Organizational Assessment of the NCI-SRDnci.da.gov.ph/images/DownloadableFiles/5_NCIAssessmentStuds/5.1… · Organizational Assessment of the NCI-SRD: Final Report 4 2.1 Assumptions

0

Consultancy Contract No. 83167673

Organizational Assessment of the NCI-SRD Final Report Dr. Maria Faina L. DIOLA With assistance from Mr. Bhen Aguihon

June 2014

Organizational Assessment of the NCI-SRD: Final Report

1

Table of Contents 1.0 Executive Summary ........................................................................................................................... 2

2.0 Introduction ...................................................................................................................................... 3

2.1 Assumptions and Theoretical Propositions .................................................................................. 4

2.2 Research Objectives ..................................................................................................................... 4

2.3 Expected outputs .......................................................................................................................... 5

2.4 Scope and limitation ..................................................................................................................... 5

3.0 Methodology: Process of Organizational Diagnosis ........................................................................ 7

3.1 Conceptual / Analytical Framework .............................................................................................. 7

3.2 Organizational Development Analysis .......................................................................................... 7

1. Vision-Mission-Goals and strategic planning .................................................................................. 8

3.3 Data Collection Process ................................................................................................................. 8

4.0 General Findings of the Study ......................................................................................................... 11

4.1 Inputs for the NCI-SRD: Framing the Context ............................................................................. 11

4.2 Analysis of the Processes or Main Activities: Strengths, Weaknesses and Bottlenecks .......... 23

4.3 Outputs of the NCI-SRD ............................................................................................................. 63

4.4 Summary of Findings (for editing) .............................................................................................. 86

5.0 Policy Recommendations: Opportunities for Change Management .............................................. 89

References: ........................................................................................................................................... 98

Annex 1: Shifting Organizational Mandates ....................................................................................... 100

Annex 2: Highlights of Interviews and Surveys ................................................................................... 112


2

1.0 Executive Summary

In view of the organizational development analysis undertaken in this study, we note traces of public

value which can be attributed to the NCI-SRD as its assets or strengths, such as the mandate coming

from the Executive Office through the Philippine Development Plan and the execution of Joint

Memorandum Circulars from the concerned agencies and Executive Orders, and support for its

institutionalization from the Legislative Branch of Government. Added to its gains are the creation of

Convergence sites in 10 areas and the identification of 140 watershed areas as possible models for

convergence, all over the country, and the initial gains made by the efforts at complementation by

the different agencies working on rural development in the country.

Though it has fallen short of its deliverables, especially with regard to augmenting rural institutions’

capacities as well as the expectations from itsmajor international development partner, the GIZ, with

more rigorous effort in improving its organizational development status, NCI may still emerge as a

strong force to push for development in the countryside. This is possible if and when the findings in

this study are considered and the recommendations proposed herein pursued. There is indeed a

significant potential for the NCI to pursue and promote Convergence among its current and potential

partners. The potential for NCI as a driving force to mainstream Convergence as a strategy in pushing

for sustainable rural development in the countryside and even in other areas in the country, towards

poverty reduction, increased incomes, and management of life forces, outweighs its current

weaknesses. Hence this study recommends its utmost support from the Executive Branch of the

government to ensure its stability as an organization as precursor of a development strategies from

the local areas.

Stemming from what appears as confusion on the functions, role and mandate of NCI and other

organizational weaknesses, some options towards the future institutionalization of NCI are

presented in this study.


3

2.0 Introduction

In 1999, the National Convergence Initiative for Sustainable Rural Development (NCI-SRD) was

created through a Joint DA-DAR-DENR Memorandum Circular that recognized the necessity to

develop and operationalize a common framework for sustainable rural development (SRD) to

facilitate the convergence of the resources of the three agencies and enhance their impact on

countryside development.

In 2004, NCI-SRD became a strategy to achieve the MTPDP (2004-2010) Goal 1 target of developing

two million hectares of agribusiness lands. The Department of Agriculture (DA) was designated as

the lead convenor of NCI-SRD.

Also, the NCI-SRD Steering Committee Resolution No. 1 was issued to tap the German Technical

Cooperation (GTZ) – Environment and Rural Development program (then under preparation) to

support NCI-SRD’s convergence efforts. From then on, GIZ (formerly GTZ), supported priority

measures aimed at strengthening the NCI-SRD, for example in the conduct of island-wide planning

workshops, capacity building measures, agribusiness development and provided other technical

assistance to establish organizational systems, mechanisms and procedures.

In 2010, a policy and implementation framework for an Enhanced National Convergence Initiative

among the three agencies was drawn up. The framework outlined four major components where

NCI-SRD should focus their implementation and these are: a) Policy and Advocacy, b) Agro-

enterprise Cluster and Agribusiness Development, c) Capacity Development, and d) Knowledge

Management. Furthermore, a more comprehensive implementation mechanism and organizational

structure were defined, not just at the national level, but also at the regional, provincial and

municipal levels. With further guidance from GIZ-EnRD, NCI-SRD has taken a more active role in

bringing policy issues under this implementation framework to a broad range of stakeholders, such

as government, non-government and civil society organizations, development partners and

academe.

In 2011, the NCI-SRD entered into a MOA with DILG in promoting local economic development and

recognizing the pertinent role of LGUs as drivers of growth and development in the countryside.

However, given recent changes in the DA, DAR, DENR and DILG brought about by the

implementation of the individual agency’s Rationalization Plan, there is a need to reassess the role of

NCI-SRD as an inter-agency approach and at the same time sustain the initial gains of NCI-SRD and

ensure the continued participation of NCI-SRD implementers in the convergence efforts, especially

on the ground.

Relative to this, there is a need for deeper understanding of the NCI-SRD’s performance in overall

Sustainable Rural Development through Convergence, mainly through the strengthening of the

capacity of rural development agencies in promoting rural development and in sustainably managing

the natural resources, hence this study.


4

2.1 Assumptions and Theoretical Propositions

To carry out the above purpose, a technical assistance study in the form of a rapid appraisal and

sense-making of the NCI-SRD experience over the past 15 years was conducted starting last

March18 -19, 2014 (Pre-NCI Summit) and is expected to be completed by 15 May 20141 in order to

attain the purpose of this study. The study posits that “Convergence” as an approach or strategy to

rural development is the way to go and therefore natural resources can be managed more

effectively by adopting “Convergence” as a strategy.

To pursue this proposition, and to understand how “Convergence” worked in the NCI-SRD

experience, the study made use of a grounded theory approach to sense-making and paradigm

development as contribution to intergovernmental / multisectoral management and governance of

development projects.

Adopting this grounded theory approach, the study on the NCI-SRD case2 is treated as a first case

and a continuous theoretical sampling or choices of similar Convergence Initiative cases from the

ground (i.e. Regional Convergence Initiatives and other local Convergence Initiatives) will be

continuously done in order to come up with an emerging framework for defining “Convergence”.

However, the scope of the report has not permitted the review and analysis of actual planning and

implementation of Convergence Initiatives (CIs) in Local Convergence Areas (LCAs). Partnerships at

local level have not been investigated and analyzed and therefore not included in the report.

This study will therefore be a work-in-progress, the continuation of which will depend on how the

NCI-SRD will want to proceed after the proposed NCI Summit in 2014. This means that the results

and general findings of the study are for general guidance only. The following steps are

recommended to further substantiate the need to mainstream Convergence as an Approach in

Sustainable Rural Development and streamline the NCI-SRD with other national government

agencies.

a. Study other intergovernmental / multi-sectoral government coordinative bodies to compare

the NCI-SRD experience

b. Conduct a Roundtable Discussion to validate and make sense out of the initial findings.

2.2 Research Objectives

This study aimed to answer the following:

1 A no-cost extension of the research period was requested and granted by GIZ Philippine Office, as per e-mail

reply of Ms. Erlinda Dolatre, Senior Program Advisor, Policy Dialogue and Strategic Steering for the GiZ-EnRD. 2(Herein, NCI is referred to as the NCI organizational structure and all activities implemented by any or all of

the actors involved in the NCI or any or all activities that may be attributed to any of the components or members of the organizational structure)


5

What is the value of the NCI-SRD relative to GIZ’s goal of improving the capacity of rural

development agencies in promoting rural development and in managing natural resources

sustainably?

Other questions that the study initially attempted to answer within the given period of the study

were:

What were the motivations by the NCI-SRD participants’ engagement in the Convergence or

Collaboration? How did the process of Convergence occur and with what results? What meanings

and values for policy may be extracted from the NCI -SRD experience for future use by public

agencies? What Recommendations/Way forward may be put forth to address the issues around the

Rural Development Bill now filed in Congress: policy options to make NCI or “Collaborative

Governance” work better, could work better, e.g. JMC, JAO, EO; options for inter-agency

collaboration structure?

2.3 Expected outputs

The study hoped to deliver the following:

a. Conduct of key interviews, survey, and secondary data review

b. Attendance at the NCI Pre-Summit Meeting

c. Analysis of organizational development status of the NCI-SRD

d. Policy recommendations and options

e. Presentation of findings to NCI and GIZ Senior EnRD Program Advisor

2.4 Scope and limitation

As already mentioned, the scope of the technical assistance has not permitted the review and

analysis of actual planning and implementation of Convergence Initiatives (CIs) in Local Convergence

Areas (LCAs). Partnerships at local level have not been investigated and analyzed personally and

therefore not included in the report. At the minimum, two phone interviews have been conducted

as of 20 April 2014, while expecting a third phone interview within the week of 20 – 25 April 2014.

The latter never got to materialize.

This report was based on a rapid appraisal of the NCI implementation of activities through the

following data collection strategies: review of related documents and literature and desktop

analysis; eight (8) key interviews and two phone patch interviews (still to include 1 interview with

key GIZ person); and analysis of three returned questionnaires; observation at the NCI Pre-Summit

last 18-19 March 2014. The assessment of Accomplishments versus Targets could not be assessed

concisely since the available reports do not match, i.e., the Report of Accomplishments did not

contain the Targets listed in the Three Results Chain of Outcomes that we presume would be the

bases for assessing Work Accomplishments for NCI.


6

The report therefore draws its conclusions from available documents and again needs to be

validated further by NCI and its constituency, perhaps even after the contract period.

Again, this report is for general guidance only to formulate the next steps in adopting the

Convergence as an approach to rural development.


7

3.0 Methodology: Process of Organizational Diagnosis

3.1 Conceptual / Analytical Framework

In studying the organizational development status of the NCI-SRD, the research used Ira

Sharkansky’s (1970) basic systems approach to the study of Public Administrative Systems, looking at

Inputs, Processes and Outputs of public organizations involved in the NCI-SRD, however, lessons are

to be further extracted, as shown below.

Fig. 1. Systems approach to diagnosing the NCI-SRD organizational development status and extracting lessons learned for policy (Adapted from Sharkansky, 1978)

In diagnosing the strengths and weaknesses, the tool described below developed by Mines Action Canada (n.d.) was adapted to suit the objectives of the study by renaming some of the pillars. In principle, the tool was used based on the theory of organizations, basically premised on the organizational development of an entity, referring to an internal capacity development process that the organization undergoes in order to sustain itself.

3.2 Organizational Development Analysis As mentioned above, for this study the Organizational Development Analysis toolkit developed by

Mines Action Canada was adapted to be able to go through the Analysis of Strengths and

Weaknesses, and to be able to extract Policy Issues and give Policy Recommendations, as

appropriate to the NCI experience. Note that in the OD Pillar No. 6 on Coordinating and Engaging the

Stakeholders, for example, the Goal and sub-goals stipulated in the Philippine Development Plan

(PDP) 2011-2016 was added as indicators.


8

The nine pillars of Organizational Development are portrayed in Fig. 2 below, which the researcher

adapted for this study. These nine pillars, where some have been renamed for this study, as follows:

1. Vision-Mission-Goals and strategic planning 2. Organizational Structure 3. Governance 4. Information flow and decision making 5. Staffing and human resources management 6. Coordinating and engaging stakeholders 7. Technology and infrastructure management 8. Financial management 9. Continuous improvement of organization

Source: F.L. Diola constructed for the organizational development analysis of the National Convegence Initiative 2014. Core pillars adapted from Mines Action Canada (n.d.)

Fig. 2. Organizational development core pillars adopted by the study The results of the Organizational Development Analysis using the nine pillars mentioned are discussed further in Section 4.0 below.

3.3 Data Collection Process

The study adopted the grounded theory approach in sense-making and emergent theory-building as bases for knowledge to improve current practices. The major difference between grounded theory


9

and other research approaches is that the former is explicitly emergent34, and therefore does not test a hypothesis. This study tries to depict as accurately as possible the research situation as it is. For analysis, the study used the Case Study method5, most appropriate for grounded theory approaches. Actual data collection involved the following:

a. Observation at the NCI Pre-Summit (March 18-19, 2014) b. Review of secondary data and documents c. Survey d. Face-to-face key informant interviews with NCI key implementers e. Focus group discussion and key interviews with NCI Secretariat Staff f. Telephone interviews g. Observation and key interviews at the Focus Group Discussion on the Policy Elaboration

Process at NCI (June 9, 2014) h. Validation and revalidation activities with key informants

The key respondents and informants for both face-to-face and telephone interviews (as of 20 April

2014) were as follows:

a. Undersecretary Segfredo B. Serrano - DA Policy and Planning b. Undersecretary Jerry E. Pacturan – DAR Support Services Office c. Director Vicente B. Tuddao, Jr. – DENR Office of the Undersecretary for Operations d. Director Lourdes G. Ferrer – DENR Office of the Undersecretary for Operations e. Director Oscar O. Parawan – NCI-SRD National Focal Person f. Ms. Luz Brenda Balibrea – DA Policy and Planning g. Ms. Jayd-da Mayoralgo – former DA Policy and Planning Staff h. Ms. Jocelyn Gementiza – Regional Convergence Initiative (RCI) TWG, Reg.10 i. Dir. Edgar Madrid – RCI TWG, Reg. 5 j. Mr. Cesar Francis G. Labro Jr. – NCI-SRD Secretariat k. Ms. Erlinda Dolatre – Senior Advisor, Policy Dialogue and Strategic Steering for the GIZ-

EnRD l. Ms. Rhodora Raras – Program Coordinator, GIZ

3 The core principles in which Mines Action Canada anchored its organizational development analysis tool are:

healthy, efficient, and well-functioning organizations.

4 This distinction between "emergence and forcing", as Glaser (1967) frames it, is fundamental to understanding the

methodology. Grounded theory has its own sources of rigor. There is a continuing search for evidence and is driven by the data in such a way that the final shape of the theory is likely to provide a good fit to the situation. Glaser suggests two main criteria for judging the adequacy of the emerging theory: that it fits the situation; and that it works -- that it helps the people in the situation to make sense of their experience and to manage the situation better. The generation and development of concepts, categories and propositions is an iterative process. Grounded theory is not generated a priori and then subsequently tested. Rather, it is, “…inductively derived from the study of the phenomenon it represents. That is, discovered, developed, and provisionally verified through systematic data collection and analysis of data pertaining to that phenomenon”. (Strauss and Corbin, 1990, p. 23. Emphasis added by Pandit; as cited in Diola, F.L. 2009) 5 While the analysis to be used for this research is an attempt at using the grounded theory approach, the research design

chosen is the case study strategy, which is the most appropriate for grounded theory-building. By definition (Yin 1994), a case study is an inquiry that investigates a contemporary phenomenon within its real-life context, especially when the boundaries between phenomenon and context are not clearly evident.

http://www.nova.edu/ssss/QR/QR2-4/pandit.html#strauss


10

The study made use of the following major documents made available by the NCI Secretariat and the GIZ-EnRD Office:

a. Medium Term Philippine Development Plan(MTPDP), 2005-2010

b. Philippine Development Plan (PDP), 2011-2016

c. Joint Memorandum Circulars, Joint Administrative Orders, and other legal bases for NCI-

SRD implementation

d. Policy Directives (2012-2013)

e. Proceedings of Workshops and Conferences

f. Official Reports submitted by NCI

g. NCI-SRD Newsletter and other communication materials

h. NCI Manual of Operation (2011)

i. NCI-SRD Results-based Framework

j. Accomplishment Reports from the Four Components of NCI

k. Policy and Operational Directives for NCI, 2013-2014

l. Communication Plan Final Report

m. GIZ project documents related to NCI


11

4.0 General Findings of the Study

The database on the summaries of the key interviews and surveys conducted for the study are found

in Annex 1.

4.1 Inputs for the NCI-SRD: Framing the Context

4.1.1 Legal Framework: review of NCI’s organizational mandate, milestones, and

funding support

In general, the NCI-SRD was given a national mandate and an impetus as the Convergence strategy

was given a directive as contained in the Medium-Term Philippine Development Plan (2005-2010)

and the Philippine Development Plan (2011-2016).

NCI then had to align its operations with Goal 1 of Chapter 2 on Agribusiness in the 2004-2010

MTPDP, which was “to develop at least 2 million hectares of new land for agribusiness in order to

contribute 2 million out of the 10 million jobs targeted as a legacy by 2010”.

Chapter 4, Competitive and Sustainable Agriculture and Fisheries Sector, Goal 3 (Strategy 3.1) of the

2011-2016 PDP on the other hand reaffirms the mechanisms and objectives of the NCI:

The NCI is a multisectoral and integrated planning approach adopted by the DA, DAR and DENR towards more

efficient use of resources. Through the NCI, the three rural development agencies undertake joint planning,

programming and budgeting as well as monitoring and evaluation in the achievement of the sectoral goals and

targets of the Plan.

Furthermore, Chapter 10, Conservation, Protection and Rehabilitation of the Environment and

Natural Resources of PDP 2011-2016 calls for NCI to develop and implement environment –friendly

enterprises and livelihood opportunities. As stated in this Chapter:

The DA-DAR-DENR NCI intends to help provide more jobs and livelihood in identified convergence sites for

productive management and sustainable utilization of forestlands. The programs of the agencies will be

integrated to promote increased investments in the rural areas, increased and sustainable food production and

efficiency in proper implementation.

The Conception and Birth of NCI-SRD (1998-2000)

JMC No.1 (1999), under Joseph Ejercito Estrada’s regime, was a product of a 1998 World Bank study

that recommended the merging of the concerned three national line agencies due to duplication and

overlapping of functions resulting to wastage and diffusion of resources, fragmentation, inefficiency

and confusion in implementing rural development efforts. Instead of actual merging, a Sustainable

Rural Development (SRD) framework was devised to be carried out through a Convergence Strategy.


12

SRD Framework, as a typology of Sustainable Development Theory6, was to provide the common

route of rural development, which primarily focused on sustainable agriculture. In order to meet the

goal of rural development, the three key elements of SRD had been placed under the accountability

and under the responsibility of each agency – DAR for managing agrarian reform communities and

social capital formation (people), DA for managing rural economies and market destinations

(economy) and DENR for managing life forces (environment).

This design, in effect, integrates existing national laws such as Agriculture and Fisheries

Modernization Act (AFMA) under DA, Comprehensive Agrarian Reform Program (CARP) of DAR, and

environmental laws of DENR. DENR established the approach of the strategy, dubbed as watershed

or river basin management approach. In the initial stage, nine (9) sites were identified as pilot

convergence areas to establish models of implementation of the strategy across ecosystems,

production systems, rural poverty sector and small producers in the long run. The strategy is

expected to optimize resources in the short run.

DAR took the lead of convening the committee and its secretariat, which is composed of the

Department Secretaries. National Economic and Development Authority, through its Director

General, served as the representative of oversight agencies. The Steering Committee (SC) decided on

level of policy, which includes site selection and review of sustainable rural development adherence

of programs. SC was and still is composed of the Secretaries as Principals or Undersecretaries as

Alternate Members. Technical Working Group (TWG) concerns the actual implementation or the

operation of the SRD initiative, focusing on the adherence of projects and programs, had a

recommendatory function to the SC. TWG is composed of Assistant Secretaries as Principals or

Alternate Members – Director for Planning and Monitoring Service (DA), Special Assistant to the

Secretary for Countryside Development (DAR) and Director of Forest Management Bureau (DENR).

The same memorandum required the creation of a Secretariat that will be composed of personnel

from each department that will do technical and administrative support to the strategy. The legal

mandate further stipulated that the SC must define a coordinating base among the departments;

the Secretariat was to be based at the DAR. This also extended the recognition of the involvement of

consultants to periodically assist the NCI. Furthermore, the active participation of Local Government

Units (LGUs), Civil Society Organizations (CSOs), the business sector, other stakeholders and other

National Government Agencies (NGAs) was also to be sought by the initiative. Hosting of meetings

and workshops were rotated among the agencies and presided by whoever had the highest rank of

the scheduled agency.

Added to the 1999 JMC, the criteria and definition of Convergence Model Sites were stipulated,

which stated that the sites must be chosen based on their strategic importance and potential to

contribute to the model-building of sustainable rural development. The following considerations are

given that are parallel to DENR’s ridge to reef approach.

1. Completeness of ecosystems/landscape

2. Combination of high productivity zones, in between areas and agropolitan centers

3. Combination of sites across major crops

6 Originally, the Brundtland Commission in ”Our Common Future” defines sustainable development as "Development that

meets the needs of the present without compromising the ability of future generations to meet their own needs."


13

4. Combination of site across major poverty groups

5. Potential for high impact on increasing farm productivity and income of the rural poor

6. Presence of development-oriented local government leaders

7. Presence of NGOs, POs and an academic/research community

Source: NCI Presentation Materials 2014

Fig 3. The Ridge to Reef Framework adopted by NCI

The Reactivation and Expansion Phase (2000-2004)

JMC No.1, dated 18 October 2004, was issued by the concerned line agencies, which primarily

expanded the scope of JMC No.1 (Series of 1999) to be nationwide in scope, mandating all provinces

to identify convergence areas. Structure and processes of NCI were substantially carried over and

recognized by this new memorandum. The criteria for site identification was extended, having two

(2) additional criteria that were aligned with the Medium Term Philippine Development Plan

(MTPDP) of 2005-2010 Goal No. 1 of Gloria Macapagal-Arroyo’s regime, which then demanded that

2 million hectares of new lands be earmarked for agribusiness, to create 2 million jobs of a targeted

10 million. As mentioned in the PDP 2011-2016, through the efforts of the three rural development

agencies under the NCI (DA, DAR, DENR), 1,835,509 ha of lands have been developed for

agribusiness, generating about 2.67 m jobs between 2005 and 2010.

Each concerned agency carried a site-specific leadership as follows: DAR for Luzon, DENR for

Visayas, and DA for Mindanao. The lead convenor focal point was transferred to DA during this

period. The memorandum required the Regional Level structure to be aligned with the National

Level Structure of NCI. This also emphasized and included the identification of a Focal Person and

staff for each of the three departments in the NCI that will serve as additional member of the

Regional Secretariat. The following mandates were then expected from the Secretariat.

1. Organize the convergence teams composed of DA, DAR, DENR and concerned LGUs

2. Organize workshops as deemed necessary in respective areas


14

3. Organize the local Convergence Team meetings once every two months (or as the need

arises) to monitor the progress of program implementation

4. Provide administrative, logistical and technical support to the Convergence Teams

5. Document and prepare minutes of meetings/workshops proceedings

6. Safe keep program documents.

In 2004 and 2005, NCI activities were allotted with no specific budget; rather the funds would have

to emanate from the regular budget of the concerned agencies. Thus, it was required that regular

programs and projects for NCI will only be considered if primarily this involved complementation

of time and focus of services in the convergence sites.

At the Regional Level, TWG was to be organized by the concerned agencies and a Presiding Officer

assigned in their site of convergence. Meetings then were to be chaired by the Presiding Officer or

the Focal Person of the assigned department in his/her absence. Further, the TWG had to choose a

Chair among the members in case of absence of a Focal Person. LGUs were considered important,

thus they were to be represented during regular meetings. Other personnel of the concerned

agencies were also expected to mobilize and take on program- related tasks tin agreement with the

SC or TWG.

Costs of workshops and other activities would have to be charged to the budget of the host agency.

It was also during this period when a Memorandum of Agreement was signed between the NCI and

the Union of Local Authorities of the Philippines (ULAP).

