A Publication by the Climate Change Commission Philippines and the Green Growth Institute

Climate-Smart Planning and Management Volume 3

Modules 10-11

Climate-Smart

Planning and Management Training Program Modules

Volume 3 Modules 10-11

IMPRINT ABOUT THE CLIMATE CHANGE COMMISSION The Climate Change Commission, an independent and autonomous body that has the same status as that of a national government agency, is under the Office of the President of the Philippines. It is the lead policy-making body of the government which is tasked to coordinate, monitor and evaluate the programs and action plans of the government relating to climate change pursuant to the provisions of the Republic Act No. 9729 or the Climate Change Act as amended by Republic Act No. 10174 or the People’s Survival Fund.

ADDRESS Room 238 Mabini Hall, Malacañang Compound, San Miguel, Manila, Philippines CONTACT T: +63.2.735.3069 | 736.3144 E: info@climate.gov.ph www.climate.gov.ph ABOUT THE GLOBAL GREEN GROWTH INSTITUTE (GGGI) GGGI is a new kind of international organization — interdisciplinary, multi-stakeholder and driven by the needs of emerging and developing countries. It has been established by several forward-thinking governments to maximize the opportunity for “bottom up” (i.e., country- and business-led) progress on climate change and environmental challenges within core economic policy and business strategies. GGGI is dedicated to pioneering and diffusing a new model of economic growth in developing and emerging countries, known as “green growth,” that simultaneously targets key aspects of economic performance, such as poverty reduction, job creation and social inclusion, and those of environmental sustainability, such as mitigation of climate change and biodiversity loss and security of access to clean energy and water.

ADDRESS 19F Jeongdong Building, 15-5 Jeong-dong, Jung-gu Seoul 100-784, Republic of Korea CONTACT T: +82-2-2096-9991 F: +82-2-2096-9990 www.gggi.org

AUTHORS Lourdes Tibig, Vulnerability and Adaptation Assessment Dr. Sharon Taylor, Coastal and Marine Specialist Dr. Glenn Paraso, Health Specialist Dr. Jake Tio, Hazard and Risk Assessment Specialist EDITORIAL AND DESIGN Marifel T. Moyano Source and Copyrights © 2013 Climate Change Commission and Global Green Growth Institute Place and date of publication Manila, Philippines November 2013 Disclaimer The views expressed herein should not be taken, in any way, to reflect the official opinion of the publishers.

Foreword The Climate Change Commission and the Global Green Growth Institute signed a Memorandum of Understanding (MOU) in 2011 to pursue a cooperation to promote programs and joint activities that foster collaboration in the promotion of green growth in the Philippines. Through the MOU, programs will be supported to develop and promote green growth roadmap at the local level in selected areas that is aligned with the country’s national development plan, through the integration of strategies on poverty reduction, opportunity creation and social development with economic aims with due regard for environmental goals.

The Commission leads the demonstration of the Ecotown Framework in selected pilot municipalities in the country.

The demonstration of the Ecotown Framework aims to build the adaptive capacities of the communities and increase the resilience of vulnerable sectors and natural ecosystems to climate change. The demonstration of the Ecotown Framework serves as the partnerships main goal in order to showcase a green growth development at the local/ community level.

Local communities, both rural and urban, in the Philippines have and always will be impacted by climate, whether it is an extreme rainfall event, drought, intense heat wave, or some other type of event. Scientists often debate on many things, but with certainty, the warming of the climate system is now unequivocal. We are now committed to a warming of 0.2°C every decade chiefly due to the concentrations of greenhouse gas emissions already in the atmosphere.

Climate-related disaster losses are increasing and inhibit the achievement of the Millennium Development Goals and likewise, the development goals of a local municipality or city and overall that of a country. The Philippines is very vulnerable to climate change and disaster risks posed by the changing climate that manifest not only as more intensive catastrophes but also as losses, if we are not wise enough to prepare to its impacts.

What do these changes mean for our quality of life when for decades we have been planning, making decisions, and building our lives based on a stable climate?

This question led to the creation of the Climate-Smart Planning and Management Training Program Modules. These modules aim to provide local government units, planners, and/or natural resource managers with a resource and training material to assist their community’s potential vulnerabilities to climate trends and to complement other existing local development planning guidelines on how and when to incorporate the changing climate trends and its effects into their planning and projects.

Vulnerability and adaptation assessments are key for resilience strategies and climate change adaptation, as well as for building resilience to natural hazards and extreme events. Identification and understanding of the complex yet overlapping benefits of integrating both disaster risk reduction and climate change adaptation are necessary in developing a sustainable development pathway to put transformation into place. The modules provide tools and methods for the evaluation of sector-specific risk reduction and adaptation measures–social, economic, agricultural, coastal and marine and health- that are crucial for decision-making processes.

The goal of vulnerability and adaptation assessments is to identify appropriate adaptation measures that will be implemented on the ground and will be used to guide the Comprehensive Land Use and Development Plan of the locality. Ultimately, these modules aim to find ways to best help communities become more resilient to climate change through education and planning, by reducing impacts and costs through climate change adaptation policies and procedures.

4

Table of contents

Module

10

Summary

7

Introduction

9

Overview of the Climate-Smart Planning and Management Training Program Modules

10

Integration of climate-smart initiatives into the local development planning and budgeting processes

15

Introduction and module objectives

17

Institutional assessment tool • Identification of gaps • Sectoral impacts of disaster • Strengths, Weaknesses, Opportunities and Challenges (SWOC) Analysis • Overview of definition and process • Basic instructions in using the Guide Questions • Ready-to-use Guide Questions

18 18 19 21 21 21 22

Prioritization of issues and solutions through the Vulnerability Indexes

35

Avenues for integration into the local development planning and budgeting processes

37

Analysis of existing development policy, plans and programs/ projects

38

5

Volume 2 Modules 10-11 ....the action

Module

11

Monitoring and Evaluation

43

Introduction and module objectives

45

Defining monitoring and evaluation

46

Stages in project cycle

47

Community-based Monitoring and evaluation/Participatory Monitoring, Evaluation and Learning Tool

48

Determining the community-based monitoring and evaluation process Steps • What information do I/we need to know?

• How can I/we collect the data?

• How will I/we use the information to make decisions?

• Write a draft M&E scheme • Validate your scheme with your stakeholders • Integrate stakeholder comments into the M&E design

50 50

7

Summary In 2007, the Fourth Assessment Report of the Intergovernmental Panel on Climate Change (IPCC) highlighted that the climate system is warming and that it is most likely to human activities. The Philippines, a Party to the United Nations Framework Convention on Climate Change (UNFCCC) made a landmark action to address climate change through the enactment of the Climate Change Act of 2009 (Republic Act No. 9729). The Climate Change Commission (CCC) was created and established, and two of its most recent strategic outputs are the National Climate Change Action Plan (NCCAP) and the National Framework Strategy on Climate Change (NFSCC).

As most parts of the globe, industrialized and developing countries alike, respond to the ever increasing costs of the changing climate in terms of the adverse impacts on natural and managed ecosystems and human systems, it is increasingly becoming imperative to address climate change in all sectors and across all levels from the national to the grassroots levels. There are also opportunities for enhancing livelihood resiliency by including mitigation projects in localities where tremendous benefits could be had by developing and conserving natural resources.

The CCC has adopted the Ecotown Framework to model Climate Change Adaptation (CCA) and develop Climate Change Mitigation (CCM) projects in the local levels where opportunities exist. In 2012, the CCC partnered with the Global Green Growth Institute (GGGI) to pilot this climate risk management strategy at the level of municipalities through a Project Agreement to foster collaboration in the promotion of green growth through the demonstration of the Ecotown framework in the Municipalities of Del Carmen, Pilar, San Benito and San Isidro all in the province of Surigao del Norte and the Municipality of San Vicente in the province of Palawan.

The Training Program Modules for Climate-Smart Planning and Management are designed specifically for local government units. Basic to planning and implementation of climate change adaptation and mitigation is the integrated assessment of the vulnerabilities of the different sectors in the locality/area to climate change, both current and future. The integrated assessment of identified adaptation strategies includes a careful and rigorous analysis of the gaps, constraints and needs for the identified adaptation strategies/projects.

This initiative is the first of its kind at the municipal level that integrates and mainstreams climate change impacts and adaptation, together with disaster risk reduction, and greenhouse gas emission reduction in their development plans, programs and activities which will promote green growth.

