HIV AIDS Integrated Strategic and Financial Planning Guidebook

HIV/AIDS Integrated Strategic

and Financial Planning

GUIDEBOOK

This Guidebook is made possible by the support of the American People through the United States Agency for International Development (USAID). The contents of this Guidebook are the sole responsibility

of RTI International and do not necessarily reflect the views of USAID or the United States Government.

HIV/AIDS Integrated Strategic

and Financial Planning

GUIDEBOOK

iii

Table of Contents

List of Acronyms .................................................................. iv

About this Guidebook ........................................................... v

Part 1: What Is a Strategic Plan? .......................1

Part 2: What Is the HIV/AIDS Integrated Strategic and Financial Plan (ISFP)? ........................................... . . 5

Part 3: What Are the Strategies to Build Support for the HIV/AIDS ISFP? ............................................... 35

Part 4: What Is Resource Mobilization? .................................... 39

Annexes A. The LGU Planning and Investment Programming Process ...................... 45

B. The Different Types of Plans............ . 49

C. Joint Memorandum Circular No. 1 Series of 2007 ............. .. 51

D. Importance of Synchronizing Planning and Budgeting ..... 63

E. Potential Funding Sources for HIV/AIDS ... ................... 65

References ....................................................................................... 71

iv List of AcronymsAIDS Acquired Immune Deficiency SyndromeAIP Annual Investment PlanAMTP AIDS Medium Term PlanCDC City Development CouncilCDF Countryside Development FundCDP Comprehensive Development PlanCHD Center for Health DevelopmentCHO City Health Office/OfficerCLUP Comprehensive Land Use PlanCOA Commission on AuditCPDO City Planning and Development OfficeCSWDO City Social Welfare and Development OfficeDBM Department of Budget and ManagementDILG Department of the Interior and Local GovernmentDOF Department of FinanceDOH Department of HealthELA Executive Legislative AgendaHCC Health Counseling CentersHIV Human Immunodeficiency VirusHSRA Health Sector Reform AgendaIRA Internal Revenue AllotmentISFP Integrated Strategic and Financial PlanJMC Joint Memorandum CircularLAC Local AIDS CouncilLBP Local Budget PreparationLCE Local Chief ExecutiveLDC Local Development CouncilLDI Local Development IndicatorsLDIP Local Development Investment ProgramLFC Local Finance CouncilLGC Local Government CodeLGPMS Local Governance Performance Management SystemLGU Local Government UnitLHB Local Health BoardLPDC Local Planning and Development CouncilMARP Most-at-Risk PopulationMDG Millennium Development Goals NEDA National Economic and Development AuthorityNGA National Government AgencyNGO Non-government OrganizationN/RLAs National/Regional Line AgenciesPDPPFP Provincial Development Plan and Physical Framework PlanPIPH Province-wide Investment Plan for HealthPLWA Person Living with AIDSPNAC Philippine National AIDS CouncilPO Peoples OrganizationPPA Programs, Projects and ActivitiesPPC Planning Process CoordinatorsRPS Rationalized Planning SystemSDIR Service Delivery Implementation ReviewSHC Social Hygiene ClinicUBOM Updated Budget Operations ManualUNGASS United Nations General Assembly Special SessionUSAID United States Agency for International DevelopmentVCT Voluntary Counseling and TestingWHO World Health Organization

vAbout This GuidebookThis Guidebook is for leaders and managers of Human Immunodeficiency Virus (HIV)/Ac-quired Immune Deficiency Syndrome (AIDS) programs of local government units (LGUs). It provides information and easy-to-follow steps in understanding, preparing and building sup-port for strategic plans for HIV/AIDS programs.

It presents a framework for developing an Integrated Strategic and Financial Plan (ISFP) and its planning process. The Guidebook starts with a discussion on the importance of a plan and the planning process and defines important concepts and terms involved (Part 1). Part 2 presents the detailed process of developing the content of the ISFP and how to conduct the planning process. Part 3 provides a guide on how to ensure that the ISFP is supported and implemented by key actors in HIV/AIDS in and outside of the LGU. As a complement to the ISFP, the Guidebook presents in Part 4 important information and steps necessary to access funds from LGU sources and donor agencies to ensure effective implementation of all proj-ects within the ISFP. Other relevant information that can help the planners in completing the ISFP are in the Annexes.

The content framework of the ISFP is anchored on major national and international devel-opment frameworks and commitments to health and HIV/AIDS prevention and control: The Philippines AIDS Medium Term Plan (AMTP), the Health Sector Reform Agenda (HSRA), the Province-wide Investment Plan for Health (PIPH) applied to city LGU, the United Nations Millennium Development Goals (MDG), and the United Nations General Assembly Special Session (UNGASS) Declaration.

Part 1:What Is a Strategic Plan?Here, the Guidebook will provide you information about planning in general, and about strategic planning in particular. Part 1 will answer the following questions:

What is a plan and why do we need to plan? Why do we fail to plan well and follow through on our plans? What is a planning process? What are the different kinds of plans? What are the essential parts of a plan? What are the different parts of a Strategic Plan?

HIV/AIDS Integrated Strategic and Financial Planning2

With the passage of Republic Act No. 7160 or the 1991 Local Government Code (LGC), LGUs, with their broadened powers under the Code, have increasingly assumed a critical role in improving the quality of life of their constituents. The LGC provides local governments with extensive autonomy and resources, along with the responsibility for providing basic services, including health. This underscores the need for LGUs to formulate a development plan that addresses the critical gaps and challenges in achieving their development goals and objectives.

Annex A provides a simplified overview of the local development planning and investment programming processes. This serves as a guide on how to situate the HIV/AIDS ISFP within the planning structures and processes that are already in place in the LGUs. The ISFP is one of the thematic plans that the Department of Healths (DOH) Centers for Health Development (CHD) may require from LGUs.

Before we proceed to the process leading to the development of the ISFP, let us start with a review of the basics.

What is a plan and why do we need to plan? A plan is a blueprint specifying the resource allocation, schedules, and other actions necessary for attaining goals.

Rationale for plans Why make a plan? Leaders and managers must create a plan to pro vide them with a logi cal structure and a systematic process for in-depth analysis and cre ative and result-oriented think ing that will significantly impact on their decisions and actions on important issues.

Why involve important actors in creating the plan? Aside from getting varied perspectives, involv-ing key actors as participants in the planning process is a critical strategy for advocating immediate support for your plans.

Why create a good plan? A good plan ensures relevance of decisions and actions. When your re-sponse is relevant, then the gains of your response can easily be sustainable.

Requirements of a planInternal requirement: Efficiency All contents of the plan must be aligned, consistent, and complementary with each other, from vision to strategies, to resources, and implementing arrangements.

[Result of internal efficiency: less confusion, less conflicts]

External requirement: Effectiveness A plan must be truly responsive in addressing the demands and challenges of external situations.

[Result of external effectiveness: more joy and fulfillment]

Synergy of efficiency and effectiveness: Relevance Relevance of the planned interventions results in sustained gains and benefits leading to sustained and increased support. Hence, sustainability is an outcome of relevance.

[Result of sustained relevance: legacy!] SUSTAINABILITY is an outcome of RELEVANCE.

HIV/AIDS Integrated Strategic and Financial Planning 3

Why do we fail to plan well and follow through the planning process? There is a prevailing notion that plans in the LGUs are not really implemented and taken seriously. A plan is often regarded as just a list of actions a mere formal document of to dos rather than a document of our story. Unless leaders and managers shift their ap-preciation of a plan and the planning process, planning will be to them just a tedious exer-cise of listing to dos which they do because it is required, rather than a meaningful process of you create because you gain. Planning is a personal choice and commitment.

What is a planning process?When you plan, there are two major elements to take care of:

a. The PLAN the written output that contains your story

b. The PROCESS the series of system atic activities involving different key actors (the storytellers) who will shape the contents of the plan (your story)

What are the different kinds of plans? All plans tell you a story.What is happening (the present situation)? What will you do and why (the response)? Who are involved in the act (the actors)? How will you go about your intended action (the plot develops: bring in the solutions)? What are the possible reactions and how will you deal with them (the plot gets complicated: fortify your solu-tions with complementing actions)? What are the results of your solutions (the plot is resolved: you measure your gains)?

