TA-8106 PHI: Enhancing Social Protection through Community-Driven Development Approach

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21 July 2016

Technical Note No. 4 (Draft)

Prepared by Hermilando D. Aberia for the Asian Development Bank


DISCLAIMER. The views expressed in this report are that of the author/s, and do not necessarily reflect that of the Asian Development Bank or the Department of Social Welfare and Development.


Abbreviations and Acronyms

ACT Area Coordinating Team
ADB Asian Development Bank
AF Additional Fund
CBDRRM Community Based Disaster Risk Reduction Management
CEAC Community Empowerment Activity Cycle
Y/CRRP Yolanda/Comprehensive Rehabilitation and Recovery Plan
DILG Department of the Interior and Local Government
DOST Department of Science and Technology
DPWH Department of Public Works and Highways
DND Department of National Defense
DRR/M Disaster Risk Reduction / Management
DSWD Department of Social Welfare and Development
DTI Department of Trade and Industry
EMY Extended Mission for Yolanda-affected Areas
FAO Food and Agriculture Organization
FO Field Office
HUDCC Housing and Urban Development Coordinating Council
IACLE Inter-Agency Committee on Livelihood and Entrepreneurship
IASC Inter-Agency Standing Committee
IDP Internally Displaced Persons
ILO International Labour Organization
I/NGO International / Non-Government Organization
IOM International Organization for Migration
KALAHI CIDSS Kapit Bisig Laban sa Kahirapan-Comprehensive and Integrated Delivery of Social Services
LDRRMC Local Disaster Risk Reduction Management Council
LGU/s Local Government Unit/s
MIAC Municipal Inter-Agency Committee
NEDA National Economic Development Authority
NCDDP National Community-Driven Development Program
N/RDRRMC National/Regional Disaster Risk Reduction Management Council
NHA National Housing Authority
OCD Office of Civil Defense
OPARR Office of the Presidential Assistant for Rehabilitation and Recovery
PhCO Philippine Country Office
RDCW Regional Directors’ Convergence Workshop
RO Regional Office
SE Social Enterprise/Entrepreneurship
SLP Sustainable Livelihood Program
SP/A Sub-Project/Agreement
TA/F Technical Assistance/Fund
TWG Technical Workship Group
TOR Terms of Reference
UNDAF United Nations Development Assistance Framework
UNRCO United Nations Resident Coordinator’s Office
WB World Bank


  1. The Asian Development Bank (ADB), in collaboration with the Department of Social Welfare and Development (DSWD), has put up a Technical Assistance (TA) team to support the implementation of the DSWD’s KALAHI-CIDSS National Community-Driven Development Program (KC-NCDDP). The team initially met on 19 February 2016 at the ADB headquarters and discussed a draft copy of the Livelihood Guidance Note. This was followed up by another TA meeting on 29 February 2016, this time with the Management Team of KC-NCDDP at DSWD’s National Project Management Office (NPMO).[1] This technical note aims to document progress of actionable agreements discussed during those and subsequent meetings.

About TA 8106: Enhancing Social Protection through CDD

  1. The Asian Development Bank (ADB) approved TA 8106-PHI: Enhancing Social Protection through Community-Driven Development in July 2012 to enhance the capacity of the DSWD to implement the KALAHI-CIDSS National Community-Driven Development Program (KC-NCDDP). ADB is cofinancing the KC-NCDDP in the amount of $372.1 million for four years until 2017 to assist the government restore social services and rebuild communities in 554 municipalities affected by Typhoon Yolanda using the community-driven development (CDD) approach. The KC-NCDDP includes livelihood recovery as one of its elements to expand the opportunities for livelihood and improve incomes of community members affected by the typhoon.
  2. In August 2015, the ADB approved additional grant to TA 8106-PHI to facilitate the uptake of community livelihood subprojects under KC-NCDDP. The additional fund/grant will be used to carry out additional activities for (i) refining the DSWD’s policy and procedures to provide sustainable livelihood support under the KC-NCDDP; (ii) enhancing the existing operational guidelines to improve the implementation of sustainable livelihood subprojects, (iii) enhancing the capacity of stakeholders to undertake CDD; and (iv) selectively fund innovative, sustainable livelihood initiatives under CDD such as enterprise training and surveys. The implementation of these activities requires the services of a technical team composed, among others, of (i) an Enterprise Policy Specialist, (ii) a Livelihood Specialist, (iii) a Coordinator-Social Development Specialist, (iv) an Institutional Development Specialist, and (v) CDD Specialist.
  3. The key functions/responsibilities/tasks of the team members are:
    1. Enterprise Policy Specialist (Proposed)
  • Developing the guidelines for field personnel
  • Developing the toolkit for ACT (with Jing)
  • Training and coaching of RPMO/SRPMO and selected ACTs (that will pilot community enterprise)
  • Overseeing the development of the policy paper.
    1. The Livelihood and Training Specialist (Jing Pacturan)
  • Overall implementation monitoring
  • Review of guidelines including relevant policies and procedures and recommend enhancements.
  • Recommend guidelines for selecting innovative livelihood projects
  • Developing and recommend priority livelihood projects.
  • Developing concept paper for livelihood impact study.
    1. The Coordinator-Social Development Specialist (Maynard Matammu)
  • Overall coordination
  • Technical support to DSWD in the NTWG for SE
  • Quality Management of consultants’ outputs
    1. The Institutional Development Specialist (Raymond Fabre)
  • Developing policy paper on SE for the Additional Financing
    1. The CDD Specialist (Ingming Aberia)
  • Technical Notes to surface early lesson, issues, strategies on how implementation may proceed.
  • Operational Policy Notes capturing the summary of key lessons from the pilot and recommendations for technical requirements, policy requirements including possible updating of manual.
  • Providing guidance to the pool of documenters to be hired by firm.