It highlights how the science-side of climate change (researches, projections, tools and approaches) can be better utilized, and likewise reflect how science can better understand the way societies and sectors make decisions when they are affected by weather events and climatic variability. By providing the methods and tools for vulnerability and adaptation assessments, determining different user needs and enhancing how to gather useful and clear climate information, local government units can facilitate timely, actionable and decision relevant outcomes to ensure the continued growth of key sectors in their area.

9

Introduction Warming of the climate system is now beyond scientific debate.

We are now committed to a warming of 0.2째C every decade chiefly due to the concentrations of greenhouse gas emissions already in the atmosphere. Our activities, as people, in the past and today continue to contribute to climate change and if climate change promises to exacerbate problems we are already facing, it is only wise to prepare for its impacts to our quality of life that is intrinsically connected to our environment and the economy. The Training Program Modules on Climate-Smart Planning and Management intend to facilitate the use of relevant climate information across different sectors, to manage risk and adapt accordingly to future climates.

The Philippines will not be spared from the impacts of climate change and is one of the most vulnerable countries to its impacts. In response to the urgency for action on climate change, the National Climate Change Action Plan (NCCAP) outlines seven strategic priorities for adaptation and mitigation till year 2028.

These priorities are food security, water sufficiency, ecological and environmental stability, human security, climate-friendly industries and services, sustainable energy and knowledge and capacity development. Adaptation is the anchor strategy of the country, while mitigation actions are pursued as a function of adaptation to pursue green and climatesmart development that ensures improved adaptive capacity of communities, resilient natural ecosystems and environment and healthy economy.

The Training Program Modules for ClimateSmart Planning and Management are meant to aid municipalities and cities in the Philippines to understand the basics on the planning and implementation of climate change adaptation and mitigation and disaster risk reduction activities with tools on how to integrate vulnerability assessments.

These assessments help to determine what and who

are likely to be most at risk in their area and start the process of working with communities to determine where a more thorough review of vulnerability may be needed. This guidebook provides the sources of relevant and necessary data from national government agencies as well as selected methods and tools for vulnerability assessments to enable careful and rigorous identification and analysis as well as how to implement and monitor adaptation strategies/projects.

This three-volume guidebook, composed of 11 modules can be found at: www.climate.gov.ph

10

Volume 2

Modules 4-9

Module 4 Risk and vulnerability assessment

Module 5 Vulnerability and adaptation assessment: Social-economic

Concepts, theories and practices: Disaster Risk Assessment

Development of socioeconomic scenarios

Using the Disaster Risk Assessment Conducting the hazard assessment Exposure and vulnerability assessments to the hazards

Stakeholder consultation Analysis • Socio-economic Vulnerability Model • Calculation of vulnerability score Recommendations

Consequence analysis, Risk estimation and risk evaluation

Volume 1 Modules 1-3 ....necessary basics Module 1 Climate-smart Planning and Management: An overview Institutional frameworks and policy setting • The Millennium Development Goals connection • The CCA and DRR Agendas About Climate-Smart Planning and Management • Principles • Integral element: Vulnerability and adaptation assessments • Mainstreaming disaster risk reduction and climate change adaptation into the development planning and management

Module 2 All about climate change Why is climate important The difference between climate change and global warming How are greenhouse gases related to climate change Natural causes alone cannot explain recent changes in climate, human causes can explain these changes The Earth’s climate is changing.

It is real.

Signals of climate change in the Philippines Negative effects globally and locally The projections

Module 3 Linking climate change adaptation to disaster risk reduction Climate change adaptation and mitigation The basics: Disaster risk reduction The elements of disaster risk reduction The link: Climate change increases disaster risk

Understanding risks

Overview of hazards in the Philippines CCA & DRR: The benefits, similarities and differences

Consequences of lack of convergence

11

Module 6 Vulnerability and adaptation assessment: Agriculture

Module 7 Vulnerability and adaptation assessment: Coastal and Marine

Module 8 Vulnerability and adaptation assessment: Health

Setting purpose and scope

Determine baselines

Data gathering

Participatory Coastal Resource Assessment, Mapping and Development

Identifying health vulnerability in an area

Vulnerability and adaptation (V&A) assessment roll-out Analysis of data and outputs of roll-outs Examples of adaptation options

Analysis

Conduct analysis: Quantitative and Qualitative • The Adaptive Capacity Checklist

Module 9 Cross-sectoral integration Cross-sector and multi-sector integration Recommendations • Vulnerability and adaptation crosssector integration • Prioritization of adaptation options

Analysis Validation

....Practical “How to’s” Volume 3 Modules 10-11

Module 10 Integration of climate-smart initiatives into the local development planning and budgeting processes Institutional assessment tool • Identification of gaps • Sectoral Impacts of Disaster • Strengths, Weaknesses, Opportunities and Challenges (SWOC) • Ready-to-use Guide Questions

....the action

Prioritazion of issues and solutions through the Vulnerability Indexes Avenues for integration

Module 11 Monitoring and Evaluation Defining monitoring and evaluation Stages in project cycle Community-based Monitoring and Evaluation / Participatory Monitoring, Evaluation and Learning tool

13

module 10

15

Module

10 Part

1

Climate-Smart Planning and Management Volume 3 Module 10: Integration of climate-smart initiatives into the local development planning and budgeting processes

Institutional assessment tool • Identification of gaps • Sectoral Impacts of Disaster • Strengths, Weaknesses, Opportunities and Challenges (SWOC) Analysis Utilizing the SWOC Analysis tool • Overview of definition and process • Basic instructions in using the Guide Questions • Ready-to-use Guide Questions

Part

2

Prioritazion of issues through the Vulnerability Indexes Solution Identification/ Matrix Avenues for integration into the local development planning and budgeting processes

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

Module

10

Integration of climate-smart initiatives into the local development planning and budgeting processes Module objectives Describe the process of assessment of capacities and policies, programs and projects/activities regarding climate change and disaster risk reduction and management Describe how to conduct a Strengths, Weaknesses, Opportunities and Challenges Analysis

Provide tools how to prioritize issues and solutions Describe the avenues for integration into the local development planning and budgeting processes of climate-smart initiatives

The previous volume outlined the sectoral vulnerability and adaptation assessments, together with cross-sectoral integration.

However, there also has to be an institutional assessment of capacities and policies, programs and projects/activities regarding climate change and disaster risk reduction and management.

This module is divided into two main parts: (1) description of the process for the institutional assessment of the Local Disaster Risk Reduction and Management Councils with an in-depth guide on how to utilize the Strengths, Weaknesses, Opportunities tool; and (2) the prioritization of issues and solutions and description of what are the avenues for integration into the local development planning and budgeting processes of climate-smart initiatives.

17

18

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Institutional Assessment- Disaster Risk Reduction and Management (DRRM)/ Climate Change Adaptation Assessment (CCA) Identification of gaps

Table 10.1 can be used to assess the Local Disaster Risk Reduction and Management Council’s (LDRRMC) existing and needed programs, projects and activities on DRRM/CCA. Table 10.1. Components of the institutional assessment for the Local Disaster Risk Reduction and Management Council

Institution-building • Creation of LDRRM Council (EO#__) • Creation of LDRRM Office (Ord#__) • Creation of LDRRM Officer (Ord#__) • Creation of Local Emergency Response Teams

Institutional systems & procedures • Presence of Disaster Operations Center • Presence of Disaster Contingency Plan/s (LDRRMC Res #__) • Presence of Early Warning Systems • Presence of Evacuation Centers • Presence of stockpiled food and non-food Items

Institutional capacity • Conduct of skills training for LDRRMO Personnel • Conduct of skills training for local emergency response teams • Presence of rescue equipment • Presence of hazard maps and list of vulnerable families • Presence of LDRRM Plan (SB Res #__) • Trainings conducted for LDRRMC members conducted • LDRRMC meetings conducted (Minutes properly documented) • Presence of DRRM/CCA compliant Provincial Development Physical Framework Plan (PDPFP) & Comprehensive Land Use Plan (CLUP) • Presence of resilient public buildings

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

Sectoral impacts of disaster

Table 10.2 can be used to assess the Local Disaster Risk Reduction and Management Council’s (LDRRMC) existing and needed programs, projects and activities on DRRM/CCA. Table 10.2. Guide for the assessment of the sectoral Impacts of disaster