GIZ funding for Technical Assistance and Institutional Support to NCI

In November 2004, DA, DAR, and DENR signed a Joint Resolution (no.1, s. 2004) to tap the rural

development and natural resources management program of the German Development Cooperation

(GIZ) to support the Convergence Strategy of the three focal agencies. Since then major activities

supporting policy advocacy, capacity-building, knowledge management, and agroenterprise clusters

development was supported by GIZ, with a total amount of EUR 30M poured in for NCI Activities

from 2004. One of the major activities funded by GIZ was the Manual of Operations which outlined

the guidelines for the national as well as sub-national planning and implementation of activities. The

structures of the sub-national structures were to mirror the national component activities

The other main activity funded by GIZ was the Agribusiness Investment Forum held in 2008. Since

the focus of NCI Activity had changed, the Department of Agriculture (DA) Philippine Agricultural

Development and Commercial Corporation (PADCC) became the focal office. This was manned solely

by staff from the DA. In support of the Goals of the PDP, the “Goal 1 Office” established at the

Bureau of Soils and Water Management (BSWM) Office was turned into the Central NCI Secretariat

Office. However, instead of the original provision contained in the initial JMC of 1999 and the

subsequent policy directives, where other focal agencies were to provide secretariat support staff,

the Secretariat Office was manned only by DA staff, which was not aligned with the principle of

Convergence.

GIZ supported the NCI over a period of 12 years through two of its major programs: the Support to

Agrarian Reform and Rural Development (SARRD) in 2002-2004 and the Environment and Rural

Development (EnRD) Program Phase 1 and Final Phase in 2009 – 2014.


15

In 2002 to 2006, counterparts were introduced for the Information Sharing System supported by GIZ,

in the form of training, planning processes and facilities. However, the System was not used by NCI.

Some of the major activities of NCI at the national level which GIZ funded are the following: (1)

Policies, systems and processes, which produced the Enhanced NCI Strategy Framework (JMC no.1.

s. 2010), Manual of Operations, the Results-based M&E Design, harmonized policy protocol, a

Knowledge Management concept in project management, Communication Strategy; (2) New

Concepts developed such as the modified Conditional Cash Transfer, the Environmental Condictional

Cash Transfer, (eCCT) and the Green Agribusiness Development for Inclusive Growth; (3) Capacity-

building/Training on Project Development, Value Chain Analysis, Results-based M&E, Knowledge

Management, Facilitation/Moderation, Integrated Ecosystem Management (IEM), Green

Agribusiness/Agro-enterprises Development for Inclusive Growth; and (4) Promoting and increasing

the visibility of NCI, wherein NCI was co-organizer of several high-level events, to name a few, a

Roundtable Discussion on Foreign Direct Investments (the land grab phenomenon), National

Consultation on Abandoned, Underdeveloped and Underutilized (AUU) Public Lands Released for

Fishponds, High-level Dialogues for National Land Use Policy; National Watershed Management

Conference; Promoting the Voluntary Guidelines for Responsible Land Governance.

At the local level, GIZ supported Model-building for two Convergence Sites in the Visayas, with most

of the funding directed to capacity-building, such as Comprehensive Land-use Planning (CLUP) and

Coastal Resources Management in Antique Province and CLUP and Community-based Forest

Management in Javier, Leyte.

Fund utilization will be discussed in Section 4.3 on NCI Outputs.

The Current NCI Focus and Set Up (2010 to date)

Carrying over the initial objective of achieving sustainable rural development and poverty reduction,

the most recent JMC No.1 (dated 17 November 2010) highlights the importance of the agricultural,

agrarian reform and natural resources (AARNR) subsector. Countryside development is considered a

poverty reduction strategy of the current Benigno Aquino regime. This was an offshoot of the

reported 1.82 million hectares of land or 89% of the target 2.05 of the MTPDP, translating to 2.65

million jobs of the targeted 2.87 million.

In 2011, 10 Local Convergence Agro-enterprise Clusters (LCAECs) were launched. However, with the

impact of Climate Change, the use of the Integrated Ecosystem Management (IEM) approach was re-

emphasized, and the launching of LCAECs was stopped

The memorandum adopts the watershed and ecosystem management approach. This management

approach entails holistic, collaborative, multiple use and sustainable management of resources,

though regulatory, management and jurisdictional mandates remain distinct. Thus, with the

approach it is possible that conflicts among the concerned agencies and LGUs that are mandated to

manage local development will ensue. Retaining its concept of maximizing resource use, the

watershed and ecosystem approach is expected to facilitate sustainable rural development managed

by institutions in a horizontal manner. Foci of this framework are the following: (1) enhancement of

institutional efficiency, (2) expansion of opportunities for agro-enterprise and agribusiness


16

development and (3) achievement of spatial integration. Further, this specifies its target

beneficiaries: (1) small farmers (ARBs and non ARBs), (2) fisher folks and (3) marginalized upland

dwellers (emphasis on areas covered by DENR and National Commission for Indigenous Peoples).

The following principles are outlined that are expected to guide the implementation of the strategy:

1. With NCI as a complementation strategy, agencies working with one another or with other

institutions whenever it is applicable

2. Emphasis on the role of LGUs as integrating and converging force at the local level

3. Application of participatory approach across all project implementation

4. Complementation of resources and expertise among concerned agencies

5. Convergence as a strategy, is mainstreamed on national and local programs, projects or

activities

6. Funds are sourced out from the concerned agencies

7. Network and linkage among government agencies must be forged to pursue agribusiness

development

8. Encourage participation of the private sector

Four major components were defined as to where convergence must focus. (1)Policy and Advocacy

must recommend reform and harmonization after reviews of policies that address issues on

conflicts, overlaps or unclear policies on land administration, regulatory frameworks, operational

strategies and jurisdictional boundaries. (2) Agro-Enterprise Cluster and Agribusiness Development

focuses on the establishment of agribusiness initiatives in the site. (3) Capacity Development ensures

organizational preparedness of the concerned agencies as implementers and other stake holders. (4)

Knowledge Management ensures that innovations are documented, shared and disseminated for

adaption, expansion and up-scaling, while being implemented and monitored in efficient and

effective manner.

Organizational structures in national and sub-national levels are articulated in terms of particular

functions to the strategy, while introducing new levels of management.

At the national level, the National Steering Committee (NSC) retained its function as the highest

policymaking body in the implementation of the SRD Framework and in approving the selection of

convergence agro-enterprise clusters. With this Memorandum, the NSC was to be chaired by the DA

Secretary with the Secretaries of DENR and DAR as co-convenors. Undersecretaries of each agency

may be appointed as representative. The NCI TWG retained its advisory function to the NSC in terms

of implementation. It is headed by a National Focal Person together with Chairpersons of the four

component teams and Secretariat Head. Component Working Groups (CWG) corresponds to the

four components of NCI-SRD i.e., Agribusiness and Agro-enterprise Development Clusters, Policy

Advocacy, Knowledge Management, and Capacity Development, which was to be manned by

directors from the three agencies, DA, DAR, DENR, and a Chairperson and a Coordinator to be

identified from the same agency.

The Memorandum mandates that the NCI Secretariat was to be chaired by DA with a Coordinator of

each CWG as members plus permanent members from each agency. Support Government Line

Agencies and Offices are to work together closely with the NCI as an Organization.


17

For the sub-national level, regional, provincial and municipal TWGs are to be created in parallel with

the NCI TWG. Regional Directors of the three agencies comprise the RCI TWG plus a Regional Focal

Person. The Regional body may include Provincial LGUs if necessary. At the provincial level, the TWG

may be headed by provincial heads of DAR or DENR, co-chaired by the Provincial Governor with

Provincial Officers for Environment and Natural Resources, Agrarian Reform and Agriculture, and

Planning and Development Coordinator. At the municipal level, TWG may be chaired by Municipal

Agrarian Reform Officer or Community or Environment and Natural Resources Officers, co-chaired

by the Mayor with Municipal Officers for Environment and Natural Resources, Agrarian Reform and

Agriculture, and Municipal Planning Coordinator. The current set-up for the enhanced NCI structure

is shown in Fig. 4 below.

Source: Balibrea, L.B. NCI Presentation material for the NCI Pre-Summit (March 18-19, 2014)

Fig. 4. Current set-up of the Enhanced NCI

Funding for the program was to come from the budget of the concerned line agencies, while also

considering funds coming from grants, donations and assistance either public or private in nature.

LGUs are encouraged to take part on the implementation cost.

Monitoring and evaluation would have to be executed based on performance indicators to be

developed in accordance with the Monitoring for Development Results (MfDR) approach. This design

will be based on an agreed common plan. The plan must ensure attainment of MfDR goals and

objectives.


18

4.1.2 Understanding on what “Convergence” is versus “NCI” as the Structure

The Joint Memorandum al Circular no.1 Series of 2010 upholds the nature of the National

Convergence Initiative (NCI) as a governance structure, when it states (Line 6):

...It is in this context that the National Convergence Initiative (NCI) was created through Joint

DA-DAR-DENR Memorandum Circular 01, series of 1999, to develop and operationalize a common

framework for sustainable rural development (SRD) that will facilitate the convergence7 of the

resources of the three agencies to maximize the impact on countryside development.

Although not explicitly defined, note that the same policy document and definition above implies

that “Convergence” is a considered as an approach towards countryside development.

Based on observation and from the responses of key informants, the use of “NCI” and

“Convergence” seems to have been used interchangeably among NCI partners and even among the

key respondents. Some of the common understanding of what “Convergence” is and what “NCI”

means for the key respondents of this study are the following:

Convergence for me means complementation rather than fragmentation, coordinated and

collaborative undertakings, unified, collective and joint governance, strategic partnership and efficient

mobilization of government resources based on rationale and common framework of action dictated

by common agenda, goals and shared vision for the common good and benefit of the rural

community. It requires sustainable management of environment and natural resources, community

participation, institutional and CSOs support particularly CSR delivery. Actions and interventions must

be anchored on the goal to achieve sustainable rural development characterized with inclusive

growth and good quality of life.

For me, Convergence in the NCI is meeting at one point and working together towards a common

goal: sharing information, holistic planning, sharing/converging of resources, program matching,

complementing efforts, sharing of expertise and good practices.

My understanding of NCI: a strategy to do a sustainable development activity for an area and its

natural resources following the ridge to reef concept; through an integrated planning and

implementation efforts [sic] by all concerned stakeholders – the national and local government sector

groups, the development partners, the beneficiaries, and the private sector.

Convergence means, despite the three rural development agencies’ differences in mandates, a

common platform for visioning, planning and implementation of projects is necessary in order to

manage and avoid overlaps and fragmentation of interventions, and fill in gaps, towards a more

coherent management of rural development in the country benefiting the smallholders, the agri-

industries, that utilizes natural resources in a sustainable manner.

7 Underscoring is mine, for emphasis


19

NCI is a strategy for rural development. As a strategy, we hope to avoid duplication and overlapping

of PPA, fragmentation, confusion, wastage and diffusion of resources which resulted to ineffective

and inefficient of agencies in the provision of basic services at the local level.

Thus, it is clear above that some key respondents for this study have appeared to understand

“Convergence” as a strategy or an approach, or even a philosophy, while others have understood

NCI as the Platform or the Structure by which Convergence can be facilitated. At the same time, as

evident in NCI reports and documentation of proceedings of meetings and conferences in the past,

some NCI partners appeared to have understood NCI as programs or projects, or even as the key

respondents have mentioned, NCI as a strategy.

House Bill 1891 now makes some clear distinction between “Convergence” as a strategy and the

“NCI” as the governing structure or the institution. In the Explanatory Note of the Bill,

“Convergence” was expounded as a “modus operandi”, and an “attitude” and that it is “…not a set

of projects”. Further, in Chapter 1, Section 2 on the Declaration of Policies and Objectives, the

reference to NCI as the structure can be gleaned. In this section is stipulated that one of the

principles that guide the implementation of the “convergence strategy” is that

“(a) The DA-DAR-DENR Convergence Initiative shall be treated as an institutionalized

complementation strategy between and among the three rural development agencies….”

The DA-DAR-DENR Convergence Initiative has been currently and commonly referred to as the

National Convergence Initiative or NCI for short among the stakeholders.

Note however, that the term “convergence” again was used to refer to the DA-DAR-DENR

Convergence Initiative in the same item on Policies and Objectives as the sentence continues.

“(a)…Whenever the opportunity arises, the convergence shall also work with other national line

agencies, donors agencies, and international and local non-government organizations (NGOs);…”

Furthermore, the pending House Bill 1891 has been seemingly opposed by some quarters at the

focal agencies and by some partners at the sub-national level who are said to look at the HB as a

move towards rationalizing the merger of the three government agencies tasked with rural

development, i.e., DA, DAR, DENR, with a supra structure, the NCI.

When one examines the HB therefore, the nature, framework and intent of “Convergence” as a

strategy or even a philosophy with the guiding principles outlined, one would note that the DA-

DAR-DENR Convergence Initiative (NCI) is a platform for Convergence of the use of resources

towards the delivery of basic services in rural development.

Clarification on Convergence as an Approach vs. Convergence as the Governance Structure

To avoid confusion on the two main terms, HB 1891 should include an explicit definition of

“Convergence” as an Approach and “Convergence” which refers to the National Convergence

Initiative (NCI) as the Institution or the Structure of Governance.


20

Also, Chapter 4 of the PDP needs revisiting as it describes NCI both as “a strategic approach” and a

“multisectoral and integrated planning approach”, because NCI implicitly refers to the governance

structure for Convergence. In the same manner, JMC no.1, s. 2010 needs refinement in its statement

of principles (first principle) when it states that the DA-DAR-DENR Convergence Initiative is to be

treated as a complementation strategy. Moreover the Manual of Operations (2011, p.2, paragraph

4) in its Introduction should also clarify or distinguish Convergence Initiatives as Programs, Projects,

or Activities from the National Convergence Initiative as the organization or structure that

implements convergence initiatives (para.2) , as it states,

With poverty reduction as a primary goal of the government, the convergence initiative has a defined

constituency which are small farmers (Agrarian Reform Beneficiaries and non-ARBs), fisher folks and

marginalized upland dwellers within areas covered by tenurial instruments of DENR and the National

Commission on Indigenous Peoples (NCIP).

4.1.3 NCI’s Vision, Mission, Goals

In terms of the Vision, Mission, and Goals of the NCI, what is perhaps again lacking in HB 1891,

which aims to institutionalize the Convergence approach, is an explicitly written and labeled

statement of such Vision, Mission, and Goals, specifically for NCI, for easy recall of NCI’s

constituents. The statement can be aligned with the PDP rural development goals stated in Chapter

4 of the PDP 2011-2016: food security improved and incomes increased; sector resilience to climate

change risks increased; and policy environment and governance enhanced. It is noted though that

there are current similarities between PDP goal or outcome 1 and the NCI outcome 1 on “ensuring

food security and increased incomes” and PDP goal or outcome 3 on “self-reliance of communities

and increased resilience of their communities”.

As will be shown later in the section on Organizational Development Analysis, the core pillar for

NCI’s future development as a structure or organization that carries out Convergence approaches for

rural development is having a Vision-Mission-Goal Statement, which has to be embodied in an

overall Strategic Plan of Action for NCI, labeled as such.

4.1.4 Motivations and expectations by the partners

For most of the key respondents, NCI has a major role to play as a venue for Convergence, despite

the misconceptions the latter has taken. Despite the weaknesses the NCI has been perceived to have

had as an organization, the promise it holds for bringing about rural sustainable development the

Convergence way is evident in how the key respondents view Convergence, as spelled out in most, if

not all of the Policy Documents governing the NCI’s operations. Here are some of the motivations

and expectations by key respondents for the study on how NCI should carry out its activities. Note

the interchanging references to NCI as the structure and NCI as the strategy:

“NCI is a better option and platform to efficiently and effectively deliver government services to

the poor through rural sustainable development.”


21

“My perception as …..is that poor communities can be better addressed with dispatch and

speedy resolution if the four NCI agencies can work together and act expeditiously on various

priority matters particularly those pertaining to livelihood, settlement, lands issues and

instrument and other natural resources disposition and utilization, basic services such as health,

education, electricity/power and road and transportation.”

“For me, NCI is a good strategy to foster good governance. I believe that this will really work if all

actors will be properly informed on the importance of this strategy and be involved in the

activities. But with the current implementation system, convergence is getting misunderstood

and taken for granted by majority of the people in the three rural development agencies dahil

hindi sila well informed.”

“Advocacy within each department should be done and everybody should be involved not just

the TWG members within each Department. Proper reporting and documentation of best

practices should also be done to show to the people that Convergence works.”

“My motivation to support NCI is my belief that this is a good strategy and this is the right way of

doing/implementing rural development programs. This is how government agencies supposed to

deliver their mandates to avoid duplication and overlaps to avoid wastage and diffusion of

resources and confusion in implementing rural development efforts thus creating impact in rural

development.”

The role of the local governments and Convergence happening at the local level has been a

resounding expectation by the key respondents. The same sentiment has been expressed in past

meetings and conferences. This is an important validation of the emphasis on the local government

units in all policy documents that have served as bases for the NCI.

To quote, a key informant said:

The Local Government Units (LGUs) must be involved through the inclusion of

Department of Interior and Local Government (DILG) since convergence in effect is

part of local governance. This entails capacity building across all agencies from the

national level to the local level. The concept of convergence and its whereabouts

must be provided to the LGUs through orientation.

Further, some informants say the need to go sectoral initially in the Convergence is recognized, and

at some point of “Convergence”, the pooling of resources should happen. Here is how an informant

puts this:

In order to assess convergence, sectorial [sic] approach must be applied. First, identify the

particular concerns of the concerned agencies. Second, find commonalities among these

concerns. And third, consider the dynamics or the interrelationship of these agencies.

Levelling off among the agencies must be done, thus a strategy on doing it must be devised.

As mentioned earlier, the sentiments within NCI are divided as to whether NCI should be a mega

entity or should remain as it is. There are some fears about the future of NCI once it chooses to be

governed by a Board. One key respondent has this perception:


22

NCI-SRD was perceived to have a board under the DA or Office of the President. However,

this may be considered as just an added bureaucracy when in fact convergence happens in

the LGU level.

On the other hand, one key informant looks at the direction of NCI having an Executive Order or

even a Republic Act. These options on institutional development for NCI will be discussed in Section

5 on Recommendations. Note the following sentiment by this key informant:

However, the bottom line of an institution, NCI-SRD for this matter, is to be backed up by an

Executive Order (EO). This will strengthen the inter-agency arrangement. Further, an EO can be

issued immediately and may serve as a transition towards a Republic Act (RA) that takes a longer

time of crafting. NCI-SRD must be backed up by a statue or law.

When asked if their expectations were met, most of the respondents seemed to be saying that some

expectations were met. However, there is a view that “ultimate expectations and deliverables have

not yet met as of this time”. The actions being implemented should be a work in progress, as one of

the respondents said, and that there “should be a work in progress and there should be a steadfast

campaign to advocate that NCI is still around”.

4.1.5 Resources that were brought to the NCI

Aside from the majority of funds and technical assistance brought in by GIZ, the focal agencies were

asked to relate what counterpart resources they have brought in to NCI-SRD. DA has obviously acted

as the locus of the NCI Secretariat, providing financial, manpower, staff time, as well as physical

resources as support service to the mainly coordinative function of the central Secretariat office for

the Steering Committee and the TWGs and in the conduct of meetings. Recently funds for NCI

maintenance and operating expenses have come from some of DA’s Banner Programs, now tha

rotation in the hosting of the Secretariat has not been practiced as originally been stipulated in the

initial legal documents. However, in the past, DA was involved heavily in coaching and mentoring

sessions in the preparation of Business Plans in Luzon, Visayas and Mindanao as part of the

Agribusiness Development activities of NCI. DA is active in the TWG for Agro-enterprise and

Agribusiness Clusters Development, bringing in technical expertise and acting as facilitator and

resource in workshops.

On the part of DAR, according to the key respondent, their main contribution was during the

Convergence Area identification. DAR had identified 7 priority sites which was guided as to where

people in the field can work together. DAR has also been a potential source of community

organizers, although they have less technical capacity. On the other hand, DA has the technical

capacity, but with limited reach until the regional office, since they had been devolved. These

agencies adhere to a composite type of implementation, which budget is being reformatted and

harmonized so as to cover more beneficiaries.

One informant also confirmed that through the NCI-SRD, DAR transfers funds to DA for

implementation of support services. DA focuses on support services, while DAR dwells on

organization and distribution of land. However, DAR corrected this view and mentioned that it also

had projects on support services, therefore the area of support services is clearly a dimension in the

Convergence that must be clearly threshed out in terms of complementation of efforts by DAR and

DA.


23

One key informant from DENR extensively outlined their contribution to the NCI-SRD. DENR’s role in

convergence commences from conceptualization to implementation, monitoring and evaluation of

NCI-SRD programs. DENR serves as member of the Policy and Advocacy TWG championing research

and development on policies such as National Integrated Protected Area System Law, National Land

Use Management Act and Convergence Act of 2012. For Agribusiness TWG, it supported the review

of 40 Agribusiness Investment Proposals in 2009 and 2010, enhanced 10 plans of Local Convergence

Agro-enterprise Clusters (LCAEC). For Knowledge Development TWG, it supported the Results Chain,

development of Communication Strategy and packaging of LCAEC Success Stories. As Chairman of

Capacity Development, it delivered the following: Capacity Development Framework Workshop, shift

of LCAEC to IEM (regional and pilot provincial Orientation, creation of SIMPLE Technical Review

Committee and support on the first batch of MPM MRD NCI Scholarship Program.

Therefore to put into context, the NCI was not lacking in policies and laws, that governed its work,

although some refinement of such documents need to be done, and a law foreseen to

institutionalize its work of Convergence. We also see that in the recent past, there has been one

major foreign funding for NCI for the installation of most of its operational and management

systems, that of the GIZ funds. Since the process of Convergence was initially believed to include the

complementation of financial resources, the budget for Convergence Initiatives of the three rural

development agencies was perceived to come from each agency’s own budget for current

convergence initiatives. However looking at one of the aims of NCI which was to build models for

convergence and to capacitate rural agencies, indeed a steady source of budget from the national

coffers might have to be appropriated for such purpose.

As will be seen in detail, the current structure for NCI has been designed so as to effect more

convergent and complementation efforts. However, as mentioned by the key respondents, most

activities that needed high-level attendance and key decisions were not attended to by the

concerned top-level officials of the concerned agencies; rather lower ranks of the agencies were

sent to meetings and conferences who were mostly not in a position to make or give decisions for

key issues and concerns that were taken up during such activities.

4.2 Analysis of the Processes or Main Activities: Strengths, Weaknesses

and Bottlenecks

The Organizational Development (OD) Analysis of the NCI adopted a self-assessment tool adapted

from the Mines Action Canada (n.d.) as explained in the Methodology Section. The adaptation for

the study was done to ensure that the indicators suit the analysis for NCI and to cull out the

Strengths and Weaknesses based on the OD Analysis, which basically is a result of a meta analysis of

six data sets from previous meetings and conferences and this study’s own results (see methods of

data collection in the Methodology Section). This sections analyzes the detailed Processes in the NCI.

Using the main Analytical Framework shown in Fig. 1 above, the following findings of the study

which analyzes the NCI as System are outlined.


24

Rating scheme:

1 None

2 Traces exist but not explicitly expressed

3 Exists but not fully understood / implemented / operational

4 Exists and fully understood / implemented / operational

Table 1. Summary of the Organizational Development Assessment


25

Table 2-1. Vision-Mission-Goals and Strategic Planning

Indicators Strengths (Currently in place)

Weaknesses (Not present; needs improvement)

Policy Issues (Stated as Imperatives)

Policy Recommendation (For immediate and long-term decision by current NCI Steering Committee)

Rating

1. There is an exact description of what the world would look like if the NCI is successful in achieving its goals and if these goals are widely understood. (e.g., Based on materials available, including presentation materials, the following are proposed Vision-Mission-Goal Statements: Vision: “Active, food secure rural communities, sustainably managing rural economies and life forces“; Mission: “Convergence towards rural communities that are food secure, engaged in sustainable livelihood, and towards increased investments , while sustainably managing the ecosystems in rural areas” ; Goal : “Poverty reduction, sustainable livelihoods,

Several policy and legal documents and framework as well as concept papers exist as bases for the formulation of an NCI Vision Statement. The Philippine Development Plan 2011-2016 could be the basis for NCI’s Goals and concrete objectives that can be reviewed and adjusted with each Policy Directive that is passed.

There is no explicitly written vision statement for NCI, i.e., no such label documented in the policy papers nor relevant documents of NCI. Not having an explicit Vision-Mission-Goal Statement is a fundamental weakness for NCI: Convergence should be based on a shared or common vision-mission-goal that is understood by and explicitly known to everyone.

Formulate a Vision Statement for NCI and formulate Legal Bases for the Vision Statement through a Reflection and Strategic Planning exercise.

Include as Attachment a Strategic Plan with the Vision-Mission-Goal Statement as Amendment to existing JMC 2010 or Amend HB 1891

2






Rating

and increased investments in the rural areas, while developing convergence areas.” Sustainable Rural Development, and Active Communities”

-

2. The mission of NCI describes exactly how its vision can be achieved and what its values are.

The Results-Based Monitoring and Evaluation Design (Results Chain Matrix) contains implicit “Mission”-like statements which can serve as bases for such purpose.