Plans, like stories, have different time frames and purposes.The cycle in Figure 1 shows how different plans relate with one another and how some plans are complementing other major plans. Long-term development plans (10-15 years) in LGUs, for ex-ample, must be translated into strategic and business plans (5 years) to map out interim strategies. Strate-gic plans are usually focused on the actions that will impact on the internal organizations, while business plans are focused on actions that are primarily ad-dressed to external stakeholders. From the strategic and business plans, other major plans are made: the financial plan that focuses on budget allocations and cash flow management, the resource mobilization plan,

Figure 1. Planning cycles fornonprofit government organizations

There is a common notion that plans in the LGUs are not really taken seriously; that they are merely documents for formality and budgets, rather than documents of our story.

Long-TermDevelopment

Plan(10-15 Years)

Strategic PlanInternal

Business PlanExternal

(Interim: 5 Years)

Functional/Departmental

Work Plan(Interim: 5 Years)

OperationsPlan

(Yearly)

Individual UnitWork Plan

Budget Plan

Financial PlanAllocationGenerationInvestment

Financial PlanBudget PlanInvestment


investment plan, the marketing plan. On a yearly basis, both strategic and business plans are translated into operations plans and functional or departmental plans, which are the basis for creating the unit or individual work plan. Strategic and business plans must be consistent with the long-term development plan, as much as annual plans must be reflective of the strategic and business plans. Annex B contains a more detailed explanation of the different plans.

To address the intent of this Guidebook, let us focus on strategic plans.

What is a STRATEGIC PLAN?The STRATEGIC PLAN provides you with a very clear map of your:

Products and services to attain interim goals

Strategies to: Utilize and optimize your resources, structures, and systems.Measure your interim performance leading to your desired situation. Manage changes and contingencies within the 10-15-year period. Ensure sustainability of gains within and after the 5-year period (legacy-building).

What are the different parts and processes of a STRATEGIC PLAN?Every strategic plan, if it is to tell a story effectively, must contain the following parts:

Vision; Mission; Values Who are we and what do we want?

Situation Analysis; Problem Statement What in the current situation do we want to address?

Goal, Strategies and Objectives; Programs and Projects What do we want to achieve and how are we going to achieve this?

Resources; Implementing Arrangements What do we need?

Specific Targets; Measurement System What do we do to know if we are successful?

Process Prepare the stakeholders, information and evidence. Engage in discussions and deliberations: analysis and problem-solving. Consolidate your decisions. Finalize your agreements. Package your plan for effective utilization. Get necessary support for plan implementation.

Strategic planning is not a workshop. It is a PROCESS.

Part 2: What Is the HIV/AIDS Integrated Strategic and Financial Plan?Part 1 provided you with information about planning in general, and about strategic planning in particular. Part 2 will answer the following questions:

Why do we need an ISFP for HIV/AIDS? What is the ISFP and how do we implement it? How do we create the contents of the ISFP? How do we conduct the process of creating the ISFP?

At the end of Part 2, you will have the beginnings of your very own ISFP.


Why do we need an integrated plan for HIV/AIDS?A strategic plan that addresses HIV/AIDS needs on surveillance, prevention, treatment, care, and support is crucial to responding effectively and sustainably to the challenges posed by HIV/AIDS in the country, both at the national and local lev-els. The value of the strategic plan goes beyond the formal document. When planning is done sys-tematically and efficiently, it does not only provide direction and focus for leaders and managers in addressing current issues; it also gives the key stakeholders a powerful tool for:

a. Undertaking in-depth and system-wide analysis and strategic thinking needed for relevant and proactive response to HIV/AIDS

b. Building and strengthening alliances based on a shared understanding of the key issues that must be addressed, including the consequences of non-action, and the ownership of decisions arrived at col- laboratively

c. Managing the impact of change expected from the planned strategic actions

d. Harnessing political support for the strategic actions to be undertaken by the leaders and managers of the LGU

Hence, LGU leaders and managers gain more value-added benefits when strategic planning is used as a powerful process and tool for concrete response and action, rather than a mere mechanism to produce a document.

What is the LGU ISFP Planning Process for HIV/AIDS?The LGU ISFP planning process for HIV/AIDS provides a framework for undertaking a systematic, inte-grated, relevant, and collaborative process for creating the five-year HIV/AIDS ISFP for the LGU. It has the following attributes:

It is systematic. It presents a clear process across clear timelines for developing the strategic plan. It details the critical activities and requirements for each phase of the entire planning process. The system ensures that efficiencies are created and maintained to optimize resources (human, financial, logistical, time) without sacrificing reliability and validity of data and information derived and used for decision-making.

It is relevant and integrated. It is evidence-based, using validated data and information (quantitative and qualitative) and relying on tested tools for analysis of trends. It is anchored on national and local planning and development frameworks and models, like the DOH HSRA, the PIPH, and National Eco-nomic and Development Authoritys (NEDA) Plan Formulation and Investment Programming.

It ensures alignment with local development agenda and national and global health priorities. These include the AMTP and the MDG which state that HIV/AIDS spread shall have been halted and re versed by 2015.

LGUs gain value-added benefits when strategic planning is used as a powerful process and tool, and not simply as a mechanism to produce a formal document.


It is sustainable. The process ensures the translation of the strategic plan into annual and functional plans. It provides for building competencies for planning process management and for creating champions for the implementation of the strategic plan. Proper implementation is ensured through operations plans for various key units and agencies involved in the LGU HIV/AIDS program. Hence, the work does not stop when the formal plan document is done; the strategic plan itself provides for strategies and mechanisms to continue the plan implementation and assessment process on an annual operational level.

It is collaborative. It does not only involve people in planning; it also makes a deliberate plan of ac-tion to ensure that the right people are fully engaged at the right time in specific phases/activities within the entire planning process. Hence, participation is optimized and sustained through systematic involvement. This will be beneficial to the key actors, the planning process managers, and the LGU lead ers, and will contribute as well to the quality of the outputs.

How do you conduct the planning process to create the ISFP?Creating your ISFP will require a systematic process that ensures effective participation of stakeholders who have specific roles to play in the planning process. Hence, we move on to the next question: What steps are needed to ensure that the planning process is implemented well? Figure 2 shows the three critical and interconnected phases of the ISFP process.

The three phases of the ISFP planning process reinforce each other. The quality of the outputs and pro-cesses of one phase determines the quality of the outputs and processes of the other phases.

Figure 2. Phases of the ISFP planning process

PHASE PHASE PHASE

PRE-PLANNING g PLANNING g POST-PLANNING

TECHNICAL PREPARATION

PLANFORMULATION PLAN PACkAGING

EVIDENCEPREPARATION

PLAN IMPLEMENTATION

ADVOCACy & CONSTITUENCy

BUILDING

STAkEHOLDERS PREPARATION

PLANEVALUATION

MONITORING & FEEDBACk


This phase involves critical preparatory activities that en-gage key actors to:

Ensure that data and information are reliable, valid, up-to-date, and analyzed systematically.

Provide the rationale of the planning process and create the sense of urgency and motivation for other key stakeholders.

Access required technical, logistical, and human resource assistance for the entire planning process.

Steps in the pre-planning phase

Identify who will be the lead team to manage the entire strategic planning process. Establish ownership of and responsibility for the process. The City Health Office (CHO) may lead this in collaboration with the City Planning and Development Office (CPDO). The local AIDS Council (LAC) may also be a part of the lead team with the City Planning and Development Office (CPDO). The local AIDS Council (LAC) may also be a part of the lead team.

Identify and select the ISFP planning process coordinators (PPC) for the LGU. They are your key facilitators who will initiate, implement, and manage the different activities and stakeholders in the planning process. They will ensure that the content of the plan is consolidated and complete. Once the lead team and coordinators are in place, then all of you can do the next steps.

Identify key stakeholders in the LGU and in the private sector who will provide the needed inputs and whose participation in the planning process is vital. The major stakeholders include, but are not lim-ited to, the following: (1) technical staff of the health office who are involved in your current HIV/AIDS program; (2) members of the LAC; (3) key staff in the City Social Welfare and Development Office (CSWDO) who are involved with partner organizations and MARPs in HIV/AIDS; (4) civil society or-ganizations like nongovernment organizations (NGOs) and peoples organizations (POs), and private sector partners (academe, business sector, faith-based groups, etc.) in HIV/AIDS; and (5) key LGU officers, e.g., budget officer, city administrator, Sanggunian members.

There are three kinds of planning stakeholders:

a. The technical planners who know the details of HIV/AIDS, health, and the LGU planning pro cess

b. The target groups your HIV/AIDS target groups (MARPs, PLWA, vulnerable groups)

c. The political planners the decision-makers in the LGU and in the private sector

Phase 1 The Pre-planning Phase

This phase requires a shared understanding of planning as an important and powerful process and tool aimed at ensuring a systematic, relevant, and sustained response from key actors and stakeholders.