Sector

Considerations

Guides

Economic Sectors • Programs for • Conduct an impact assessment of • Impact of disasters preparedness, disasters to various sectors to Agriculture, prevention • During assessment, identify which Fishery and & mitigation, of the considerations were good Forestry (AFF) rehabilitation and which are deficient • Impact of disasters and recovery • Identify the needs and DRRM to industry and their roles of women and men laborers: • Impact of disasters integration to before, during and after the strike to services the businesses of disasters • Human • Identify if the LDRRMC has a resources/ corresponding programs on specific staffing concerns from the results of the • Operations assessment • Finance/ • Use data from above as reference controlling for the Strength, Weaknesses, • Leadership/ Opportunities and Challenges directing (SWOC) analysis • Planning

19

20

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Figure 10.1. The SWOC analysis process for the DRRM components COMPONENT

1

COMPONENT

COMPONENT

Preparedness

Response

2

Prevention and Mitigation

3

COMPONENT

4

Rehabilitation and Recovery

Assessment areas • Program, Project or Activities (PPAs) • Human resources • Decision-making • Funding

• Plan • Partnership-building/collaboration • Gender sensitivity • Disaster Risk Reduction Management

Internal environment analysis

External environment analysis

• Cross-cutting concerns: Gender mainstreaming, health, human-induced disasters, environmental protection, cultural sensitivity/Indigenous practices rights-based • Factors integral to the processes inside the organization. This includes the organization’s finance, operations or program/project implementation, personnel, office and organizational structure.

• Includes the strengths and weaknesses of LDRRMC

• Assessment areas: political, economic (agriculture, forestry and services sector), social, technological, etc.

• Factors that are outside the LDRRMC’s roles but can affect the organization’s finance, operations, human resources and structure • Includes the opportunities and challenges of LDRRMC

Strengths

Weaknesses

Opportunities

Challenges

• LDRRMC’s assets • Includes LDRRMC’s best practices • Internal potentials • Human capital, social capital and financial capital

• Financial performance, sources of funds, budgeting, prioritizationreview of public expenditures • Effectiveness of organizational structure • Flow of communication • Efficiency and efficacy of programs

• Existing potentials for the implementation or development of Projects/ Programs/ Activities (PPAs) on DRRM that are found outside the LDRRMC. • This includes partners and linkages that are offering funds through proposals.

• External factors that may impede the implementation of LDRRMC’s PPAs. • Changes in the political dynamics and unanticipated effects of regulations, budget and conflicting or overlapping interventions.

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

Strength, Weaknesses, Opportunites, Challenges (SWOC) Analysis The SWOC analysis process, as summarized in Figure 10.1, will assess the four DRRM components: Prevention and Mitigation, Preparedness, Response and Rehabilitation and Recovery .

Sample general Guide Questions (pages 26-33) are provided for each component to assess both the internal (strengths and weaknesses) and external (opportunities and challenges) environment/factors that directly and indirectly affect each one.

The major areas to be assessed and general questions relate to: • Program, Project or Activities (PPA ’s) • Does the LDRRMC have an existing PPA where women & men equally benefit?

• Do women and men have access and control to the PPA? • Human Resources • Is there an existing human resources and structure with the participation/ involvement of women & men in implementing the PPA? • Decision-making • Is the approach in the decision-making process in drafting policies bottom-up and with women’s and men’s participation?

• Is the assessment area existing in the locality?

• Does it respond to the needs of women and men?

• Funding • Plan • Is there a funding for the assessment area?

• What is/are its source/s of funding?

• Does the funding program respond to and provides access for the needs of both women and men?

• Is there an existing plan by the LDRRMC for the assessment area?

• Partnership building/collaboration • Is there an existing collaboration with national & local civil society organizations (CSOs) and private organizations involving both women and men in the assessment area?

• Gender-sensitive • Is the assessment area gender -sensitive?

• DRRM • Does the assessment area integrate DRRM benefiting both women and men?

An overview of the general assessment areas for each component is shown in Table 10.3.

Guidelines in using the general Guide Questions • Use the assessment areas and the Guide Questionnaire in filling up the SWOC matrix • Determine the strengths, weaknesses, opportunities and challenges for each area and put your answers in the matrix • The assessment areas and the questions are just guidelines, you may expound them to other concepts relating to DRRM to make an excellent SWOC analysis • Write in complete thought in every box in the SWOC matrix • For every assessment area, try to answer the following questions and put your answer to its proper box in the SWOC matrix: whether it is a strength, weakness, opportunity or challenge.

21

22

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Table 10.3. An overview of the general assessment areas for each component of Disaster Risk Reduction and Management

Assessment areas

Strengths

Weaknesses

Assessment areas

Organized LDRRMC

Political

Capacity-building

Economic (Agriculture, Forestry and Services Sector)

Human resources

Opportunities

Challenges

Opportunities

Challenges

Social

Financial resources

Technological

Prevention and Partnership-building Mitigation Management/ leadership

Partnership-building Management/ leadership

Programs, Projects and Activities (PPAs) in Prevention & Mitigation

Programs, Projects and Activities (PPAs) in Prevention & Mitigation

Formulation of LDRRMP DRR Policies

Others Others

Assessment areas

Weaknesses

Assessment areas

Individual, family and community preparedness measures: knowing what to do before, during and after a disaster

Political

Disaster preparedness training

Social

Human resources Preparedness

Strengths

Financial resources Partnership-building Management/ leadership

Economic (Agriculture, Forestry and Services Sector)

Technological Partnership-building Management/ leadership Programs, Projects and Activities (PPAs) in Preparedness

Programs, Projects and Activities (PPAs) in Preparedness Local DRRM Plan DRRM Operations Center Others

Others

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

Assessment areas

Strengths

Weaknesses

Functioning ICS and C3

Technological

Partnership-building

Partnership-building

Management/ leadership

Management/ leadership

Programs, Projects and Activities (PPAs) in Response

Programs, Projects and Activities (PPAs) in Response

Others

Others

Cleaning-up the debris

Strengths

Weaknesses

Assessment areas Political Economic (Agriculture, Forestry and Services Sector)

Human resources Financial resources Rehabilitation & Recovery

Partnership-building Management/ leadership Programs, Projects and Activities (PPAs) in Rehabilitation and Recovery

Social Technological Partnership-building Management/ leadership Programs, Projects and Activities (PPAs) in Preparedness

Local DRRM Plan DRRM Policies Others

Opportunities

Challenges

Social

Financial resources

Emergency Rehabilitation Projects

Challenges

Economic (Agriculture, Forestry and Services Sector)

Human resources

Assessment areas

Opportunities

Political

Public advisories in accordance with the protocols developed

Response

Assessment areas

Others

23

24

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Internal

Environment Analysis Guide Questions Assessment areas •

• • •

•

Specific Guide Questions

Capacity-building • Committees in the LDRRMC • Human resources • Financial resources • Partnership-building • Management/leadership • Hazard mapping • Directory of available financing windows for the local government • Roles of the BDRRMC in partnership with the LDRRMC • Installation of Early Warning • Database on demographic • Dependency ratio • Persons with special needs • Morbidity rates • Mortality rates • Health risk brought by disasters • Rate of severe malnutrition • Illiteracy rate • Research/study on Risk Analysis • Relocation of endangered community (subgroups: urban/rural, women/ men, pregnant women, elderly, Persons With Disabilities, etc.) to reduce vulnerability • Retrofitting/repair/ construction and reconstruction • Urban planning • Institutionalization of LDRRMC

• •

Research on experiences, roles and needs of both women and men in DRRM Vulnerable and marginalized groups

•

Access to/or control of resources • Ownership of productive assets • Income/employment who are women/men • Infrastructure and services • Communication • School • Health & facilities • Housing qualities and location

•

Access to/or control of resources • Infrastructure and services

•

• • •

•

• •

• •

Is there a reconstituted Disaster Risk Reduction and Management Council as mandated by RA 10121?

Is there a LDRRM Office, LDRRM Officer and his/her staff and is it able to utilize its LDRRMF? Identify percentage of utilization and its expenditure priorities Does the LDRRMC lead in designing programs, projects and activities for DRRM? Describe each PPA? Does the LDRRMC effectively collaborates with various sectors in the locality? What were the PPAs implemented?