About this Technical Note

  1. As discussed during the initial ADB-DSWD TA 8106 meeting on 29 February 2016, the need for keeping tabs through Technical Notes to surface early lessons, issues, and strategies has been recognized. This will have the main purpose of prompting implementers on how to proceed from process documentation highlights, key action points and policy discussions carried out under the Terms of Reference of TA 8106. Moving forward, the technical notes shall document key lessons from implementation of the pilot livelihood SPs and provide recommendations for updating of KC-NCDDP policy, operational and technical requirements, including possible updating of project manuals. The current Technical Note No. 2 is the second in a series of these documents.
  2. Also agreed on during the 29 February 2016 meeting was hiring of a pool of process documenters to assist the team in its documentation tasks. The CDD Specialist will prepare TORs for this recruitment; he shall likewise provide coordination support and guidance to the process documenters.
  3. Any mention of a “TA Team” in these notes shall refer to the team of consultants (individuals or firms) hired, or to be hired, by the ADB under TA 8106.

Ongoing Progress

  1. The TA Team has been working on the Guidance Note titled “Guidelines for the Utilization of $5.75 million grant and Technical Assistance for livelihood and enterprise development in selectedTyphoon Yolanda affected areas of KC-NCDDP.” These guidelines shall govern the implementation of livelihood SPs under the KC-NCDDP in Yolanda-affected areas. The target is for the document to be finalized and approved by May 15 2016.

Initial Meetings

  1. The TA Team met on 19 February 2016 at ADB Headquarters where members introduced themselves to the others. Meeting participants included Weng Mantaring, Maynard Matammu, Dussel Flores, Jing Pacturan, Raymond Fabre, Yukiko Ito and Ingming Aberia. Also during the meeting, the draft livelihood guidelines was presented and discussed. Weng briefed the other team members on the ADB financial and technical support for KC-NCDDP.
  2. Among other agenda items, the draft livelihood the guidelines was again presented during the 29 February meeting at NPMO, DSWD Central Office. Below are highlights of the discussions:
Agenda Items/Topics Remarks
a)       On Livelihood Guidelines

·         Key agreements

§  ADB and DSWD Teams agreed to finalize Livelihood Guidelines by March 2016

§  Presentation of guidelines

·         Discussion highlights

§  Selection, validation and approval process

Target dates for presentation of guidelines: NPMO Staff – 3rd Week of March 2016; NGAs/RDCW – April 2016; RPMO/ACTs – April 2016
b)       ADB and DSWD Teams agreed to hire process documenters whose outputs can be used to develop CDD livelihood knowledge products, among other purposes. DSWD/Service Provider

ASAP Jing to provide a list of possible service providers.

c)       The policy paper on SEs will include identification of policy gaps, options, and recommendations, supported by case studies. Raymond Fabre and Maynard
d)       On TWG for SEs

·         Existing structures (eg NSC at national level and RDCW at regional level) will be tapped to review policies.

·         Agreed to invite National Competitiveness Council, c/o Bill Luz.

TA Team shall coordinate with NCC.
e)       On TORs of Consultants and TA Extension

·         ADB and DSWD reviewed the TORs of the following: (i) CDD Specialist (Ingming), (ii) Livelihood and Training Specialist (Jing), (iii) Enterprise Policy Specialist (Proposed), (iv) Institutional Development Specialist (Raymond), and (v) Overall Coordinator (Maynard)

·         ADB and DSWD agreed to extend TA 8106 until December 2017

f)        On Workplan for 2016-2017

·         DSWD will draft Overall Work Plan for 2016-2017 (to include training and periodic reviews)

c/o Aileen, ASAP
·         ADB will provide inputs to the Workplan; prepare TA workplan c/o Maynard, ASAP
g)       On Additional Financing of $5 Million, ADB and DSWD will simultaneously implement the AF and TA 8106.  Activities will include capacity building and policy dialogues under 8106.  