STEP 1: Do the necessary technical preparations.


It is important to identify who the stakeholders are, what group they belong to, what kind of par-ticipation is required from them, and when their participation is needed in order to maximize their participation. For example, the actual technical details of the ISFP may be developed initially by the technical planners. Then the developed problems and solutions (goals, strategies, and projects) may be presented to the target groups to get their inputs. After revising the initial ISFP, the final outputs can be presented to the political planners for their inputs and final approval.

you should never put all the different stakeholders together in one workshop because you may end up managing conflicting interests instead of making a strategic plan.

STEP 2: Prepare the stakeholders prior to engaging their participation.

Provide the city mayor with a more in-depth orientation on the value, processes, and requirements of the ISFP for HIV/AIDS in order to get his concrete support, especially for starting Phase 1 of the plan-ning process in the LGU and the LAC.

Provide the planning stakeholders ap propriate ori-entation and social marketing activities to ensure their participation in various phases of the planning process. Get them excited and motivated.

Formally invite the identified planning stakeholder s. Inform them that the CHO and the CPDO (or who-ever is the lead team) will be conducting the HIV/AIDS strategic planning process. Tell them that this process will involve their participation in several consultative meetings with subgroups of stakehold-ers and in a one-day strategic plan consolidation and finalization workshop where all stakeholders will convene to put the final seal of approval to the plan.

STEP 3: Together with selected planning stakeholders, prepare the Evidence, Information, and Recommendations needed in the succeeding planning activities.

Engage appropriate actors in several working sessions to gather, organize, and analyze data and information. Analyzed data are then packaged to suit the needs of key decision-makers (government executives, legislators, and key private and public sector participants) for Phase 2 of the planning process. The outputs of these working sessions will be the Recommendations to be presented in Phase 2.

Do NOT shock your planning stakeholders by immediately asking them to attend a work-ing meeting without exciting them first on the benefits of the plan and on their importance in the planning process!


Tips

Appropriate actors are those who can substantially contribute to the analysis and discussions of issues and provide sound recommendations to define the LGUs response to HIV/AIDS.

The group will do the following during the working sessions:

Analyze the current situation and state the problems clearly with their respective burdens. Craft the recommended goals and strategies, including strategic outcomes.

Assess current projects of LGUs and determine if there is a need to: Continue and improve them. ~ Consolidate and merge some existing ones. ~Develop new projects to respond to strategies and goals. ~ Discontinue some. ~

Identify the projects that will implement the strategies and attain the program goals.

Define specific outcomes and outputs for each project and their respective project phases and budget requirements.

Determine the best possible implementing arrangements and support for the program.

Determine the actual program cost, sources of funds, and funding gaps.

Identify risks and reactions to change and develop measures to prevent the risks and manage the reactions.

Documentation and packaging of information and recommendations are golden tasks! Remember, tell a story and not a technical plan.

Prepare, prepare, prepare for the presentation of results to the target audience for Phase 2.

Remember, another important aim in Phase 1 is for the initial ISFP to be fully owned by the technical planners. They will be the implementers and movers of the plan after it has been formalized in Phase 2.


This phase provides the stakeholders with conducive venues for active deliberations and further analysis to shape the most strategic response to HIV/AIDS issues. This phase requires decisions on the following:

The focus of the LGU vis--vis its stand on HIV/AIDS

The goals that will make the future different from the current situation

The strategies that will direct stakeholders on what and how to create the policy, technology, and structural environments necessary for effective governance and management and for optimized use of current and future resources

The relevant programs that will translate these goals and strategies into action

The critical targets and the measures that will define effectiveness, efficiency, and quality of performance based on goals and strategies

What are the major parts of the LGU ISFP Planning Process for HIV/AIDS?Figure 3 presents the actual formal strategic plan with the following major parts:

Part 1: Rationale (understanding the context). This section provides the evidence and the analysis of problems confronting HIV/AIDS response in the LGU.

Strategic response (formulated response/goals). These will be based on a clear discussion of the situational analysis and the identification of problems on HIV/AIDS (understanding the context and rationale behind the strategic response).

Part 2: Major actions to implement the strategic response (plan implementation). This will involve the identification of key projects to translate strategies into actionable steps and the necessary imple-menting requirements funds and other kinds of resources, implementing actors, and management systems.

Part 3: Measures and measurement strategies to determine performance of the implementing partners (plan evaluation). These include the measurement of how the strategic plan has been trans-lated and used through annual operations plans.

Phase 2 The Planning Phase


Figure 3. Parts of the formal strategic planning process

What will make the implementation of the ISFP planning process succeed?Following are the key factors that will ensure the success of the implementation of the planning process:

1. Active and sustained participation of key actors in the entire processCritical to the planning process is the full and active participation of the planning process key actors. This involves explaining the value and purpose of the planning process and its benefits for the actors, for the sector, and for the LGU as a whole.

2. Core technical team to ensure that the planning process technology is fully optimized and effectively implemented

The technical team will ensure the effective and systematic implementation of the framework processes in the LGU. The team will not only facilitate meetings, working sessions, and workshops; they will also ensure that the planning process technology is optimized, that the key actors are meaningfully engaged, and that planning outputs are mainstreamed into specific implementing departments/units/agencies. The role and leadership of the technical team in the planning process are vital.

3. Leadership and ownership of the planning process

The key champions, leaders, and managers in the implementation of the planning process are the heads of the health sector and the HIV/AIDS subsector, the CPDO, the PPCs, and the mayor. Their buy-in of the planning process and their modeling of the framework to the rest of the LGU and LGU partners in HIV/AIDS will serve as a strong signal that effective, systematic, and sustainable response to HIV/AIDS is critical in the prevention of HIV/AIDS. Their concerted actions should send a clear message to everyone

PRE-PLANNING g PLANNING g POST -PLANNING

PART 1PLAN FORMULATION

PART 2PLAN IMPLEMENTATION

PART 3PLAN EVALUATION

1. Understanding the context: Trends & Current StateIndustry, Subsector Analysis: Health, HIV/AIDS Internal Analysis; CHO, LHB, LAC, LGU Problem Identification: LGU-specific

2. LGU Strategic Response: The HIV/AIDS5-Year Goals (AMTP 4, MDGs, HSRA) 5-Year Strategies (HSRA) 5-Year Performance Indicators (Terminal, Medium Term)

3. LGU Strategic Response: How to Get ThereProgram, Projects, Activities Finance and Investements Requirements Policies, Structures & Systems, Competencies Plan, Promotion & Support

4. LGU Strategic Response: Ensuring RelevanceTargets, Evidence & Measures Feedback & Information Utilization


that HIV/AIDS is not only a health concern but a key development concern of the locality that must be taken very seriously despite other competing interests in local development.

4. Time for evidence gathering, analysis, and clear definitions of the problems and issuesThe evidence and information that are provided to the decision-makers in the planning process are critical to the quality of the planning outputs and decisions. After the technical team and the key actors have ana-lyzed and packaged the LGU data in Phase 1, they must ensure in Phases 2 and 3 that decision-makers can fully understand the information provided and that they can use these to make informed choices and evidence-based decisions. This is particularly important in defining the problem and articulating solutions in terms of clear goals and appropriate strategies. Outputs from the HIV/AIDS program implementation reviews like the Service Delivery Implementation Review (SDIR) for HIV/AIDS will provide relevant infor-mation here.

5. Integrating planning as an ongoing cycle for improvement and a discipline to ensure relevanceWith the involvement of the PPCs and the key stakeholders in the entire process, the lead units (CHO, CPDO, and the LAC) can ensure that the framework is continually used and optimized as an ongoing process incorporated within the annual planning cycle of the LGU, and that it does not become simply a one-time event.

How do we create the contents of the ISFP? Creating your ISFP will require answering important questions:

What is the current situation? What is the vision of the program? What is the mission? What are the mandates of the program? What do you want achieved? What are your strategies to achieve your goals? What major projects and major activities will you undertake? What mechanisms will you use to measure your success? What mechanisms will implement your strategies and projects? What resources do you need? What mechanisms will help manage risks and build support?