Does the LDRRMO have a comprehensive gender-sensitive database? Identify population of each vulnerable sector Are there any LDRRMC programs or policies that address specific needs of both women and men concerning DRRM? Provide your data on access to resources, and infrastructure and services Are the infrastructure and DRRM services gender-sensitive/ responsive?

Are there any programs and policies for prevention and mitigation of disasters that can greatly affect the access to assets and employment?

Is there any program for mitigation and prevention of disasters, which can affect the control of resources?

Are the controllers (women/men) of resources willing to partake a role during disasters?

Do the women have access to these resources?

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

Prevention and Mitigation

Assessment areas •

Environmental factors • Forest cover • Upland agriculture • Lowland agriculture • Aquaculture • Urban Environment • Biodiversity

Specific Guide Questions • • • • •

Describe the environmental factors in the LGU. How do the environmental conditions affect the risk of both women & men?

Identify whether the factors are strengths or weakness of the LGU and why were these considered a strength or a weakness?

Review if there are policies or programs that mandate the prevention and mitigation of disasters that can affect the environmental factors Was there a lack of enforcement, what measures were not enforced?

If there were no local policies for the protection of the environmental factors, state it in the weaknesses box

•

Social/Organizational • Family structure and relationships • Class or group affiliations • Local government and politics

•

Describe the social/organizational conditions in the LGU. Whether it can contribute to the successes of the LGU programs or not. Determine if the description is a strength or a weakness

•

Non-structural measures • Safety measures in the workplace, households and transportation • DRRM Committees in businesses • Community/women’s and men’s health and sanitation (improving nutrition, keeping the community clean, immunization, herbal gardens, training of community health workers) • Strengthening livelihood and economic activities (sustainable agriculture, income-generating projects, handicrafts, marketing cooperatives) • Planting coastal shelter belts, for example, with coconut trees, mangrove reforestation • Building codes • Legislation supporting communitybased involving women and men in disaster management and environmental protection • Savings (system for community/ women & men, elderly, youth, children, people’s organizations, labor organizations, micro & small entrepreneurs) • Insurance (community/women & men, urban/rural laborers/workers especially for labor-intensive industries, DRRM responders, businesses: suppliers, traders/ wholesalers and retailers) • Policy study and advocacy

•

Additional to the general guide questions for non-structural measures: • Identify non-structural prevention and mitigation programs that are needed in the locality • Are there any prevention and mitigation best-practiced programs in the LGU? Why were these successful?

• Does the LGU experience difficulty in expanding/ sustaining the program? Why?

25

26

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Internal

Prevention and Mitigation

Environment Analysis Guide Questions

Assessment areas •

Specific Guide Questions

Structural measures • • Dikes • Dams • Drainage system • • Sea walls • • Raising of roads, bridges and houses • Hazard resistant construction • • Permanent settlement • Water system structures • •

•

What strategic infrastructures/non-structural measures are needed/existing in the locality and how it can contribute to reducing/increasing risk?

What are the priority areas in the locality for infrastructure?

What were the problems related to prioritization of infrastructure projects for DRRM? Identify percentage/amount of allocation for DRRM infrastructure against overall LGU infrastructure projects.

Does the LGU consider various hazards in its infrastructure projects?

Enumerate the structures and the areas where it is needed in the weaknesses/problems box. Identify if there are allocated funds for it

Mainstreaming DRRM in the CLUP, CDP & AIP

Prevention and Mitigation

External

Environment Analysis Guide Questions Assessment areas •

Mainstreaming DRRM in the CLUP, CDP & AIP

Specific Guide Questions • •

• •

Economic Social

• •

Are there any initiatives on mainstreaming DRRM into policy formulation, socio-economic development planning, budgeting and governance in the locality?

Describe the local political leaders’ & community perceptibility on DRRM. How does the political climate affect DRRM activities?

With the known disaster risk, what economic and social sectors are vulnerable? Why are they vulnerable?

Are there financing institutions that can help in risk financing/post-disaster recovery of people (women & men) and businesses?

•

Technological

•

What existing technologies are related to the needs of the locality? Where can these be found?

•

Programs, Projects and Activities (PPAs) in Prevention & Mitigation*

•

List PPAs on DRRM implemented in the locality by other organizations, state if there are any

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

Internal

PReparedness

Environment Analysis Guide Questions

Assessment areas • • • •

•

•

• • • • • • • • • • •

•

Specific Guide Questions

Disaster preparedness training • Gender-Responsive-DRRM Training Community early warning system • Public awareness activities: public awareness campaigns such as community meetings and house-to-house information dissemination, posters and pamphlets, poster-making contest for school children, disaster consciousness day/week/month Are there specific individuals/ organizations that are focused into preparedness programs? Does the LDRRMC have a strong collaboration with them?

Is the LDRRMC’s preparedness program effective? Is there any evaluation of preparedness programs conducted by the LDRRMC? Formation and strengthening of barangay disaster risk reduction and management committee Community DRRM organization involvement in preparedness activities Capacity-building activities for disaster risk managers and key decision makers Training modules on DRRM Establishment of DRR Operations Center Manual of operations for Operation Centers ICS coordination and communication systems Accreditation of NGOs for the LDRRMC Database of key players and stakeholders as responders Coordination mechanisms and guidelines in the contingency plans Individual, family and community preparedness measures: knowing what to do before, during and after a disaster.

What measures do the LDRRMC provide to individuals, family and community as part of its preparedness programs?

Does it provide solutions to the problems experienced by women and men, youth, children, elderly and Persons with Disability and Special Needs during disasters?

Formulation of community contingency plan

Did the LDRRMC involve the community/women & men in the formulation of community contingency plan? Is the contingency plan and the BDRRMC gender-responsive?

•

27

28

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Internal

Environment Analysis Guide Questions

Assessment areas

Specific Guide Questions

•

Integration of DRRM and CCA in school curricula

•

Are the local schools and its teachers able to integrate Gender Responsive-DRRM into their curricula? What are their measures in doing it at present?

•

Evacuation drill and disaster simulation exercises • Schools, community/women & men, CSOs, government institutions, business sectors Strengthening coordination, networking and institutional arrangements • Ensuring availability of relief supplies (stockpile) and logistics • Evacuation

•

Has the LDRRMC conducted evacuation drill and disaster simulation exercises? When, what and how many institutions were involved in conducting those exercises? Did it consider the roles, needs and participation of women & men, PWDs and senior citizens?

Are the stockpile and logistics enough for the possible evacuees and long duration in times of disasters in the locality?

•

Development of local DRRM Plan

•

Is there a DRRMP? How comprehensive was the plan in terms of the four components?

•

Conducted Risk assessments, contingency planning, knowledge management and training activities

•

Are the communities capable of conducting community -based risk assessment, contingency planning and trainings? How many communities have risk assessment, plans and trainings that were evaluated by the LDRRMC?

•

Inventory of resources for preparedness

•

Does the LDRRMC have an inventory of rescue and response equipment: budget for every component, DRRM programs led by the LGU, DRRM Programs by private organizations and public-private partnerships for DRRM? Evaluate and determine if each of these was a strength or a weakness

•

•

•

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

External

PReparedness

Environment Analysis Guide Questions

Assessment areas • • •

• • • • • • •

Political • Participation of civil society organizations (CSOs) Receptiveness of different sectors to • LGU programs such as willingness to open their houses for others during flood.

• Do the local institutions know the plans of the LDRRMC? How does the LDRRMC communicate to the private institutions? Determine if it is a strength or a weakness • Is there a good collaboration between private-public sectors?

Adoption of the contingency plans by private and other public offices Economic factors affecting women and men Social services for the community/ women & men Technology benefiting both women and men Programs, Projects and Activities (PPAs) in preparedness outside of that of the LDRRMC Pledges and committed funds for preparedness activities by external organizations Competition in accessing funds from potential donors

Specific Guide Questions Are there any initiatives on mainstreaming DRRM into policy formulation, socio- economic development planning, budgeting and governance in the locality?

Describe the local political leaders’ & community perceptibility on DRRM. How does the political climate affect DRRM activities?

29

30

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Internal

Environment Analysis Guide Questions

Assessment areas • • • • • • • • • • • •

• • • • • •

• • • •

Specific Guide Questions

Search, Rescue and Retrieval (SRR) First aid and medical assistance Damage Needs Capacity Assessment Relief delivery (food and drinking water, clothing, blankets, kitchen utensils, etc.)