There is no explicitly written mission statement for NCI, i.e., no such label documented in the policy papers nor in other relevant documents of NCI.

Formulate a Vision Statement for NCI through a Reflection and Strategic Planning exercise, reflecting on the past gains and lessons learned by NCI over the years.

Issue a directive to formulate a Vision-Mission-Statement in a Strategic Review and Planning meeting, based on all policy and relevant documents, including systems and processes developed through technical assistance by the GIZ EnRD Program. Include as Attachment a Strategic Plan with the Vision-Mission-Goal Statement as Amendment to existing JMC 2010 or Amend HB 1891.

2

3. The NCI Secretariat staff and governance members know what NCI’s vision

The Staff and other focal persons may have an idea on this based on legal

Since there is no clear V-M-G Statement that is shared by everyone

Formulate the Vision-Mission-Goal Statement and ensure that this is

Review the Communication Plan and Create a Team that will

2






Rating

and mission are and are deeply committed to the organization’s purpose.

documents and the recent Results-Based Framework.

involved, it is difficult to extract or gauge commitment from the key staff involved in the NCI Implementation.

communicated to all focal persons, following the steps indicated in the Communication Plan. Ratify and implement the Communication Plan.

harmonize the Communication Plan with an “NCI Enhanced Operational Strategic Plan”. Include as stipulation in HB 1891.

4. There is a Strategic Plan that is connected or based on the V-M-G of NCI shared by everyone.

No less than the Philippine Development Plan (2011-2016) that spells out the significance of adopting the Convergence approach gives an executive mandate for NCI. There are also Policy Directives that can serve as guide in implementing a Strategic Plan. There is aHB that can serve as basis; and an Operations Manual that can also serve as guide for drafting a Strategic Plan.

No overall Strategic Plan with a clearly linked V-M-G and strategies. The Operations Manual does not contain an explicit V-M-G and guidelines for conducting a Strategic Planning Process

Formulate an enhanced Strategic Plan through a participative and consultative process, and ratify/approve the V-M-G Statement.

Include a process of ratification/approval of work plans that are aligned with the approved and shared V-M-G.

2

5. When a new long-term or strategic plan is developed, the vision and mission statements are reviewed to make sure these are still relevant.

A meeting was called by the National Focal Person among the members of the Knowledge Management working component to review and

Because there is basically no overall Strategic Plan and a clear V-M-G statement to tie all focal points and the staff in a common direction, the

Formulate an enhanced Strategic Plan, using the Strategic Communication Plan and the Manual of Operations Manual as bases, through a

Ensure that a process that is consultative, participatory and contributory to the NCI V-M-G is in place, to be stipulated in the Manual of

2






Rating

present the Strategic Communication Plan for NCI, which can be a good starting point for an overall Strategic Review and Planning process for an enhanced NCI.

NCI-SRD does not have a strong basis for operationalizing its desired outputs and outcomes.

participative and consultative process, to ratify/approve the V-M-G Statement. Once ratified, set a regular activity to review the Plan, say, through an Annual Review and Planning activity.

Operations and in the HB 1891. To ensure this, conduct a regular review and planning process to check progress on and relevance of the V-M-G, culling out facilitating and hindering factors towards effective, efficient, and equitable implementation of NCI Convergence Initiatives.

6. In planning new activities, the staff refers to NCI’s organization’s vision and mission, using it as a reference point in deciding what NCI will do and, more importantly, what it will not do.

In planning, the activities are based on the NCI-SRD Results Chain and are subject to the approval of the NSC on which activities can be done and cannot be done.

There have been directives that came from the Chief Executive and NCI had to adjust its direction to respond, but without a well-defined and clear Vision and Mission statement is likely that the planning process has been pulled to different directions; sometimes the focus is on the thrust of one agency (e.g. commodity-based planning), instead of how Convergence should be

Conduct a Strategic Review and Planning Session to be participated by all relevant partners and focal persons and groups, i.e., first an internal (referring to NCI Secretariat and National Focal Points) planning, then a validation/ consultation workshop with partners not organically connected with NCI.

Ditto

2






Rating

manifested in developing an area.

7. When communicating with people outside NCI, the messages reflect NCI’s vision and mission.

NCI now has a logo, website, newsletter and brochure, which are part of the recommendations under the GIZ-funded Technical Assistance to develop a Strategic Communication Plan

Looking at the NCI newsletter (July-Sept.2013), vol. 1, issue 1, the message of Convergence as an approach is not reflected, nor is any Vision-Mission-Goal of assumed Poverty Reduction and Sustainable Rural Development reflected. Rather, one could get the impression that Convergence is about projects.

Get endorsement on the NCI logo, as part of a Vision-Mission-Goal sharing by partners and NCI implementers. Ask a communication expert to comment and assist in improving the design and content of the NCI newsletter, brochure, and website, mindful of the Strategic Communication Plan and keeping in mind to reflect NCI’s V-M-G.

Through a Memorandum Circular, ask TWG members (to be led by current Knowledge Management Chairperson) to design information, education, and communication (IEC) materials according to the proposals in the Strategic Communication Plan. In the Manual of Operations, state that all IEC materials should be reflective of the V-M-G of NCI.

3

8. There are ways to assess, measure and track NCI’s achievements and whether NCI is achieving its mission.

There is some bases for monitoring and evaluation based on the Results-Based Framework (R BF)

The NCI lacks a strong mechanism and system in place to implement the Monitoring and Evaluation (M&E) of its programs and projects, with still unclear accountability/ reporting structures. It also appears that there is either a lack of appreciation of the

Study, review, and reformulate the Results-Based Framework (if needed), which should be reflective of a shared V-M-G Statement and institute a Monitoring and Evaluation System based on the Strategic Plan that is Results-Based.

In the Manual of Operations, state that a Results-Based Framework or the Value-Chain approach should be the bases of all Work and Financial Plans and assessments of implementation thereof, to be reviewed periodically

2






Rating

current RBF or this has not been communicated for proper adoption since reporting on accomplishments has not referred back to the RBF. The Policy directives, though supportive of the current administration’s thrusts, need to be harmonized with the RBF, or vice-versa.

Formulate staff and focal points’ performance indicators based on the Results-Based Matrix Monitoring and Evaluation System

by all focal points for NCI.

9. NCI reviews its vision and mission annually to make sure these are still relevant given any significant changes in the working environment (e.g. political changes, work of other organizations, national policy directives).

There are annual joint assessment and action planning workshops done by the national and regional personnel. The Results-based Framework is a useful input to formulate a V-M-G Statement.

Review of Vision and Mission is not done. If NCI does review its vision and mission annually, these are not explicitly stated in its basic documents and in the recent Plan of Program matrix.

Develop a design/Work Plan for conducting a Strategic Review and Planning Session, beginning with the “end” (i.e., Poverty Alleviation and Sustainable Rural Development) in mind.

Ask the TWG for Knowledge Management and Capacity DevelopmentChairpersons to design and conduct an activity towards institutionalization of the process of conducting an overall Strategic Review and Planning Session, and include this as part of the stipulations in HB 1891.

2

Table 2-2. Organizational Structure






Rating

1. An approved job description with clear lines of responsibility and reporting is completed for all positions whether they are paid or volunteer positions.

Each staff in the NCI-SRD Secretariat has a clear Terms of Reference (TOR) in paper. Each of the NCI-SRD Secretariat staff has diverse functions which include tasks not indicated in the TOR.

No performance indicators for the NCI Secretariat staff. Regular employees assigned are not dedicated staff in the different identified Components of the TWGs. The roles and responsibilities of the Secretariat as spelled out in the JMC 1999 do not have performance indicators. The TWG Chair and members and the The proposed JSO contains the specific roles for TWG and NSC members, which may need to be used as reference during Annual Review and Planning meetings.

Formulate performance indicators for the NCI Secretariat Staff, the NCI Focal Person, the TWG Chairs and members; and a set of minimum expectations for the Steering Committee members Formulate also performance indicators for RCI TWGs and other focal persons.

Formulate ToRs for specific positions and focal points required to achieve NCI’s V-M-G, specifying lines of responsibility and reporting procedure. Stipulate this process in the HRM Standard Operating Procedures and in the Manual of Operations.

3

2. NCI provides a safe and healthy work environment. This includes suitable and safe working conditions in addition to clear,

NCI Secretariat is located in a relatively strategic, dedicated unit and safe work place, near the Office of the Secretary of the DA,

Small office space that is congested due to the number of staff and office equipment. Considering the NCI-SRD Secretariat is

Find a more conducive and comfortable work place for the NCI Secretariat where it can have its own discussion and production

Ensure a safe, healthy work environment suited to the functions of the NCI Secretariat and its focal persons that will foster

4






Rating

documented expectations regarding acceptable employee behavior and dealing with harassment.

which is the main focal agency for NCI.

under manned. room, reflective of its coordinative, knowledge generation and management function.

positive and productive individuals. Follow the NCI-SRD Office Decorum and Code of Ethics of the CSC.

3. There are stated and documented operating principles or values that guide NCI’s day-to-day operations (e.g. participation, transparency, gender equality).

NCI-SRD Secretariat Staff comply to the operating principles or values of the agency where it is housed or employed.

Principles and work or code of ethics are not explicitly written as guide for NCI’s daily operations.

Implement a Code of Ethics as part of the HRM plan.

Formulate a Code of Ethics as part of a Human Resource Management Plan.

2

4. Management responsibilities are clear: everyone knows who is responsible for managing finances, human resources, planning, fundraising.

Clear delineation of roles among the NCI-SRD Secretariat Staff both in technical and administrative matters.

Supervision of Secretariat function by the Focal Person does not include review and management of human resources (job requirements versus performance appraisal), internal planning and budgeting for actual operational needs and requirements. The three main agencies (DA, DAR, DENR) and DILG do not engage in planning

Include a Terms of Reference (ToR) and Performance Indicators for all relevant positions and focal persons and ensure that an orientation for current and incoming staff (for both paid and unpaid staff) is conducted, especially stressing the minimum expectations from the staff and the focal points

For the current Steering Committee and TWG members, draw up a list of Terms of Reference or set of expectations on the outputs and functions of the highest governing or policymaking body of NCI. Communicate such ToRs to all stakeholders. During the conduct of Strategic Review and Planning Process, adopt an

3






Rating

and budgeting based on an overall Strategic Plan for NCI. DA being the lead convenor is the one mainly allocating funds for NCI-SRD operations.

open and transparent process of giving feedback on management policies and procedures.

5. The structures, systems and processes in NCI are set up in ways that enhance the ease of doing its work (e.g. staff workload allocation, coordination of tasks, decision making, and information collection).

Through the NCI-SRD National Steering Committee the coordination with the converging agencies in terms of endorsement of documents and tasks are easier and faster. The staffs of the respective agencies are more compliant.

Since there are no clear set of expectations and ToRs, the structures and systems for operations are also not clear Since there is no current focal point for HRM at each level.

Review current workload and manpower versus work requirements that will be stipulated in the Strategic Plan to be formulated. Make sure that there is a focal point for HRM or at least someone to check on roles and responsibilities at each level of operation. If there is none, the supervising head or the main focal point for the level should take responsibility for this.

Institute a process of reviewing current workloads and manpower versus work requirements that will be stipulated in the Strategic Plan to be formulated.

2

Table 2-3. Governance






Rating

1. Leaders in NCI are strong, with a clear vision for the organization, and who inspire the staff and volunteers.

The top-level of NCI is

willing to make the

initiative work.

In recent years, it looks like the leaders in the NCI have slowed down in providing overall guidance to the operations of NCI to maintain its stability and overall focus and direction. No clear top-level champions for NCI. Interest on the NCI is slowly waning on the part of some stakeholders, based on observation.

Find top-level champions for NCI and Convergence as an Approach who would have both a macro and microperspective of Convergence for Sustainable Rural Development and who are willing to spend time managing the Convergence Initiatives in the field.

Specify the process of identifying and selecting members of the governing body of NCI based on a clear set of criteria (expertise and track record, has macro as well as micro perspective of the scope of work of NCI, willingness to champion Convergence as an approach, and occupies a key managerial position in the relevant participating agency in NCI, among others,)

3

2. NCI has legal status in the country where it operates.

The adoption of Convergence as an approach is enshrined in the Philippine Development Plan 2010-2016. Policy directives on the NCI abound.

Keep handy a file of all legal documents governing NCI and make available these files to all focal points in the NCI. Have a section on legal documents in the website and if possible, also make reference to these legal documents in the newsletter and brochure.

Check legal bases for decisions to be made by NCI. Use all legal documents as one of the bases for Planning, Implementation, Monitoring and Evaluating NCI Initiatives.

4






Rating

3. NCI always meets its legal obligations (e.g. filing annual reports to governments or funders, financial audits if required, respect relevant employment laws).

NCI respects relevant

employment laws

NCI does not submit a formal Annual Report regularly.

Monitor compliance to legal and financial obligations. Post Annual Report in the website and maintain a mailing list of printed Annual Reports.

Include in the regular staff or focal points’ meetings a review of legal or financial obligations and fulfilment of such obligations.

3

4. NCI has a functioning Board of Directors or equivalent governance body that provides effective oversight and strategic direction.

Steering Committee

members meet quarterly

to review

accomplishments on the

Policy and Operational

Directives.

The NCI Steering Committee and TWG Chairpersons have not been active in convening the other key players and in supervising the work of the Secretariat and those of the Regional Focal Persons. Meetings have been noted for Steering Committee members (quarterly), but the meeting among members of the TWGs has been quite rare (only twice in 2011-2013. An NCI Summit was conducted in 2010 and one due in 2014, but this meeting with sub-national Convergence groups should be

Determine a set of champions that come from each focal agency of the NCI who have the experience and managerial skills, who understand and will commit to the ideals, intent, and promotion of Convergence towards the shared Vision-Mission-Goals of the NCI.

Draft roles and functions for the Governing Body as well as the set of expectations regarding their function and orient the members of the Governing Body regarding this.

Upon assumption into “office” of the members of the highest governing or policymaking body, ensure that an orientation or briefing session with the new and incumbent members regarding the set of expectations for them is conducted, seeking formal consent by the such members of the governing body and making sure that roles and responsibilities are understood.

3






Rating

conducted more often to give the NCI management more opportunity for feedback and oversight.)

5. NCI has a policy that governs its Steering Committee members, Technical Working Group members, and the NCI Secretariat, which covers issues such as Committee and TWG composition, required skills, recruitment process, length of term, diversity, etc.

The specific Terms of Reference for the members of the NCI Secretariat, the TWG, and the Steering Committee Members in the proposed Joint Special Order need to be reviewed and mutually agreed upon.

Draft an Internal Manual of Operations or a Handbook on Policies and Procedures as Guide in governance of the NCI Secretariat.

Provide a directive to finalize the Manual of Operations or Handbook of Policies and Procedures and subsequently, to ratify and implement the use of the Manual or Handbook. Conduct an Orientation to the use of the Manual of Operations for all focal points of NCI.

2

6. The NCI Steering Committee members receive an orientation regarding the NCI and their role in the organization

There is briefing and orientation, the problem lies on the amount of time and effort of the NSC to understand or to level off with NCI, they just delegate the NCI task to their Usec or other representatives.

There is no briefing and orientation on new Steering Committee and TWG members

Draft roles and functions for the Governing Body as well as the set of expectations regarding their function and orient the members of the Governing Body regarding this.

Upon assumption into “office” of the members of the highest governing or policymaking body, ensure that an orientation or briefing session with the new and incumbent members regarding the set of expectations for them is conducted, seeking formal consent by the such members of the governing body on such set of

3






Rating

expectations.

7. Working relations between the staff and Steering Committee and TWG are positive, productive and respecting of the distinction between and among the different roles.

Working relations are generally positive, productive, and respecting

Working relations, although positive and pleasant, have not been productive in the sense that the outputs of modeling model Convergence sites have not been done, a major expected output for NCI.

Maintain a positive and conducive working environment to foster and maintain positive and productive workers who are happy and will be committed to achieve the expected outputs, thereby feeling a sense of meaning and fulfilment on the part of these individuals. Engage in a team-building activity on a regular basis. Recognize exemplary and meritorious work and give due appreciation and reward for such achievements.

Ensure that HRM policies and plans include provisions for maintaining a positive and conducive working environment to foster and maintain positive and productive workers who are happy and will be committed to achieve the expected outputs, thereby feeling a sense of meaning and fulfilment on the part of these individuals.

3

Table 2-4. Information flow and decision making






Rating

1. Decision-making processes and who has authority to make which decisions in the organization are clear to all involved and such processes work well.

There are JMCs that serve as bases and those involved in NCI activities in the past are aware of these decision making processes. Guide to Harmonized Policy Protocol exists.

Not clear to the relatively new participants in the implementation of NCI programs, projects and activities since there has been a lack of clear communication and emphasis on desired work outputs. There is no clear framework or protocol that serves as guide for action and decision-making on administrative matters, apart from the Policy Protocol. Changing thrusts as well as leaders have created confusion and seemed to have dissipated the initial gains of NCI.

Identify areas and nodes where decision-making and discretionary powers can be exerted and provide guidelines for such powers, mindful of NCI’s V-M-G. The same process of identifying areas and decision-making nodes for project or program development and planning at the sub-national level should be in place. Review existing processes and affirm decision-making processes and nodes.

Include a decision making flow for internal operations (framework for action or protocol on decision-making) for the NCI in the Operations Manual or Handbook of Policies and Procedures for the NCI, aside from the decision making process for program, project or activity

3

2. There are effective ways for people in our organization to communicate with one another, so that everybody has access to the

At the moment, communication is by means of the internet, the NCI newsletter, the newly designed website, policy directives and face-to-face

Since the documentation of projects, meetings and decisions made are not very systematic, there is no easy and timely access to information needed.

Refer to the Communication Plan and include the suggested media plan for communicating with one another.

Issue a directive (to be led by the Knowledge Management Component TWG) to review the Communication Plan viz-a-vis a overall Strategic Plan

3






Rating

information they need to do their work (e.g. staff meetings, email protocols).

communication through meetings.

NCI has participated as co-organizer in several high level events.

The official meetings for some key focal points are not regularly done: NCI TWG meetings have been done only 1-2 times between 2011 and 2013. Only one NCI Summit so far has been done (2010) where all partners in the organization would have been able to interface with each other.

Construct and maintain a Database of vital Information for NCI. Promote and increase the visibility of NCI.

(to be formulated) and to devise a management information and communication system and a set of protocols to govern the communication system and identify a focal point for such Communication Hub. NCI should continue to pursue co-organizing high level events and actively participate in the Philippine Development Forum Sustainable Rural Development Working Group Meetings.

3. There are effective ways to manage the information that comes into the organization, so people have what they need, but are not overwhelmed (e.g. shared files, databases, intranet).

There is a Communication Plan already developed.

There is an existing communication gap between the national, regional, and local levels. Also, NCI has not been active in donor (GIZ) regular program meetings which may have helped in augmenting the institutionalization of

Implement the Communication Plan and harmonize or integrate this with the Strategic Communication Plan. Review current information management capacity within NCI and upgrade staff capacity, as needed.

Issue a directive to conduct a Strategic Planning Activity, incorporating the Communication Plan. Issue a directive to assess current level of information skills and information management needs within NCI and its subnational focal points.

3






Rating

information systems capacity of NCI.

4. There are identified public spokespeople for the NCI, and everyone understands and respects these roles.

There were champions then for NCI, but with the change of leadership and mandate, these champions were not sustained (e.g. Kiko Pangilinan, Chiz escudero, Exec. Sec. Ochoa,etc.)

There is no identified

spokesperson for NCI.

Identify specific

spokespeople and

compose an equivalent of

a Press Relations Bureau

for NCI, attached to the

office of the Steering

Committee.

Activate a Communications Group to be initially manned by representatives from the Knowledge Management and the Policy Advocacy Working Group with the high caliber in Managing the Communication (or an IEC) Plan for NCI, provided that the Communication Plan supports the overall Strategic Plan of NCI and forms part of the Manual of Operations. Ratify/Approve the Communication Plan and direct all focal points to constitute their Communications (or IEC) Group and implement the

1

5. There are processes and systems in place to ensure that everyone has the right information required for

There have been Annual Meetings conducted since2008 as venue for communicating with one another.

There is no formal management information system for reporting, exchange of information, deliberation of issues, and

Implement the Strategic Communication Plan, with corresponding communications template or forms.

Implement the reviewed and ratified Communication (IEC) Plan. Clarify that one of the

1






Rating

making decisions.

GIZ has supported the development major policies, systems, and processes for NCI, to wit: an Enhanced NCI Framework (JMC no.1, s.2010); NCI Manual of Operations; Results-based M&E Design; Harmonized Policy Protocol; a Knowledge Management Concept for NCI; Communication Strategic Plan; Greening Agribusiness for Inclusive Growth, among others, under two main Programs: SARRD and EnRD.

problem solving, especially on policy issues Subnational partners appear at a loss on policies and procedures as guide in their implementation. While many NCI stakeholders appreciate the technical support for systems and processes for GIZ, these have not been fully implemented within NCI’s operations and have not seemingly benefitted the sub national groups as can be gleaned from the format of their reports and based on some key interviews.

Conduct monthly or quarterly meetings with all relevant focal points to get feedback on progress of achieving outputs and outcomes and to solicit policy issues. Install a problem-solving session to discuss policy issues within the monitoring meetings (quarterly or monthly meetings) to check progress of work plans.

purposes of the Communication Plan is to solicit feedback from focal points to discuss policy issues.

6. NCI is able to make important decisions in a timely manner in order to capitalize on opportunities and minimize risks.

In 2012, NCI was able to complete 3 GIZ-funded activities as scheduled.

Policy support to pursue the National Land Use Policy; HB 1891 to institutionalize the Convergence Strategy for

There are quite a number of pending decisions to make, directives to implement, outputs to deliver (esp., and policies to formulate and implement). With regard to GIZ-funded

Conduct a Strategic Review and Planning exercise. While noting the accountable focal persons, implement the pending directives, expected outputs, especially the PoP for 2013-2014, down to the sub-national levels

Constitute a task force to review all pending directives, expected outputs and proposed legal documents and report to the highest governing or policymaking body the status of the implementation of such

2






Rating

Sustainable Rural Development was already approved upon first reading during the public consultation held in Samboan, Cebu last Feb. 27, 2014.

Support for drafting the Sustainable Forest Management Bill and Integrated Coastal Management Bill, and Amendment to the NIPAS Law have been done by NCI.

Four(4) out of the eight (8) on-going Policy and Operational Directives for NCI for 2012-2013 have concrete on-going activities. One needs a major directive from the Presidential Adviser for Food Sustainability and Agricultural Modernization (PAFSAM).

activities alone, for example, in 2012, NCI exhibited poor performance as there were only 3 implemented as scheduled; 6 technically completed; 10 implemented with delays, and 15 cancelled activities. By 2013, there were 2 activities technically completed; 6 implemented with delays; 7 not yet started; 0 implemented as scheduled; and 7 activities cancelled. For the overall 8 NCI PoP Directives for 2013-2014, one was not pursued, and two directive needs more attention, especially the building of capacities of front liners of the Convergence Initiative.

(especially regions that have no JSOs yet).

directives


Table 2-5. Staffing and human resources management

Indicators Strengths (Currently in

place)

Weaknesses (Not present;

needs improvement)



Rating

1. NCI has human resource management policies that are documented and have been approved by the appropriate authority such as the organization’s governance body.

14 out of 16 regions have complied with the Regional Special Orders and currently cascading it down to the municipal level.

Major capacity-building needs and HRM activities supported by GIZ, to wit: project development course, value chain analysis, RB M&E, Knowledge Management, Facilitation/Moderation Course, Integrated Ecosystem Management, Green Agribusiness Development for Inclusive Growth

No HRM Plan and Policies

Capacity-building activities

supported by GIZ need

institutionalization and

follow-up on the staff’s

progress.

Draft and implement a Human Resources Management Plan, governed by a set of policies, based on the principles espoused by NCI in its future Strategic Plan and as contained in its Manual of Operations. Have the Highest Policymaking body approve/ratify the Strategic Plan. Assess current level of capacities of human resources trained under GIZ TAs.

Assign an expert or consultant to formulate an HRM Plan and formulate policies that will govern this Plan, based on the Strategic Plan for NCI. Present the HRM for approval by the highest governing body. Consider the Capacity-building activities supported by GIZ and build on the current Human Resources trained and capacitated.

2

2. The organization’s human resource management policies comply with legislation in

No HRM Plan and Policies Ensure that the HRM policies are in accordance with Civil Service Laws and policies and the labor

Ensure that HRM policies are in accordance with CSC laws and the labor code.

