questionnaire Suggested References: Kirkpatrick, D. L. 1998. Evaluating Training Programs: The Four Levels. San Francisco: Berrett-Koehler Publishers. “Evaluating the Social Accountability Training.” A Manual for Trainers of Social Accountability (ANSA-EAP, 2010, pp. 177-180)

Explanation in plenary followed by individual completion The facilitator explains that the purpose of the learning questionnaire (pre & post) is to determine the change in learning of participants so that post-workshop interventions can be designed & proposed.


http://fdpp.blgs.gov.ph/

http://fdpp.dilg.gov.ph/



Session Objectives





http://www.ansa-

eap.net/learning-in-

action/manual-for-trainers-on-

social-accountability

B R E A K (15 mins.)

II. The Politics, Governance & Development Outcomes of Constructive Engagement of CSOs with Government

(45 mins.)

Relate the Capacity Building workshop w/in the broader context of the reform objectives of CSOs

Express insights on experiences of constructive engagement with government

CSOs & the need for Constructive engagement

Full Disclosure Policy (FDP)& the benefits

of participative governance in the budget process

Roles for Citizen Engagement in the budget process

Suggested References: See “Reference Day 1, Session II” in http://fdpp.blgs.gov.ph/

References or http://fdpp.dilg.gov.ph/ References

Presentations in plenary & Discussion Possible guide question for discussion: In one to three words, how would you characterize your engagements with government for your advocacies?

CapDev Team member (w/ experience in, & knowledge of, constructive engagement)

http://www.ansa-eap.net/learning-in-action/manual-for-trainers-on-social-accountability





http://fdpp.dilg.gov.ph/%20References

http://fdpp.dilg.gov.ph/%20References



Session Objectives





III. The Public Financial Management Cycle & the Local Budgeting Process

(2 hrs.)

Explain why the Annual Investment Plan (AIP) is a necessary document to analyzing the 12 Reports

Arrange in order the phases of the budget cycle & the AIP flow chart

Introduction on PFM The Plan-Budget Cycle Functions of the Budget /Importance of LGU budget as an expression of policy Suggested References: See References Day 1 Session III, A

PFM Cycle, Video, Affiliated Network for Social Accountability in East Asia & the Pacific (ANSA-EAP)

Joint Memorandum Circular (JMC) No. 1, 2007) DILG, NEDA, DOF & DBM

http://www.jmc2007compendium.com

Local Development Plan (sample)

Annual Investment Program (sample)

RA 7160 (Local Government Code of 1991)

DBM Budget Operations Manual

Video presentation & brief Q&A Video material: On the PFM Cycle (ANSA-EAP)

Powerpoint Powerpoint Discussion in plenary: Harmonization & Stronger Linkage in LGU Planning & Budgeting Illustrative Sample of Annual Investment Program (AIP) Group Exercise: Arrange in sequence the: A. Phases of budget cycle &

budget calendar B. Annual Investment Planning

(AIP) Flow Chart & responsible entities

Process: - Divide participants into two

groups

CapDev Team Leader (Budget Expert) Cap Dev Team Facilitator explains the exercise CapDev Team Members monitor

http://www.jmc2007compendium.com/

http://www.jmc2007compendium.com/



Session Objectives





-

- Give each group one brown envelope containing cut-outs to be arranged in sequence

- Group 1 to do Exercise A - Group 2 to do Exercise B - Once completed, each

group will post the completed budget cycle & the AIP flow chart

- Groups will check & correct their outputs, if needed, based on the presentation & discussion

Materials needed: - 2 sets of cut-outs: 1) Budget

phases 2) Key activities & responsible entities in AIP

- Manila/easel paper - Masking tape

CapDev Team Leader (Budget Expert)

Local government budgeting principles & general limitations See References Day 1 Session III, B

Powerpoint Presentation & Discussion in plenary Understanding the Local Government Budget & Budgeting Process

LUNCH (1 hour)

Continuation (30 mins.)

Ask clarificatory questions or share insights, particularly on the link between the local

Clarifications on the local budget & process

Challenges & opportunities

Discussions in plenary: The CapDev Team members

CapDev Team Members



Session Objectives





budget & their pre-identified problem or issue or activity in local governance

Express their strengths & weaknesses & those of their organization on understanding & utilizing the local budget and process

in CSO engagement with LGUs in the local budgeting process

facilitate a discussion on the key learning contents and encourage participants to relate the topics with their pre-identified problem or issue or activity in local governance.