Repair of critical facilities and services Emergency Operations Center (for major disasters) Activation of emergency clusters Activation of the ICS and C3 at the local levels Issue public advisories in accordance with the protocols developed Activation of relief distribution points/ centers Activation of assessment teams as needed Using the latest DANA assessment tool, consolidate, analyze and disseminate data by the local and national DRRM Councils Assessment of water quality and conduct of quick damage repairs and road clearing operations Determination if there is enough hospital to address the casualties Immediate restoration of lifelines Psychosocial programs and referral Conduct of traumatic and/or psychological stress debriefings Design and implement temporary livelihood and/or income-generating activities (i.e., case for food or work; micro and small enterprise recovery) Develop and implement a system for SRR and proper disposal with concerned agencies Medical consultation/services & nutritional assessment Medical and nutritional teams Evacuation plan/procedure and evacuation center management

•

•

Is the evacuation and evacuation management plan effective?

What amenities are present and what were lacking? Did it consider the needs of women and men, PWDs and senior citizens? Is the first aid and medical assistance effective and efficient in its services?

Was there any evaluation conducted to grassroots organizations with response programs?

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

RESPONSE

Assessment areas •

• • • • • • • • • •

Specific Guide Questions

Criteria for Evacuation Center selection: • Should not be a school • Accessibility • Sanitation & hygiene facilities • Topography and drainage • Available space (people, animals, communal services, etc.)

• Safety • Soil type (drainage/farming) • Land rights Site assessment Site planning (latrines, cooking, animals, etc.)

Systems and protocols i.e. management of the dead, stress debriefing

•

Activation of relief distribution points/ centers Timely and appropriate and consolidated needs assessment reports.

Standard-based relief shelters and sites Tents and other temporary shelter Learning area in the evacuation Provide space for livestock, poultry and pets Conduct livelihood-oriented activities

• • •

•

• • •

Is the criteria being followed by the evacuation centers? If not, why?

Is there a regular conduct of site assessment? What are the results of the recent site assessment?

Are the relief distribution points located in strategic areas?

Is the relief distribution system & content gender-sensitive?

Does the LDRRMC conduct a needs assessment report? How timely and appropriate were those reports?

What kind of tents and temporary shelters can the LDRRMC provide? Is it responsive to the needs of the vulnerable sectors?

Are the evacuation centers convenient to the evacuees?

What livelihood orientation or programs are in place for response?

External

Environment Analysis Guide Questions Assessment areas

Specific Guide Questions

•

Political

•

Do the political leaders provide support to response activities? How?

•

Economic

•

What PPAs are being done by the LDRRMCs’ in partnership with the economic sectors? How do these sectors respond to the LGUs’ PPAs? At present, what and how do they provide support for Response?

•

Social

•

What institutions are focused in provision of social services during response? What are these services? Is it enough? Is partnering with other sectors an opportunity or a challenge?

•

What existing technologies are necessary to the response operations of the LGU? How does the LGU intend to acquire them?

•

•

Technological

Projects, Programs and Activities (PPAs) in Response

31

32

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Internal

Environment Analysis Guide Questions

Assessment areas • • • • • • • • • • • • • •

•

Specific Guide Questions

Emergency rehabilitation projects • Cleaning-up the debris Rebuilding and strengthening of damaged structures Relocation to safe place Income-generating projects Conduct Post-Disaster Needs Assessment (PDNA) Coordinate the formulation of the Strategic Action Plan for disasteraffected areas Identify/ mobilize funding sources Identify and provide suitable relocation sites for affected population Undertake the necessary rehabilitation or repair of damaged infrastructures Implement building code and promotion of green technology Close monitoring and/ or tracking of approval of infrastructure projects and permits Develop systems for appropriate risk protection measures Build capacities of psychosocial care providers • What psychosocial care mechanisms and support and communication systems does the LDRRMC promote with key stakeholders?

• Develop systems of support and communication among key stakeholders

Are the local schools and its teachers able to integrate GRDRRM into their curricula? What are their measures in doing it at present?

Programs to facilitate resumption of normal social and economic activities

What are the participation of local financing institutions at post-disaster experiences? What collaboration efforts were made?

How did the communities recover and go back to their normal social and economic lives? Who helped them?

Is there any mechanism on getting information on how communities recover (local business, employed & entrepreneurship)?

What were the values evident during the recovery phase?

Was it common to the whole LGU? Did the LGU do something to continue or improve on the recovery processes that took place?

What policies were identified and implemented for recovery and rehabilitation?

• • • • • •

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

REhabilitation & Recovery

Assessment areas • •

Design/construction of disaster-resilient housing and other infrastructures (build back better principle) Conduct trainings for social preparation of host communities and those that will be relocated to reduce conflict.

Specific Guide Questions •

•

Is there any design for disaster-resilient housing and did the LDRRMC enforced a standard for buildings? How does it evaluate the existing standard vis-à-vis risk in the locality?

Does it need to pass an building standards ordinance?

Is there an identified host communities and social preparation activities made with them?

External

Environment Analysis Guide Questions

Assessment areas • •

•

• •

Political Economic • Do the economic sectors have good practices, techniques or capacities in order to recover from the disaster experience?

Social • Do the external communities show a bayanihan system or collaboration for recovery programs? What were the specific activities conducted?

Technological Programs, Projects and Activities (PPAs) in Rehabilitation and Recovery

Specific Guide Questions

33

34

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Strength, Weaknesses, Opportunities, Challenges (SWOC) Output The outputs from the assessment are summarized into the following table to provide an overview of areas to be maximized (strengths and opportunities) to overcome weaknesses and challenges. These are important considerations for prioritizing initiatives.

Components Prevention & mitigation

Strengths 1

Weaknesses 1

2

2

3

3

Opportunities

Challenges

Preparedness Response Rehabilitation & recovery Prevention & mitigation Preparedness Response Rehabilitation & recovery

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

Prioritization of issues and solutions

If possible, this should be conducted at a community-level, including all stakeholders.

Prioritization of issues through matrix ranking Objective To prioritize issues raised regarding disaster and climate change risks Procedure 1. Participants were provided with five markers 2. The participants were instructed that they can place the markers against any risk/issue already identified in any proportion i.e. if they think that the risk/issue is high priority they can allocate all five markers against that one risk, or they can allocate one marker to five risks/issues they consider important to tackle 3. After all markers have been placed by all participants the facilitator tallies the results. As an additional point for analysis, the different sectors can be given different colors to record specific areas of importance per sector 4. The output of this activity will be a prioritized list of issues that the community feel need to be addressed. This will serve as the basis for the solution identification 5. The facilitator should be able to relate these back to a specific hazard or vulnerability experienced by the community

Prioritization of issues through Vulnerability Indexes

As detailed in Module 4, vulnerability indexes are produced with weighted rankings to prioritize sectoral and cross-sectoral issues.

Solution identification/solution matrix Objective To identify disaster risk reduction and climate change adaptation measures as solutions to the prioritized disaster and climate change risks Procedure 1. The participants were divided into sectoral groups, i.e. by occupational groups i.e. councilors, teachers, health workers, etc.

2. For each prioritized issue/risk, participants were asked to identify risk reduction measures 3. Once each group has a brainstormed list, ask them to record which vulnerabilities are addressed and which capabilities are utilized 4. Compare measures with available resources, skills, organizational mandate, etc. and identify gaps 5. Outputs are presented in a gallery-viewing style allowing for additional edits/additions by members of the other groups

Guide Questions for identifying solutions • What kind of stimulus, organizing or education is required to involve the local population and volunteers in implementing community-based risk reduction and climate change adaptation measures? • How will the risk reduction measures for one hazard reduce the risks posed by another hazard?

35

36

Prioritization of solutions The following table (Table 10.3) is recommended for prioritizing identified solutions. Prioritized solutions are then assessed as to whether they can be integrated into the local development planning and budgeting processes (refer to next section) or whether external resources would need to be mobilized.