2



place)


needs improvement)



Rating

the jurisdiction that the organization operates in.

code.

3. NCI’s human resource management policies are reviewed on a regular basis and revised as necessary.

No review at all Review the HRM Polices and Plan and revise as necessary.

Include a review process for the HRM Plan and Policies, to be included in the proposed Strategic Review and Planning Process.

1

4. NCI has a formal process in place to review staffing needs on an annual basis, which results in a plan to address those needs.

No formal review of

staffing needs

Review the HRM Polices and Plan and revise as necessary.

Ditto 2

5. Recruitment and selection for paid or unpaid positions is through an objective, consistent and documented process.

No consistent process and

guidelines for recruitment

Ditto Ditto 1

6. All new employees or volunteers who are offered a position with NCI organization sign a letter of agreement that outlines the working relationship between the individual and the organization including salary, benefits and working hours.

All staff within the NCI

Secretariat have service

contracts.

Have the chief HRM consult with current and future staff to review their contract or special services agreement and notifying them before their contract expires.

Ensure that Current and future staff sign a contract or special services agreement by stipulating this in the Internal Manual of Operations.

For every new Convergence Initiative (Project, Program, or

3



place)


needs improvement)



Rating

Activity), indicate the staff complement and their working relationships with NCI focal points.

7. All staff and/or volunteers have clear job descriptions and receive a thorough orientation regarding NCI and their role in it.

None. Current TWG to deliberate on technical aspects of activities appear not functional; members needing warm bodies who will commit and call for and attend meetings, especially the TWG on ecosystem.

Facilitate and have ToRs endorsed and signed. Brief and orient current and future staff on their actual roles and responsibilities.

Consider convening TWGs on an ad-hoc bases, i.e., when there is a new major Program, Project, or Activity (PPA) to deliberate on, such as the Balik Probinsya Program (BPP), or when reviewing the technical soundness of past and current PPAs.

Include such orientation process for current and new staff volunteers in the Manual of Operations.

1

8. The performance and workload of all staff and volunteers are reviewed and regular feedback is provided.

Not done Review and Planning process should include review of HRM Plan, especially the workload of all staff and volunteers.

Ensure a process of review of the current staff complement in the organic NCI to assess whether the number is commensurate to the amount of work to be done for the particular node by stipulating such

1



place)


needs improvement)



Rating

process in the Manual of Operations.

9. There have been no serious personnel problems in the past three years (e.g. firings, legal disputes, long-term unstaffed positions).

There have been no major personnel problems in the past three years. There is no employee-employer relationship stipulated in the contracts because all of the dedicated staff to NCI are of contractual status.

Formulate a Code of Ethics for all Staff/Workers. Conduct (re-orientation) of the staff and all focal points regarding NCI’s V-M-G and the focal points’ ToRs.

Ensure the formulation of the Code of Ethics in the HRM Policies and Procedures. Ensure a process of orientation on the Code of Ethics and Good Citizenship Values.

4

10. Conflicts are effectively dealt with within our organization when they arise.

No serious conflicts so far Code of Ethics, Staff Policies and Procedures included in the Operations Manual/ Handbook of Policies and Procedure.

Include the Code of Ethics in the HRM Policies and in the Manual of Operations/ Handbook of Policies and Procedure.

4

11. Employees and volunteers have the skills and support they need to be effective in their roles.

Required skills are not reviewed and articulated. Supervision on work progress from TWG focal persons also not forthcoming.

`Assess and review current staff complement versus the Strategic Plan

Ensure a process of review of the current staff complement in the organic NCI to assess whether the number is commensurate to the amount of work to be done.

3

Table 2-6. Coordinating and Engaging Stakeholders



place)


needs improvement)



Rating

1. There are good working relations with the people outside NCI, whom it deals with most closely (e.g. beneficiaries of the programs, sub-national partners, donors, partners).

NCI maintains a good working relationship with current partners such as Development Agencies (GiZ, LGSP-LED), CSOs (ANGOC, CLUPNow!,CCCP,etc.), LGUs, the Academe

There are gray areas in the working relations between NCI Secretariat and its subnational partners, sometimes confusion in the Secretariat’s role during meetings at the subnational level. Sub-national partners have been requesting for the Operations Manual to be formally implemented to provide guidance on implementation of activities.

Clarify NCI’s relationships with its partners and where applicable, formulate policies governing its relationship with such partners, with the end in view of keeping a productive and harmonious relationship towards NCI’s V-M-G.

Have a directive to Implement the Operations Manual, and include Policies and Procedures for Internal Operations, especially incorporating preference for maintaining good working relations with NCI partners towards the achievement of its V-M-G.

4

2. NCI regularly and transparently communicates with its members, program beneficiaries and partners.

NCI Activities and directives are not clearly and regularly communicated to partners and focal points.

Implement the Communication Plan and communicate directives clearly. Conduct a regular assessment and review conference/activity to solicit feedback on work progress and to assess awareness and understanding of work plans.

Issue a directive to review and implement the Communication Plan and to ensure that policy directives are communicated properly and the issuance of corresponding directives made at subnational level.

3

3. NCI often consults with its focal persons, program

Recently, an NCI Summit was conducted in 2010,

No formal accountability mechanism in place to

Conduct a regular consultation / validation

Include the process of consultation and

2



place)


needs improvement)



Rating

beneficiaries and relevant partners for feedback on how well the Secretariat and everyone else is delivering its mission, and ideas for new programs or activities.

and one planned in 2014. A Pre-Summit was conducted in April 2014.

report achievements regularly, extract learnings and solicit feedback from focal and responsible persons. Improve and facilitate the reporting of subnational partners, following the lines of communication between the national, regional, provincial and other local structures.

meeting, which can also be done during a Review and Planning Process, before budgeting takes place. The current “Summit” activities can be redesigned to take its place. Implement and facilitate a more focused and regular reporting procedure for subnational partners.

solicitation of feedback and a Review and Planning Process in the Manual of Operations.

4. NCI’s program beneficiaries, focal persons, partners and volunteers are proud to work with the organization and speak highly of the value of NCI’s work.

There is perception that interest on NCI is waning.

Organize a “Loyalty Day” or a “Convergence” Day, such as on NCI”s founding day or Anniversary.

Include the celebration of a “Loyalty Day” or “Convergence Day” in the Manual of Operations, with a slogan or theme to be determined by the Governing Body.

3

5. Each year, NCI sustains and deepens its relationships with partners, program beneficiaries, members and other key stakeholders, such as donors.

No mechanism to gauge

depth and strength of

relationships.

Organize an Annual Convergence or Friends of Convergence Day.

Ditto 3



place)


needs improvement)



Rating

6. Complementation of the work of the different agencies involved in NCI is facilitated and consciously managed.

Some degree of complementation, such as in the LCAECs established.

Reports on convergence for some RCIs are per agency per program. No annual reporting or any regular reporting on complementationhas been required from subnational partners. For DA, some reported programs are still commodity-based. The National Greening Program does not clearly demonstrate complementation among the agencies.

Document and report more extensively on how complementation of the work of the different agencies involved in NCI was facilitated.

Following the recommendations of the Strategic Communication Plan, include in the Manual of Operations an extensive documentation of best practices, to wit: complementation of work of the agencies involved; partnerships formed among different stakeholders; and spatial integration achieved within the different ecosystems.

2

7. Partnerships between and among local communities, local government units, and government agencies are built.

To a certain degree, yes. The contribution of the private sector is not yet fully harnessed. Local communities are not

yet fully engaged and

involved in planning and

monitoring.

Document and report more extensively how partnerships between and among the local communities, local government units and agencies were built.

Ditto

2

8. Spatial integration is achieved within different ecosystems.

For the LCAECs, maybe. Documentation of the success stories for the 10 LCAECs have been attempted, which gives a glimpse of how spatial

The Results-based M&E needs refinement to reflect the monitoring of how spatial integration within the different ecosystems has been done

Document and report more extensively how spatial integration was achieved within the different ecosystems.

Ditto

2



place)


needs improvement)



Rating

integration could have been done.

among the partner agencies and stakeholders.

Follow site selection criteria as outlined in the JMCs and as stipulated in the Manual of Operations.

Table 2-7. Technology and Infrastructure Management


place)


needs improvement)



Rating

1. The tools, equipment and processes used currently are suitable and adequate to produce high quality performance.

Tools are not up-to-date

since there is no stable

funding for NCI.

Review and assess current materials, equipment, infrastructure and other physical assets and processes and plan out for such support to ensure high quality performance.

Issue a directive to review and assess logistical support and physical assets to facilitate achievement of NCI’s V-M-G and high quality performance.

3

2. The physical work space (off-site or on-site) can accommodate the work that needs to be done and the people that need to do it.

The office space though looks quite cramped and with not enough working space for discussions and other coordinating tasks for the Secretariat staff, such as meeting with NCI partners – a basic function of the Secretariat.

Ditto

Ditto 3



place)


needs improvement)



Rating

3. The physical layout of the workspace allows for the best coordination and accomplishment of tasks.

Ditto Ditto Ditto 3

4. There are systems and processes in place to collect, track and report on information that is important to the work of the organization.

Communication Plan

has already been

formulated.

No clear management of

information systems.

Implement the Communication Plan as soon as possible, minding the activities stated that should be done before implementing the Plan.

Issue a directive to review

and implement the

Communication Plan.

2

5. The workspace is accessible and conducive to people with disabilities.

Yes. Review and assess current materials, equipment, infrastructure and other physical assets and processes and plan out for such support to ensure that the workplace is friendly to people with disabilities

Include in the Manual of Operations the provision in support of a working environment that is friendly to persons with disabilities.

4

6. There are adequate supplies available for the work that needs to be done.

Yes, for office work. Actual work needs to be

clarified.

Review and assess current materials, equipment, infrastructure and other physical assets and processes and plan out for such support to ensure high quality performance.

Issue a directive to review and assess logistical support and physical assets to facilitate achievement of NCI’s V-M-G and high quality performance.

4

7. There is adequate infrastructure (internet access, phones,

Yes, for office work. Actual work needs to be

clarified.

Issue a directive to review and assess logistical support and physical

Issue a directive to review and assess logistical support and physical

4



place)


needs improvement)



Rating

photocopier, and work stations) to support the work that needs to be done.

assets to facilitate achievement of NCI’s V-M-G and high quality performance.

assets to facilitate achievement of NCI’s V-M-G and high quality performance.


Table 2-8. Financial Management


place)


needs improvement)



Rating

1. NCI has written financial policies and procedures that are properly used (e.g. budgeting, expense authorization, purchasing, cheque signing).

None Develop Financial Policies and Procedures

Include Financial Policies and Procedures in the Manual of Operations and ensure that such Policies are understood and adopted by the focal points.

2

2. NCI has an annual budget that it monitors regularly and report on to its governance body.

Yes but not appropriated from GAA. Funding sources are currently from the Banner Programs of DA (Corn, HVCDP and Rice Program)

Conduct a regular financial reporting during the planning and review meetings/conference as well as during the regular meetings with focal points.

Include the requirement of preparing a Work and Financial Plan and the installation of a process for reviewing and assessing the progress of the Work and Financial Plan.

3

3. NCI has financial systems that are understood and used by relevant staff and management (e.g. monitoring performance against budget and making adjustments, planning and monitoring cash flow, allocating expenditures).

Not sure Develop Financial Policies and Procedures. Conduct a regular financial reporting during the planning and review meetings/conference as well as during the regular meetings with focal points. Discuss financial status, financial requirements,

Include Financial Policies and Procedures in the Manual of Operations and ensure that such Policies are understood and adopted by the focal points.

2



place)


needs improvement)



Rating

and concomitant policy issues during the reports.

4. NCI’s financial management systems are overseen by a qualified accountant or other relevant professional.

Maybe. Audited by COA. Include auditor’s report in the regular Strategic Review and Planning process as well as in the regular meeting with focal points.

Require an internal and external audited financial report in the submission of reports of work accomplishments, alongside narrative reports.

3

5. NCI’s financial management systems include internal controls to ensure that more than one person is involved in financial oversight.

Financial management system in place needs improvement.

Install a financial management system following the standards set by the government.

Ensure that the financial management system follows the standards set by the government by asking a licensed financial expert to set up the financial system.

3

6. NCI’s organization's accounts are examined periodically by an accredited external accounting body and no significant issues have been raised for three years.

Yes, by COA. Conduct a regular financial reporting during the planning and review meetings/conference as well as during the regular meetings with focal points. Discuss official financial report based on the external audit (financial status, financial requirements, and concomitant policy issues) during the reporting

As part of the Financial Policies require an externally audited financial report to be submitted as part of a regular monitoring report. As part of the Financial Policies, make sure that significant findings of the external audit are acted upon not later than three years from the time the

3



place)


needs improvement)



Rating

activity.

findings were issued.

7. NCI knows where most of the money it needs for the next year will come from.

There is no definite source of NCI Funds. Its budget currently comes from only one Agency’s budget for operations.

Prepare an Annual Work and Financial Plan for NCI and ensure sources of Budget.

Review HB 1891 and consider the policy recommendations in this study. Formulate a Work and Financial Plan to Support a Strategic Plan for NCI.

3

8. NCI has a fundraising or revenue-generation strategy and everyone is clear on their role in executing it.

Not clear. In the Work and Financial Plan, determine other sources of income for the NCI for its maintenance and operating expenses, within the bounds of government rules.

Formulate policies governing the engagement of fundraising or revenue-generation activities for NCI, within the bounds of government rules.

2

9. NCI receives revenue from a variety of sources, (e.g. government or institutional donors, sale of products or services, membership fees, individual donations, special events).

Funding sources are currently from the Banner Programs of DA (Corn, HVCDP and Rice Program)

There is no assured budget though. At the moment, only one major donor is supporting major capacity-building operations for NCI, as well as other technical programs, projects, and activities i.e. GIZ through its EnRD Program), however, this funding will soon be over.

Ditto Ditto 3

10. When developing No such activity is done Ditto Ditto 2



place)


needs improvement)



Rating

funding proposals, NCI includes a realistic amount for its own administrative costs, and includes the value of non-cash/in-kind contributions we receive (e.g. volunteer hours, donated equipment or space).

11. The money NCI receives is spent on activities it thinks are most important to fulfill its vision and mission.

Not sure Not sure Conduct a regular financial reporting during the planning and review meetings/conference as well as during the regular meetings with focal points.

Formulate a Work and Financial Plan to Support a Strategic Plan for NCI.

2

Table 2-9. Continuous Improvement of Organization


place)


needs improvement)



Rating

1. NCI has considered how it would handle a change in leadership, and it knows what to do if the leader left the organization.

No plans and guidelines for such changing of guards. In fact, there has been a waning guidance from its leaders in the recent past,

Formulate a change management plan in case of transition of leadership.

Develop Terms of

Include in the HRM Plan and Policies provisions for contingency in case of change in leadership.

1



place)


needs improvement)



Rating

as noted by some key informants.

Reference for Steering Committee and Technical Working Group members and conduct a briefing and orientation session together with other focal points at the start of the term of the new leader(s).

2. NCI encourages professional development among its staff and volunteers.

None Develop a staff professionalization plan as well as a Scope of Work for the volunteers, orienting them on how they can contribute to the NCI V-M-G in the Strategic Plan.

Require a staff professionalization or upgrading of skills plan in the HRM Plan and Policies.

1

3. NCI recognizes the contributions of all staff and volunteers with appropriate appreciation.

Not shown Recognize exemplary and meritorious work and give due appreciation and reward for such achievements.

Include in the HRM Policies a system of providing merits and incentives for deserving staff.

2

4. NCI has established clear policies and practices that support employee work/life balance so that people can be effective and motivated in their positions for a long time.

No explicit policies Engage in a team-building activity on a regular basis. For supervisors, to conduct on-to-one consultations with the staff to check on the alignment of personal and work goals,

Include in the HRM Policies a preference for a work-personal life balance that leads to improved well-being among the staff of NCI.

2



place)


needs improvement)



Rating

recognizing other talents and skills of the staff that can be harnessed to contribute to NCI’s V-M-G, which can be fairly compensated, in consultation with the HRM and Steering Committee members. Give loyalty awards.

5. NCI regularly reflects on how well it is working together and make adjustments as needed to work flow or work loads of individuals.

No such activity institutionalized

Conduct monthly or quarterly meetings based on the Strategic Plan and the V-M-G among all relevant focal points to get feedback on progress of achieving outputs and outcomes and how the organization is growing as a team in order to achieve its V-M-G and make necessary adjustments on the workload, if necessary. Continue to upgrade NCI visibility by documenting and projecting how Convergence for Sustainable Rural

Ensure that each one is recognized for their contribution to the organization by working as a team and to adjust work loads of individuals as necessary to producing an effective team working towards NCI’s V-M-G.

2



place)


needs improvement)



Rating

Development has worked in the local areas, using the IEM approach/framework.

6. NCI has a working strategy in place to engage potential new supporters, employees, members and volunteers in its work.

None in place Led by the Policy Advocacy Technical Working Group, identify key stakeholders and formulate a strategy for engaging new supporters for NCI.

Include in the Manual of Operations how NCI should expand its network in order to improve organizational effectiveness in addressing its V-M-G.

1

7. NCI continuously looks out for new concepts, ideas, models to upgrade its knowledge management and way of doing things

New concepts and ways of managing development have been developed with the aid of GIZ’s EnRD programs support such as the Environmental Conditional Cash Transfer (eCCT) and the Green Agribusiness/Agro-enterprises Development for Inclusive Growth. GIZ has supported the model building of two model sites.

There are no knowledge products that introduce new knowledge introduced and supported and carrying out “Convergence for Sustainable Rural Development” are not reflected in NCI’s work and in its information and communication activities. IEC materials do not appear too exciting to encourage active buy-in or participation.

Introduce new and dynamic or exciting ways of managing rural sustainable development through Convergence in NCI’s IEC materials and share this knowledge with NCI partners. Consider the NCI “branding” as recommended in the Strategic Communication Plan. Document model sites and package in more exciting ways.

Ensure that Knowledge Management includes a knowledge sharing and products development on new concepts, ideas, models for sustainable rural development. Develop more proactive IEC materials; promote knowledge sharing among potential new supporters or volunteers of NCI. Mobilize resources to fund proper documentation of model sites; package knowledge products in a

2



place)


needs improvement)



Rating

more dynamic way for NCI branding.

62

In summary, below are the results for the organizational development diagnosis, focusing on the

Strengths and Weaknesses of systems and processes within NCI.

The yellow highlights on the matrix above point to the Weaknesses column, and indicates that

currently NCI is weak in terms of its systems and procedures, especially in terms of decision-making

and supervision. In short, the NCI is currently weak in terms of its organizational development status.

The main areas of organizational development and management are weak or non-existent, such as

strategic planning anchored on a shared vision, mission, and goal; monitoring, evaluating, and

reporting accomplishments versus targets set in the policy directives; implementing convergence

initiatives following guidelines in the JMCs (as contained also in the manual of Operations) and in a

timely manner; staffing, delegating, and delineation of functions towards human resources

management; and information dissemination among partners and increasing the visibility of NCI. In

general, here are the organizational weaknesses in NCI:

1. While NCI for SRD is defined, there is no unified definition of “Convergence” and what is

to be labeled or tagged as such. There is confusion on Convergence as a strategy and as the

institution. In reporting, partners at sub-national levels seem to merely attribute

Convergence to their existing agency programs, activities or projects.

2. There is no Vision-Mission-Goal Statement translating the Goals stipulated in the

Philippine Development Plan (2011-2016) and in the legal documents for NCI that could

serve as a shared vision or framework for all partners.

3. There is no overall Strategic Plan which could serve as a Framework for Action,

operationalizing the intended impact of poverty reduction and sustainable rural

development and harmonizing all Convergence Initiatives from the sub-national CI levels and

how such CIs will bring about the intended goals of NCI-SRD and linking to a well-defined

Vision-Mission-Goal Statement.

3. Despite the Results-based M&E Design already formulated, there seems to be no clear

monitoring scheme for tracking achievement of results installed or adopted, especially for

funded NCI management tools and technical assistance, especially to track progress on the

achievement of. This can be gleaned from the Format of Reports of Accomplishments from

RCI partners.

4. The record of regular meetings by the Steering Committee members is incomplete, i.e.,

Technical Working Groups and reporting by the NCI Secretariat to discuss work outputs and

issues. For one, there is no regularity in the SC and TWG meetings – only as the need arises.

5. Staffing of personnel to do secretariat as well as technical work has been vague because

there are no clear delineation of functions and sets of expectations. This has resulted to a

lack of the exercise of oversight functions and lack of clarity of a decision-making. The

members of SCs and TWGs have in recent years slackened in their engagements and

attendance in the NCI meetings and activities giving an impression of a waning commitment

and leadership in NCI operations. Rotation of meeting hosts has not been observed, which

was perceived earlier as effective in extracting commitment from the 3 agencies.


63

6. The funding for the establishment of support and management systems of NCI in the form

of capacity building activities and high-level policy dialogues have not been maximized, and

the expected activities and deliverables accomplished in a timely manner, which would have

propelled the organization and its partners to greater and significant levels. Funding for

“Convergence” approaches by a donor agency is a rare opportunity, which should have been

utilized actively and fully by the partners.

7. Since the mandate for NCI has been changing over the years, communication and dialogue

should have been more frequent to address any change management requirements and to

solve policy issues.

Membership of the TWGs has also expanded. It has been relatively more challenging on the

part of the Secretariat. Also The Convergence point or interface in the NCI should be

widened through more policy dialogue and communication. Implement the Communication

Plan.

4.3 Outputs of the NCI-SRD

This section took more time than expected to analyze since there were no files on formal

Accomplishment Reports submitted by NCI. While the study was originally not intended as an

Assessment and Evaluation of Outputs, nevertheless this section tries to make sense of what the

actual accomplishments and outputs have been for NCI. The powerpoint presentations used during

NCI meetings and other events and other available documents were used to infer and validate

reported accomplishments.

Looking at the accomplishments from the period of the “Enhanced NCI” up to the present, the

following information seems to show that performance in deliverables has been poor and that

technical assistance for capacity development and support systems have not been fully utilized and

supervision over their follow through activities by NCI management in general was weak.

For example, in November 2009, the first National Convergence Agribusiness Investment Forum

(NCAF) was conducted. However, no follow-up activities from the NCI were reported to have

ensued after the 2009 NCAF.

In 2011, 140 watersheds supporting the major national irrigation systems were identified as priority

convergence areas. However, it has been reported that these watersheds are still not prioritized by

majority of the RCI TWGs. Assessment of the 10 launched LCAECs and investments plans presented

in the 2009 and 2010 National Agribusiness Investment Forum was conducted in January 2012, but

after the result of the assessment was submitted, there were no more follow through activities, as

reported by a key informant from the Agro-enterprises and Agribusiness Cluster Development TWG.

The Preparation of IEM-based Convergence Area Devt. Plan (CADP) was similarly emphasized,

wherein a Technical Assistance was provided by GIZ to support to this undertaking. However,

adoption of the CADP Process Formulation was quite slow, as reported. Available reports revealed

the following: In August 2012, a one-day Executive Orientation on IEM was done at Sulo Hotel to


64

orient the NCI executives, but only technical staff attended in the said orientation. Also, a Trainors’

Training on the preparation an of an IEM-based CADP was held in Bacolod City for selected regions

to fast track the preparation of IEM-based CADPs, however, majority of the participants of the

training were not technical people.

Orientations were conducted in selected regions/provinces, but it is reported that until now no

region or province was able to submit a concrete/ complete CADP.

In terms of upgrading their capacity for planning and the conduct of actual planning, again

technical assistance provided for by GIZ have not been either maximized nor the capacity building

cascaded to the sub-national groups. For instance, at the start of the year, the TWGs prepare their

Plan of Operations (POP), however, according to reports from NCI majority of the members were not

aware of the POP Directives so there are activities that are not delivered. The accomplishments

towards the Directives also need to be harmonized with the Results-Based Monitoring and

Evaluation so that accomplishments are rationally accounted for.

In addition, JICA reportedly sponsored the preparation of a Farmer-friendly Business Planning

Manual as an easy reference by the local CI TWGs, but the submitted investment proposals still do

not conform with the prescribed format hence contents are not substantive. Again this shows poor

oversight on the implementation of sub-national activities.

Furthermore, a Technical Assistance on Green & Inclusive Agribusiness was provided by the GIZ and

regional workshops were conducted on the preparation of green & inclusive business concepts/

models. No concrete proposals have been submitted from the concerned regions.