Before you start with the steps below, make sure you have the following information:

LGU information: policies, guidelines, priorities your LGUs priority programs and allocations your LGUs budget/expenditure program and other information pertaining to how you will

arrive at program budgets

HIV/AIDS-pertinent information your SDIR Review of results of previous HIV/AIDS projects/activities Client/stakeholder feedback Surveillance data Budget allocated for health and HIV/AIDS activities A copy of the AMTP, MDGs and the HSRA

Guidelines from national government agencies for planning, budgeting, and investment programming: Commission on Audit (COA), Department of Budget and Management (DBM), and NEDA


STEP 1: What is the current situation?

Why do you need to do this step very well? This step provides you the rationale for your plan. It an-swers a very basic question: What are the compelling reasons behind your response, goals, and strategies? Why have you chosen these solutions?

The answers to these questions will give you a clear understanding of:

What you have gained from your activities and what are working among your HIV/AIDS initia-tives

What are the problems confronting HIV/AIDS in the LGU

Understanding these issues and factors will lead you to the most relevant and effective solutions.

A. Simple how to in analyzing STRENGTHS

Based on your targets and plans, what were your accomplishments in HIV/AIDS in the past three 1. years? (Primary gains)

What were the other accomplishments that were not part of the plans or were products of your pri- 2. mary gains? (Secondary gains)

Statement of Accomplishments

What are your sources of information in Numbers 1 and 2? Give concrete source (e.g., surveillance 3. records, feedback sheets, project/activity reports, etc.)

What are the concrete reasons behind the accomplishments? (Facilitating factors)4.

Examples: effective management of the project, strong participation of the night club association, education campaign messages delivered to right target

What are the deeper reasons behind your facilitating factors? (Strengths)5.

Example: Facilitating factor effective management. Reason HIV/AIDS has a very clear strategic and financial plan that is followed by the department.

Use your facilitating factors and strengths as part of your strategies to solve your problems.6.

Without the compelling reasons behind our actions and solutions, we get lost in so many activities. We move from one activity to the next without being fully mindful of the meaning and connections of decisions and actions. Thus, we end up doing so many things without really accom-plishing much.


AREAS STRENGTHS (S) EVIDENCE GAINS (G)

S G

Service Delivery: Trends of performance in activities/projects for:

Governance: Trends of performance in: Policies Managementsystems Structure HRcompetencies Monitoring&evaluation LGUculture Participationofthe private sector

Financing: Trends of performance in: Budgetallocation Fundmanagement Resourcemobilization

Regulation:Trends of performance in: Enforcementofcontrols Provisionofincentives

STRENGTHS FACILITATING FACTORS

B. Simple how to in analyzing WEAKNESSES

What did you not accomplish in your HIV/AIDS targets in the last three years?1.

What other challenges came up in the last three years that you were not able to respond to satis- 2. fac torily or effectively?

What are your sources of information in Numbers 1 and 2? Please give concrete source (e.g., sur- 3. veillance records, feedback sheets, project/activity reports, etc.)

What are the concrete reasons behind your non-accomplishment of targets and failure to respond to 4. challenges (hindering factors)? Identify top 5-7 factors.


AREAS WEAKNESSES (W)

EVIDENCE HINDERING (H)

W H

Service Delivery: Trends of performance of activities/projects for:

Governance: Trends of performance in: Policies Managementsystems Structure HRcompetencies Monitoring&evaluation LGUculture Participationofthe private sector

Financing: Trends of performance in: Budgetallocation Fundmanagement Resourcemobilization

Regulation:Trends of performance in: Enforcementofcontrols Provisionofincentives

C. Simple how tos in determining CORE PROBLEMS

For each hindering factor, determine the deeper reasons by asking the 5 Whys for each. 1.

Identify the common answers to the Whys across hindering factors these are the reasons that keep 2. coming up in two or three hindering factors.

Cluster the common answers to the Whys that belong to the same theme or topic. 3.

Encircle your core problems these are the major topic clusters you have identified. They are 4. the recurring reasons behind your hindering factors. If you address the core problems, most of your weaknesses will be addressed, across all hindering factors.

(See boxed sample case.)HINDERING FACTORS 5 WHYS: ROOT PROBLEMS


D. Simple how to in defining your CORE PROBLEMS and their BURDENS

State your core problems clearly in a complete sentence. Problem statements usually have phrases 1. like lack of, absence of or words that identify clearly and concretely the issue/s that must be ad-dressed.

For each problem statement, identify the burdens of the problem on specific groups, i.e., the specific 2. HIV/AIDS target population, the general public, the LGU. Burdens are negative consequences of problems if they are not addressed effectively.

(See boxed sample case.)

PROBLEM STATEMENTS BURDENS OF PROBLEMS

1.

2.

Tips on the 5 Whys

The 5 Whys may be extended to 7 if the facilitator and the participants feel that there are deeper causes to the issue/s.

One hindering factor may have 2-3 immediate and related causes. For each immediate cause, do the 5 Whys.

Observehowparticipantsaskthe5Whys.Makesurethattheirquestionsareclear,substantial,andnotleading.

Examples:

Answer to Why 1: The budget officer does not release the money for HIV/AIDS.

WRONG Why 3 question: Why did the budget officer refuse to release money for the program last year? This question assumes that the budget officer intentionally refused to release the money (leading); it also focused on the last year event only (unclear) and assumed that all money for HIV/AIDS has not been released (leading).

RIGHT: Why has the budget officer not been releasing money for the HIV/AIDS, and for how long has he/she not been releasing the money for the program?


A Sample Case

TheMalakasLGUteamidentifiedthefollowingastheirstrengths Presence of trained, committed, competent, and efficient SHC staff 1. Implementation of an institutionalized system of surveillance contributing to functional outreach clinics2. Multi-stakeholderparticipationasacomponentoftheexistingpolicyframeworkontheHIV/AIDSprogram3.

As a major weakness, they have identified that the LGU did not prioritize funding allocation for the HIV/AIDS program. Hence,surveillanceandmonitoringofIECactivities,capacitybuildingofhealthpersonnel,andimprovementofequipmentand facilities were greatly affected.

The hindering factors to the major weakness were:

Absenceofacommunicationsystemto trackMARPsbehaviorchange;hence therewasnotenoughevidence to1. convincetheLGUofficialsthaturgentmeasureswereneededtochangebehaviorsofMARPs.

Lack of LGU appreciation of the urgency of the HIV/AIDS situation and its possible consequences and implications on 2. the entire city and its population.

FatalismandothernegativeattitudesandbehaviorsexhibitedbytheMARPs.3.

Inadequate support from the national government; hence LGUs were not compelled to allocate resources and give 4. urgent response to HIV/AIDS in their locality.

The identified whys of the first two of four hindering factors are presented in this case.

Hindering Factor 1:AbsenceofacommunicationsystemtotrackMARPsbehaviorchange;hencethereisnotenoughevidencetoconvincetheLGUofficialsthaturgentmeasuresareneededtochangethebehaviorsofMARPs.

The 5 Whys:

Why 1: Why is there no communication system? TherehasbeennoeffectiveandreliableassessmentontheimpactofIECcampaignsandadvocaciesonMARPS.

Why 2: Why is reliable and effective assessment not being done? There is lack of interest among LGU officials and concerned offices in assessing the situation and in addressing HIV/

AIDS and its prevention.

Why 3: Why is there a lack of interest? They do not realize the seriousness of the situation and the possible implications to the city if HIV/AIDS issues are not

addressed proactively.

Why 4: Why are they not aware of the seriousness of the situation? They have not been properly informed and educated about the situation and the effective strategies that can address

the issues.

Why 5: Why have they not been properly informed? The program implementers do not have the skill to develop an effective communication plan to effectively address

the information needs of different stakeholders, especially the LGU decision-makers. The program implementers only knowhowtoimplementtheIECcampaignforHIV/AIDStargetgroups.

Hindering Factor 2: Lack of LGU appreciation of the urgency of the HIV/AIDS situation and its possible consequences and implications on the city LGU and its entire city population.

The 5 Whys:

Why 1: Why was there a lack of appreciation? The program implementers do not have the skill to develop an effective communication plan to effectively address


A Sample Case (continued)

the information needs of different stakeholders, especially the LGU decision-makers. The program implementers only know howtoimplementtheIECcampaignforHIV/AIDStargetgroups.

Theresponsetothe1stWhyofHinderingFactor2wasconsideredaCOREPROBLEMbytheteamsincethisreasonap-peared twice already (for Hindering Factors 1 and 2). Hence, the team explored another reason for Hindering Factor 2.