IV. Introduction to Full Disclosure Policy (FDP) Reports (1 hour)

Express the connection between the phases of the budget cycle & its administrative outputs in the form of the 12 FDP Reports

Identify which Report can be used for particular inquiries & why

Overview of the 12 LGU Reports covered by the FDP, its definition and purposes

The FDP Reports as administrative outputs of the phases of the budget cycle

Suggested References: Simplified Guide to Full Disclosure Reports FDP Portal http://fdpp.blgs.gov.ph or http://fdpp.dilg.gov.ph

Sample Reports posted around room

Presentation: Simplified Guide to Full Disclosure Reports Gallery of illustrative samples (walk-about) &/or on-line samples in FDP Portal Group Exercise Process: Divide participants into 3 groups & ask them to stand with their group around the room. Give them 5 minutes to decide on a general question relating to the definition & purpose of each of the 12 Reports. For example, ‘Which Report can tell me the approved budget of a particular contract?’ The 2 groups answering the question can move around the gallery of FDP Reports or view

CapDev Team Leader (Budget Expert) Cap Dev Team Facilitator explains the exercise





Session Objectives





the reports in the FDP Portal. After an answer is given, the questioning group asks why the other Reports cannot answer the question. Another round can be done this time focusing on specific questions that refer to items within the Reports & that refer to the issue or problem they brought into the training. This exercise will depend on an advanced level of baseline knowledge & skills of participants on the topic.

V. Budget Preparation: Focus on Expenditure (2 hours & 30 mins., inclusive of snacks)

Express the relevance of the budget preparation phase to their CSO’s advocacies &/or pre-identified problem or issue or activity in local governance

Identify the FDP Reports, its contents & source documents & the budgeting issues relevant at this phase

Identify the financial trends and changes in the sample FDP Reports

Overview of the Local Budget Preparation Phase

Sources of financing the local budget (General nature) – Revenue component

Program & activity structure in the budget (Local Expenditure Program) - Expenditure component

Estimating Revenues & Expenditures

Suggested Reference: See References Day 1 Session V

Powerpoint Presentation & Discussion in plenary Local Budget Preparation Phase


Budget Preparation & the FDP Reports (Annual Budget,

Small Group Discussion: - Divide participants into 3



Session Objectives





Linking FDP Reports to Budget Preparation

Statement of Receipts & Expenditures, Annual Procurement Plan)

groups - Each group will be assigned

one FDP Report to be reviewed (i.e., Annual Budget, Statement of Receipts & Expenditures, Annual Procurement Plan) Preferably, the FDP Reports chosen are those related to the illustrative samples of AIPs shown in the Plan-Budget Cycle

- Participants will review the reports based on guide questions

Possible Questions: - What trend is observed based

on figures presented in the reports?

- Was there an increase or decrease in expenditure for social services?

- What is unclear or confusing in the reports?

Presentation & Discussions in plenary - Each group will share their

observations & questions arising from the review of an FDP Report.

Cap Dev Team Facilitator explains the exercise



Session Objectives





- Participants' observations & questions will be the take off point for presentation & discussion on FDP Reports & source documents used in Budget Preparation

Energizer (5 mins.)

Continuation (1 hour)

- Local Budget Preparation Forms & Source Documents

Powerpoint Presentation & Discussion in plenary - Budget Expenditures &

Sources of Financing (BESF) Form Nos. 1 to 6

- Local Budget Preparation (LBP) Form Nos. 1 to 8

- Illustrative Example of Budget Call

- Illustrative Example of Budget Message


Daily Assessment (15 mins.)

Accomplish the Daily Evaluation Form

Reflection The facilitator explains the Daily Evaluation Form & requests participants to complete it


D I N N E R

DAY 2

I. Preliminaries - Recap of Day 1 - Overview of the

day’s activities (15 mins.)

