HR/OD Intervention Design Specification

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Philippines Australia Human Resource and Organisational Development Facility (PAHRODF) HR/OD Intervention Design Specification 1 of 15

HR/OD Intervention Design Specification

Name of Partner Organisation: Department of the Interior and Local Government

Acronym DILG

Category: ___CPO _x_PSP

Alignment to the Statement of Commitment (SOC)

__Partnering on Educational Reforms __Enhancing the foundations for sustained economic growth __Better disaster preparedness and response __Improving conditions for peace and security _x_Building stronger institutions for accountable and inclusive

governance

Type of Organisation

_x_Public __Private __NGO __Academe

Title of HR/OD Intervention Assistance to the RbME Framework and System Implementation through the Strengthening of the Planning Services Group (RbME Phase 3)

Partner Organisation’s Sponsor/ Champion for this HR/OD Intervention

Director Frank Cruz

Assigned HRODF Adviser/Associate

Jon Obillo

1. Background Information

This describes current situation of partner organisation.

Extent of implementation of current priority program thrust. Describe milestones to date.

The Department of the Interior and Local Government (DILG)

The Department of Interior and Local Government (DILG) aims to address the challenges of local autonomy, peace and order, and public safety in the Philippines. The Department’s Vision and Mission, that is currently under review, remains appropriate to its mandate:

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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 Powers & Functions

• Assist the President in the exercise of general supervision over local governments;

• Advise the President in the promulgation of policies, rules, regulations and other issuances on the general supervision over local governments and on public order and safety;

• Establish and prescribe rules, regulations and other issuances implementing laws on public order and safety, the general supervision over local governments and the promotion of local autonomy and community empowerment and monitor compliance thereof;

• Provide assistance towards legislation regarding local governments, law enforcement and public safety;

• Establish and prescribe plans, policies, programs and projects to promote peace and order, ensure public safety and further strengthen the administrative, technical and fiscal capabilities of local government offices and personnel;

• Formulate plans, policies and programs which will meet local emergencies arising from natural and man-made disasters;

• Establish a system of coordination and cooperation among the citizenry, local executives and the Department, to ensure effective and efficient delivery of basic services to the public;

• Organize, train and equip primarily for the performance of police functions, a police force that is national in scope and civilian in character.

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Above is the current DILG Outcome Framework.

Societal Outcome:

Sectoral Outcome: Sustainable Development-Oriented Local Government is a recognition and fulfilment of the LGUs’ role and contribution to achieving the societal outcome. It is characterized by self-reliance on the part of LGUs and where law and order and public safety prevail so that developmental efforts will go on unhampered, complementing efforts by the national government and other sectors of society to realize the articulated societal outcome.

The Sub-Sectoral Outcomes, which are along the lines of local economic development (Business- Friendly and Competitive LGUs); environmental protection and preparedness to deal with climate change (Environment-Protective, Climate Change Adaptive, and Disaster Resilient LGUs); and protection, development and safety of the people especially the poor and the marginalized (Socially- Protective and Safe LGUs), are the desired state or condition of LGUs that when achieved, will lead to or hasten their being development-oriented.

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Taking the Framework Frame by Frame Sub-Sector Outcomes

Business-Friendly and Competitive LGUs

This is a condition where a local government is genuinely committed to take the lead in sustainable and inclusive economic development. Setting the direction and minding it are aptly the role of local authorities. Investing in it is the domain of the business sector.

Minding development means creating an assuring policy environment and investment climate, projecting resource endowment potentials, projecting an ability to maintain industrial peace, reforming the business processing and permitting systems, engaging in a robust investment promotion strategy, and investing in disaster risk reduction and management, among other fundamentals.

Environment-Protective, Climate Change

Adaptive and Disaster Resilient LGUs

This is a condition where a local government puts premium on the integrity of the natural environment, and ably confronts the challenges posed by destructive climate change phenomena such as strong typhoons, extreme rainfall, flood-flashflood, coastal flood or urban flood, or landslide, or by a geologically-induced disaster such earthquake or tsunami.

Resiliency is commonly understood as an occurrence of rebounding or springing back from something. When used in the context of climate change or a natural disaster, resiliency means a local government’s ability to brace or prepare itself, fortify the community to minimize or cushion the impact, adequately protect and address the sudden and urgent needs of inhabitants during such situation and to fast track the return to normalcy of the lives of the affected.

Resiliency implies that a local government must have the appropriate and adequate technical knowhow and equipage – leadership structure, plans, internal and external administrative systems, logistics and equipment - that can be mobilized at any given time. After all, adapting to climate change and building disaster-resiliency are the ultimate assuring measures of local institutional capability in environmental management and in advancing the interest of public welfare.