Why 1: Why was there a lack of appreciation? The LGU officials have competing priorities; they have other major concerns to attend to that they consider more

important than HIV/AIDS, e.g., education of poor children, shortage of food supply, lack of income-generating oppor-tunities for poor families.

Why 2: Why can the LGU officials not give equal importance to HIV/AIDS? There are no major credible and reliable HIV/AIDS advocates who can convince the officials that HIV/AIDS is equally

important. (Communication was not included as a reason here because it is already identified as a core problem.)

Why 3: Why are there no advocates? The HIV/AIDS program implementers have not developed a strategy to create a pool of HIV/AIDS advocates who

are reliable and credible to government and private decision-makers.

Why 4: Why were program implementers not able to develop a strategy to create advocates for decision-makers in the LGU and private sector? TheunderstandingofadvocacyhasbeenverylimitedandwascenteredmostlyonproductionanddistributionofIEC

materials.

Why 5: Why was their understanding of advocacy and its various strategies very limited? TheirtraininginadvocacyhasbeenlimitedtotheuseanddistributionofIECmaterials.Theyhavenotbeengivena

more in-depth and systemic training on how to influence the decisions of special groups like politicians and business leaders. Hence, the use of credible advocates and champions has not been thought of and used.

Havinggonethroughthe5Whysofthefourhinderingfactors,thefollowingareidentifiedasCOREPROBLEMSthattheteamwill address in their HIV/AIDS program:

1. Problem Statement 1: The HIV/AIDS program implementers have minimal technical competencies and appropriate techni-cal and resource support for developing and implementing an effective advocacy and communication plan complete with analysis of target audience, advocacy, and communication strategies and activities. The very limited competencies and sup-port cannot attract, generate, harness, maximize, and optimize vital resources from the leaders and decision-makers in the LGU and the private sector.

2. Problem Statement 2: There is no systematic and comprehensive plan that details how to effectively change the health be-haviors,attitudes,andpracticesofMARPSandhowtosustainthepositivebehavioralchangesacrossdifferentsituations.

3. Problem Statement 3: The HIV/AIDS program is very dependent on the LGU and the Internal Revenue Allotment (IRA) as the only source of funds. It has not explored and effectively worked toward accessing other sources of funds and other resources, e.g., research assistance from the academe, equipment donation from business groups, contributions from en-tertainment businesses, and technical expertise from the chamber of commerce in creating business plans and putting up enterprises for HIV/AIDS families.

BurdensofeachproblemwerepresentedanddiscussedthoroughlybytheteamintheirISFP.


Common Categories of Factors, Strengths, and Weaknesses

Below are the most common clusters or topic categories under facilitating and hindering factors, strengths and weaknesses. These categories may be stated positively (strengths, facilitating factors) or negatively (weaknesses, hindering factors, and problems):

Governance and policy ordinances, executive orders, program direction, strategies, and policies, level and nature of involvement of elected/appointed leaders in the program

Leadership attitudes, behavior, competencies, values, character

Management systems and structures roles, authority, division of work, planning, evaluation, fi-nance, business processes, operations

Organizational/group culture ways of doing things, political power play, informal rules of behavior, unspoken norms and values, informal system of rewarding and punishing behavior/s of members, quality of relating with each other

Human resource skills, attitudes, behaviors, relationships, level of motivation/interest, openness to change, training and development

Service delivery quality and effectiveness of implementation of projects and major activities: ef-ficiency, accessibility, availability, relevance of products and services to clients/users, standards com-pliance

Institutional or program sustainability financial viability, continuous sources of funds and other resources, resource generation, allocation and management, continued relevance of program to cli-ents and partners

Special topics in HIV/AIDS:Advocacy (of particular policies and programs) Education and information (to change specific knowledge, behaviors, attitudes) Social marketing (of special products and services) Networks and partnerships (for HIV/AIDS) Prevention and control Treatment, care and support

What is a vision?A vision is a concrete, alive, simple yet dramatic story of what you see at the end of five years for your stake-holders, community, or your organization. A vision is a story that speaks to the heart of everyone who reads it. It is meaningful and exciting.

Make sure your vision is aligned with your LGUs vision for health and the LGUs development.

Sources of inspiration City Health Development Agenda LGU Development AMTP MDGs you and your partners

STEP 2: What is the VISION of the HIV/AIDS program?


What is a mission?A mission:

Is the overarching purpose of the program. It is the reason for the programs existence.

Explains who the clients of the program are (stakeholders). Primary clients the main implementers of the program Secondary clients the end beneficiaries of the program

Is the statement that defines the guiding principles or values that the HIV/AIDS program adheres to in the implementation of its projects, activities, governance and management systems.

Sample

The HIV/AIDS Program of the city is committed to provide all LGU leaders and managers with relevant direction and effective strategies to respond to HIV/AIDS challenges and to attain the citys and the coun-trys vision and goals for HIV/AIDS prevention, treatment, care, and support for the affected and infected population of the city.

The program respects the rights of every human being; it is gender-sensitive and ensures participation and collaboration among the different sectors of the society.

Your Own HIV/AIDS Program VISION: Desired State 5-7 Nears from Now

Status of HIV/AIDS in the community

The HIV/AIDS program and main actors

What are accomplished

MISSIONCore purpose: WHAT

Major stakeholders: WHO Primary

Secondary

Guiding principles: WHY Value/Principle Definition/Behavioral Indicators

The MISSION of the HIV/AIDS Program

Sample

A healthy city with empowered citizens with attitudes and practices that prevent the spread of HIV/AIDS. Vibrant and proactive establishments and institutions that actively collaborate with the LGU to prevent and control HIV/AIDS and provide compassionate and effective services to persons with HIV/AIDS and their families.

STEP 3: What is the MISSION of the HIV/AIDS program?


Legal mandates, national, and international commitments Specific Republic Acts and ordinances that provide legal basis for the creation of your program Salient points of national laws and international commitments that require the LGU to create an effective response to AIDS through a systematic and comprehensive plan

Ensure that the legal mandates or anchors that the program is based on are clearly articulated and presented in the plan. Provide the specific law (number and content of the law), both national and local, including in-ternational agreements and commitments that the country entered into regarding HIV/AIDS (e.g., UNGASS, MDGs, etc.).

STEP 4: What are the mandates and developmental bases of the program?

What are goals?Goals are:

The desired outcome of the LGU as a whole rather than of specific divisions or departments Your response to the identified core problems in Step 1 Broad but clear statements of what the program will have achieved within five years or within 2.5 years (short-term goals)Clear statements of the desired situation, or expected accomplishments, after the target period

Goals for the HIV/AIDS program may be in the following areas: Prevention Treatment Care and support Program management and sustainability Surveillance

Short-term goals are interim target outcomes achievable within 2.5 years.Long-term goals are terminal target outcomes achievable within the last two years of the five-year period.

Sample After five years, the program will have:

Transformed attitudes, behaviors, and health-seeking practices of MARPs of the city.1. Sustained sources of funds and technology for the program with effective and sustained partners from 2. various sectors of the city.

Tips on Goals

Goals are positive statements of what will have already been accomplished after five (full-term targets) or 2.5 years (interim targets). These must be complete and clear sentences of results and NOT of action:

Wrong:TomakeallMARPSpracticingeffectivehealthhabits.(vague,action-oriented)

RightAfterfiveyears,95%ofMARPSinthecityhaveeffectiveandsustainedhealthpracticesthatpreventandstopthe spread of HIV/AIDS.

Check for alignment and complementation of goals with each other.

Goals must respond to the Core Problems, and must be consistent with the mission and vision of the program.

STEP 5: What do you want achieved in this program?


Terminal: End of 5 Years

Prevention

Treatment

Care and Support

Surveillance

Management&Sustainability

The Goals of the Program

STEP 6: What are your strategies to achieve your goals?

What are strategies?Strategies are:

your how statements to attain your goals. Major actions to achieve your targets. Statements that tell your program leaders and implementers what they will do with your current and/or future resources, or what they will do to get or create the needed resources.

Sources of strategies can be your STRENGTHS identified in Step 1. Strategy outcomes are:

End results of your strategy. They are what the strategy must achieve by the end of the five-year period.

Results that contribute to the goals of the program. Check for alignment and complementation of all strategies to ensure that they are not conflicting. Ensure that the selected strategies will really attain the goals.

Ensure that every goal is covered by at least one strategy. One strategy can address several goals; a goal can be attained through several complementing strategies.

SampleStrategy 1: Establish and/or strengthen institutions that provide education, counseling, and aware- ness-deepening to vulnerable groups.