As the GIZ is a major funder, the overall actual outputs delivered by NCI were examined to show

trends in accomplishing its deliverables. As shown in available documents from GIZ and from the

FGD results, it was clear from the overall results of activities accomplished with GIZ technical

assistance and funding support, that the NCI had generally failed to deliver, if not was extremely

delayed in accomplishing the expected outputs. The matrix of the Organizational Analysis of NCI

showing its strengths and weaknesses shows the following general accomplishments for NCI based

on documents made available by GIZ:

In 2012, NCI exhibited poor performance as there were only 3 implemented as scheduled; 6 technically completed; 10 implemented with delays, and 15 cancelled activities. By 2013, there were 2 activities technically completed; 6 implemented with delays; 7 not yet started; 0 implemented as scheduled; and 7 activities cancelled.

With regard to the overall eight (8) Policy and Operational Directives (PoPs) for 2013-2014, NCI has

barely passed the mark for its accomplishments, with four(4) out of the eight (8) on-going Policy and

Operational Directives for NCI for 2012-2013 having concrete on-going activities. According to a key

informant from the NCI Secretariat, one item still needs a major directive from the Presidential

Adviser for Food Sustainability and Agricultural Modernization (PAFSAM). Still, one item was not

pursued, and two directives need more attention and follow through, especially the building of

capacities of front liners of the Convergence Initiative, which is essentially one major avowed goal

for NCI.


65

In order to analyse Accomplishments of the NCI-SRD (outputs versus targets), the bases for analysing

outputs versus targets had to be deciphered. It seemed that the Results-based Monitoring Design

was not efficiently used, nor did it appear rationally suited to serve as basis for assessing outputs

and especially processes needed to attain the outputs. This may lead to confusion when reporting

accomplishments, if the processes to attain the outputs are not considered. The reporting on

Accomplishments of PoPs as of 2012 made available for this study did not show a match or link

between accomplishments and targets.

For this purpose, Table 1 was constructed for this study based on the Results Chain of Outcomes and

the Accomplishment Report submitted by the NCI Secretariat, presumably based on the Goals

stipulated in the Philippine Development Plan (2011-2016). The table shows the target outputs and

outcomes with the corresponding indicators as provided by the NCI Secretariat. Note that the

entries in the last column are color-coded.

The Table was constructed for this research in order to classify the indicators according to the

following "components": Policy & Advocacy, Agribusiness Enterprise & Agribusiness Development,

Capacity Development, and Knowledge Management. Supposedly, the Results Chain of Outcomes

should be the guide in identifying projects and activities. However, when the matrix was re-designed

to follow a logic whereby indicators guide projects/activities/programs (PAPs), and the PAPs leading

to outputs and outputs to outcomes, one would note that the Indicators are basically not located in

their proper place.

Table 2 also constructed by the consultant, shows a sample for labeling categories for classifying

actual projects/activities into components, based on official documents submitted to the NCI

Table 3-6, constructed for the study, shows the list of activities grouped according to components.

Instead of accounting for accomplishments versus targets, Table7 shows the number of

Activities/Projects per year, per component, 2010-2014 (Q1). There were 33 projects/activities

reported. Apparently, the accomplishments accounted were not clearly matched with the expected

Outputs and Outcomes.

Table 8-11 shows the Projects/Activities as well as the targets for each component. As expected, the

targets are not directly addressed by the projects listed as accomplishments. In other words, the

implementation of activities do not match the intended outputs and outcomes or “targets” as

outlined in the generated Results Chain Outcomes. Furthermore, these projects were classified

convergence projects through attribution only.


66

Table 1. Target Outputs and Outcomes with Indicators as Provided by NCI Secretariat8.

Outcome/ Direct

Benefits Indicators Use of Output Indicators Outputs Indicators

1. Ensure food security and increased income

• By June 2016, number of communities engaged in or employed in environment-friendly and market-led agri-enterprises (agriculture, forestry and fisheries) in identified local convergence areas have increased by XX percent (Baseline: 2011: ___) • By June 2016, household income in at least XX percent of NCI supported communities has increased by XX percent above the poverty line. (Baseline: 2009: 26.5% (Population); 20.9 %(Families): Source: NSCB) • By June 2016, food staples (rice, white corn and other starchy food) are available and affordable (Baseline: CPI in 2009: 153.95:Source:NSCB) • By June 2016, average inflation rates among basic food commodities are within XX percent (Baseline 2011: 3.6%(Core Inflation Rate):Source:NSCB)

1.1 LGUs /proponents applied/availed of financing mechanism that promotes sustainable environmental conservation and management measures

• By June 2013, XX number of LGUs/proponents in convergence clusters availed of and implemented sustainable agri-enterprises (e.g. environmental conditional cash transfer (eCCTs) (Baseline 2011: 0) • By June 2013, at least XX percent of households in NCI supported communities have availed of financing mechanism that promote sustainable agri-enterprises (e.g. eCCT) (Baseline 2011: 0) • Annually, agreed upon conditions are adhered to by at least 95 percent of beneficiaries in NCI supported communities (Baseline: 2011: 0; DSWD eCCT monitoring records/retention rate).

1.1.1 Supported the formulation/ implementation of innovative policies that promotes Sustainable Environmental mgt.

• By March 2012, policies promoting sustainable environmental conservation and management are supported (e.g. environmental Conditional Cash Transfers or eCCT, NGP, EO533-CRM, EO on UDP, etc.) • By February 2012, NCI-DTI-PEZA Joint Agribusiness Investment Guidelines formulated and approved.

8 Constructed by F.L. Diola based on submitted: (1) Results Chain Outcomes and (2) Projects/Programs/Activities report by 2014

Legend: Policy & Advocacy AB enterprise cluster & AB Dev’t. Capacity Dev’t. Knowledge Management


Outcome/ Direct


1.2 Promoted AB models are adopted by at least XX convergence clusters

• By 12/2012, at least XX number of LGUs in convergence clusters adopted and used tested AB models (Baseline 2011: 0; NCI monitoring records).

1.2.1 Compendium of various agri-enterprise technologies are established and AB models developed and introduced to convergence clusters

• By June 2012, compendium of various agri-based enterprise technologies is established. • By June 2012, at least XX AB models are tested in all convergence pilot areas. • By 12/2011, planning and management tools to facilitate agro-enterprise cluster & AB development introduced • By September 2012 promotion materials to communicate AB models developed • NCI CapDev Pool established and functional by February 2012. • By March 2012, implementers and the technical working groups (i.e. upland, lowland, coastal) are capacitated on agro-enterprise cluster and AB development.

1.2.2 Agro-enterprise clusters established in all provinces

• By 12/2011 at least 10 Agro-enterprise clusters established (and at least XX annually thereafter) in 144 watersheds. (Baseline:2011:10 watersheds/2012: 50watersheds/2013: 84 watersheds)

1.2.3 Investment and market opportunities identified

• By June 2012, Innovative Financing for sustainable agro-enterprises identified • Annually, increasing volume of investments/resources mobilized

1.3 Tested AB models are adopted by at least XX number of non-CI LGUs

• Starting June 2013, at least XX number of LGUs (and XX percent annually thereafter), outside the priority convergence cluster have implemented the tested AB models (Baseline 2011: 0; NCI monitoring records).

1.3.1 Tested AB Models are documented and promoted for Upscaling

• Annually, packaged AB cluster models in each system (upland, lowland, coastal, etc.) are promoted for upscaling • Annually, experiences and learning exchange in AB implementation facilitated • Starting 12/2012 (and thereafter annually), at least XX AB cluster models in each eco-system (upland, lowland, coastal, etc.) are packaged


Outcome/ Direct


2. Enhanced access to land (and other natural resources) and improved quality of the environment

• By June 2016, an XX% percent increase in number of constituency with access to land and/or appropriate tenurial instruments (provides security of tenure/ access to resources: (CLOA: 2014: 80%; CADT: ?, CBFM :?))• By June 2016, 30% of NCI constituency/ organization and communities in all 86 provinces able to actively participate in local governance, and management of resources (Baseline: 2011: 10 : Sources: Attendance, records/ minutes of meetings)• By June 2016, NCI constituents confirms an improvement in the conservation, protection and rehabilitation of natural resourceso forest cover increase by 30% (Baseline: 2002: 21.7% (ESSC); 24.4% (DENR))o increase number of adoptors (and area in hectares) of natural farming system, rehabilitation and protection measures for natural resource conservation and other environment-friendly farm practices (Baseline:2007: 500,000 hectares: Source: 2007 CBFM Assessment)o 4, 518 FLAs covering 59, 566 hectares of abandoned, underutilized and unproductive fishponds reverted back to mangroves (Baseline: 2011:157 FLAs covering 4, 764. 28 hectares :Source: BFAR data)o complete the delineation and local ordinance of 920 municipal waters covered by the 86 provinces (Baseline:2011:57 municipal waters)(Source: Client Satisfaction Survey and NCI/ Agency records)

2.1 Concerned agencies and LGUs are implementing or using related policies and harmonized guidelines on land use, and issuance of tenurial instruments

• By June 2012, national government agencies are using the harmonized guidelines and policy issuances on land use (allocation, conservation and management) • By June 2013, XX number of recorded conflicting/overlapping policies on issuance of land titles (e.g. EP/CLOA vs. CADT and EP/CLOA vs. CBFMAs) resolved (Baseline: CLOA: 2010: 364,944 (adjudication of agrarian cases); 426,068 (agrarian law implementation cases): CADT:?: CBFMA:?; Source: DAR data) • By June 2013 , All 78 MLGUs in 10 NCI pilot local convergence areas (LCA) are assisted in integrating various thematic plans (FLUP, CFRM, DRM, etc.) into the comprehensive land use plans following the agreed harmonized guidelines on land use and other policies. (Baseline: 2011:2 municipalities)

2.1.1 Formulated and amended policies related to convergence under the rural development sector

• By February 2012, conflicting policies affecting the RD sector are identified (e.g. land-use, issuance of tenure instruments – EP/CLOA-CBFMA-CADT, etc.)• By June 2012 legal or policy instruments (e.g. resolutions, agreements, guidelines) by and among government agencies as regards to the harmonization and resolution of conflicting policy issues and concerns in the implementation of laws and policies on rural development are discussed and agreed (e.g. co-management agreements, JAO on AUU/FLA)• By December 2012, policies expanded or improved to address gaps on Land Investments/Land Grab/Voluntary Guidelines• By December 2011, advocacy networks for policy reforms established/strengthened (e.g. CLUP Now!, NFR)• Annually, constituencies (NCI + LGUs + +) oriented/familiarized with new policy issuances • By December 2012, All 78 MLGUs in 10 NCI pilot LCAs are assisted in integrating various thematic plans (FLUP, CFRM, DRM, etc.) into the comprehensive land use plans.


Outcome/ Direct


2.2 LGUs and other implementers are integrating Integrated Ecosystem Management (IEM) in the formulation and implementation of dev’t/investment plans and policies

• Starting June 2012, All 10 NCI pilot local convergence areas apply IEM in the management of their resources, and XX number of new LCAs thereafter annually (Baseline:1/2011:9watersheds/2012: 50watersheds/2013: 84 watersheds)• By Dec 2013, the number of adopters of natural farming and fishing practices in LCAs increased by 20 percent (Baseline:2007: 500,000 hectares: Source: 2007 CBFM Assessment)

2.2.1 Developed shared interest and common understanding of the convergence strategy and intervention framework among the implementers at the national and local levels

• By March 2012, capacity building/customized learning kits to communicate and promote Convergence framework and strategy/Integrated Ecosystem Management (IEM) developed• By March 2012, Functional NCI Community of Practice/advocacy networks established at all levels• Annually, at least 1 IEM forum conducted at all levels

2.3 IEM Best, Innovative and Good Practices (BIGPs) are used by at least 20 percent of watersheds outside the LCAs

• By June 2014, IEM BIGPs are used/applied in at least 20 percent of watersheds outside the LCAs (Baseline 2011: 0; NCI monitoring records).

2.3.1 BIGPs on natural resource conservation and management/ IEM are documented and promoted for Upscaling

• Annually, experiences and learning exchange in IEM implementation facilitated • Annually, at least 1 success stories book packaged and published • By December 2013, at least XX BIGPs on IEM promoted for upscaling

3. Self-reliance of constituencies and increased resilience of their communities

• By June 2016, XX percent of constituency/organizations in 141 LCAs able to cope with social and economic shocks, environmental hazards and other economic related risks (Baseline: ___/Source:)• By June 2016, XX percent of constituency in LCAs in 141 watersheds have benefited from the continuous access of the business development services (Baseline: ___/Source:)

3.1 Concerned agencies and LGUs used the compendiums of climate change compliant technologies and accessed innovative financing mechanisms.

• By December 2012, at least XX number of national government agencies and NCI pilot LGUs have used the compendiums on climate change compliant technologies and innovative financing mechanisms.• By June 2012, capacity building/customized learning kits were used in trainings the NCI constituents on climate change compliance technologies and innovative financing mechanisms• By December 2013, XX percent of communities/organizations/LGUs in 60 LCAs have accessed/ availed at least XX number of financing mechanism/s and XX number of climate change compliant technologies (Baseline: ___/Source:)

3.1.1 Compendiums of available climate change compliant agri-technologies and financing/risk mitigating mechanisms promoted in hazard prone areas in 144 LCAs

• By June of 2012, compendium of climate compliant agriculture technologies (e.g. water resistant crop varieties) established and distributed.• Annually, at least XX number of innovative financing mechanisms are promoted in XX percent of LGUs within the 144 watersheds. • Annually, at least XX number of climate change adaptation/mitigation measures/interventions are promoted in XX number of identified hazard prone areas within the LCAs • By June 2012, compendium (e.g., consolidated list/directory indicating processes and requirements for availment, etc.) of financing/risk mitigating mechanisms (e.g., crop insurance, micro-insurance/financing and health insurance) established and distributed.


Outcome/ Direct


3.1.2 LGUs and implementing agencies are capacitated on climate change compliant agri-technologies and innovative financing mechanisms

• By December 2012, capacity building/customized learning kits on climate change compliance technologies and innovative financing mechanisms produced and distributed • By March 2013, XX number of LGUs? in 144 LCAs are informed of the various products and services offered by the service providers

3.2 Climate and disaster proof CAD Plans are implemented

• By January 2013, at least XX identified priorities in the climate and disaster proof CAD plans are implemented (Baseline: __: )

3.2.1 Climate and disaster proof CAD Plans developed and updated

• By June 2012, XX number of climate and disaster prone LCAs are identified.• Starting December 2012 climate and disaster proof CAD plans are developed and updated for all 10 LCAs (Baseline: __: )• Annually, XX number of climate and disaster proof CADPs are formulated in the remaining 144 watersheds (Baseline: __: )

3.3 Tested approaches (best, innovative, good and promising practices -BIGPs) are used/adopted/applied in non-convergence sites

• By end of 2013, at least XX number of tested approaches/BIGPs (and XX number thereafter) are applied to other non-convergence sites.

3.3.1 Best practices or tested approaches on rural financing/risk mitigating/sharing mechanisms documented and promoted for upscaling

• By December 2013, XX number of appropriate financing/risk mitigating mechanisms, climate proof/tested technologies are documented and packaged. • By December 2013, appropriate financing/risk mitigating mechanisms, climate proof/tested technologies are promoted


Table 2. Actual rojects/ctivities done per TWG component.9

INPUTS OUTPUTS OUTCOMES IMPACT

Policy and Advocacy Agribusiness Capacity

Development Knowledge

Management 1. Agribusiness Lands Developed 2. Jobs Generated 3. Food Production Increased 4. LGU alliances 5. Assisted farm Resettlement or Model Farms 6. Integrated Ecosystem Management Convergence Area Development Plan

1. Ensure Food Security and Increased Income 2. Enhanced Access to Land (and other natural resources) and Improved Quality of the Environment 3. Self-Reliance of Constituency and Increase Resilience of their Communities

Poverty reduction and

Sustainable Rural

Development

1. Institutionalization of NCI-SRD 2. Campaign for the Passage of the National Land Use Policy 3. Rules and Procedures on Policy Formulation and Development 4. Formulation of the NCI-DTI-PEZA Joint Agribusiness Investment Guidelines 5. Harmonization of overlapping or conflicting policies

1. Development of Compendium of various Agro-based Enterprise Technologies 2. Agro-enterprise Clusters Establishment and Agribusiness Models Development 3. Investment Planning 4. Facilitate Capacity Building Activities

1. Integration of IEM on NCI-SRD 2. MRPM RD Scholarship Program 3. Capacity Development Results based Framework 4. Development of Compendium of NCI-SRD Tools and Learning Kits 5. Benchmarking of IEM Good Practices in other Countries

1. NCI-SRD Website 2. Creation of NCI-SRD Database 3. Community Profiling 4. Success Stories 5. Implementation of the Communication Strategic Plan

9 Classification of activities was done liberally by this researcher, for the NCI-GIZ organizational assessment assessment.


5. Preparation of IEM compliant AIPs

Table 3. Activities related to policy and advocacy, 2010-2014 (Q1)

Policy and Advocacy

Year Activity/-ies Institutionalization of NCI-SRD

Campaign for the Passage of the National Land

Use Policy

Rules and Procedures on

Policy Formulation and

Formulation of the NCI-DTI-PEZA Joint

Agribusiness

Harmonization of overlapping or

conflicting policies


Development Investment Guidelines

2010 JAO on Fishpond Lease Agreements (FLA)

2011 Land Use Bill and other “Green Bills”

2011 NCI Policy Procedures and Emerging NCI related Policy Issuances and Concerns (PICs)

2012 4 High Level Fora conducted in coordination with the PDF for SRD

2012 HB 5582 or Rural Development Bill

2013 Voluntary Guidelines Forum on Responsible Governance of Tenure of Lands, Fisheries and Forest in Context of National Food Security (Regional Consultations)

2013 Finalized NCI-SRD JAO

2013 Finalized NCI-SRD JMC

2014 (Q1)

Voluntary Guidelines Forum on Responsible Governance of Tenure of Lands, Fisheries and Forest in Context of National Food Security (National Consultations)

2014 (Q1)

Public Consultation on Proposed HB 1891 “Convergence Bill”


Table 4. Activities related to capacity development, 2010-2014 (Q1)

Capacity Development

Year Activity/-ies Integration of IEM

on NCI-SRD

MRPM RD Scholarship

Program

Capacity Development Results based

Framework

Development of

Compendium of NCI-SRD Tools and

Learning Kits

Benchmarking of IEM

Good Practices in

other Countries

2010 Training on Business Advisory Services – Financial Analysis and market evaluation

2010 Training on GPS and GIS for NCI Field Personnel

2011 NCI-SRD Manual of Operations

2011 Facilitators Training

2012 Integrated Ecosystem Management (IEM): The Convergence Framework

2012 Master in Public Management Major in Rural Development (MPM-RD) Scholarship Program

2013 Workshop on NCI-SRD IEM-based Convergence Area Development Plan (IEM-CADP)

2014 (Q1)

MPM-RD First Batch Graduation


Table 5. Activities related to Agro-enterprise Cluster and Agribusiness Development, 2010-2014 (Q1)

Agro-enterprise Cluster and Agribusiness Development

Year Activity/-ies

Development of Compendium of

various Agro-based Enterprise

Technologies

Agro-enterprise Clusters

Establishment and

Agribusiness Models

Development

Investment Planning

Facilitate Capacity Building Activities

Preparation of IEM compliant

AIPs

2010 2nd national Convergence Agri-investment Forum

2010 Launching of the Central Antique Local Convergence Agro-enterprise Cluster (LCAEC)

2011 Launching of the other 9 Pilot LCAECs

2011 1st Agrikultura Trade fair “ Agraryo, Agrikultura at Kalikasan: A Convergence Towards Sustainable Rural Development

2012 11th National Watershed Conference

2012 Business Planning handbook for Collective Enterprise (with JICA)

2013 Product Selection and Prioritization of Agribusinesses and Agro-enterprises

2013 Regional Stakeholders’ Consultation on Greening the Agribusiness and Agro-enterprise

2014 (Q1)

Inclusive Green Growth Business (Greening of Agri-businesses and Agro-enterprises)


Table 6. Activities related to Knowledge Management, 2010-2014 (Q1)

Knowledge Management

Year Activity/-ies NCI-SRD Website

Creation of NCI-SRD Database

Community Profiling

Success Stories Implementation of the Communication

Strategic Plan

2010 Success Stories Book on the Power of Convergence (Triumphant Stories of Collective Action

2011 Results-based Management (Development of NCI-SRD Results Chain)

2012 NCI-SRD Communication Plan and Strategy 2013 Implementation of NCI-SRD Communication

Plan and Strategy (NCI-SRD Logo and Newsletter)

2014 (Q1)

NCI-SRD Website (2nd phase)

2014 (Q1)

Ani at Money (Community-based Radio Program on Agrarian Reform, Agriculture and Enterprise Development)


Table 7. Number of Activities/Projects per year per component, 2010-2014 (Q1)

Number of Projects per Year, per Component

2010 in % of total in

2010


2011


2012


2013

2014 (Q1)

in % of total in

2014(Q1)

Total Project

s

in % of Total

Projects

Policy and Advocacy

1 16.67% 2 28.57% 2 28.57% 3 42.86% 2 33.33% 10 30.30%


2 33.33% 2 28.57% 2 28.57% 1 14.29% 1 16.67% 8 24.24%


2 33.33% 2 28.57% 2 28.57% 2 28.57% 1 16.67% 9 27.27%


There are a total of 33 projects that have been executed under the NCI-SRD from 2010 to the first quarter of 2014. NCI-SRD was able to conduct 6 or 7

projects per year. Policy and Advocacy component appeared to have the highest number of projects and activities conducted, followed by Agro-enterprise

Cluster and Agribusiness Development, then Capacity Development and the Knowledge Management. It is seen that only during the first quarter of 2014,

NCI-SRD already accomplished 6 projects, which is their annual average on the past years. As it turns out, the activities of the Policy and Advocacy

component were mostly drafts and advocacies on laws and/or bills.


1 16.67% 1 14.29% 1 14.29% 1 14.29% 2 33.33% 6 18.18%

6 7 7 7 6 33 100.00%


Table 8. Actual Activities/Projects versus Targets for Policy Advocacy, 2010-2014 (Q1)

Policy and Advocacy

Year Activity/-ies Targets and Indicators

2010 JAO on Fishpond Lease Agreements (FLA) 1.1.1 Supported the formulation/ implementation of innovative policies that promotes Sustainable Environmental mgt. • By March 2012, policies promoting sustainable environmental conservation and

management are supported (e.g. environmental Conditional Cash Transfers or eCCT, NGP, EO533-CRM, EO on UDP, etc.)

• By February 2012, NCI-DTI-PEZA Joint Agribusiness Investment Guidelines formulated and approved.

2.1.1 Formulated and amended policies related to convergence under the rural development sector • By February 2012, conflicting policies affecting the RD sector are identified (e.g. land-use,

issuance of tenure instruments – EP/CLOA-CBFMA-CADT, etc.) • By June 2012 legal or policy instruments (e.g. resolutions, agreements, guidelines) by and

among government agencies as regards to the harmonization and resolution of conflicting policy issues and concerns in the implementation of laws and policies on rural development are discussed and agreed (e.g. co-management agreements, JAO on AUU/FLA)

• By December 2012, policies expanded or improved to address gaps on Land Investments/Land Grab/Voluntary Guidelines

• By December 2011, advocacy networks for policy reforms established/strengthened (e.g. CLUP Now!, NFR)

• Annually, constituencies (NCI + LGUs + +) oriented/familiarized with new policy issuances

2011 Land Use Bill and other “Green Bills”

2011 NCI Policy Procedures and Emerging NCI related Policy Issuances and Concerns (PICs)

2012 4 High Level Fora conducted in coordination with the PDF for SRD

2012 HB 5582 or Rural Development Bill

2013 Voluntary Guidelines Forum on Responsible Governance of Tenure of Lands, Fisheries and Forest in Context of National Food Security (Regional Consultations)

2013 Finalized NCI-SRD JAO

2013 Finalized NCI-SRD JMC

2014 (Q1)

Voluntary Guidelines Forum on Responsible Governance of Tenure of Lands, Fisheries and Forest in Context of National Food Security (National Consultations)

2014 (Q1)

Public Consultation on Proposed HB 1891 “Convergence Bill”


Table 9. Actual Activities/Projects versus Targets for Capacity Development, 2010-2014 (Q1)



2010 Training on Business Advisory Services – Financial Analysis and market evaluation

1.2.1 Compendium of various agri-enterprise technologies are established and AB models developed and introduced to convergence clusters • By September 2012 promotion materials to communicate AB models developed • NCI CapDev Pool established and functional by February 2012. • By March 2012, implementers and the technical working groups (i.e. upland, lowland, coastal) are

capacitated on agro-enterprise cluster and AB development. 1.3.1 Tested AB Models are documented and promoted for Upscaling • Annually, packaged AB cluster models in each system (upland, lowland, coastal, etc.) are promoted for

upscaling 2.1.1 Formulated and amended policies related to convergence under the rural development sector • By December 2012, All 78 MLGUs in 10 NCI pilot LCAs are assisted in integrating various thematic

plans (FLUP, CFRM, DRM, etc.) into the comprehensive land use plans. 2.2.1 Developed shared interest and common understanding of the convergence strategy and intervention framework among the implementers at the national and local levels • By March 2012, capacity building/customized learning kits to communicate and promote

Convergence framework and strategy/Integrated Ecosystem Management (IEM) developed • By March 2012, Functional NCI Community of Practice/advocacy networks established at all levels • Annually, at least 1 IEM forum conducted at all levels 3.1.1 Compendiums of available climate change compliant agri-technologies and financing/risk mitigating mechanisms promoted in hazard prone areas in 144 LCAs • Annually, at least XX number of climate change adaptation/mitigation measures/interventions are

promoted in XX number of identified hazard prone areas within the LCAs .