Table 10.3. A sample matrix for prioritizing solutions CC/ DRRM Initiative

Cost Effectiveness Ease of Acceptability to Implementation Stakeholders

Additional Institutional Benefits Capacity

Adequacy for Current Climate

Adequacy Total for Future Climate

Rank

37

Avenues for integration into the local development planning and budgeting processes A review of project management and local development planning and budgeting processes is recommended:

Planning • • • • •

Objective setting Development strategy Budget setting Procedures Development policies

Implementation Considerations: • Activities (eg., trainings, workshops) • Fund • Location • Action

An effective project must be:

Specific Measurable Attainable Realistic Timebound

Monitoring • Data collection • Reports • Status

Evaluation • To see whether the objectives were met • Outcomes • Result • Accomplishments • Collection

38

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Analysis of existing development policy, plans and programs/projects Objective To review existing mechanisms whereby CCA/DRR measures can be integrated Procedure 1. The facilitator asked the participants to list all the existing Development Policy, Plans and Programs/ Projects they knew of from the local to regional level 2. The listed items were inserted into the local development planning process matrix below together with the process schedules 3. A typical local development planning cycle is discussed 4. The facilitator asked the participants about the key issues and concerns identified in the previous sessions regarding how DRR/CCA can be incorporated and integrated into the existing LGU development planning process. (These pertain to risk and hazard mapping, vulnerability

Planning

and adaptation assessment and planning, risk financing and transfer (e.g., local calamity fund), disaster preparedness and early warning system, sustainable livelihood development, capacity development, technical assistance, etc.) If these elements are already incorporated, ask them about what specific areas/aspects of the planning process can be further improved, how it can be done so, who will be responsible and what resources (financial, material and human) are needed to carry them out effectively.

5. Synthesize the key points raised during the discussion and emphasize that formulating and implementing climate change/disaster risk sensitive local development plans entails the strong cooperation and partnership among stakeholders – the government, the private sector and civil society, including the local communities.

Implementation

Regional

Provincial

City/ Municipality

Barangay

Figure 10.4. The local development planning process

Monitoring

Evaluation

VOLUME 3 MODULE 10 Integration of climate-smart initiatives into the local development planning and budgeting processes

Provincial Physical Framework Plan (PPFP)

Provincial Comprehensive Development Plan

Provincial Development Investment Program (PDIP)

Land Use Plan and Zoning Ordinance

City Comprehensive Development Plan

Local Development Investment Plan (LDIP)

Private Sector Investment

Project Outcomes

Priority City Development Projects

Figure 10.5. A typical local development planning cycle

Annual Investment Program (AIP)

Budget

39

41

module 11

VOLUME 3 MODULE 11 MONITORING AND EVALUATION

Module

11

Climate-Smart Planning and Management Volume 3 Module 11: Monitoring and Evaluation

This module will describe tools and methods useful for monitoring and evaluating the effectiveness and impact of climate-smart initiatives and also explore avenues for multistakeholder participation.

43

VOLUME 3 MODULE 11 MONITORING AND EVALUATION

Module

11

Monitoring and Evaluation Module objectives To understand the importance of monitoring and evaluation

To determine indicators for participatory monitoring and evaluation

To describe the framework and basic elements of participatory monitoring and evaluation

To design a monitoring and evaluation framework for renewable energy

Monitoring is the systematic collection and analysis of information as a project progresses. It is aimed at improving the efficiency and effectiveness of a project or organization. It is based on targets set and activities planned during the planning phases of work. It helps to keep the work on track, and can let management know when things are going wrong. If done properly, it is an invaluable tool for good management, and it provides a useful basis for evaluation. It enables you to determine whether the resources you have available are sufficient and are being used well, whether the capacity you have is sufficient and appropriate, and whether you are doing what you planned to do.

Evaluation is the comparison of actual project impacts against the agreed strategic plans. It looks at what you set out to do, at what you have accomplished, and how you accomplished it. It can be formative (taking place during the life of a project or organization, with the intention of improving the strategy or way of functioning of the project or organization). It can also be summative (drawing learning’s from a completed project or an organization that is no longer functioning).

45

46

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Defining monitoring and evaluation

What monitoring and evaluation have in common is that they are geared towards learning from what you are doing and how you are doing it.

Monitoring and Evaluation both focus on: • Efficiency • Effectiveness • Impact Efficiency tells you that the input into the work is appropriate in terms of the output. This could be input in terms of money, time, staff, equipment and so on. When you run a project and are concerned about its replicability or about going to scale, then it is very important to get the efficiency element right.

Effectiveness is a measure of the extent to which a development program or project achieves the specific objectives it sets.

Impact tells you whether or not what you did made a difference to the problem situation you were trying to address. In other words, was your strategy useful?

Before you decide to get bigger, or to replicate the project elsewhere, you need to be sure that what you are doing makes sense in terms of the impact you want to achieve.

From this, it should be clear that monitoring and evaluation are best done when there has been proper planning against which to assess progress and achievements. It is important to recognize that monitoring and evaluation are not magic wands that can be waved to make problems disappear, or to cure them, or to miraculously make changes without a lot of hard work being put in by the project or organization.

In themselves, they are not a solution, but they are valuable tools. Monitoring and evaluation can: • Help you identify problems and their causes • Suggest possible solutions to problems • Raise questions about assumptions and strategy

VOLUME 3 MODULE 11 MONITORING AND EVALUATION

Impact tells you whether or not what you did made a difference to the problem situation you were trying to address. In other words, was your strategy useful? Before you decide to get bigger, or to replicate the project elsewhere, you need to be sure that what you are doing makes sense in terms of the impact you want to achieve.

From this it should be clear that monitoring and evaluation are best done when there has been proper planning against which to assess progress and achievements.

It is important to recognize that monitoring and evaluation are not magic wands that can be waved to make problems disappear, or to cure them, or to miraculously make changes without a lot of hard work being put in by the project or organization. In themselves, they are not a solution, but they are valuable tools. Monitoring and evaluation can:

Stages in the project cycle

  

Help you identify and their causes; Plansproblems are essential, but they are not set in concrete (totally Suggest possible solutions to problems; fixed).

Ifassumptions they are and notstrategy; working, or if the circumstances change, Raise questions about

then plans need to change too.

Stages in the Project Cycle

Project ID

Project Prioritization

Area Analysis

Project Conceptualization

Community/LGU M&E

Project Implementation

Resource Mobilization

Plans are essential but they are not set in concrete (totally fixed).

Project Proposal Writing

If they are not

Figure 11.1.

Stages in the Project Cycle

Figure 11.1 shows theorstages of a typical project analysis, vision the values of the project or working, if the circumstances change,cycle. then plans need to the change too. and Monitoring Within this cycle, monitoring and tools evaluation areaboth Everything else and evaluation are both which help project ororganization. organization know when plans are is negotiable. Getting not aworking, when circumstances They give management the Failing to learn from tools that help projectand or organization know have whenchanged. something wrong is not a crime. information it needs to make decisions about the project or organization, about changes plans are notthat working and when circumstances have this,past mistakesremain because you of are not monitoring and are necessary in strategy or plans. Through the constants the pillars changed. They give management information evaluating is.values of the project the strategic framework: thethe problem analysis, the vision, and the organization.

Everything negotiable. it needs to ormake decisions aboutelse theis project orGetting something wrong is not a crime.

Failing to learn from past mistakes because you are not monitoring and evaluating, is. organization, and about changes that are necessary in The effect of monitoring and evaluation can be seen strategy or plans.

Through this, the constants remain in Figure 11.2.

CCC-CCO, GGGI Philippine Programme May 2012 III. 28 the pillars of the strategic framework: the problem The effect of monitoring and evaluation can be seen in the following cycle.

Implement

Evaluate/learn/ decide Plan

Reflect/learn/ decide/adjust

Implement

Monitor

Monitor Implement

Reflect/learn/ decide/adjust

Figure 11.2. The effectMonitoring of monitoring evaluation Community Based andand Evaluation / Participatory

Monitoring, Evaluation and Learning (CBMS/PMEL) provides for active involvement in the monitoring and evaluation process of those with a stake in the program: providers, partners, customers (beneficiaries), and any other interested parties.

Participation typically takes place throughout all phases of the monitoring and

47

48

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Community-based Monitoring and Evaluation / Participatory Monitoring, Evaluation and Learning tool This tool It builds on two-way communication, clear messages

and a joint commitment to what “works” for the community.

Community-based Monitoring and Evaluation/ Participatory Monitoring, Evaluation and Learning (CBMS/PMEL) provides for active involvement in the monitoring and evaluation process of those with a stake in the program: providers, partners, customers (beneficiaries) and any other interested parties.