Socially-Protective and Safe LGU

This is a condition where a local government is capable of addressing the well-being of every member of the community particularly the poor, the vulnerable and the marginalized. This can be attained when a province, city, municipality or barangay accords high importance on, and adequately address, the needs of the least able and most needy. In its broad sense, social protection is concerned with preventing, managing, and overcoming a situation that adversely affects a person’s well-being.

Business-Friendly and Competitive LGUs

Environment-Protective, Climate Change Adaptive and Disaster Resilient LGUs

Socially-Protective and Safe LGU

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A policy or program designed to reduce poverty and diminish exposure to risks brought about by a disaster is a good start.

On the other hand, the notion of safety emphasizes the condition where people live and go on with their lives free from any fear, worry or threat of being victims of violence or exploitation or of being mired in the middle of conflicts that slow down if not altogether stall their and their communities’ development.

The terms, social protection and safe in this particular sub-sector outcome furthers the argument that ensuring livability in a community - safe and potable water, decent shelter, other basic needs, getting people out of a hazardous location, protecting human rights, addressing issues that engender conflict, etc. – is at the very core of local government existence.

Accountable, Transparent, Participative and

Effective Local Governance

This is a condition where a province, city, municipality or barangay defers and practices the basic tenets of good local governance.

Governance is all about the valuing of the key principles of performance, accountability, transparency and participation. Any program or project aimed at improving obtaining socio-economic and environmental conditions must be guided by these principles. Otherwise, a program or project is rudderless, and is destined to fail. And contemporary history is replete with examples of failures.

Where We Are and What We Should Do

Good local governance must be understood as the platform or foundation of any and all policies, programs or projects that profess commitment to public welfare.

As the national government agency mandated by law to assist the President in the exercise of the power of general supervision over local governments, the Department must be in a position to challenge local agencies to value good local governance.

If the DILG were to succeed in leading the transformation process, it must internally reinvent itself continuously, and must rebuild its image continuously.

Internal Governance Outcome -

Strengthened Internal Organizational Capacity

This is all about overall administrative competence.

Accountable, Transparent, Participative and Effective Local Governance

Strengthened Internal Organizational Capacity

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It is a condition where officials and employees possess the necessary technical capacities, where internal and external administrative systems function as designed and where institutional value facilitates rather than hinders.

Failing this, it is highly unlikely that we can move forward and succeed in carrying out our legal mandate.

In the context of the multiple challenges that the Department is faced with, the question, “are we equal to the tasks?” finds greater relevance and urgency. The business as usual mindset does not fit. Internal administrative systems must come to age, managerial and technical competencies must be assuring, and employee welfare must not be let to the employee alone but must now be acknowledged as a primary obligation of the Agency.

MAJOR FINAL OUTPUTS

The Major Final Output LG Capacity Development and Performance Oversight and Awards and Incentives are the services that the Department delivers to its external clients – the Local Government Units.

As the primary national government agency mandated by law to assist the President in the “general supervision” over LGUs to ensure that they are accountable and responsive to the needs of their constituents, and to enhance their capabilities to effectively meet the demands of the times, the Department needs to effectively and steadily make LGUs adherents of good governance through the effective implementation of its capacity development interventions and the exercise of its performance oversight and provision of incentives to LGUs that exhibit good governance norms and practices.

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PROGRAMS AND PROJECTS ALIGNMENT TO OUTCOMES A number of programs and projects align to each of the target societal outcomes of the agency as shown in the table below:

Recent developments that may impact this HROD intervention. Indicate how this HR/OD intervention will complement/contribute to initiatives that address the program thrust of the SOC and that of the partner organization.

RbME Phase 1 Philippines - Australia Human Resource and Organisational Development Facility (PAHRODF) in the

past couple of years has funded the Technical Assistance (TA) for DILG on the Development of the

DILG LG Results-based Monitoring and Evaluation (RbME) Framework and System. The main

objective of the TA was to design and establish a harmonized RbME Framework and System.

The outputs of the Technical Assistance were the following:

a) the improved DILG Outcome-based Framework (ORF) for the Local Government Sector;

b) unified RbME system for planning, monitoring and evaluating performance for results and

managing for results;

c) synchronized protocols i.e. forms, schedules, responsibilities for RbME;

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d) capacity building for of a core group of 33 nominated participants and project staffs of

locally funded projects through formal learning and mentoring/coaching sessions;

e) prescribed reporting and information sharing among and between implementing units for

informed management actions and decisions and an RbME guidebook.

f) the design of the web-based RbME Information System or RbMEIS.