Share their key learnings, issues & concerns from the Day 1 Session

Discussion in plenary


II. Budget Identify the sources of financing - Overview on Sources of Powerpoint Presentation & CapDev Team



Session Objectives





Preparation Phase: Focus on Sources of Financing

(1 hour)

Linking FDP Reports to Budget Preparation (45 mins., inclusive of snacks)

for the local government budget & share reflections on its underlying principles

Express the relevance of the budget preparation phase on sources of financing to their CSO’s advocacies &/or pre-identified problem/issue/ activity in local governance

Identify the revenue sources of the sample LGU & its implications

Identify & interpret changes in revenues of the sample LGU

Financing the LGU Budget

- BLGF Reporting Requirements & FDP Reports

- CSOs/NGOs Participation at this phase

Suggested References: See References Day 2 Session II See References Day 2 Session

IIA

Discussion in plenary Sources of Financing for the Local Budget Guide & Exercise on Revenue Estimation Facilitated Group Discussion: The Cap Dev Team Leader (Budget Expert), knowing beforehand the pre-identified issue/problem/advocacy that the participant brought into the training to ‘work on’, picks one & guides the group in identifying which LGU Report is useful & what other public fiscal report can be used in relation to the FDP Reports; e.g. Statement of Receipts vis-à-vis Statement of Receipts & Expenditures

Member or a Resource Person from BLGF Regional Office Cap Dev Team Leader (Budget Expert)

III. Budget Express the relevance of the Overview of Budget Caselet Presentation: Challenges CapDev Team



Session Objectives





Authorization & Review Phases

(1.5 hours) Linking FDP Reports to Budget Authorization

budget authorization phase to their CSO’s advocacies &/or pre-identified problem/issue/ activity in local governance

Critique the process undertaken by the sample LGU in the case & identify its implications

Authorization Phase

Budgeting Principles & General Limitations applicable during budget authorization

Budget Authorization & the FDP & other supporting documents

Suggested Reference: See References Day 2 Session III

and lessons learned in Budget Authorization and utilization of FDP Reports Powerpoint Presentation & Discussion in plenary: Local Budget Authorization Phase Illustrative example of: Ordinance Authorizing the Annual Operations Sample formats of: Ordinance Authorizing Supplemental Appropriations; approval Letter of Local Chief Executive Authorizing Use of Savings and Augmentation

member together w/ a Resource Person from an LGU: current or former Local Chief Executive or Local Sanggunian Member

Budget Review Phase

Express the relevance of the budget review phase to their CSO’s advocacies &/or pre-identified problem/issue/ activity in local governance

Legal Basis for the review by responsible parties (DBM, Provinces, Sangguniang Panglungsod)

Overview of Budget Review Phase

Review Actions

Issues & concerns on the role

Powerpoint Presentation & Discussion in plenary: Local Budget Review Phase Checklist of Documents to be Submitted

Resource Person from DBM Regional Office & Resource Person from LGU



Session Objectives





of DBM & Commission on Audit


(Review)

LUNCH (1 hour)

Workshop/ Exercise in Groups

(2 hrs.)

Critique the sample Annual Budget in a case

Suggested References: See References & uploaded

Reports in FDP Portal http://fdpp.blgs.gov.ph or

http://fdpp.dilg.gov.ph

Group Work on a Case Study Participants shall be divided into groups. Each group will answer a set of questions using case facts. Discussion in plenary

CapDev Team Leader or Member Cap Dev Team Facilitator

IV. Budget Execution Phase

(1 hr & 30 mins.)

Linking FDP Reports to Budget Execution

Express the relevance of the budget execution phase to their CSO’s advocacies &/or pre-identified problem/issue/ activity in local governance

Critique the process undertaken by the sample LGU in the case & identify its implications

Share insights &/or suggestions on how the NGO in the case used its analysis of the FDP Reports to monitor budget execution

Overview of budget execution phase Concepts important/ relevant to execution Overview of Local Budget Execution Forms & the 9 FDP Reports relevant to budget execution Introduction to Government Procurement Suggested Reference: See References Day 2 Session

Powerpoint Presentation & Discussion in plenary: Local Budget Execution Phase Local Budget Execution (LBE) Form Nos. 1 to 3A Caselet Presentation: NGO Monitoring of the Budget Execution phase using the FDP Reports

CapDev Team Leader (Budget Expert) Resource Person from NGO focused in the case





Session Objectives





IV, IVA & IVB See References in FDP Portal

BREAK (15 mins.)