Participation typically takes place throughout all phases of the monitoring and evaluation: planning and design, gathering and analyzing the data, identifying the findings, conclusions and recommendations, disseminating results, and preparing an action plan to improve program performance.

As Table 11.1 shows, there are considerations for community involvement throughout the course of the project cycle.

CBMS/PMEL “flips” the traditional “top-down” development approach to a “bottom-up” approach, which encourages, supports and strengthens communities’ existing abilities to identify their own needs, set their own objectives and monitor and evaluate them. It builds on two-way communication, clear messages and a joint commitment to what “works” for the community. Table 11.2 shows the difference between Participatory and Traditional Evaluation.

There is also a need to develop appreciation for the levels of participation: from inform, consult, partnership to control.

Table 11.1. Considerations for community involvement in the project cycle

Stages in the project cycle

Considerations for community involvement

Area Analysis

How can an area be analysed in a participatory manner?

Identification

How can a project be identified in a participatory manner?

Design: Project prioritization, Project conceptualization

How can the project prioritization address the social and gender dimensions of a project? How can a project be designed so it meets the practical and strategical needs of the stakeholders, especially the poorest of the poor and those who are usually excluded from development projects?

Proposal writing

How does a proposal reflect the gender and socio-economic dimensions of a project?

Resource mobilization

Are local community funds available? If not how will funds be mobilized and managed by the community?

Implementation and monitoring

How can a target community participate in project implementation and monitoring?

Evaluation

How does an evaluation establish whether a project meets it’s objectives especially the needs of disadvantaged people?

VOLUME 3 MODULE 11 MONITORING AND EVALUATION

Table 11.2. Comparison between Participatory and Traditional Evaluation

Participatory evaluation

Traditional evaluation

Participation focus and ownership of evaluation

Donor focus and ownership of evaluation

Broad range of stakeholders participate

Stakeholders often do not participate

Focus is on learning

Focus is on accountability

Flexible design

Predetermined design

Rapid appraisal methods

Formal methods

Outsiders are facilitators

Outsiders are evaluators

Advantages to participatory evaluations are that they:

However, there may be disadvantages. For example, participatory evaluations may:

• Examine relevant issues by involving key players in evaluation design • Promote participants’ learning about the program and its performance and enhance their understanding of other stakeholders’ points of view • Improve participants’ evaluation skills • Mobilize stakeholders, enhance teamwork, and build shared commitment to act on evaluation recommendations • Increase likelihood that evaluation information will be used to improve performance

• Be viewed as less objective because program staff, customers, and other stakeholders with possible vested interests participate • Be less useful in addressing highly technical aspects • Require considerable time and resources to identify and involve a wide array of stakeholders • Take participating staff away from ongoing activities • Be dominated and misused by some stakeholders to further their own interests

49

50

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

Designing the community-based monitoring and evaluation process Steps 1) What information do I/we need to know? a) Participatory baseline data b) Stakeholder analysis c) Aims and objectives d) Input-Output-Outcome-Impact e) Indicators 2) How can I/we collect the data? a) Tools b) Frequency 3) How will I/we use the information to make decisions? a) Data analysis b) Reporting/taking action

Description of steps STEP

1

What information do I/we need to know? a) Participatory baseline data i) Hazard Mapping, Vulnerability and Adaptation Assessments, Problem Identification/Needs Assessment –are the basis for determining options for solutions ii) Once problems and issues are prioritized aims, objectives and corresponding activities for the project (solutions) can be developed iii) Ideally, if you have done your planning well and collected information about the situation at the beginning of your intervention, you will have baseline data iv) Baseline data are the information you have about the situation before you do anything. It is the information on which your problem analysis is based, gained through official statistics, surveys, questionnaires, etc. It is very difficult to measure the impact of your initiative if you do not know what the situation was when you began it b) Stakeholder analysis i) Brainstorm all the institutions and individuals that have an interest in your issue—whether positive or negative, directly or indirectly affected.

VOLUME 3 MODULE 11 MONITORING AND EVALUATION

51

ii) Develop a power map to determine which stakeholders are supportive, unsupportive or undecided. You will need to decide with whom it will be most beneficial for the project to work with, at what level, within what capacity and incorporate them.

Input-Output-Outcome-Impact

c) Aims and objectives

i) i) Visioning exercise: Make a diagram of your project: Envision an project ideal state or conditioninthat the of community/project wants to not Projects aim at results.

If the objectives, terms expected results, are attain.

A vision is the end scenario or long-term scenario.

However, this will clearly understood, return to Step 1a. The term "causal chain" describes the links be too to provide guidance on what you would like toand monitor and leading from the Inputs to broad your project (money, expertise, equipment...) the project evaluate.

A mission statement is the general thrust of the organization that is Activities to these results. Results may be: anchored on its vision. It is the very reason for its existence – and allows you 1. Direct or indirect to think clearly about what you want to achieve/aim for. Aims or goals should show an understanding of the needs of the target group. These are more 2. Dependant solely on project activities, or dependant on a host of events, only some precise statements that are easier to evaluate. Aims and objectives are linked of which are under project control in the following way:

3. Easily visible in the short term, or discernable only with difficulty in the long term for • Aims/Goals areaspects. the changes youthat are the trying to achieve tendoftoa start economic, social or environmental Note social value(aims added project with words that indicate a change e.g. to increase, to reduce, to expand, to should not be ignored. enable, to develop, to improve, etc.)

4. Planned, or unplanned 5. Positive or negative.

• Objectives are the methods by which you achieve your aims/goals (objectives tend to start with words that indicate activity e.g. to organize,

It is useful to have a visual diagram of thetocausal chain leadingtotoestablish, the expected to conduct, to provide, distribute, to produce, etc.) results, so drawing this diagram is the next step. The first links in the chain consist of the inputs ii) Objectives should be SMART (Specific, Measurable, Attainable, Realistic, that project participants will bring to the project activities. The succeeding links Timebound) represent consequences of the projects' activities with each subsequent link being iii) Allthe participants shouldofagree on the projects aims and objectives, otherwise further removed from direct inputs the project. this could be a source of conflict later on

While the term "chain" to use, inthe most worldthe is scope more of complex iv) Withisa convenient shared understanding, nextcases, step is the to clarify the than a linear sequence of causes and effects. monitoring and evaluation systemGenerally, your project results, and in particular the long term, downstream, indirect results, will depend on actions and d) Input-Output-Outcome-Impact conditions outside of the project's control. Where appropriate, note these actions and conditions. You i)will needa diagram to use oflocal knowledge of the specific project context to Make your project identify them.

Projects aim at results. If the project objectives, in terms of expected results, are not clearly understood, return to Step 1a.

The links of the chain lead from the Inputs that the project partners have committed to

Thetoterm “causal chain” describes the links leading Inputs to your bring to the activities, results which may be quite distant fromfrom thethe projects activities, (money, expertise, equipment...) andproject the project Activities to these and that may dependproject on circumstances or inputs that the cannot control, or even results. predict.

In many cases, project teams will aim to establish a causal chain extending to fulfilling elements of National Development Strategies, or to some of the Millennium Development Goals.

Inputs

Activities

Outputs

Outcomes

Impacts

Inputs. Materials and services brought to the field by the project, or by project stakeholders.

Examples: money, equipment such as gensets, technical support services, counselors and experts...

Activities. What the project does.

Examples: mobilizing communities and holding workshops, building power stations and electricity grids, demonstrations of new technology, installing solar water heaters…

52

project team.

Examples: electricity service to a village, production of improved stoves, definition of CLIMATE-SMART PLANNING AND MANAGEMENT sustainable forest management practices, drafting of an energy law...TRAINING PROGRAM MODULES Another way to look at the causal chain is: Overall Aim

Why we do it

Specific Aim Objectives

What we do

Impact

Outcomes

Outputs

Inputs

Table 11.3. Another way toresults look at the chainactivities Output – Tangible of causal program

Outcome – Change in behavior/practice (people/organizations) Results may be: Impact – Change in the lives of disadvantaged people

1. Direct or indirect 2. Dependent solely on project activities or dependent on a host of Indicators events, only some of which are under project control 3.

Easily visible inmonitoring the short term or discernible only with difficulty in the i) Developing questions long term for economic, social or environmental aspects. Note that the After objectives and activities are reviewed, discuss the information needed to help social value added of a project should not be ignored. know if activities are going well. Focus on the questions "What do we want to know?"