The Technical Assistance also produced the Results Framework and M and E Plans for the 17 locally-

funded projects.

Project at Risk (PaR)

Under the umbrella of the RbME intervention, the Project at Risk system or PaR was also developed.

PaR is a web-based monitoring technique to identify risks and focus actions on critical items that can

impact the project cost and schedule. The main objective of the system is to the manage risk factors

involved in the projects by increasing the organisation’s capacity to identify, assess, monitor and

manage risks.

Specifically it will help DILG with the following:

a. maintain current list of issues and items that can impact project cost or schedule as the

project progresses through development and construction management

b. provide project team with a better perspective for controlling risks and set proper

contingencies

c. provide DILG management with real-time status of response action on each risk from the

responsible party

RbME Phase 2

A follow-through intervention on the RbME was undertaken to further the dissemination of the system being installed. Four regional cluster workshops were held for planning officers and project focal persons of DILG to find opportunities to apply the RBMES while reviewing the organizational results framework and of the 17 locally-funded projects’ results frameworks. This exercise brought about the greater awareness for DILG, as an agency, to strengthen its organizational capacity through capacity development, systems enhancement, effective strategizing of plans, communications, and networking in order to achieve poverty alleviation and massive quality employment, and a harmonized RbME Framework and System was installed.

It is now the objective of this intervention to assess the level of alignment and extent of application of the RbME Framework and System. Subsequently, this intervention intends to also identify opportunities to support further improvements by way of a capacity building of the planning group on methods to connect organizational plans to the RbME.

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2. Workplace Development Objective (WDO)

These describe the hierarchy of objectives related to this HROD Intervention

Development Impact (What are the benefits to the community or external clients that can be derived from the improvement in capacities and organisation outcomes? What improvement do we expect to see in the organisation’s service delivery?)

Accountable, transparent, participative and effective local governance

Organisational Outcome (What improvements in the organisation’s processes, systems, strategies, policies and structures , and mechanisms do we expect to see with improved individual competencies?

DILG has a thorough understanding and appreciation of the RbME principles, mechanisms and processes Unified and harmonized DILG LG Sector Overall Results Framework (ORF) and the Results Framework for the locally-funded projects (PRF) are adopted and applied by all operating units Regional and field officers produce accurate M & E reports systematically and on time

Competency/ies (What functions/tasks will the core learners be able to perform better as a result of the HR/OD intervention?) Please provide self-assessment competency level using HRODF competency tool. Specify the targeted improvement in competency level as a result of this HROD intervention.

Indicate other specific technical competencies targeted by this HROD intervention, if applicable.

Targeted capacity/competency area by this HR/OD intervention

The DILG’s need to improve the M and E competencies of its central and field personnel is indicated in the OA reports. It has a rating of “2 – Emergent” which means that “Key officers/staff have very limited knowledge, training or experience in the competency. Few Critical Success Indicators are being performed; outputs and processes need substantial improvement”

“Monitoring and Evaluation is not consistently implemented and, if done, the results are seldom analysed and used to improve program/project management and planning processes. There is absence of analysis in periodic reports. Many projects are not implemented on time and project managers expressed frustration that despite periodic reports, they do not receive any performance feedback.

This level of competency generates minimal availability of monitoring and evaluation data that impacts as low rating in the organization capacity on knowledge management and performance

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improvement.

Thus, there is a desire for the target participants to fully understand, appreciate and adopt the RbME Framework and System in the workplace.

Specifically, target participants will be able to:

• Establish relevant, accurate and timely information which will be used for effective monitoring and reporting of programs and projects

• Identify, differentiate and come up with key performance indicators for programs and projects at each level of result

• Apply the tools, processes and mechanisms on RbME

• Solicit inputs from the field offices and communicate the agreed Results Framework and System to them

• Evaluate the alignment of programs and projects to the RbME framework and system

• Formulate for themselves and facilitate with others the creation of results-based project and program indicators

• Link organizational plans with the RbME

Output/s (What are the expected outputs from this HROD intervention?)