Inception Workshop

  1. On 4-5 May 2016, ADB and DSWD conducted the Inception Workshop for TA 8106. The workshop aimed, among other things, to generate feedback from regional implementors on the draft guidelines as well as sieve proposed sub-projects from the KC NCDDP-SLP database for purposes of prioritizing/batching them.
  2. Key agreements

Workshop participants agreed on the following:

  1. KC NCDDP and SLP project cycle processes need to be harmonized and institutional links within DSWD must be established.
  2. In the review and approval process, RPMOs may introduce/apply additional filters in addition to the prioritization/validation criteria prescribed under the guidelines.
  3. Each FO/RPMO shall submit at least one (1) SP proposal from Batch 1 for Direct Payment mode of disbursement. For audit purposes, the guidelines should provide for this mode of payment.
  4. ADB and DSWD reviewed and recommended the following SPs for Track 1 (Direct Payment) of Batch 1):
Location (Municipality, Province, Region) Sub-Project Title
Sagbayan, Bohol, Region 7 Purchase of power tillers
Cagwait, ADN, CARAGA Salt Production
La Castellana, Negros Occidental, NIR Skills training and egg laying with starter kits (1 Pilot Barangay)
Vallehermoso, Negros Oriental, NIR Purchase of communal working animals with farm equipment for farmers association
Libacao, Aklan, Region 6 Upscaling of Abaca Products, Consolidation and Marketing
Unisan, Quezon, Region 4A Construction of Community Stores
Tanauan, Leyte, Region 8 Community-Managed Water System
Giporlos, E Samar, Region 8 Organic Farming

The NPMO presented the following timeline for guidance of all concerned:

  • Request with ADB for NOL (100% funds release) by May 15, 2016
  • Guidelines to be issued by May 16, 2016
  • Contract award (MIBF Reso) by June 30, 2015

NPMO shall provide the following inputs:

  • Assist FOs in conduct of PDW, provide orientation materials
  • Issue joint KC NCDDP-SLP Memo

Updates as of 11 May 2016

  1. Grant agreement has been signed by ADB and DOF;
  2. Draft Guidelines finalized;
  3. Coordination arrangements with between KC NCDDP and SLP initiated;
  4. Forms of KC NCDDP and SLP reviewed;
  5. CEAC Guide for L & E drafted; and
  6. Process Documentation Manual drafted.

Updates as of 21 July 2016

  1. DSWD management in transition under the new government; Consultants contracts extended up to December 2016;
  2. Revised CEAC Guide for L & E (Attached)
  3. Revised Process Documentation Manual (Attached)
  4. Sample O & M Manual for CSF (Attached)
  5. SPA with proposed amendments/revisions (Attached)
  6. Additional proposed amendments of project guidelines/manuals, for consideration by the DSWD:
  • Under paragraph heading “Municipal Coordinating Team” of Part 9. Program Implementation Arrangements of KALAHI CIDSS NCDDP Operations Manual, the following text should be inserted before the last sentence. “The Project Development Officer (PDO) of the Sustainable Livelihood Program of DSWD assigned in the municipality shall be assigned as member of the MCT.”
  • A sub-paragraph before Sub-RPMT Level under paragraph 5.4.2 RFR Review and Approval Process of the Financial Management Sub-Manual shall be added with the following text:

“b. MCT Level

“The MCT through the PDO of SLP shall review the RFR package to ensure that financial projections have been correctly reflected as basis for budgetary requirements indicated in the POW, Procurement Plan, SPIP, O & M Plan, etc., among other feasibility study assumptions.”

Next Steps

  1. Issuance of legal opinion of DOJ for the grant agreement to be effective (documents are ready for submission once grant agreement is effective: Request for creation of Imprest Account, Request for NOL of Procurement Plan);
  2. Development of IEC Materials (DSWD and TA Team); and
  3. Preparatory activities in the regions to be supported by the TA Team.

[1]The TA Team, reporting to Joel V. Mangahas, Sr. Social Development Specialist, is composed of Weng Mantaring, Maynard Mammatmu (Coordinator), Dan Songco (Enteprise Policy Specialist), Jing Pacturan (Livelihood Specialist), Raymond Fabre (Institutional Development Specialist), Ingming Aberia (CDD Specialist), Dussel Flores, among others.

Copy of L & E Guidelines  (as of 9 May 2016) is attached as Annex 1.

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