Outcome 1: Effective partnerships with private institutions for HIV prevention

Outcome 2: Active and sustainable peoples organizations established by the program for HIV prevention

Strategy 2: Create a local insurance fund for persons with HIV/AIDS and their families.

Strategy 3: Establish effective systems and cost-effective activities for continued generation of all kinds of resources for the program.

What are goals?Goals are:


Strategies Outcomes per StrategyProducts & Services 1 1

2

2 1

2

Partnerships & Collaborations

1 1

2

2 1

2

Financing 1 1

2

2 12

Governance &Management

1 1

2

2 1

2

STEP 7: What projects and major initiatives will you undertake to implement your strategies?

To plan out the projects and initiatives you will undertake to implement your strategies, do the following:

Make an inventory of all your current or ongoing activities.

Cluster or bundle your ongoing activities according to similarity in target groups or focus/nature of intervention. For example:

All activities that provide information on HIV/AIDS for the general public (concerts, World AIDS Day, contests, IEC for schools, etc.) may all be clustered under the project Prevention for Gen-eral Public.

Activities that aim to prevent HIV/AIDS spread among MARPs and PLWAs may be clustered within the project Education for MARPs and PLWAs.

All activities that pertain to managing the entire program may be clustered within Major Activities for Program Management.

Incorporate all other planned activities under the appropriate cluster.

Organize the clusters: Are there clusters that are too broad in scope and coverage? If yes, can you break them down into two? Are there clusters that are too narrow (very small/too limited scope and coverage)? If yes, can you incorporate or merge these clusters with other similar clusters?

The CORE STRATEGIES of the Program (Based on HSRA)


From among the clusters, identify your priority projects. Each cluster can become a project. Give each project a project title. The title must be eye-catching and should tell your reader immediately what you want to do and for whom. Examples: Integrated and Sustainable Behavior Change Project on Health Practices for MARPS, Compelling Advocacy and Education Project for City Leaders and Managers.

Prepare a project write-up for each project. The write-up must state the following: focus, goals, du-ration, target outcomes, inputs, outputs, success indicators, implementation phases, and resource requirements.

Sample

Project Focus: PREVENTION

Target Group: Migrant workers

Duration: Two years

Project Goal: Transformed behaviors, attitudes and health-seeking behaviors of migrant workers returning to the city.

Target Outcome: Increased utilization of Health Counseling Centers (HCCs)

Outputs: Functional and viable HCCs1. Health counseling services (in-house and outreach) for migrants and families of migrants2. Incentive packages for employment agencies of migrant workers3.

Inputs: Trainings and workshops IEC materials Ordinances Equipment and facilities

Indicators:

For Output 1: Functional and viable HCCs 15 HCCs in identified strategic areas HCCs equipped with the following:_______ Revenue generated of HCCs Each HCC with the following staffing complement:_______

For Output 2: Health Counseling Services In-house counseling package for migrant workers In-house counseling package for families

Clustering activities into a proj-ect provides focus, system, re-source optimization, and easier project management.


Project Focus & Target Group/s: Duration

Phases

Project Goal

TargetOutcome

Outputs Inputs Indicators of Outputs

1 1 1

2

2 1

2

2 1 1

2

2 1

2

The tables below can help put your ideas together:

Project Phase Major Activities Cost Items &Budget

1

Start:End;Inputs

1 1

2

2 3

4

2

Start:End;Inputs

1 1

2

2 3

4

Project Budget Summary

Cost PerPhase

Cost PerYear

Cost Item Budget

P1 y1 I1 I1

P2 y2 I2 I2

P3 y3 I3 I3

P4 y4 I4 I4

I5 I5

P Total y Total I Total

STEP 8: What mechanisms will implement and manage your strategies and projects?

Implementing arrangements and mechanisms are:

Structures and systems that you need so that you can put into motion all your planned activities

The implementing stakeholders who are critical to the implementation of the program

The following are major sections of this part:

Implementing bodies and their respective roles in the program

Management and financial systems: planning and budgeting, monitoring and evaluation, accounting and funds management, reporting, staff evaluation and training

Tips on Projects

Project focus tells you if this project is for pre-vention, treatment, care and support, or surveil-lance, or a combination of all four HIV/AIDS fac-tors.

Project goal is very much related to your pro-gram goals.

Target outcomes are translations of your pro-gram strategies.

Outputs and indicators must be consistent with your strategy objectives.

You can have more than two indicators for each output.


Sample

Major stakeholders:Civil society: education, sector mobilization and organization Business establishments: promotions, enforcement NGAs: standards, enforcement and control LGU Health Office: program implementation and management Local AIDS Council: policy, program and enforcement assessment

Program management:Fund management: special accounts, COA accounting systems Program planning: 1st month, annual Program assessment: mid-year and last quarter yearly Staff performance review: twice a year, review done by superior, peers and clients Reporting: formal reports to:

LAC: Quarterly City Development Council (CDC): Annual Office of the Mayor: Quarterly DOH: Bi-annual Public: Annual

Do this step using the tables below (Requirements of the Program to Succeed):

Implementing Partners Areas of Involvement Areas of Responsibilities

LGU

LAC

CHO

Program Unit

Office of the Mayor

Sangguniang Panlungsod

LHB

LGU Office (Specify)

1

2

NGOs

Private Sector

Business

Academe

Implementing Arrangements


Systems Required Budget Requirement

Financial management & other assets

Reporting & feedback

Performance management of program staff

Performance management of program staff

Management of partners

Others

Management Systems

Performance measurement is:

Very critical in ensuring that you have reliable and valid evidence to determine if you are indeed ac- complishing what you have set to do. Reliable information is also needed to correct the actions done that are not effective and to sustain those that are effective.

A system to make sure that you monitor your ongoing performance vis--vis the targets you have set (outcomes, outputs, and indicators) within the time frame you have set (annual, interim, terminal).

The use of appropriate, reliable, and valid measurement tools and processes to make sure that you are collecting reliable and defensible data with which you can determine if your strategies and activi-ties are indeed contributing to the attainment of the goals.

Vital in making your program and projects credible, relevant, and sustainable. It is a basis for your sponsors and supporters to continue their confidence in and partnership with the program.

Evaluation plan The evaluation plan must include concrete sources of information and how in-dicators will be measured, by whom and when.

Evaluation will focus on assessment of projects, at-tainment of strategies and strategy outcomes, man-agement systems, and the entire program.

STEP 9: What mechanisms will you use to measure your success?

InterimIndicators

TerminalIndicators

Sources of Evidence

MeasurementTools & Schedule

PROJECTS

1

2

3

PROGRAM MANAGEMENT

Finance

Staff

Reporting

Partner Management

Monitoring & Evaluation


STEP 10: What resources do you need and what mechanisms will access and manage these?

The financial planning process in Fig-ure 4 starts off with a clear identifica-tion of projects and the phases of proj-ect implementation over the project life (Step 1). Project phasing is criti-cal for budgeting. Cost requirements are initially identified by estimating the cost for each phase and then sum-ming up the cost of all cost items for all the phases.

Management activities for each year within the span of five years are also provided with cost estimates (Step 2). Management activities will include salaries of management staff, and

management-related activities like department planning, meetings, staff development, moni-toring of department activities and projects, and others.

All cost items for project and management ac-tivities are summed up in Step 3.The output of Step 3 is therefore a consolidated budget plan for five years.

The next step requires the team to identify the sources of funds: whether accessible and avail-able within the city investment programming, or whether they need to be accessed from out-side the LGU. The prioritized projects and an-nual management activities are then submitted to the LGU (budget officer) and the city invest-ment committee for deliberations as to whether these HIV/AIDS projects will be included in the city development and investment plan for the next five years. If included, then these will be funded through the IRA of the city. If not includ-ed, or should there be a shortfall, then a fund-ing gap exists (Step 6), necessitating resource mobilization to access external funds (Step 7).

It is best, however, that a resource mobiliza-tion plan is made even before funding gaps are identified in order to be more proactive in en-suring that funding requirements over the five years are met.