VI. Coaching Session I 1 hour & 30 minutes

(this may be shortened or extended to dinner time if participants want one-on-one coaching)

Apply their learnings on the local budget & the FDP Reports by affirming their chosen problem/issue/activity in local governance or revising it & by revising their Action Plans

Application of knowledge & skills to a specific problem/issue/activity & its action planning

Individual Exercise Improvement of Action Plan Coaching Session with CapDev Team

CapDev Team Facilitator CapDev Team Members

Daily Assessment (15 mins.)

Accomplish the Daily Evaluation Form

Reflection The facilitator explains the Daily Evaluation Form & requests participants to complete it

CapDev Team Facilitator

D I N N E R

DAY 3

I. Preliminaries - Recap of Day 2 - Overview of the day’s activities (20 mins.)

Share their key learnings, issues & concerns from the Day 2 Session

Discussion in plenary


II. Brief Recap: Phases of the Budget Cycle

State which budget phases are relevant to their problem/issue/advocacy in local

Phases of the Budget

FDP documents per phase

Discussion in plenary CapDev Team Leader (Budget Expert) & CapDev



Session Objectives





(25 mins.)

governance Explain which FDP Reports can be used to address their problem/issue/advocacy in local governance & how it can be analyzed

Team Members

III. Budget Accountability Phase Linking FDP Reports to Budget Accountability

(1 hour)

Express the relevance of the budget accountability phase to their CSO’s advocacies &/or pre-identified problem/issue/ activity in local governance

Expected Results of Budget Process

Role of Stakeholders in Budget Process

Budget Accountability & Report

Fiscal Responsibility

Procedures & Key Players in Budget Accountability Phase


Powerpoint Presentation & Discussion in plenary: Local Budget Accountability Phase Local Budget Accountability (LBAc) Form Nos. 1 to 4 Local Budget Performance & Evaluation (LBPE) Form Nos. 1 & 2 Illustrative Sample: Office/ Department Performance Evaluation


IV. Understanding the Special Education Fund (SEF) & Local School Board (LSB) Linking FDP Report related to SEF

(1 hr & 30 mins., inclusive of snacks) *This may be done for

Explain the policy issues on the use of the SEF in their LGU

Share insights &/or suggestions on how the NGO in the case used its analysis of the Quarterly Report of Special Education Fund Utilization & other information to achieve its objective

Overview of the SEF & the LSB Budget

Budget as a tool for education development/linking planning to budgeting

The SEF & Local School Board Budget & the Accountability Report required in the FDP (Quarterly Report of Special Education Fund Utilization)

Caselet Presentation: Challenges & issues in SEF allocation & utilization Powerpoint Presentation & Discussion in plenary: Special Education Fund & the Local School Board: Beyond Complementing the Basic Education Program

CapDev Team Member & Resource Person from NGO working in partnership with a Local School Board



Session Objectives





any of the local special bodies or for a particular special topic requested by the participants or identified as a common interest in the TNA such as Climate Change, DRRM, Peace & Order Councils.

Suggested Reference: See References Day 3 Session IV See References in FDP Portal & uploaded LGU Reports http://fdpp.blgs.gov.ph or http://fdpp.dilg.gov.ph See Synergeia Foundation website

LUNCH (1 hour)

V. Coaching Session II (2 hrs.)

Finalize their Action Plans

Utilization of FDP Reports in advocacies & engagement with LGUs See Reference Day 3 Session V Finalization of Action Plan

Individual activity & consultation with Capacity Development Team Plenary: Voluntary sharing of completed Action Plans

CapDev Team

A. Reflections (1 hour, inclusive of snacks)

Share their insights on content, methodology, usefulness of learning vis-a-vis their engagement with LGU or advocacies

See Reference Day 3 Reflection Discussion in plenary CapDev Team Member with Cap Dev Team Facilitator Skills

B. Administration of CapDev Reaction & Learning Questionnaires (post)

(15 mins.)

Accomplish questionnaires

Suggested References: Kirkpatrick, D. L. 1998. Evaluating Training Programs: The Four Levels. San Francisco: Berrett-Koehler Publishers.

Individual written responses to Questionnaires






Session Objectives





“Evaluating the Social Accountability Training.” A Manual for Trainers of Social Accountability (ANSA-EAP, 2010, pp. 177-180) http://www.ansa-eap.net/learning-in-action/manual-for-trainers-on-social-accountability

C. Closing Giving of Certificates of Completion

Participants with submitted Action Plans are provided with Certificates of Completion

Capacity Development Team





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