4. Planned, or unplanned and "What do we monitor that will tell us this?‖ 5. Positive or negative

The facilitator can write (or draw), on large sheets of paper or a blackboard, monitoring questions generated around objective activity.

There should agreement Iteach is useful to have and a visual diagram of the causal be chain leading to by the the group on each monitoring question.

If many questions are generated they can be expected results, so drawing this diagram is the next step. The first links ranked in order of importance to give key of questions. in the chainus consist the inputs that project participants will bring to the project activities. The succeeding links represent consequences of the

ii) projects’ Developing activitiesindicators with each subsequent link being further removed from The key questions tell us what we want to know – from these indicators can be the direct inputs of the project. developed – information that will tell us the answers. Types of indicator: Althoughand the term “chain” is convenient to use,tointhe mostactivity cases, the world Input indicator – amount of human financial resources devoted is more complex than a linear sequence of causes and effects.

Generally, Output indicators – measures progress towards meeting objectives e.g. number of project results, and in particular the of long-term, materials produced; numberyour of training sessions run; number people downstream, trained etc indirect results, will depend on actions and conditions outside of the project’s Outcome indicators – measures progress towards meeting specific aims/goals control.

Where appropriate, note these actions and conditions.

Impact indicators – demonstrate longer-term change relating to the overall missionYou of will need to use local knowledge of the specific project context to identify the organization/project them.

You will need to find ways to measure the changes resulting from your project’s activities. The direct changes or outputs (such as the number of cook stoves made by The links of the chain lead from the Inputs that the project partners have the collective) may be easier to measure than the outcomes as reduced fuel committed to bring to the activities, to results(such which may be quite distant consumption) or impacts (such as improved health and well being or gender equity). from the projects activities, and that may depend on circumstances or inputs that the project cannot control, or even predict.

CCC-CCO, GGGI Philippine Programme May 2012

III. 34

In many cases, project teams will aim to establish a causal chain extending to fulfilling elements of the National Development Strategies, or to some, of the Millennium Development Goals.

Inputs Materials and services brought to the field by the project, or by project stakeholders.

Examples: money, equipment such as gensets, technical support services, counselors and experts.

VOLUME 3 MODULE 11 MONITORING AND EVALUATION

Activities What the project does.

Examples: mobilizing communities and holding workshops, building power stations and electricity grids, demonstrations of new technology, installing solar water heaters.

Outputs Goods and services whose production is directly under the control of the project team.

Examples: electricity service to a village, production of improved stoves, definition of sustainable forest management practices, drafting of an energy law.

e) Indicators i) Developing monitoring questions After objectives and activities are reviewed, discuss the information needed to help know if activities are going well. Focus on the questions “What do we want to know?” and “What do we monitor that will tell us this?‖ The facilitator can write (or draw), on large sheets of paper or a blackboard, monitoring questions generated around each objective and activity. There should be agreement by the group on each monitoring question. If many questions are generated, they can be ranked in order of importance to give us key questions. ii) Developing indicators The key questions tell us what we want to know – from these indicators can be developed – information that will tell us the answers.

Types of indicators • Input indicators are the amount of human and financial resources devoted to the activity • Output indicators measure progress towards meeting objectives, e.g. number of materials produced, number of training sessions run, number of people trained, etc.

• Outcome indicators measures progress towards meeting specific aims/ goals • Impact indicators demonstrate longer-term change relating to the overall mission of the organization/project You will need to find ways to measure the changes resulting from your project’s activities. The direct changes or outputs (such as the number of cook stoves made by the collective) may be easier to measure than the outcomes (such as reduced fuel consumption) or impacts (such as improved health and well-being or gender equity).

53

54

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

How can I/we collect the data?

STEP

2

STEP

3

Tools Decide which tool will give you the answer (indicator) to your key question.

Sampling methods When collecting some kinds of information it is important to choose the sample (usually the people from whom you are going to obtain information) that will provide the most accurate information. Frequency of data gathering will also need to be determined.

How will I/we use the information to make decisions?

Data analysis: Analyzing information Whether you are looking at monitoring or evaluation, at some point you are going to find yourself with a large amount of information and you will have to decide how to make sense of it or how to analyze it. If you are using an external evaluation team, it will be up to this team to do the analysis, but, sometimes in evaluation, and certainly in monitoring, you, the organization or project, have to do the analysis.

Analysis is the process of turning the detailed information into an understanding of patterns, trends and interpretations. The starting point for analysis in a project or organizational context is quite often very unscientific. It is your intuitive understanding of the key themes that come out of the information gathering process. Once you have the key themes, it becomes possible to work through the information, structuring and organizing it. The next step is to write up your analysis of the findings as a basis for reaching conclusions and making recommendations.

Reporting/taking action Monitoring and evaluation have little value if the organization or project does not act on the information that comes out of the analysis of data collected. Once you have the findings, conclusions and recommendations from your monitoring and evaluation process, you need to: • • • •

Report to your stakeholders Learn from the overall process Make effective decisions about how to move forward, and, if necessary, Deal with resistance to the necessary changes within the organization or project, or even among other stakeholders

Organizations and projects that do not learn, stagnate. The process of rigorous monitoring and evaluation forces organizations and projects to keep learning and growing.

VOLUME 3 MODULE 11 MONITORING AND EVALUATION

Further steps STEP

4

Write a draft M&E scheme You must now complete an M&E table (simplified log frame) by: 1. Deciding who will carry out the tasks (collect the data, etc.) as defined in the table. You may wish to call on outside expertise to carry out some tasks, as this would increase the credibility of the results.

2. Determining how and when the baseline will be measured, and at what frequency further measurements will be made.

3. Estimating the duration and cost of each task. Examine your draft M&E scheme. Do you feel that it will meet stakeholder needs, at a reasonable cost?

You may at this point have to proceed by iteration to arrive at a reasonable cost/quality compromise. You may wish to transform your causal chain diagram and indicators table into a text document.

STEP

5

STEP

6

Validate your scheme with your M&E stakeholders Present your draft M&E scheme to the stakeholders identified in Step 1, to see if it meets their needs.

Integrate stakeholder comments into M&E design

The reaction of your stakeholders to your draft M&E scheme will determine how you may proceed.

Option 1: Stakeholders validated the draft scheme The M&E scheme can now be considered to be complete.

Option 2: Some stakeholders have expressed reservations or criticism of the draft scheme Do not worry, creating an M&E scheme is usually an iterative process. Go back to Step 1, and see if you can find ways to meet stakeholder needs, at a reasonable cost.

Option 3: You have been through several iterations and some stakeholders are still unsatisfied What are the sources of the problem? Are stakeholder expectations unrealistic, or maybe demanding? For instance, are you being asked for a rigorous proof of impact on national development goals or MDGs? You can explain to the stakeholder that within the M&E Guide, there are time and resource constraints.

Therefore, it is not possible to rigorously prove the impact on the MDGs? Can you perhaps find acceptable “proxies” for MDG/development impact? Perhaps the difficulties in developing a satisfactory M&E scheme indicate fundamental difficulties in the project’s design. Discuss project design with stakeholders, to see if they are fundamentally in agreement, both with the activities, and with the elements of risk inherent in the project results. Discuss redesigning, changing the activities, or adding risk mitigation measures to resolve the problem.

55

56

CLIMATE-SMART PLANNING AND MANAGEMENT TRAINING PROGRAM MODULES

References Philippine Rural Reconstruction Movement (PRRM). 2007. Managing Development for Sustainability. PRRM-Conrado Benitez Institute for Sustainability (CBIS) Philippine Rural Reconstruction Movement (PRRM). 2007. Participatory Monitoring, Evaluation and Learning Specialized Course. PRRM-Conrado Benitez Institute for Sustainability (CBIS) Practical monitoring and evaluation. Dr. Jean Ellis; Charities Evaluation Services. 2002 Performance Monitoring and Evaluation TIPS. USAID Center for Development Information and Evaluation. No 1. 1996 Performance Indicators: use and misuse. Charities Evaluation Services. Discussion Paper 5. 1998 The Community’s Toolbox: The idea, methods and tools for participatory assessment, monitoring and evaluation in community forestry. Food and Agriculture Organization of the United Nations. Rome. 1990 Monitoring and Evaluation. Janet Shapiro. Civicus.