ProjectDuration

Total CostYearly Cost

FinancingYear&Source

FundingGap

Project:AIDS Preven-tion for Sex Workers3 years: 3 phases

P 2.5 My1: P1.5My2: P750ky3: P750k

2009: IRA & Grants2010: IRA, Grants, Revenue2011: Grants, Revenue

2009: P500k2010: none2011: none

Program Management Expenses:2 years

P 1.5 My1: P1My2: P.5M

2009: IRA & Grants2010: Grants & Donations

2009: P500k2010: none

Total P4M 2009: P1M

Project: Goal, Outcomes,Time, Coverage,

Funds

Phases Cost Elements & Budget

Requirement

Sex Workers

Goal:Outcomes:

Start:End:

Coverage:

TotalBudgetRequirement:

Annual FundsRequirement:

Funds Sources:

Phase 1: Setup of EducationandCounseling Services (ECS);

Baselineofhealth-seeking behaviors

Duration:

Activities:

SalariesHonorariaEquipmentMaterialsFoodVenueTransportationCommunicationOtherfees&services

Phase 2: Intensive promotionsforECS;pilot services rollout

Duration:

Activities:


Phase 3: Full imple-mentationofECS;monitoring of client feedback and changes in behavior

Duration:

Activities:



Converting the costing to a budgetThe costing of the plan is a needs-based costing since at this stage it assumes that all the funding will be available. If the amount of funding available is less than the total cost, then either the costs or the activities have to be reduced for the costing to become a budget.

The first step is to review the activities, inputs, and costs to see if there are cheaper ways to carry them out without reducing the quality of the results. If that is not possible, then the goals, objectives, strategies, and activities may need to be reduced or some of them eliminated completely. This should be carried out with caution since these elements, as planned, form parts of packages required to achieve the goals. Removing some of them might compromise the attainment of the goals. Reducing the number of units per output (e.g., less training for nurses) is not recommended since it is likely to reduce quality. Reducing the number of the target population may be a more acceptable option, provided the target and numbers of activities have been linked to the target population.

Figure 4. Basic Financial Planning Process

1IdentifyProjects

BreakdownPhases of

Projects over a Time Frame

BreakdownCost Elements

& Requirements

2Identify

ManagementActivities

BreakdownCost Elements

& Requirements3

ConsolidateCost Elements

& BudgetRequirementsOver a 5-Year

Period

5Include

PrioritizedProjects &

Budgets in CityInvestment

Program

4IdentifyFunding Sources

6Identify Funding

Gaps

7Create

ResourceMobilization

Plan

ff

f

f

f

f

ff


How do we link plan and budget? The LGC of 1991 provides that the budget shall be formulated as an instrument for the implementation of the approved local development plan and investment program. The linkage between plan and budget is crucial; hence, planning and budgeting activities need to be coordinated and harmonized.

The budget is prepared for a menu of programs, projects and activities (PPA) for each LGU department. In the CHO, for example, the SHC, in coordination with the CHO, accomplishes the Local Budget Preparation (LBP) Forms I, II, III and IV with the objective of including the PPAs for HIV/AIDS in the overall proposal of the CHO. The PPA statements should be simple and reflective of the nature of the activities because once integrated into the overall CHO budget together with so many other projects, the details of the PPA will no longer be seen, except in the LBP forms. The proposed budget of the SHC is then integrated into the CHO budget, which is then forwarded to the city budget officer or the Local Finance Council (LFC) for consolidation with the budgets of the other departments of the LGU. Budget hearings are then held for the different depart-ments to justify or clarify their proposals. Once the local chief executive (LCE) approves, the consolidated budget becomes the Executive Budget.

The Executive Budget, with the HIV/AIDS program component integrated, is then forwarded to the local Sanggunian for legislative deliberation. This part of the budget process ends with the enactment of the cor-responding Appropriations Ordinance before the end of the current year or before the start of the budget

year. The Appropriations Ordinance is the basis for the release of allotment and actual disbursement of funds appropriated for the performance of functions and undertaking of PPAs, including the HIV/AIDS pro-gram.

The last part of the local budget process consists of the recording and reporting of estimated and actual income and expenditures, as well as the evaluation of fiscal operations vis--vis planned targets, including those for HIV/AIDS.

(This will be discussed in Part 4: Resource Mobiliza-tion Plan.)

Your own table (Financial Requirements):

Program Budget Summary

ProjectsCost Items &Budget (5yrs)

AnnualBudget

SourcesAnnual

Funding GapAnnual

I1 y1 y1 y1

I2 y2 y2 y2

I3 y3 y3 y3

I4 y4 y4 y4

I5 y5 y5 y5

T T T T

ManagementCost Items &Budget

YearlyBudget

Sources Funding Gap

I1 y1 y1 y1

I2 y2 y2 y2

I3 y3 y2 y3

I4 y4 y4 y4

I5 y5 y5 y5

T T T

Funding GapPer YearTotal

Possible Sources

Access Strategies

Projects

Management


Risk management is a systematic process of predicting possible threats to the program from both internal and external sources (within/outside of the program and the LGU/organization) in order to develop appropri-ate strategies to prevent and control their occurrence or counter their effects. It is a proactive way of ensuring that program implementation will proceed with minimal hindering factors. An example of a possible internal threat is the sudden removal of the CHO who is the champion of the program. An example of an external threat is the change of LCE or political conflict within the LAC or between the LHB and the LAC.

Management of change is a systematic process of identifying all the possible reactions of various stake-holders to the different strategies, inputs, and outputs of your program and projects. The purpose is for you to proactively develop strategies to manage the effects of the negative reactions and strengthen and sustain the positive ones. Negative reactions may be in the form of extreme resistance demonstrated by an outward campaign against your strategies, or hidden resistance manifested by non-attendance or lack of interest in meetings, or non-participation in activities. Strategies to overcome these may include one-on-one talks to clarify the benefits of the projects, or tapping the resistors friends who can convince them of the merits of the projects.

The following tables will help you come up with the appropriate mechanisms to manage possible reactions to your plan.

STEP 11: What mechanisms will help you manage possible risks and reactions to the plan?

Who & Profile Position & Reasons Strategy Mix & Activities Message & Delivery

Building Support and Constituencies

PossibleRisk Scenarios

Implications and Consequences to Program

Contigency Measures & Requirements

A

B

C

Managing Program Risks


STEP 12: Lets put it all together and write the plan!

your ISFP for the HIV/AIDS Program will be a consolidated write-up of all the components, drawn up in the previous steps. your write-up can follow your own LGU format or can adopt the format of the funding agen-cies you are targeting.

In your formal plan write-up, all parts of the plan will have to be included. However, this comprehensive write-up is initially for your eyes only. If you are publishing the plan for other purposes or sharing it with specific audiences (e.g., the media, government officials, supporters), you may have to omit certain parts of the plan or revise it to suit the needs and concerns of your target groups. For example, if you are submitting the plan to the Sanggunian/LAC/mayor, you may not want to include the portion on risk/change management as these may expose confidential information about the persons who will be reading the plan.

Repackaging the plan for specific target groups must be well thought out. The format, writing style and the artistic layout should consider who the reader will be and what parts of the plan can be shared with them or would be useful to them.

The Rationale of the HIV/AIDS Program

The Context: Gains, Accomplishments, Strengths and 1. Facilitating Factors that have impact on AIDS and AIDS projectsWeaknesses and Hindering Factors that have affected the performance of 2. AIDS projectsTheMajorProblemsyouwanttoaddressandthepossibleBurdensifthese3. are not addressed

The City LGUs Response to HIV/AIDS

TheHIV/AIDSProgramsVISION& 4. MISSION

The GOALS of the Program with its stakeholders and program principles5. TheLegalMandatesoftheProgram6.

The Solutions Strategies&StrategicOutcomes7. Priority Projects: Goal, Outcome, Outputs8.

The Evaluation of Program Performance

EvaluationPlan9.

The ProgramImplementation

Implementing Arrangements10. ManagementSystems11. Financial Plan12. ResourceMobilizationPlan13.

Implementation Support RiskManagement14. ChangeManagement15.

These are the different parts of your ISFP:


Phase 3 The Post-planning PhaseHow do we prepare the plan for implementation?Now that you have your Strategic Plan all written out with all the elements and requirements neatly laid out, the next thing to do is to get it ready for implementation. This is the post-planning phase, which is the critical transition from planning to implementation.

This phase will focus on repackaging the formal technical document into information materials that will serve the needs of the various actors who will be implementing the plan, according to their respective levels of authority, stakeholder organizations, roles, and levels of engagement in the entire HIV/AIDS situation in the LGU.

STEP 1: Repackage the plan into manageable chunks of information for specific publics.

After the major plan has been approved, the PPCs will convene working sessions with Phase 3 key actors who can properly package the plan for appropriate users. These users are the implementing departments of the LGU, civil society groups involved in HIV/AIDS, national agencies, and other partners.