Assistance to the Implementation of the RbME Framework and System (RbMEFS) on DILG Programs and Projects through the Strengthening of the Planning Services Group at the Central and Regional Offices

• Planning Services Group capacitation in enhancement and implementation of the RbMEFS in the implementation of the RbMEFS

o Transfer technology and learning on the Planning Services Group through on-the-job, immersion, and shadowing activities during the intervention and alongside the learning service provider and the technical team

• Workplan o Develop an agency-wide implementation plan of activities to enhance and

strengthen the implementation of the RbME, including the design of a framework for studying the effectiveness of the application, implementation of the RbME Framework and System across the agency

• Conduct the first phase of the strengthening activities, covering the MASA MASID, PCF (Performance Challenge Fund), the ADM (Assistance to the Disadvantaged Municipalities)

o Review of status of and identify proposed improvements to the RbMEFS and approaches to the cascade and application of the system agency-wide

o Each program must be enhanced in line with its application of the RbMEFS but will be limited to either a horizontal (Central Office and two (2) regional offices) or a vertical focus (Central to municipal level but with selected participants and offices)

o Facilitate the creation, updating, or revision of indicators o Capacitate the Planning Services group in strengthening the RbMEFS and in the

process facilitation for the creation, updating, or revision of indicators through coaching, and other non-training modes of learning

• Tools, Reports, Data, Materials and, Updates o Related tools, reports, data, materials and updates must be provided in accordance

with the above listed outputs and activities

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Condition/s (What organisational support will be provided by the partner organisation to achieve the expected outputs and/or organisational outcomes? )

DILG Top Management and the Planning Director with his team will :

• Issue and disseminate Department Order in a timely manner authorizing the conduct of the workshops and meetings, and likewise, ensure the participation of selected personnel

• Help ensure that target learners participate in all activities, including completion of outputs needed

• Identify specific responsibilities of concerned bureaus and service groups in the monitoring and evaluation of programs and projects

• Provide support throughout the intervention including counterpart budget support, resources like meeting venue and equipment, attendance of DILG officers in key activities, review and approval of outputs, issuance of necessary travel orders

• Make available all relevant information needed for the intervention

Standards:

• Consultations with the Planning Service Core Group and other stakeholders will be held to consistently communicate and coordinate actions and activities of the LSP, and to assess content and quality of the outputs

• The outputs should be approved by DILG top management

3. Details on Current Situation that the HROD Int

Special features of this HROD intervention (Non-negotiable for the LSP).

If training is included as one of the approaches/methodologies, LSPs will provide a detailed training activity plan (use template).

• Process facilitation and eventually turnover of outputs should include sufficient coaching to enable participants, process-owners and users to understand and apply the concepts of in the effective implementation and strengthening of the DILG RbME Framework and System across the agency.

• The LSP must maintain the learner-centered development approach and align the intervention according to the programs and directions put forth by DILG.

• Outputs developed must align to the culture of DILG and must employ sector-specific circumstances/cases.

• LSPs must refer to, and comply with, the standards in HR/OD practice, including pre- and post-assessments for the participants, learning effectiveness evaluations, and thorough documentation.

• Data-gathering and analysis are to be conducted in Metro Manila and certain parts of the Philippines wherein the target programs and projects of DILG are undertaken and managed. The LSP will be responsible for selection, contracting and payment of venues and catered meals.

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These expenses should be part of the submitted budget.

• The interviews, focus groups discussions, and other sessions requiring the participation of DILG employees will be non-residential, except for key workshops. Expenses for participant travel and accommodations will be shouldered by DILG.

• The LSP must optimize the use of on-the-job, immersion, and shadowing activities in the process of transferring technologies and in enriching the learning of the Planning Services Group. Classroom training must be minimized.

• The LSP must support the strengthening of the Planning Services Group in implementing improvements of and the implementation of the RbMEFS in the six (6) months after the completion of the intervention.

• The intervention must begin in the first week of March and completed no later than May 15, 2015

4. ervention will address

Types of HROD intervention <Put an “X” mark on the types of intervention activities that will be used>

Type Brief Description

Individual

Counseling /Coaching An intervention designed to formalize / sustain helping relationships in which individuals may relate their problems to sympathetic listeners or be adised how to deal with work or interpersonal problems.

Training An intervention designed to provide individuals with knowledge, skills, or attitudes that may be applied immediately on the job.

Individual Goal Setting An intervention intended to increase planning for performance improvement between employees and their immediate supervisors.

People-Policy Development

An intervention designed to establish broad guidelines for action to be followed by employees when they encounter common problems in the course of their work.

Procedures Manuals An intervention designed to establish or formalize methods of handling common problems encountered by people in an organization. The procedures stem from the organization’s policies.

Team or Unit

Team Building An intervention designed to increase cohesiveness / cooperation of people who work together.

Quality of work Life An intervention designed to improve working conditions and to increase employee participation in decisions that affect them and their organizations.

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Unit Goal Setting An intervention designed to help members of a work group to establish goals (often involving production output) for their work group.

Conflict Management An intervention designed to reduce destructive conflict between members of a work unit

Process Consultation An intervention designed to focus attention on how individuals or groups interact

Intergroup

Work-Flow Planning An intervention designed to plan the flow of work between two or more components of an organization.