2010 Training on GPS and GIS for NCI Field Personnel

2011 NCI-SRD Manual of Operations

2011 Facilitators Training

2012 Integrated Ecosystem Management (IEM): The Convergence Framework

2012 Master in Public Management Major in Rural Development (MPM-RD) Scholarship Program

2013 Workshop on NCI-SRD IEM-based Convergence Area Development Plan (IEM-CADP)

2014 (Q1)

MPM-RD First Batch Graduation


Table 10. Actual Activities/Projects versus Targets for Agro-enterprise Cluster and Agribusiness Development, 2010-2014 (Q1)



2010 2nd national Convergence Agri-investment Forum

1.2.1 Compendium of various agri-enterprise technologies are established and AB models developed and introduced to convergence clusters • By June 2012, compendium of various agri-based enterprise technologies is established. • By June 2012, at least XX AB models are tested in all convergence pilot areas. • By 12/2011, planning and management tools to facilitate agro-enterprise cluster & AB development

introduced 1.2.2 Agro-enterprise clusters established in all provinces • By 12/2011 at least 10 Agro-enterprise clusters established (and at least XX annually thereafter) in 144

watersheds. (Baseline:2011:10 watersheds/2012: 50watersheds/2013: 84 watersheds) 1.2.3 Investment and market opportunities identified • By June 2012, Innovative Financing for sustainable agro-enterprises identified • Annually, increasing volume of investments/resources mobilized 3.1.1 Compendiums of available climate change compliant agri-technologies and financing/risk mitigating mechanisms promoted in hazard prone areas in 144 LCAs • By June of 2012, compendium of climate compliant agriculture technologies (e.g. water resistant crop

varieties) established and distributed. • Annually, at least XX number of innovative financing mechanisms are promoted in XX percent of LGUs

within the 144 watersheds. 3.1.2 LGUs and implementing agencies are capacitated on climate change compliant agri-technologies and innovative financing mechanisms • By December 2012, capacity building/customized learning kits on climate change compliance

technologies and innovative financing mechanisms produced and distributed 3.2.1 Climate and disaster proof CAD Plans developed and updated • By June 2012, XX number of climate and disaster prone LCAs are identified. • Starting December 2012 climate and disaster proof CAD plans are developed and updated for all 10

LCAs (Baseline: __: ) • Annually, XX number of climate and disaster proof CADPs are formulated in the remaining 144

2010 Launching of the Central Antique Local Convergence Agro-enterprise Cluster (LCAEC)

2011 Launching of the other 9 Pilot LCAECs

2011 1st Agrikultura Trade fair “ Agraryo, Agrikultura at Kalikasan: A Convergence Towards Sustainable Rural Development

2012 11th National Watershed Conference

2012 Business Planning handbook for Collective Enterprise (with JICA)

2013 Product Selection and Prioritization of Agribusinesses and Agro-enterprises

2013 Regional Stakeholders’ Consultation on Greening the Agribusiness and Agro-enterprise

2014 (Q1)

Inclusive Green Growth Business (Greening of Agri-businesses and Agro-enterprises)


watersheds (Baseline: __: )

Table 11. Actual Activities/Projects versus Targets for Knowledge Management, 2010-2014 (Q1)



2010 Success Stories Book on the Power of Convergence (Triumphant Stories of Collective Action

1.3.1 Tested AB Models are documented and promoted for Upscaling • Annually, experiences and learning exchange in AB implementation facilitated • Starting 12/2012 (and thereafter annually), at least XX AB cluster models in each eco-system

(upland, lowland, coastal, etc.) are packaged 2.3.1 BIGPs on natural resource conservation and management/ IEM are documented and promoted for Upscaling • Annually, experiences and learning exchange in IEM implementation facilitated • Annually, at least 1 success stories book packaged and published • By December 2013, at least XX BIGPs on IEM promoted for upscaling 3.1.1 Compendiums of available climate change compliant agri-technologies and financing/risk mitigating mechanisms promoted in hazard prone areas in 144 LCAs • By June 2012, compendium (e.g., consolidated list/directory indicating processes and

requirements for availment, etc.) of financing/risk mitigating mechanisms (e.g., crop insurance, micro-insurance/financing and health insurance) established and distributed.

3.1.2 LGUs and implementing agencies are capacitated on climate change compliant agri-technologies and innovative financing mechanisms • By March 2013, XX number of LGUs? in 144 LCAs are informed of the various products and

services offered by the service providers 3.3.1 Best practices or tested approaches on rural financing/risk mitigating/sharing mechanisms documented and promoted for upscaling • By December 2013, XX number of appropriate financing/risk mitigating mechanisms, climate

proof/tested technologies are documented and packaged.

2011 Results-based Management (Development of NCI-SRD Results Chain)

2012 NCI-SRD Communication Plan and Strategy

2013 Implementation of NCI-SRD Communication Plan and Strategy (NCI-SRD Logo and Newsletter)

2014 (Q1)

NCI-SRD Website (2nd phase)

2014 (Q1)

Ani at Money (Community-based Radio Program on Agrarian Reform, Agriculture and Enterprise Development)


• By December 2013, appropriate financing/risk mitigating mechanisms, climate proof/tested technologies are promoted

85

4.3.2 Perceptions by key respondents on the NCI-SRD

This section analyzes whether some trace of Convergence or Collaboration has resulted in the

Convergence or if this can be discerned within the NCI, using the following indicators: joint decision-

making; administration; addressing conflict/tension; mutually beneficial collective action; and

developing trust among members. Based on the survey and interviews and adopting the indicators

below, it was shown that there seems to be an agreement that there is “Joint decision-making” in

NCI. However for “Administration” of NCI, the RCI respondent for Reg.5 as well as the newcomer

from DENR viewed this indicator relatively higher for NCI. It would be good to explore further what

aspects of “Administration” in the NCI they seem to look at more favorably.

There also seems to be an agreement that he attainment of “Mutually-Beneficial Collective Action

was high, and so with “Trust” in the NCI.

The results on the “Administrative Aspects” of the NCI will be examined in a later Section on the

Organizational Development Analysis.

Table 3. Key Respondents’ Perceptions on the Presence of Convergence or Collaboration

Perception on the National Convergence Initiative for Sustainable Rural Development *applies 7 point scale, 1 taking the least value, 7 the highest value

Respondents Joint

Decision Making

Administration Addressing

Conflict/Tension

Mutually Beneficial Collective

Action

Developing Trust Among

Members

George Soriano (DAP)

3 3 3 6 7

Ruel Limbo (DAR)

5 4 - 5 5

Vicente Tuddao, Jr. (DENR)

6 5 2 6 6

Luz Brenda Balibrea (DA)

5.25 4.62

1999-2007

7 6 No answera No answerb No answerc

2008 5 4.5 - - -

2009 5 4.5 - - -

2010 onwards

4 3.5 - - -

Jerry Pacturan (DAR)

4 4 3 5 -

Edgar Madrid (LGU, Reg.5)

5 5 1 6 7

Lourdes Ferrer (DENR)

5 - Do not feel any

tension. - -

Average 4.75 6 1.28 5.6 6.25 Explanation by respondent:


86

a Addressing Conflict: “NCI partners are diplomatic, if they experience or sense conflict of interests; they

discuss it openly in meetings and during assessment workshops; pinag-uusapan nang maayos until a

win-win solution among involved parties is reached.”

b I think NCI looks after the common good of the participants, sometimes meron lang missing links.

cI think and I believe that NCI partners shared common purpose because until now everybody talks

about convergence at kahit unti-unti ng bumababa ang attendance sa mga meetings ay may

umaattend pa rin sa mga NCI meetings and other activities. Among the 7 TWGs, meron pa rin

tumatayo para isulong ang convergence concept. Some of the common activities done together

within the NCI are: promoting Integrated Ecosystem-based planning, complementing efforts (e.g.

identification of Goal 1 areas, NGP implementation), harmonizing policies and programs, sharing of

info and expertise, conducting workshops together.

4.4 Summary of Findings

Defining Convergence

Convergence, in a sense, has been incorrectly perceived as the framework rather than its operational

scheme. In general, it is argued as an approach and a platform. There is no clear delineation as to

when convergence strategy enters the dynamics of the three agencies in service delivery. Thus, in

effect, the “programs” tagged under NCI-SRD are evaluated in terms of convergence in

response/conduct of particular offices. As a consequence, targets are not hit and been loosely

identified.

Area Identification in the NCI-SRD

The goals and focus of the NCI-SRD has changed or shifted in many cases – agribusiness in 2000 to

2004 and integrated ecological system or watershed framework from 2010 to date. This is a

manifestation that the NCI-SRD is loosely defined in terms of its framework and strategy.

Nevertheless, there are common points as to where NCI-SRD is applied or perceived to be applied,

which are on:

1. Areas of the poorest population segment

2. Areas where all agencies are with concerns or operations

The above illustrates that NCI-SRD is still considered as the way or manner to resolve the existing

issues on public management of services. Area identification must be properly conducted that it is

aiming to resolve poverty and inefficiency on public service delivery.

Although, even with proper area identification, services provided by each agency may be restricted

by its particular mandate, i.e., DAR only caters to ARCs, nearby sites serves as catchment. These

restrictions, may cause of the specific program/intervention design, which can be an indication that

the implementation of NCI-SRD is not conducted in its genuine idea of complementation and

integration.


87

Area identification as primordial in the implementation of NCI-SRD, issues on scope and jurisdiction

must be settled on the onset of programs or projects. The instruments used in delineations must be

revisited, i.e., all areas over 18 slope is under DENR.

Program-based NCI-SRD

Appraising NCI-SRD without proper appreciation of the SRD as framework and Convergence as a

strategy leads to program-based appraisal. Programs must be designed under the NCI-SRD. These

programs require specific qualifications to be considered under NCI-SRD, thus not all

programs/projects can be qualified as convergence initiatives. The current trend shows that

programs attributed to the NCI-SRD are just offshoots of particular agency rather than a product of

workshop/planning among concerned agencies, i.e., Balik Probinsya Program (BPP) is conceptualized

by DENR and been appraised under the NCI-SRD without consensual agreements before its

operation. There is no systematic manner as to how NCI-SRD programs are conceptualized and

‘selected’. Further, programs under the NCI-SRD Secretariat are usually forum-type, while those

implemented on site are managed by a particular agency. Reports on these on-site projects are

crafted by the certain concerned agency.

Funding for NCI-SRD

Funding for NCI-SRD is solicited among the concerned agencies. Budgeting must be program-based

aligning with the Department of Budget and Management, relinquishing the output-based

budgeting. Per program budgeting will lead to particular and shared accountability, and will

encourage more interest. Commodity-based budgeting in the case of most DA-led activities must be

aligned with the focus of the identified NCI-SRD sites.

LGUs’ Role in the Convergence

Existing local plans in the municipal level, such as Comprehensive Land Use Plan (CLUP) and Forest

Land Use Plan (FLUP), must be taken into consideration in the identification of sites and formulation

of Convergence Area Development Plan (CADP), as provided for in the Manual of Operations. On the

other hand, National Government Agencies (NGAs) with programs that are aligned with the NCI-SRD

realm must be absorbed. Convergences in the LGUs are usual of its operations for its small area and

limited resources.

There are postulations that NCI-SRD must be managed primarily in the regional or provincial level for

its scope a larger area and budgeting sources.

Empowerment of TWGs in the regional level will likely ensure the implementation of NCI-SRD.

Further, the Secretariat must be led by an Undersecretary, preferably in the Operations Division, so

as to have more budget flexibility.

On Policies and Legal Basis

Memorandum of agreement provides loose mandate to NCI-SRD. An Executive Order (EO), and

eventually a Republic Act (RA), will forge the institutionalization of NCI-SRD. At the local level, special

orders are released and a sufficient basis to hold accountability. However, a local executive order is

still the preferred for any individual appointment to the NCI-SRD TWGs.


88

Identified Fundamental Issues on the Implementation of Convergence Strategy

The programs of DA, DAR and DENR initially experienced duplication and overlapping, which in the

end still resulted to gaps at the level of delivery of social services. Differentiation on the primary

mandates of each agency provides issues on jurisdiction and scope, depending on the particular laws

that define these programs or services. This ‘disintegration’ plays as an agency-specific response,

while complementation under the NCI-SRD is the move to integration. In effect, DA caters the AFMA,

DAR forwards CARP/CARPER and DENR espouses all environmental laws. This aligns to the issues

identified by the 1999 JMC that created the Sustainable Rural Development (SRD) as a framework

and Convergence as a strategy. The 1999 JMC had been carried over on the succeeding issuances of

JMC to reaffirm and continue the so called “NCI-SRD”.

What is the difference between a FRAMEWORK and a STRATEGY? Framework is an interconnection or interrelationship, more of in conceptual level, as to where programs and services are being designed, appreciated or depreciated in correspondence to specific goals or outputs, i.e., agricultural modernization, higher quality of life. This posits development scenarios or road map. Strategy is operational. This itemizes the implementation procedures of programs and/or services. This includes role sharing, focus of management, area/site identification and budgeting. This operationalizes the framework. NCI-SRD is the collective term for the SRD Framework and Convergence Strategy.

“SRD” and “Convergence”

Sustainable Rural Development is appreciated as an end output rather than a framework.

SRD is not an impact, as claimed in the NCI-SRD Results Chain, but a framework. Under the

sustainable development paradigm, the end impact is “Improved Quality of Life”, with the following

indicators or main components:

Human (Social)

DAR + DENR

Better habitat, greater community involvement, and environmental stewardship

Environment DA + DENR

Better environmental conditions, better irrigation, better soil management, better biodiversity

Economy DAR + DA Better income and greater equity

DAR Managing agrarian reform communities and social capital formation

DA Managing rural economies and market destinations (SAFDZs)

DENR Managing life forces


89

5.0 Policy Recommendations: Opportunities for Change Management

Opportunities for Change Management

1. All the respondents see the value of adopting “Convergence” as an approach to SRD and

that for them “it is the way to go”. However, managing the NCI-SRD has appeared unwieldy

based on available documents showing various plans of action and action taken, various

labels for “interventions” and seemingly different trajectories, instead of showing

convergence in direction and action of the RCI and PCI/MCI partners.

2. Based on the available reports and rapid organizational development analysis conducted,

the NCI Secretariat is perceived as weak as an institution. Its role and functions cannot be

clearly glimpsed, e.g., Regional and partners seem confused on the role of the NCI

Secretariat during their meetings and activities. Guidance for the Secretariat has not been

seemingly provided in recent years.

3. It appears that there is no available internal management operations framework or

guidelines that are being followed to guide decision-making and action. None can be

discerned from the current draft Manual of Operations as well as in the reporting formats of

accomplishments.

Some respondents said they lack guidance on how to report their activities and what are

expected from them in meetings called for by the NCI Secretariat

4. The functions of the NCI Secretariat should be clearly established viz-a-vis the processes

undertaken at the RCI and PCI/MCI levels. As well, it should coordinate the policy and

implementation framework for the NCI-SRD (as contained in the draft JAO 2013). The roles

and functions of the NCI Secretariat should be streamlined amidst the changing mandates,

results chain crafted and what is actually happening on the ground. Performance Measures

should also be crafted.

Policy Recommendations

As extracted from Tables 2-1 to 2-9 above, the following main policy recommendations may need to

be considered seriously, based on findings of NCI-SRD’s organizational development status:

1. Issue a directive to formulate a Vision-Mission-Statement in a Strategic Review and Planning

meeting, based on all policy and relevant documents, including systems and processes developed

through technical assistance by the GIZ EnRD Program.

2. Include as Attachment to the existing JMC 2010 or Amend HB 1891 an Operational Strategic Plan

(an “Enhanced Operational Strategic Plan”) with the Vision-Mission-Goal Statement as Amendment.


90

3. Include as stipulation in HB 1891 the conduct of a regular review and planning process to check

progress on and relevance of the V-M-G, culling out facilitating and hindering factors towards

effective, efficient, and equitable implementation of NCI Convergence Initiatives.

4. Review the Communication Plan and Create a Team that will harmonize the Communication Plan with an NCI “Enhanced Operational Strategic Plan”. 5. Provide a directive to finalize the Manual of Operations or Handbook of Policies and Procedures

and subsequently, to ratify and implement the use of the Manual or Handbook. Conduct an

Orientation to the use of the Manual of Operations for all focal points of NCI.

6. Ask the TWG for Knowledge Management focal person to design and conduct an activity towards

institutionalization of the process of conducting an overall Strategic Review and Planning Session,

and include this as part of the stipulations in HB 1891.

7. Develop an Human Resources Management (HRM) Plan and Standard Operating Procedures and

Policies and Include this as part of the Manual of Operations for the NCI based on the details in the

Organizational Development Analysis in this study. Assign an expert or consultant to formulate an

HRM Plan and formulate policies that will govern this Plan, based on the Strategic Plan for NCI.

8. For the current Steering Committee and TWG members, draw up a list of Terms of Reference or

set of expectations on the outputs and functions of the highest governing or policymaking body of

NCI. Communicate such ToRs to all focal points.

9. Specify the process of identifying and selecting members of the governing body of NCI based on a

clear set of criteria (expertise and track record, has macro as well as micro perspective of the scope

of work of NCI, willingness to champion Convergence as an approach, and occupies a key managerial

position in the relevant participating agency in NCI, among others).

10. Issue a directive (to be led by the Knowledge Management Component TWG) to review the

Communication Plan viz-a-vis a overall Strategic Plan (to be formulated) and to devise a

management information and communication system and a set of protocols to govern the

communication system and identify a focal point for such Communication Hub. In this connection,

activate a Communications Group to be initially manned by representatives from the Knowledge

Management and the Policy Advocacy Working Group with the high caliber in managing the

Communication (or an IEC) Plan for NCI, provided that the Communication Plan supports the overall

Strategic Plan of NCI and forms part of the Manual of Operations. Ratify/approve and implement

once ratified the Communication Plan.

11. Following the recommendations of the Strategic Communication Plan, include in the Manual of

Operations an extensive documentation of best practices, to wit: complementation of work of the

agencies involved; partnerships formed among different stakeholders; and spatial integration

achieved within the different ecosystems.


91

12. Constitute a task force to review all pending directives, expected outputs and proposed legal

documents and report to the highest governing or policymaking body the status of the

implementation of such directives

13. Issue a directive to review and assess logistical support and physical assets to facilitate

achievement of NCI’s V-M-G and high quality performance.

In view of the organizational development analysis undertaken in this study, we note traces of public

value which can be attributed to the NCI-SRD as its assets or strengths, such as the mandate coming

from the Executive Office through the Philippine Development Plan and the execution of JMCs and

Executive Orders, and support for its institutionalization from the Legislative Branch of Government.

Added to its gains are the creation of Convergence sites in 10 areas and the identification of 140

watershed as possible models for convergence, all over the country, and the initial gains made by

the efforts at complementation by the different agencies working on rural development in the

country.

Though it has fallen short of its deliverables, especially with regard to augmenting rural institutions’

capacities as well as the expectations from its sole international funder, the GIZ, with more rigorous

effort in improving NCI’s organizational development status, considering the findings in this study

and following the recommendations proposed herein, there is indeed a significant potential for the

NCI to pursue and promote Convergence among its current and potential partners. The potential for

NCI as a driving force to mainstream Convergence as a strategy in pushing for sustainable rural

development in the countryside and even in other areas in the country, towards poverty reduction,

increased incomes, and management of life forces, outweighs its current weaknesses. Hence this

study recommends its utmost support from the Executive Branch of the government to ensure its

stability as an organization as precursor of a development strategies from the local areas.

Stemming from what appears as confusion on the functions, role and mandate of NCI, below are

options towards the future institutionalization of NCI.

On NCI's mandate:

Table 4. Proposed Mandate of NCI

Mandate Proposed Services Proposed NCI Lead Office

Policy and Advisory Facilitation

Research

Advisory

Legal Office


92

Capacity Development Facilitation

Coaching

Training

HR support, headhunting

Human Resources Office

Knowledge Management IEC materials

Training

Knowledge Management Office

Agro-Enterprise Cluster and Agribusiness Development

Facilitation

Project management

A separate office / Project Managers and Facilitator/Coordinators*

* Agro-Enterprise Cluster and Agribusiness Development – The nature of the work of NCI must be

clarified / decided: three options are

1. NCI as Lead Institution in developing convergence areas (CAs), actively planning for

and implementing plans for the development of CAs

2. NCI as Implementor of the PPAs in convergence areas, implementing selected PPAs

3. NCI as Facilitator, being a part of the Management Team of each PPA, looking after the

implementation of convergence strategies

Table 5. Proposed NCI Functions

NCI Functions/ Roles

Service Measures/Outputs NCI Lead Office

As Resource Center for Convergence

Policy Advisory MoAs facilitated

policy recommendations arising from resolution of policy conflicts or overlaps

Legal Office


number of trainings conducted/facilitated

assistance in identifying resource persons

Human Resources Office


IEC materials produced

Summits/seminars organized

Knowledge Management Office

As Convergence Facilitator

Project Facilitation, Project Monitoring

MoAs facilitated

CI-PPA monitored

CI-PPA closed-out

NP Coordinators (to be hired)

As Convergence Initiative (CI) PPA Implementor

Project Management

Delivery of the PPA outputs and impacts

MoAs facilitated

CI-PPA monitored

CI-PPA closed-out

Professional Managers (to be hired)


93

Fig. 5. NCI Funtions and expected outputs


94

Fig. 6 Proposed NCI National Level Organizational Structure NCI Governing Board

Identifies Programs/Projects/Activities (PPAs) related to Sustainable Rural Development which may need close coordination and even resource-sharing among several agencies, etc. A set of criteria must be set to facilitate identification

Certifies that a PPA is a Convergence Initiative (CI) if it meets the criteria.

composed of the Secretaries of DA, DAR, DENR, NEDA, DPWH, DILG or their representatives who are knowledgeable on the plans and programs of their offices

Chaired by DA, DAR, DENR Secretaries in a rotating manner.

The NCI Head is an ex-officio member and acts as Secretary of the Governing Board. NCI Head

Acts as Secretary of NCI Governing Board.

Appoints a National Program Coordinator (NPC) for each of the National Level Programs certified by the NCI Governing Board as a Convergence Initiatives.

Oversees the work of the NP Coordinators as well as the Regional Focal Persons.

Ensures that the Support Offices are able to help the NPCs and the Regional Offices do their work.

NCI Deputy Head

May oversee the work of the Support Offices, as may be delegated by the Head.

Do other tasks that the Head may assign. National Program Coordinator (NPC)

* Presently NCI Secretariat is under

the Department of Agriculture. To

handle inter-agency projects,

especially from DA, DENR, and DAR,

it is suggested that the Convergence

Office be placed under the OP


95

NCI’s link to the management team of certified national-level convergence program (covers two or more regions)

Member of the Program Management Team

Tasked to ensure that Convergence Strategies are implemented during the planning stage of the program and these strategies (including its implementation, monitoring and evaluation) are reflected in the Program MoA with the help of NCI’s Support Offices

o Orientation on Convergence (KM Office for training materials) o Identification of relevant experts/consultants (HR Office and Information Systems

Office (ISO) database) o Drafting of MoA, Resolution of policy issues ,if any (Legal Office)

Tasked to monitor the implementation of the convergence strategies as well as program progress. Implementation will be facilitated by a web-based software maintained by the ISO. This will make project reporting truly IT-enabled.

Tasked to make evaluation and project close-out report, assisted by IT tools maintained by ISO.

SUPPORT OFFICES: Finance and Facilities Management Office (FAFMO)

Ensures that there are funds available for the operation of the NCI.