STEP 2: Promote the plan for full and effective implementation.

PPCs engage the support of local advocates and constituencies to ensure that the five-year ISFP is trans-lated into annual operational and functional plans of the LGU. This process must be a continuing, yearly advocacy to ensure that projects, major institutional development, and resource generation efforts are fully implemented by implementing departments, public partners, and private agencies and organizations.

Part 3:What Are the Strategies to Build Support for your ISFP?your ISFP is not fully done until you know how to build support around it. Part 3 provides you with a simple process to map out your actions to package, promote, and sell your entire ISFP plan-ning process and its major parts and outputs to your different stakeholders.


How do you package the HIV/AIDS Integrated Strategic and Financial Plan?Plans have three possible destinations: the shelf, the other persons shelf, and on the table. For plans to be effective, it has to be mainstreamed in the daily life of an organization. For it to be mainstreamed, you have to first build understanding, excitement, and buy-in for it. If a plan is hardly known and understood by the people who must implement and support it, it will not be integrated with their respec-tive plans, systems, resources, and structures.

your objective is not to do everything; but to inspire others and ensure that others are with you in implement-ing your solutions.

The following are simple steps that can help you build constituencies for your ISFP:

STEP 1: Who are the critical audiences and users of the plan?

Decision-makers Program implementers Partners Target group Regular guy on the street

STEP 2: What do your target audiences and users think and feel about the issue and your solutions?

Very much for it: All the way! Okay with it: Game ako! Not convinced about it: Medyo-medyo. Against it: No deal! Vehemently against it: @%&*! Does not care: Wala lang.

Why do they feel and think that way about the issue and your solutions?

Certain interests may be affected Personality Competing values Not enough knowledge or skills Relationships may be affected Too much work involved

STEP 3: What strategy mix will you use to influence your target groups thoughts and feelings about the issue, and about specific solutions?

There are three general strategies to influence the behavior of your target groups: Increasing their knowledge and skills about the issue

Three things to remember to move your plan: Package it. Promote it. Sell it.


Changing the structures and systems pertaining to the issue by engaging their participation in the process of change

Enforcing laws, using punishments and rewards

There are several activities that can be undertaken for each strategy, such as: knowledge and skills: training, inviting experts to give seminars, use of IEC, coaching Participation: involvement in planning, project development, consultations, research Enforcement: penalties, tax incentives

you can mix and match the above strategies and activities to create the most effective and power-ful plan to change the behaviors and reactions of target stakeholders.

Across all the strategies is communication: What you will say that will fit your target groups styles and address their position about the issue and your specific solutions.

Here is a sample of how to apply Steps 1 and 2:

Communication that effectively influences behavior speaks to BOTH the heart and mind, to values and reason, to feelings and logic. Feelings influence thinking, which influences decision that determines action.

STEP 4: How do you go about influencing your stakeholders using a combination of the three strategies?

STEP 5: Incorporate the above plan into the ISFP.

Who & Profile Position & Reasons Strategy Mix &

Activities

Message & Delivery

MayorResult-oriented,2nd Term

Not too convinced about solutions but aware of HIV/AIDS.

Too much resources needed by other health issues and programs

Create sense of urgency; use very credible third party; brief information about consequences and benefits; use pres-sure from political allies; present options for re-source generation.

Message: Your role is critical in defining andleading this program. With your support, very concrete results will happen and your adminis-tration will be known for this (in the city and in other areas).

Delivery: Through credible third party and close allies; at the beginning of the planning process and at the start of every major point during the start of the program.

Part 4: How Do you Mobilize Resources to Support the Projects Within your ISFP?your ISFP contains important projects and major activities that need funds, which may not be readily available within your LGU. Part 4 tells you how to plan activities to access the funds you need, after you have exhausted all the means to secure these from the LGU. It will provide you with a guide on understanding donor agencies, preparing your project proposals, and accessing funds from donor agencies for HIV/AIDS.


What is resource mobilization?Resource mobilization is a process that identifies various sources of funds to implement identified HIV/AIDS projects. Among LGUs, the first source of funds to be tapped is the IRA. Of the LGUs 40% share of the IRA, cities get 23%. In the event, however, that the city LGU could not allocate the required budgetary requirements for all identified HIV/AIDS projects, resource mobilization outside of the limited LGU funds is the necessary option.

The process entails familiarization with the other possible funding sources. These may include: Congressional funds, popularly known as the countryside development fund (CDF); civic organizations, fund raising campaigns; and foreign donor agencies. With all of these possible sources, the LGU office assigned to do additional resource mobilization must know what the donors are looking for in a project and what their requirements are. There is one document that donors will always look for, and that is the project proposal.

Take note, however, that the project to be proposed should be part of a more comprehensive and sustainable HIV/AIDS program with a clear LGU Strategic Plan on HIV/AIDS. With this considered, the proposal that the project proponent prepares then serves as a blueprint that spells out what the HIV/AIDS project wishes to achieve and what the expected outcomes are. It is on this basis that proposals are evaluated.

There are four major steps in preparing for resource mobilization:

Step 1: Create your strategic plan or business plan.Step 2: Identify your resource requirements and funding/resource gaps.Step 3: Assess the resource agencies within health and HIV/AIDS.Step 4: Match your requirements with the appropriate resource agency.

Then you are ready for resource mobilization activities.

Defining resource mobilization

Trying to make the yearly LGU budget allocation suffice is a tough challenge for local health programs and projects. It is true that LGUs have very limited resources, but the delivery of health services on HIV/AIDS cannot suffer. This makes it necessary to tap other source of funding. Thus, at the October 2006 Capacity Assessment Consultation Workshop of the Philippine National AIDS Council (PNAC), resource mobilization was identified as one vital enabling strategy to push local response on HIV/AIDS.

On the local frontThe 23% share of the city LGU of the overall 40% allotted to LGUs should provide a ready source of sub-stantial funds for HIV/AIDS projects. In reality, however, the process is not that simple. Often, the CHO has to wrestle with other city LGU offices to get a sizeable chunk of the budget. With the prioritized HIV/AIDS projects urgently needing funds, the CHO is faced with the challenge of looking at other options. Resource mobilization with local donors, a very viable option, should be tapped to the fullest, supported by well-directed efforts at advocacy, promotion, and lobbying.

Any and every fund raising activity must be anchored on a comprehensive program that provides direction, reason, strategies, systems and accountabilities to all projects and activities that must be funded.


How do LGUs finance programs and activities for HIV and AIDS?

A local budget is the financial translation of the projects and activities to achieve the objectives and goals of the plan.

The resources available in the LGU to fund the PPAs have to be considered first. These are the revenues and receipts that the LGU generates from taxes, fees and charges, IRA, and other national government transfers.

Remember also that the members of both the Upper and Lower Houses of Congress have at their disposal their CDF, where there are millions of pesos waiting to be tapped. This is where a lot of good public relations, social marketing and networking can be a big help. With adequate research and good presentation, the LGU can convince the Congressional Committee on Health to provide funds for HIV/AIDS projects. A good selling point would be your contribution will mean a lot of votes in the coming elections.

Good public relations, social marketing, and networking can also help get the support of civic and religious organizations as funding or cooperating partners in the fight against AIDS. With the private sector, appeal-ing to their sense of social responsibility is an effective approach to establishing partnership with big private players like the Philippine Business for Social Progress, League of Corporate Foundations, private founda-tions such as the Metrobank Foundation, professional associations, and other health-oriented foundations. The LGU can also make use of a lot of creative ideas for fund-raising activities for HIV/AIDS projects, such as testimonial dinners, fun runs, or charity balls.

Beyond the domestic frontForeign donors have been providing funding assistance (in cash or in kind) to various health-related interven-tions for the past several decades. Through resource mobilization, funds from external donors have been spreading seeds of goodwill through the health agencies to the sectors that need health assistance.

Resource mobilization, as defined by the Southeast Asian Regional Office of the World Health Organiza-tion (WHO), is a comprehensive process involving strategic planning for funding of projects under a specific program. It entails:

Close communication and effective negotiation with donors Sound management of resources Improving image and credibility of the proponent Ensuring good coordination among all partners

The group that undertakes resource mobilization functions primarily for promotion, advocacy, coordination, and policy and strategy development, done through external cooperation and partnerships. Before starting resource mobilization, the group first asks the following questions:

Is it there or not? Is there a clear

Documents

HIV AIDS Integrated Strategic and Financial Planning Guidebook