Inter-organisational Development

An intervention in which two groups or organizations work together to establish and / or maintain more effective relationships.

Intergroup-Conflict Management

An intervention designed to deal with destructive conflict between two or more work units.

Cross-Functional Training

An intervention designed to provide individuals or groups with the knowledge they need to function with another unit or organization.

Total Organization

Culture Transformation An intervention designed to change assumptions about the “right” and “wrong” ways of doing things.

From McLean, G., Sullivan, R. (1989).Essential Competencies of Internal and External OD Consultants, p.8. Unpublished manuscript.

Special features of this HR/OD intervention (Non-negotiable for the LSP).

If training and coaching will be used as learning approaches/methodologies to be implemented as first or second activity/ies in the proposed design, LSPs will provide a detailed training activity and coaching plans. (Please use the Training and Coaching templates).

Below are basics in the implementation of this HR/OD intervention:

• LSPs must refer to the standards in HR/OD practice indicated in the LSP Mobilisation Toolkit available at the PAHRODF website

• Be mindful of other requirements pertaining to the delivery of interventions that are relevant to the WDO, i.e., example- interventions must be aligned with RbME Phase 1, RbME Phase 2, and other past and ongoing related interventions

• Conduct of pre- and post- competency assessments using a 6-point tool prescribed by the Facility. Please use the competencies indicated in the WDO. The results of the pre-competency assessment shall serve as baseline. Results must be provided to the Process owners.

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• LSPs must involve the HR point person, M&E specialist of the partner organization in tracking progress of the HR/OD intervention’s implementation.

This RbME 3 Intervention must include the following:

1. Executive Briefing – that aims to inform the officials on the objectives, activities and timetable of the intervention. The briefing should also be an opportunity to get their buy-in and inputs.

2. The following approaches should be utilized by the Intervention Team to handle this project:

• Coaching, shadowing, and other non-training learning approaches

• Consultation meetings

Description of the teams/group of participants from the partner organization’s target units who will be directly involved (core participants, process owners, HR contact, M&E team/person) in the HR/OD intervention. Describe their roles and accountabilities that are related to the WDO targets. Please indicate the units where the M&E team members/person are located.

Planning Service Team will be the lead for this intervention in collaboration with all bureaus of DILG including LGA. The Director of Planning Service is the key process owner of the intervention. The LSP must be flexible to meet additional requirements or number of pax to cover emerging projects.

1. Action Plan

Description of proposed Action Plan/s of the Unit (process owners).

The Action Plan is a major deliverable in all HR/OD interventions. It shall contain identified activities and milestones that will demonstrate the transfer learning to the workplace and lead to sustained institutionalisation of the outcomes of the HROD interventions. (Please refer to the Standards for Delivering HR/OD Interventions)

There are two types of Action Plans. The first is the Re-entry Plan (REAP) that will be used when improvement in competency level is targeted. This is a mechanism to implement specific learning outputs. Generally, the REAP will be developed and implemented by individual participants. (Please refer to REAP template)

The second type of Action Plan is the Sustainable Action Plan (SAP). It focuses on planning to sustain the institutionalisation of the improved targeted organisational outcome for effective service delivery, e.g., improved processes, systems. The SAP will be developed by the process owner and implemented by the concerned offices. The SAP should incorporate a change management framework and communication strategies. (Please refer to sample template)

Action Planning Process:

The learning service provider shall assist the process owners and participants in developing and producing the Action Plans. This will be prepared by individuals or by work-team units tasked to implement targeted levels of objectives articulated in the WDO. Individual REAPs targeting same

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organisational outcome must complement each other. This will be reviewed and approved by the management of the partner organisation to ensure that necessary resources for the Action Plans implementation are included in the Plans

REAP objectives are expected to be completed within 1 year while SAP completion is within 2 years.

Action Plan Submission:

All SAPs and REAPS have to be submitted to HRODF as part of the deliverables/completion requirements. The LSP will ensure that the approved SAP and REAP are uploaded in the web. The signed printed SAP and REAP shall be part of OD completion report. There will be a reporting of the plans to the Executives through a post-activity Executive Briefing.

The DILGI Sustainable Action Plan shall focus on the implementation and institutionalization of the policies, systems and procedures related to DILG RbME Framework and System as a result of the evaluation to be conducted. Process owners and users involved in the intervention shall have REAPs focusing on the installation, institutionalization and sustainability of the DILG RbME Framework and System. The participants’ REAPs will focus on immediate assistance in the development of competencies needed by the process owners and leaders of the DILG RbME Framework and System in relation the individual development plans of incumbents.

HR/OD Intervention Design Specification

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