Ensures that the funds for the convergence initiatives are included in the Work and Financial Plan of the concerned agencies

Assists the NP Coordinators (NPCs) and Regional Offices (ROs) in their finance-related needs especially in monitoring program budgets vis-a –vis deliverables, in reporting to donors, and in interfacing with other finance agencies (CoA, BIR, etc.)

Ensures that NCI has enough and well-maintained facilities and equipment to support its operation.

Human Resources Office (HRO)

Identifies and makes available the HR needs of the NCI.

Maintains a database of experts / consultants who may be tapped as members of adhoc TWGs, resource persons, and/or project team members if needed

Assists the NP Coordinators (NPCs) and Regional Offices (ROs) in their HR needs such as recruitment/hiring, training/capacity building, etc.

Lead office for the Capacity Development mandate of NCI. Information Systems Office (ISO)

Maintains the IT infrastructure (Hardware, Software) of the NCI

Supports the HRO in maintaining an updated database of experts / consultants and other databases that the HRO may need

Makes available the tools and materials produced by the KMO in electronic and/ hardcopy forms as needed.

Assists the Legal Office in maintaining a database of Program MoAs, MoUs, other agreements, and deliverables of the NCI.

Responsible for the web presence and communication needs of the NCI

Assists the NP Coordinators (NPCs) and Regional Offices (ROs) in their IT needs, especially in tracking the progress programs and deliverables.

Knowledge Management Office (KMO)

Responsible for advocacy initiatives of the NCI

Continuously produces IEC materials on Convergence and SRD


96

Proactively promotes convergence through trainings, information campaign in various media.

Assists the NP Coordinators (NPCs) and Regional Offices (ROs) in their training and other KM needs.

Works with NPCs, ROs, and the Information Systems Office (ISO) to document new learnings from past and on-going Programs/Projects.

Responsible for creating and updating tools for Planning, Monitoring, and Evaluation/Close-out of Programs/Projects with inputs from NPCs, ISO, HRO and Legal Office.

Lead office for the Knowledge Management mandate of NCI. Legal Office (LO)

Maintains pro-forma MoUs, MoAs and other legal tools that the NCI may need in the conduct of its activities

Assists the NP Coordinators (NPCs) and Regional Offices (ROs) in their legal needs

Maintains a database of Program MoAs, MoUs, other agreements, and deliverables of the NCI, with the help of the ISO

Lead office for the Policy and Advisory mandate of NCI.

NCI Activity Participants Purpose/Agenda Frequency

Scanning for potential CI-PPAs for SRD

NCI Head, Focal Persons* at DA, DENR, DAR, potential donors

share information on planned initiatives (PPAs) which are potential Identify potential CI-PPAs Create planning teams for each potential CI-PPA

monthly

CI-PPA Planning Facilitation for each potential CI-PPA

Multi-stakeholder Planning Team Members, TWG / Relevant Experts , Facilitators, Legal adviser, etc.

CI-PPA planning Identify convergence strategies that may be implemented in the PPA draft MoA binding stakeholders . MoA should contain provisions for implementation, monitoring and evaluation of convergence strategies

Several meetings until the plan is finished and the MoA binding stakeholders is drafted

Governing Board Meetings

Governing Board Members, NCI Head, Management Team Heads/NCI Facilitators for each potential CI-PPA

NCI Head to report on on-going CI-PPAs Presentation of CI-PPA Proposals. GB to certify if they are CIs Program Close-out reports documenting impact and learnings for finished CI-PPAs

At least 1 per quarter. Say, 2nd Monday of the 2nd month of the quarter (Feb, May, July, Nov>)

Convergence Summit

NCI Secretariat NP Coordinators, Project Managers, Regional Focal Persons, etc.

Presentation of best practices Strategic Planning

Once a year (2nd Quarter - May?)

Meeting of NP Coordinators with the NCI Head

NCI Head, NP Coordinators

Monitoring of progress of implementation of CIs and NCI services to the CIs

Monthly


97

Meeting of Regional Focal Persons with the NCI Head

NCI Head, Regional Focal Persons

Monitoring of progress of implementation of CIs and NCI services to the CIs in the Regions

Monthly or as deemed necessary


98

References:

1. Ansell, Chris and Alison Gash. (2008). Collaborative Governance in Theory and Practice. In

Journal of Public Administration Research and Theory. Vol. 18: 543-571 (October 2008).

2. Brundtland Commission (1987). Report of the World Commission on Environment and

Development. United Nations.

3. Diola, F.L. (2009). Diola, M.F.L. (2009). Social capital formation in selected conflict areas and

local governance in Mindanao”.Philippine Journal of Public Administration (PJPA).Vol. 53

(Nos. 1-2,), pp.47-85. Quezon City: University of the Philippines-National College of Public

Administration and Governance.

4. 4. Mines Action Canada (n.d.). Organizational Development Self-Assessment Tool (accessed at: http://www.minesactioncanada.org/downloads/modules/odat/Organizational%20Development%20Assessment%20Tool.pdf on 30April2014)

5. Sharkansky, Ira. (1978). Public Administration: Policy-Making in Government Agencies. Rand

McNally College Publishing Company.

6. Strauss, A. and Corbin, J. (1990). Basics of Qualitative Research: Grounded Theory Procedures

and Techniques. London: Sage.

7. Yin, Robert K. 1994. Case Study Research. Thousand Oaks, California: Sage Publications.

8. Various documents from NCI-SRD and GIZ (as stated in the Methodology Section)

http://en.wikipedia.org/wiki/Brundtland_Commission

http://www.un.org/documents/ga/res/42/ares42-187.htm

http://www.un.org/documents/ga/res/42/ares42-187.htm

http://www.minesactioncanada.org/downloads/modules/odat/Organizational%20Development%20Assessment%20Tool.pdf

http://www.minesactioncanada.org/downloads/modules/odat/Organizational%20Development%20Assessment%20Tool.pdf


99

Annex 1: Shifting Organizational Mandates

Annex ____ .Eras in NCI Implementation and Salient Features in its Management with Comments

1999 - 2000 Mid 2000–2004 2004 - 2006 2006 - onwards 2010 - onwards

Legal/Policy Basis JMC No.1 Ser.1999 JMC No.1 Ser.1999 JMC No.1 Ser.2004 Memo of Agreement signed between NCI and GIZ-EnRD to support NCI Goal 1 of MTPDP 2004-2010: to develop 2 million ha of land for agribusiness

JMC No.1 Ser.2006 issued by new Dept. Secretaries

2006: MoA between NCI and ULAP, stressing the role of LGUs in promoting the Convergence at the local level

JMC No.1 Ser.2010 signed: Policy and Implementation Framework of the Enhanced DA-DAR-DENR National Convergence Initiative; commitment to ensuring countryside development as a strategy to poverty reduction Chapter 4 Goal 3,

Strategy 3.1 and

Chapter 10 of PDP

2011-2016 explicitly

refer to the NCI’s

mandate

Main Goal To promote sustainable agriculture and rural development integrating people,

Revival of the Convergence Strategy in support of the 1 million job generation

Same; agribusiness development;

Pilot sites per island group were also

Align with Goal 1 of the MTPDP (2005-2010); develop 2 million hectares of new lands

Poverty reduction; Sustain agribusiness investment engagements (2.05



economy, and environment; Model building focusing on the nine identified (9) pilot convergence areas;

of the Arroyo Administration after a period of hiatus from 2000 to mid-2002;

Expansion of the Convergence Sites from the 9 Priority sites to all Provinces of the country

identified (Tagkawayan, Quezon for Luzon; Cauayan, Negros Occ.for Visayas; Nabunturan (Compostela) Valley) and Carmen (North Cotabato) for Mindanao

Still each Province was to identify a convergence site

for agribusiness and create of 2 million jobs by 2010

million hectares developed; 2.87 million jobs generated); Address the gaps in the NCI

Set 1 Comments: 1. The goal of model-building has not been emphasized in the latest JMC (no.1, ser. 2010), which would have been an important contribution by the NCI. This goal should be re-emphasized (and to be anchored by the current Knowledge Management component of NCI). This is because conceptually and pragmatically Convergence is a strategy or an approach that can take different forms. 2. By specifying the different development goals for NCI, it was apparent that the NCI was expected not just to be a source of models for management approaches in rural development but as an approach to carry out or support a development or societal goal to be carried out in identified Convergence Sites. 3. The shifting goal of the NCI from sustainable rural development to agribusiness development and job creation has consequently resulted to some major changes in the management structure of NCI.

Development and Planning Framework (Focus)

Ridge to-Reef as a commonSustainable Rural Development: DENR’s Watershed or River Basin Management

Ridge-to- Reef Agribusiness Development

In 2005: Agribusiness Development of 2 million hectares of new lands and generation of at least 2 million jobs

Agribusiness Development plus the Watershed and Integrated Ecosystem Management (IEM) approach – in essence this was the Reef-to-



approach; DA’s Strategic Agriculture and Fisheries Development Zones (SAFDZs); DAR’s Agrarian Reform Beneficiaries and Communities (ARBs and ARCs)& Social Capital Formation

Ridge approach DENR had adopted since 1999;

Preparation of IEM-based Convergence Area Development Plan (CADP) was emphasized and TA was provided by GIZ

Set 2 Comments: 1. Based on Legal documents for NCI, we now recognize that NCI is to be a test case for adopting “Convergence” as a Strategy in a development context. In order to promote Convergence as a Strategy for sustainable rural development, first, the typologies of Convergence Approaches have to be identified. 2. The identification process for labelling or tagging Programs, Activities or Projects (PAPs) as Convergence is not contained in the Manual of Operations. There were also no guidelines towards modelling of Convergence as an approach in sustainable rural development. Typologies of Convergence in intergovernmental or multisectoral settings should be included in the Manual. (As guide, a General Categorization of Organizational Sharing or in the NCI case, “Convergence” is provided further below in the Recommendation.) 3. Since there seems to be an understanding that Convergence is a strategy for sustainable rural development, a development framework has to be articulated when carrying out PAPs labelled as “Convergence Initiatives”. Even though a new Manual of Operation was drafted in 2011, no framework nor guidelines for the process of development planning that would harmonize or integrate development plans of the Regional, Provincial, or Municipal Convergence Initiatives and rationalize their contribution to societal development goals in general are contained in the Man.Op. 4. A development framework or paradigm has to be spelled out in all plans – from the local (municipal, provincial, to regional) plans to the national convergence plan. The Ridge-toReef development framework is still a holistic, rational, collaborative, and sustainable framework for the Management (Planning, Organizing, Implementing, Monitoring and Evaluation) of a Convergence Intervention and the management of natural resources. The technical terminologies, such as IEM approach has to be harmonized/ integrated with the Reef-to-Ridge framework to avoid confusion and to give the proper context of all development planning frameworks. In addition, a development framework adopting or in adaptation of the Sustainable Livelihoods development framework by the DFID, which identifies and optimizes different local capitals or assets could also be used. Towards this end, a Vision-Mission-Goal for NCI should be articulated in all NCI, RCI, PCI and MCI plans towards unity among the different CI bodies. 5. A JMC that upholds the abovementioned development framework could serve as reminder. This appeared to have been lost in JMC no.1, Ser. 2004,



2006, 2010. 6. The development framework to be consistently adopted in CI planning has to be anchored on societal goals. For the NCI, the outcomes are to contribute to any or all of the following societal goals: (1) ensuring food security; (2) enhancing access to land and other natural resources and in improving the quality of the environment; and (3) developing the self-reliance of constituency and increased resilience of their communities (NCI Operation Manual, 2011, p. 2). Targets have to be anchored on officially-derived targets as contained in the PDP or from the NCSB database. 7. These societal goals entail that development of the identified convergence sites may be at different stages, hence NCI interventions for a particular NCI site may also have different focus, depending on the level of development the site is at a particular period. For example, Stage 1 may require the Provision of Access to Resources; Stage 2 may be Ensuring Food Security and Self-Reliance of Communities; Stage 3 may be Agribusiness Development; and Stage 4 may be on Increased Resilience of Communities, etc. It is suggested that the NCI Team identify this Development Stages / Path and carefully locate where the current CI interventions are in the particular site to ensure that the societal goals are addressed by the CI interventions, cognizant that basic requirements for the development of a particular site are addressed first.

Development and Planning Accounting Unit (Locus)

Nine Convergence Sites using the Reef-to-Ridges Development Framework

Convergence Sites in all Provinces using Reef-to-Ridges Development Framework

Agribusiness Development for each province, but with 3 pilot sites in Luzon, Visayas and Mindanao, were required to identify a convergence site

Agribusiness Development thru agribusiness proposals;

2011: focus on 10 Local Convergence Agro-enterprise Clusters LCAECs; 10 LCAECs were launched but later their launching was stopped; 2011: 140 watersheds as priority convergence areas

Set 3 Comments: 1. The identified Convergence sites or Local Convergence Areas (LCAs) are sources for model-building for Convergence as a strategy in Sustainable Rural Development. The typologies of Convergence can come from these LCAs or cases. 2. These are to be dissected for their experiences in Convergence (i.e., what were the bases for convergence or why was it necessary to adopt in the PAPs; how was convergence carried out; what is the management structure for the convergence, monitoring tools and mechanisms, etc.)



Lead Convenor

Department of Agrarian Reform (DAR)

DAR Department of Agriculture (DA)

DA DA

Lead Secretariat Department of Agrarian Reform (DAR)

DAR Department of Agriculture (DA)

DA DA

Governance Structure

Multi-agency coordinative bodies at National, Regional, Provincial and Municipal levels composed of DA, DAR, DENR, DILG, NEDA

Set 4 Comments: 1. JMC – need to (a) confirm the core members of the NCI Steering Committee, reflective of the IEM as in JMC no.1, Ser. 2010; (b) re-compose the NCI TWG to only one TWG with staff membership (director level) reflective of the 3 ecological zones (coastal, lowland and upland) plus an agribusiness specialist (director) to reflect 2. MoA -- to enter into partnership or with other auxiliary agencies in carrying out SRD in the CI, just like the MoA with DND to carry out the expansion of areas for convergence outside the identified priority Local Convergence Areas (LCAs) 3. JAO – to carry out the formulation of Convergence Area Development Plans (CADPs) adopting the IEM development framework for all areas to be developed as LCAs; to harmonize CADPs with Local Development Plans, Land-use Plans, DRRM Plans, etc. 4. NCI TWGs (all components and the Steering Committee Use the Manual of Operation as Guide to : (a) identify or tag the “Convergence” (process) and (b) select sites and manage for Convergence 5. Joint Special Order – at regional level specify the total remaining areas within the LCA to be developed as a Convergence area.

A. Steering Committee (SC) Members

Secretaries of DA, DAR, DENR, who were proactive; Alernate SC members were Usecs or Asecs of the 3 government agencies

Same Same but new set of Secretaries for each Dept.; new set of Alternate SC members (Usecs from each Department); Presidential Assistant

Secretaries of each Dept.

The National Steering Committee (NSC) is the policy-making body of the enhanced NCI

DA Secretary acts as the Chair Convenor



for 1 million jobs sits in the SC meetings

while the Secretaries of DAR and DENR are co-chairs

DILG joined the NCI

B. Technical Working Group

There is only one Technical Working Group (TWG) headed by the assigned Assistant Secretary of each agency, and composed of Directors and Technical Staff from the concerned operating units of the three departments (i.e., for DA: Planning Service, PDS, FOS and AMAS; for DAR: Planning, SSO, PDMS and BARBD; for DENR: Policy and Planning, Field Operations, FASPO and FMB)

Same, but included other relevant operating units related to the identification and development of agribusiness lands of DA (need to specify), DAR (need to specify), and DENR (need to specify)

Bureau of Soils and Water Management (BSWM) was included as TWG for DA for the SAFDZ identification, which later became the base of Goal 1 of the MTPDP 2004-2010

Same; Presidential Assistant on the 1 million jobs sat in the SC meetings

BSWM was among the identified member of the DA-TWG for SAFDZ identification—later became the base of Goal 1 of MTPDP 2004-2010

Four Components to implement the enhanced NCI:

1. Policy and Advocacy (DAR Dir.for Policy and Planning) 2. Agro-enterprise Cluster and Agribusiness Development (DA Dir.for Field Operations Services) 3. Capacity Development (DENR Dir. For Human Resources Dev.) 4. Knowledge Management (DA Dir.for ITCAF)

Each component was chaired by Dir.of each agency

In addition, Ecosystem TWGs were also created: 1. Upland – chaired by DENR-FMB



2. Lowland – chaired by DA-FOS 3. Coastal – chaired by DA-BFAR

Set 5 Comments: 1. For the Policy and Advocacy Component – add an activity on studying convergence activities when conducting policy integration to govern the 3 ecological zones (coastal, lowland and upland areas) at the RCI, PCI and MCI levels. The harmonization of policies done at the national level should be cascaded to the sub-national levels to rationalize the governance of the 3 ecological zones.

C. Focal Office or Persons

The Assigned Asecs acted as the agency focal person and head of the TWG

Same DA-Asec for Field Operations

PADCC became focal point in 2008

Headed the NCI Technical Working Group (PADCC Pres. Agbon was head, from 2010-March2013; from April2013, Dir. Parawan was new NCI Focal Person)

D. Secretariat Each Department had a secretariat to support both the Steering Committee and the TWG

The NCI Secretariat was expected to:

Organize the convergence teams composed of DA, DAR, DENR and concerned LGUs

Organize workshops as deemed necessary in respective areas

Organize the local Convergence Team meetings once every

Same Goal 1 Office was established at the BSWM, which was later converted into a Central NCI Secretariat’s Office manned solely by DA personnel

Per JMC no.1, ser.2010, NCI Secretariat was to be chaired by DA, with permanent members from the member agencies; to date, only DA personnel are manning the Secretariat



two months (or as the need arises) to monitor the progress of program implementation

Provide administrative, logistical and technical support to the Convergence Teams

Document and prepare minutes of meetings/workshops proceedings

Safe keep program documents

E. Planning and Decision-making for Convergence

Led by the assigned Asec of each agency

Same None specifically mentioned; Manual of Operations was prepared by the NCI-TWG

None mentioned

F. Implementation Strategies

Led by the assigned Asec of each agency

Same Same as JMC 1999 Same as JMC 1999 and JMC 2004

DILG was to be included as main partner

Short-term objectives facilitate the implementation of different agencies to ensure that resources are maximized by achieving synergy



and institutional efficiency;

Build partnership between and among local communities, LGUs and government agencies to ensure that all development interventions are based on actual needs and aspirations of the community;

Expand opportunities for agro-enterprise and agribusiness development for its constituency; and

Achieve spatial integration within different ecosystems to ensure environmental integrity and sustainability

Special governance structure at national level

Each Department was assigned an island group to lead: DAR-Luzon; DENR – Visayas; DA –

Same Same



Mindanao

Meetings Hosting of meetings and workshops were done in rotation ;

Highest ranking representative of the host Department acts as the presiding officer in the meeting

Hosting of meetings and workshops remained in rotation among the three agencies

Rotation in hosting meetings and workshops among the three agencies

No rotation of meetings

No rotation of hosting of meetings

G. Monitoring Scheme None mentioned None mentioned None mentioned None mentioned

Actual Experience by NCI in Implementation

1. Attendance by NCI Management Team in NCI Workshops, Programs, Activities

An Undersecretary (Usec) or an Assistant Secretary (Asec) from each Department was present in every workshop conducted and were involved in the convergence programs and activities , even at field level (outside the national offices)

2. Capacity-building programs

Regional orientations were conducted

Regional and island-wide orientations conducted

2012: Executive Orientation on IEM (one-day) but only technical staff attended



Set 6 Comments: 1. Re-orient NCI executives on IEM (for Regional and sub-regional CIs). 2. Conduct Trainers’ Training for new persons in charge regarding the preparation of an IEM-based CADP for both technical staff and planning and development officers, especially of LGUs. 3. Execute an LGU Executive Order or Resolution to harmonize the CADPs with all local development plans and other plans. Have concrete outputs in Action Plans, using Logical Framework Analysis (LFAs) and the Results-Based Management framework already crafted. 4. NCI Secretariat to follow up Regional CI Secretariats to submit CADPs for provinces and municipalities.

3. Strategic Planning Strategic and investment plans were prepared for the operationalization of the Convergence strategy in the 9 pilot sites;

Preparation of project proposals;

Conduct of donors’ forum

Nov.2009: first National Convergence Agribusiness Investment Forum (NCAF) was conducted; No follow through of this activity

Dec.2010: Another NCAF was conducted where 23 investment proposals were presented; No follow through of this activity

4. Management Tools Manual of Operation prepared by the TWG

A new Manual of Operation was prepared during the Agrikultura Trade Fair (June 2011)

Actual projects or programs conducted

Many projects (what types of projects) were funded using convergence as a strategy;

No documentation

NCI forged contracts with Chinese companies to invest in agribusiness development



of project accomplishment / success story

Projects were operated on their own through their respective PMOs

112

Annex 2: Highlights of Interviews and Surveys

Vicente B. Tuddao, Jr. Director, DENR – Office of the Undersecretary for Operations

On Policy and NCI-SRD Structure Set Up The current existing binding document on structure set up is in the form of a Memorandum of Agreement (MOA) among the Cabinet Secretaries of the executive branch, which covers aspects of approval and implementation of decisions. In operational terms, MOA provides generic institutional arrangement, loose to some extent, and does not explicitly provide specific limitations, restrictions or boundaries. Commitment at the Cabinet level must be provided in order to undertake this initiative. It is not enough to deliver the expectations of the initiative in consideration with the logistical, legal, institutional and political concerns. However, the bottom line of an institution, NCI-SRD for this matter, is to be backed up by an Executive Order (EO). This will strengthen the inter-agency arrangement. Further, an EO can be issued immediately and may serve as a transition towards a Republic Act (RA) that takes a longer time to craft. NCI-SRD must be backed up by a formal statute or law. On Concept of Convergence This meanspulling of resources from the three agencies – DA, DAR and DENR. Technically and operationally, funds must be allocated for theprograms of these agencies by virtue of an EO or RA. It must be seen intheir institutional arrangement in terms of budget, strategy and framework. Further, institutionalizing may extend the coverage to capacity development and its policies, financial mechanisms and sustainability and budget. It also means coordinated, collaborative undertakings, unified, collective and joint governance, strategic partnership and efficient mobilization of government resources. It requires sustainable management of environment and natural resources, community participation, support of institutions and civil society groups. The current set up shows truncation provided that DAR and DENR have their own location and timeframe on certain programs on a given basin or watershed. Convergence as an approach is valuable since it covers the sites of the poorest of the poor attending concerns on flooding, climate changes its adaptation and mitigation and vulnerabilities. We have developed an approach but we are still on the process of developing a framework of what we really want to achieve. It must be based on rationale and common framework of action dictated by common agenda and goals over a shared vision. NCI-SRD worksas a collegial body that it intends to achieve consensus building so as to avoid disagreements that may result to institutional dysfunction. The direction of the approach is Integrated Ecosystem Management (IEM) based, thus it must be characterized as interactive, multi-sectorial and timely on decision making. Involvement of people in decision making is vital. This must forward integration instead of fragmentation. The goal must be to address bottom-line poverty and environmental degradation. Sustainable Rural Development (SRD) must be characterized with inclusive growth and good quality of life in rural communities. SRD must be evaluated in terms of basic social services – livelihood, employment, power, health, education, land, housing, resettlement, road and transportation, and water supply.


113

Dissecting Convergence In order to assess convergence, sectoral approach must be applied. First, identify the particular concerns of the concerned agencies. Second, find commonalities among these concerns. And third, consider the dynamics or the interrelationship of these agencies. Levelling off among the agencies must be done, thus a strategy on doing it must be devised. Commonalities are being addressed; on this case is issue of land for both DA and DAR. NCI-SRD must be a platform for these commonalities. Capacity Building of LGUs and NCI-SRD The Local Government Units (LGUs) must be involved with the inclusion of Department of Interior and Local Government (DILG) since convergence in effect is part of local governance. This entails capacity building across all agencies from the national level to the local level. The concept of convergence and its whereabouts must be provided to the LGUs through orientation. Convergence must be appreciated as a blueprint of what we should follow. Conduct of consultation meetings and team building can be used as strategies, while information and education campaign on advocacies must be conducted with the stakeholders. Workshops and meetings must also serve as trust-building activities. The Need for a Framework and Protocols There is still no document that lays down the framework of action as guide on action and decision making on matters that concern convergence. Thus, this results also to absence of protocols on institutional roles. Governance issue on the part of NCI Secretariat must be reviewed to identify bottlenecks. Common agenda for action must focus on pooling and consolidating resources and man power to reduce fragmentation and strengthen complementation of institutional arrangement in the delivery of resource based services to achieve inclusive growth in the remotest and less developed areas. Administrative Set Up and Operations Steering Committee (SC) through resolution building decides on issues pertaining to convergence with regard to the technical support and reviews recommended by the Technical Working Groups (TWGs). The dynamics of TWGs are manifestations of the inter-agency relations, and must be a microcosm of the SC. NCI-SRD must be founded on strong governance that consider proper mobilization and directions of operations even under the multiplicity of agencies with differing mandates of priority programs and budget.

Dr. Tuddao is the National Focal Person for national coordination concerns and representative of the DENR Undersecretary for Field Operations to the Steering Committee. DENR’s role in convergence commences from conceptualization to implementation, monitoring and evaluation of NCI-SRD programs. DENR serves as member of the Policy and Advocacy TWG championing research and development on policies such as National Integrated Protected Area System Law, National Land Use Management Act and Convergence Act of 2012. For Agribusiness TWG, it supported the review of 40 Agribusiness Investment Proposals in 2009 and 2010, enhanced 10 plans of Local Convergence Agro-enterprise Clusters (LCAEC). For Knowledge Development TWG, it supported the Results Chain, development of Communication Strategy and packaging of LCAEC Success Stories. As Chairman of Capacity Development, it delivered the following: Capacity Development Framework Workshop, shift of LCAEC to IEM (regional and pilot provincial Orientation, creation of SIMPLE Technical Review Committee and support on the first batch of MPM MRD NCI-SRD Scholarship Program).


114

Lourdes G. Ferrer Director, DENR – Office of the Undersecretary for Operations

Framework Plan Agribusiness Plans, prepared by the LGUs, are submitted though its integration must be considered. DENR enters this component to support upland crops. However, DENR’s primary concern is on watershed conservation, to ensure water supply. But DENR must take action on these plans for the LGU to be informed if their investment is profitable or not. This case can be easily resolved if there is a framework plan, like the Bago Watershed Plan. The LGUs must work on the formulation of this plan. This must be aligned with the river basin approach. DENR focuess on the upland, while DA and DAR may compete on areas since these are quite mixed. NCI-SRD may be considered as a mere additional feature On IEM approach, we need to see as to where each agency needs to enter. Though it is being used, it is not been institutionalized. An EO will just tell what to do, it being an order. Or it can post additional requirements just to coordinate it. A framework plan is the thing needed for us to converge. Programmatic Structure and Program-based Taking the Balik Probinsya Program (BPP), though in doubt of it being a product of joint collaboration, it can be considered as a program specific implementation of the NCI-SRD strategy. The idea is that each agency enrols their program, such as BPP, under NCI-SRD to make it as a platform. There is no need for an agency, say DENR, to coordinate with other agencies (DA and DAR) in terms of decision making, like the case of the National Greening Program (NGP). NGP includes agroforestry, thus it entails the participation of DA, but this is falls under DENR programs. At the end of the day, each department has their own program. BPP is a genuine NCI-SRD program, but it was adopted during its implementation. NCI-SRD is not its platform during the set up phase. If BPP falls on upland areas, then it is under the DENR. Jurisdiction depends on the mandate of the agencies. The task is that each must complement each other, which is not happening. Complementation is the mandate for each agency; however this remains a concept during the implementation. It would be better if there are programs that they would see. Assessments must be made per program, since agencies are still separate. This includes assessment of the Secretariat based on the output of programs. Banner programs maybe designed such as the BPP. If the implementation will dwell on a program-based approach, people with specialization or expertise on particular program will be involved as opposed to permanent membership arrangement. Dynamics of TWGs: Disjoint Versus Complementation Meetings are conducted, however this remained up to the planning phase. Process of implementation is not discussed. Further, other TWGs are not aware of other programs existing, like the BPP. Awareness and implementation are disjointed. Meetings tend to be just exchanges of information.


115

There is no tension among agencies, since the operation is “shallow”. Taking the opportunity to collaborate and commitment of the agencies, each wants to dwell on convergence. But it remains at agency level; each seems to go on their own way. Each cannot depend on each other. Convergence-type of operation may restrict each agency on the implementation and even on policy formulation. Each should have their own decision, because there are particular priorities. Secretariat per program may be devised, even with the permanent organization structure of NCI-SRD TWGs. Each secretariat must still be multi-agency.


116

Jerry E. Pacturan Undersecretary, Department of Agrarian Reform Support Services Office

Institutional Framework Due to the expiration of the Comprehensive Agrarian Reform Program Extension with Reforms (CARPER) Law, DAR proposed a continuing agency to complete the sending of notices of coverage and actual distribution of land. This will lead to the creation of Department of Land Reform and Management (DLRM). The scope of work includes land identification, survey and distribution. All adjudication issues are directed to be covered by the proposed Land Administration and Reform Act (LARA). DLRM is initially proposed as Department of Agriculture and Rural Development. This is perceived to answer concerns on agriculture support services, thus convergence is not needed. DA takes the problems on support services, which in-fact are problems on land administration. This is the motive of convergence. Thus, a comprehensive agriculture policy is needed instead. Department of Budget and Management (DBM) shifts its budgeting scheme from output based to program based to measure performance of agencies. It is difficult to have agencies delivering the same outputs. Convergence maybe considered as a temporal solution, and it may even make the delivery of service more difficult. Focus on Rural Development and Agriculture Support Services Agriculture development is based on the context of rural developmentHowever, DA takes the agribusiness development context and leaves the issues on land since it is their primary mandate. Sometime in 2011 or 2012, DAR was geared to develop an agriculture development framework. In 2012, DAR’s proposal to use funds for support services was approved by the President. Agricultural development is linked with its support services and policies. Dynamics between DAR and DA DAR has an extensive coverage as compared to DA, though both are devolved up to municipal level. There are projects that can be taken by DA, but actually part of it is DAR project. The government planning and budgeting process notes accountability on outcomes and outputs. Thus, there must be a comprehensive agency focused on support services. DAR’s advantage is that strengths of organizations are tracked down. This is not covered by DA. Agriculture and Fisheries Modernization Act (AFMA) fall short on framework on land. Further, AFMA assumes that DAR focuses on smallholder agriculture. CARP/CARPER mandates to take the smallholder agriculture including their support services. Dynamics of DAR and DENR DENR does not have a support services framework. They have Community-based Forest Management (CBFM) areas taking on community stewardship, but there is no framework on support services. Thus the need for an agriculture support system from upland to lowland even to coastal fisheries. LGUs and Devolution Local Government Code (LGU Code) mandates the local government to take charge of agricultural development. However, agricultural extension is not prioritized while being focused on training.


117

On BPP DAR is not capable of giving lands to the returnees to the rural areas from the urban areas. DAR can extend support if the resettlement sites will be adjacent to the ARCs as catchment areas. On Corporate Partnerships and NGOs In the late 1990s, there was inefficient implementation of CARP and government when it enters business venture arrangements. Multinationals such as Del Monte and DOLE are already operating on areas before it was distributed to farmers. Collective Certificates of Land Ownership and Acquisition (CLOAs) are then issued, however these farmers are not tilling the land anymore. These farmers became farm workers operating the plantation, getting lease payments, acting as labourers. Usually, these arrangements are not favourable to the farmers’ interest. NGOs tend to push farmers to depend on government.


118

Jay-da Mayoralgo Former Staff – Department of Agriculture Policy and Planning

On Scope of theNCI-SRD Ridge-to-reef approach is a concept that originated from DENR. Adjudication on jurisdiction is taken care by the slope system: slope beyond 18 is under DENR, anything below falls under DA. DA is concerned more on products/commodities of the areas, while DAR deals with people and communities. DAR is expected to refer he people they organized to DA for support services. However, DAR also delves into support interventions. Thus, conflicts on support services arise. NCI-SRD is not a project, but a strategy. However, it is seen as a project, thus losing motivation if not funded. Thus implementation is flawed. Implementation must start from the bottom. Area based planning and local governance must take place, since LGUs are those who execute it. However, national agencies are there to ensure that development is perceived in a larger picture. In selecting areas of convergence, it must be in the province or regional level. At the municipality level it might appearbe too myopic. Nevertheless, municipal LGUs will be indirectly involved if it will operate in provincial or regional level. Municipal LGUs have a tendency to go on their own ways even after the formulation of a plan. The original pilot areas were not sustained; these were taken out of focus. It would have been better if development was maintained. By 2010, programs lied low, even activities got smaller. During Pres.Arroyo’s regime, it was fairly active. After the change of administration, it was revised and focused on different areas. Convergence should have a focus area, instead of launching every plausible project. This must focus on DA, DAR and DENR. LGUs will enter after the identification of sites for their implementation. Budgeting and LGUs Through the NCI-SRD, DAR transfers funds to DA for implementation of support services. DA focuses on support services, while DAR is on organization and distribution of land. However, DAR also has projects on support services. LGUs are the implementers and the national agencies have the budget. Thus, LGUs must perceive the national agencies as source of funds. DA budgeting is commodity-based, thus dissolving the element of convergence. It is important to define the convergence zones,and to monitor allocated budget. It is important to allocate budget for each program, thus accountability must be in place. There are available funds accessible for LGUs. The NCI-SRD implementation and focus has changed after the change of administration. Plans are not passed on as crafted since directions are altered. LGUs and national agencies just have to enter an official agreement on NCI-SRD implementation.


119

Other Matters Manual of Operations was communicated properly during the period when convergence led-low.

Oscar O. Parawan Director and NCI-SRD National Focal Person

On Convergence, Convergence Area Development Plans and Manual of Operations Even with the availability of the Manual of Operations, mandating the formulation of Convergence Area Development Plan (CADP), there is still no regional compliance due to the inactive participation of these offices and absence of directives. Convergence as a concept shifted towards Pres. Arroyo’s Goal 1 of creating 1 million agribusiness lands and 2 million jobs. On the regional level, targets are simply determined and then allocated a budget for what can be implemented. LCAECs have been created which to some extent has resulted to an agribusiness forum. If there is no budget for convergence, therefore there will be no convergence to take place. This is not just creating an authority blanket that we impose to regions. LCAEC is a good model on policy, operations and framework, however it is not funded. Programs are also arbitrarily selected or identified. Some report the program under Convergence; however others also proceeded without any notices. Others will just declare their program under convergence. Budget, Structure and Leadership NCI-SRD was perceived to have a board under the DA or Office of the President. However, this may be considered as just an added bureaucracy when in fact convergence happens in the LGU level. NCI-SRD Focal Person must be assigned to an Undersecretary, specifically under Operations. Under this office, the Initiative can have funds as opposed to current set up where funds are still requested under the Undersecretary of Operations. It is just indicative of the nature of the current set-up. It is recommended to choose 1 site for a region instead of 3. This is to secure that by 2016, the NCI-SRD has its output. LGUs think that as you identify more sites, bigger funds will be downloaded. Thus, choosing sites will be considered on the upcoming summit. In terms of planning, if there are common criteria set by the NCI-SRD and the existing plans such as the Comprehensive Land Use Plan (CLUP) and Forest Land Use Plan (FLUP), then activities have to be extracted from these plans. Regions must agree on the sites of investments. For the LCAEC, it is perceived that LGUs are not ready to execute the investment plans. Plus, only 3 outputs where produced after 9 workshops conducted in 2010 to 2011. Planning is different from operations. If it concerns project implementation, then this should concernspackaging for implementation. Funds from international sources maybe considered, however local funding is can still be done since it is allotted by commodity. If it is managed by an Undersecretary, it can be funded and mobilized. Arrangement on rural development with corporations and other government agencies are executed under memorandum of agreements.


120

BPP’s vision can be infused with the LCAEC. CADP requirements are enough so as to align with the CLUP and FLUP. Regional Development Council must be empowered. Creation of new office is sponsored by the House of Representatives, but this has issues on acceptability. If regional implementation is strong, then it is easy for its devolution to take place at the municipal levels. Secretariat is composed of job order type personnel. After the implementation of rationalization, maybe we can revisit this.


121

Segfredo B. Serrano Undersecretary, Department of Agriculture – Policy and Planning

On Concept of Convergence The three rural agencies, DA, DAR and DENR, owing to their own strengths and weaknesses have conflicts on policies and programs, which in effect results to duplication. However, this condition still results to gaps. These agencies adhere to a composite type of implementation, wherein the budget is being reformatted and harmonized so as to cover more beneficiaries. DAR has a lot of community organizers, yet with less technical capacity (in terms of the agricultural aspect). DA has the technical capacity, but with limited reach until the regional office, since they had been devolved. We had identified 7 priority sites which is guided as to where people in the field can work together. After its inception in 1999, activities hadhad toned down for 2 years. It was revived under Goal 1 of Arroyo’s regime. However, the original spirit of harmonizing these rural agencies wasn’t recovered. On Convergence Area Development Plans and Manual of Operations A certain manual was crafted during the Arroyo Administration taking the Goal 1 as its mandate. A Joint Memorandum Circulars (JMC) just reaffirmed this in 2002. However, no directives were sent in 2004 to implement the manual since the direction seemed clear and with fewer aberrations. There are no CADPs. Convergence is considered just a special project, which takes the modality of a “convergence”. The agencies have their focus areas. It was seen like special project on special areas; it seemed not to be seen as mainstreaming of the three agencies coming together to plan and implement projects. On Institutions and Rural Development Agricultural and rural development is concentrated in DA and DAR. DAR may soon evolve into a land management agency. If the goals from the original intent are pursued it is easy to be executed. The ultimate goal might be the creation of a department where majority of work iconcerns DA with some aspects of the work of DAR and DENR. This will result to a unified rural development support effort. Rural development is harmonizing potentials of people, not about foreign direct investment. The rural people must be incentivized; they are small investors. The return of their investments will remain intact in the country. Though direct foreign investment is more durable, this will lead to conflicts among agencies. Inventory of the activities of the agencies are needed for its assessment. Creation of multi-sectoral secretariat must be maintained. Leaders must take the concept into realization. In line with rationalization, logical functions of each agency must be discerned. As convergence emerges, problems emerge simultaneously. On Support Services Both DA and DAR have their support services on small farmers. CARP/CARPER mandated DA to


122

extend support to small farmers, while AFMA entails the same to DA. DA has no jurisdiction or not being devolved into small farmers. LGU Code is very complex that it must be reviewed. DA had been robbed of its opportunities to work directly to its stakeholders. Venues for flexibility are being curtailed. DAR must take legal education to know their rights. Good governance moves people on their feet, letting them move from one place to another (referring to BPP). BPP has no legal mandate. Issues on NCI-SRD The current problem is rooted from its disconnection from the original mandate. Activities are not properly documented since there are no clear processes and reporting. Secretariat can still be managed by a Secretary even as they are included in the Rationalization. Professionalizing the bureaucracy is needed especially on the LGUs. Common understanding between local and national government must be achieved.


123

Cesar Francis G. Labro, Jr. NCI SRD Secretariat

Monitoring and Reporting on NCI-SRD From 2004-2009, monitoring is conducted every month. Regional TWG are sending monitoring reports with common template. However, after the implementation of Goal 1 and ELCA EC, no follow through happened. Submission of reports is on the “need arises” basis, like when oversight agencies are asking for reports like the BPP which is part of Aquino’s State of the Nation (SONA) commitment. The NCI-SRD also monitors non-SONA commitments of Aquino. Currently, monitoring indicators are still devised for ELCAEC and BPP. Despite the “politic”s on ELCA EC, NCI-SRD is proceeding with the development of indicators. Admittedly, NCI-SRD programs need budgeting. As of now, only DA is funding LGUs like spending for the TWG meetings.

Jocelyn Gemetiza Region 10 – Regional Convergence Initiative (RCI) Technical Working Group (TWG)

Current Condition of Region 10 A Special Order created and mandated the formulation of Regional TWG. However, currently with the undergoing Rationalization, most people are retiring. Thus, reorganization is expected to happen. During the launch of the RCI-SRD, RTWG worked closely with the Regional Development Council (RDC). During workshops, RDC and RCI TWG collaborated on commodity plans. Monitoring in the region is through collation of accomplishment reports on concerned agencies. Reports for the year 2011 and 2012 are already submitted. There is fast change on focal person due to internal mobility on public office posts. Regular meetings happen every quarter. However, weekly meetings are conducted if there are activities on the provinces, specially workshops and consultations. On the provincial level, Executive Order is released to create its TWG. Admittedly, reports are submitted when the need arises, even if templates are already available, these reports are not sustained. The Special Order contains the mandate of each component. Currently, Provincial Governors are the Chairs of the Provincial TWG as opposed to previous manual putting them as Co-Chair. It is documented a meeting last March 2014.


124

The current PCI TWG is not yet fully organized as compared in 2008 and 2009 when there is an Executive Order. RCI TWG coordinates with the PCI TWG when there are projects. Convergence Plans are commodity plans. Workshops are conducted among LGUs, wherein materials such as CLUP and FLUP are asked to be harmonized with the Convergence Plan. Reports on convergence are per agency per program. No annual reporting or any regular reporting is considered. For DA, rice programs are the convergence programs. Thus these are monitored. For DENR, CENROs and PENROs provide the details. For DAR, the MARO provides the data. Planting and fish distribution are the usual LGUs projects. RCI TWG validates on ground as to the distribution of these programs. The intervention of four agencies are pulled on convergence efforts, however it is still per agency implementation. Sites are selected due to poverty incidence, thus it must converge to uplift economic and social aspects of the development of the people. Not all agencies converged for projects. There are projects which can stand alone such as the NGP of DENR. On DA’s end, prioritization of assistance/support services are taken into account – first if it is identified as convergence area, and second if it is ready for a counterpart. It is okay to consider 2 pilot municipalities instead of 9. To uplift people, small scale implementation must be tested. Frequent turnaround of people can be secured by allotting 2 permanent member of the PCI TWG (Agriculturist and Planning and Development).


125

Edgar Madrid Director, Region 5 - Regional Convergence Initiative (RCI) Technical Working Group (TWG)

Current Condition of Region 5 RCI TWG has no seat in RCI, but on RCI SRG TWG the Director NEDA is part as of the first special order issued. RDC does not attend our TWG, but they participate in some of the activities like investment planning. No funds are emanating from NEDA. RCI SRD TWG had reviewed the Operations Manual, yet it is known to still be unapproved. DILG and NEDA are already included in the Special Order for RCI TWG structure, but it is not included in the manual (produced sometime in 2006 or 2007).


126

Luz Brenda Balibrea Department of Agriculture – Policy and Planning

On Convergence as Strategy Convergence is a good platform or strategy for good governance. It aims to foster sustainable rural development based on common goals through holistic planning, sharing of resources, program matching, sharing of expertise and good practices, info sharing thus avoiding duplications and overlaps and promotes complementation of efforts. It also considers the maintenance of ecological balance for the future generation while promoting economic development. In the process, it must promote IEM-based planning. Furthermore, it must extend information campaign and advocacy, empower rural women and farmers through strengthened rural-based organizations and involvement in value chain development and management. As convergence is a strategy, documentation of processes and best practices is very important t for replication in other convergence sites or other areas. Issues on the Current NCI-SRD Set Up Upon the implementation of the enhanced Joint Memorandum Circular of 2010, communication process has changed. Thus resulting to perceived sole accountability of DA on the NCI-SRD as compared to the original mandate of shared management together with DAR and DENR. With the current set up, the National Focal Person (NFP) communicates directly to the operating units of the NCI partner agencies. Though DA is the lead convenor of NCI and mother agency of the NFP, sending communication directly to the operating units of DENR and DAR does not facilitate fast compliance of the required action as DAR and DENR people has to wait for the official instruction from their mother agency. This was not the practice used before JMC 2010. It must be noted that DA is the lead convenor, but DAR and DENR are Co-convenors, DA is not above DENR and DAR; all agencies are of equal footing. Previously, important matters are discussed at the Secretary level during SC meetings, thus promoting horizontal communication between and among the concerned agencies. Agreements in meetings are communicated by the host agency (note that hosting of meetings is done in rotation) to the National Focal Person of each agency and communicated vertically by the NFP to the operating units of their respective agencies. This manifested the strong involvement of the top officials in the previous administration as compared to the current. The assumption of DA on the majority of NCI activities being the lead convenor on the current set up (e.g. organizing and hosting of meetings and workshops, sending of communications, funding of CI activities, etc.) resulted to lesser participation of DENR and DAR in NCI activities as their responsibility and accountability become lesser. Most of the time, attendance in TWG meetings is minimal, thus the question of legality on decisions. Nevertheless, the TWGs have to meet to at least facilitate the implementation of CI programs/activities. Another factor that dampens the active participation of CI actors (TWG members/Regional Focal Persons) is that most of the TWG Chairpersons spend just a little time to their respective Components, they just showed up for a while in meetings and workshops and disappear. They normally do not go deeper into operation and provide no feedback on the issues or problems encountered. In short, they do not really connect with their co-chairs and TWG members. The presence of the leaders in any activity signals the importance of the activity.


127

Despite the issuance of Special Order, a lot of TWG members do not participate in TWG meetings and other NCI activities. A Special Order (SO) is a valid, sufficient and standing basis to call the attention of non-performing TWG members. T At the local level, LGUs really practiced convergence since they work in the same area so they need to plan together and work together. Confusion in coordinative mechanisms and processes is just at the national level but greatly affects the operation at the regional and local levels. Creation of a Board and Issuance of and Executive Order In order to strengthen the NCI-SRD, an Executive Order to supersede the 1999 JMC signed by Pres. Estrada must be issued. This may contain the creation of a Sustainable Rural Development Convergence Board still maintaining the composite structure from the original 1999 JMC mandate. An oversight committee must be under NEDA or Office of the President. NEDA may expand its Agricultural Staff to Rural Development Staff to do this oversight function. There is no need for another office, like National Convergence Initiative Authority, or another law since existing laws are already convergent in nature – CARL, AFMA and LGU code.

Miss Balibrea headed the secretariat of DA from 1999 to 2003. From 2004 to 2007, she remained an active member of the Secretariat under the DA Field Operations Service when DA was first assigned as the lead convenor and lead secretariat. In 2008, she became less active though still part of the TWG. In 2009, she came back as coach on Agro-enterprise and Agribusiness Investment Proposal preparation. In 2010 up to date, she dwells on Agro-enterprise Cluster and Agribusiness Development Component as a TWG member and lead facilitator in investment planning, value chain management and other workshops.


128

Ruel Limbo Department of Agrarian Reform

DAR is in charge of the capability building of farmers. Policy and Planning Office takes part on the policy formulation, taking the Chair position of Policy Advocacy TWG. DAR participated in accomplishment of agribusiness land development, drafting of the NCI-SRD Operations Manual, enhancement of NCAF proposals, secretariat support on conferences and workshops, and enhancement of the NCI-SRD guidelines. NCI-SRD is a strategy of complementation of resources of the four agencies to implement projects within their respective mandates in a common site or area for efficient use of resources. In previous administration, major decisions are discussed at the TWG level and elevated to the SC. However, there are also cases that decisions were made by the SC with minimum or without consultation form the TWG. Such process were fast moving and supposed to result to high impact projects but not well planned and sustained, i.e., rubber projects planned for North Cotabato in 2006 to 2007. Climate change adaptation and mitigation and land use classification of LGUs must be the concerns of the NCI-SRD. The NFP should be in constant communication with each agency secretary. Annual meetings and planning conferences are considered as trust building activities. Lack of trust among farmers exists if the projects under the NCI-SRD agencies are much delayed or not delivered at all. An EO would be more authoritative than the Joint Administrative Orders (JAOs) or JMCs issued earlier. The draft RD Bill must stipulate the need to establish a coordinating centre or office within the four agencies involved. The importance of complementation of resources and skills to implement programs and projects for basic sectors, especially farmers, fisher folks and forest dwellers, must be stressed. Complementation should not only occur within the institutional convergences, but also on other development endeavours involving other line agencies.


129

George Soriano Development Academy of the Philippines

DAP partners with NCI-SRD for the implementation of its program under the capacity Building Component, which is the Masters in Public Management Major in Rural Development. DAP attends secretariat meetings and presents on steering committee meetings. NCI-SRD should ensure a common approach for the projects. Currently, DAR has a strong support, while actual commitments from DA and DENR is a problem. DAP is motivated to be part of the building capacity at the executive management level of the NCI-SRD implementers. Theses on the MPM MRD program may help in the enhancement of policies. NCI-SRD lacks budget. It is a work in progress. It should be championed by the secretaries at the national level and governors at the LGUs. Meetings are considered trust building activities. Trust in local level is okay, there is a need to check on the upper level. Projects must be identified and implemented to ensure trust. There is a MOA on NCI-SRD, but it needs to be discussed more and strengthened. Authority and resources are needed to combine the three agencies. JMC and EO plus RA must be put in place. We need to recognize that we need change our way of doing things.


130