Product Brochure: Sustainable Integrated Management and Planning for Local Government Ecosystems

SIMPLE

Sustainable Integrated Management and Planning for Local Government Ecosystems

Imprint As a federally owned enterprise, we support the German Government in achieving its objectives in the field of international cooperation for sustainable development.

Published by Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH

Registered offices Bonn and Eschborn, Germany T +49 228 44 60-0 (Bonn) T +49 61 96 79-0 (Eschborn)

Responsible Dr. Walter Salzer Environment and Rural Development Program Program Director and Principal Advisor Dr. Herwig Mayer Decentralization Program Program Manager 2/F PDCP Building Rufino cor. Leviste Streets Salcedo Village, Makati Philippines T +63 2 892 9051 I: www.enrdph.org E: walter.salzer@giz.de herwig.mayer@giz.de Source and Copyrights © 2012 GIZ Author and Editors Dr. Andreas Lange E: andreas.lange@giz.de Cecilia Astilla • E: cecilia.astilla@giz.de Dolores Nuevas • E: dolores.nuevas@giz.de Marifel T. Moyano Layout/Design Marifel T. Moyano Photo sources and credits The photos in this publication are owned by the Environment and Rural Development Program unless otherwise indicated on the photo.

Maps The geographical maps are for information purposes only and do not constitute recognition under international law of boundaries and territories. GIZ does not guarantee in any way the current status, accuracy or completeness of the maps. All liability for any loss or damage arising directly or indirectly from their use is excluded.

Printed and distributed by Environment and Rural Development Program Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH Place and date of publication Manila, Philippines October 2012

Contents

Acronyms & Abbreviations Summary

4

Five reasons to use SIMPLE

7

The necessity for land use planning and management

8

Policy Settings and Contributions

12

SIMPLE Goals and Objectives

16

SIMPLE Pillars for Sound Territorial Governance

20

Stakeholders’ Role

26

SIMPLE Phases Overview of the Five Phases Phase 1: Trainer Pool Formation Phase 2: Linking Provincial with Municipal or City Development Strategies Phase 3: Comprehensive Land Use Planning Phase 4: Linking Plans and Budgets: Comprehensive Development and Investment Programming Phase 5: Management and Implementation: Monitoring of Budgets and Expenditures and Enforcement of Zoning Ordinance

5

28 30 32 33 35 35

Estimated Costs

37

Emerging Results

40

Lessons Learned Success Factors

45

Annex SIMPLE Detailed Costs

48

52

acronyms & abbreviations A&D AIP ANGOC BDP BLGF CBMS CCA CCC CDP CLUP DAR DBM DENR DILG DoF DRM ELA EnRD FLUP GIS GIZ GPS HLURB ILC IRA JMC LA LCE LDIP LGF LGU

4

Alienable and disposable Annual Investment Plan Asian NGO Coalition Barangay Development Plan Bureau of Local Government Finance Community-based Monitoring System Climate Change Adaptation Climate Change Commission Comprehensive Development Plan Comprehensive Land Use Plan Department of Agrarian Reform Department of Budget and Management Department of Environment and Natural Resource Department of Interior and Local Government Department of Finance Disaster Risk Management Executive Legislation Agenda Environment and Rural Development Program Forest Land Use Plan Geo Information System Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH Geographic Positioning System Housing and Land Use Regulatory Board Inter Local Cooperation Internal Revenue Allocation Joint Memorandum Circular Legislative Agenda Local Chief Executive Local Development Investment Program Local Government Finance Local Government Unit

LITP M&E MENRO MIT MOA MoU MPA NAMRIA NCIP NDRRMF NEDA PAFID PLPEM PLUC PPA PPFP R2R RA RLPS RPS SIMPLE SB SP VSU ZO

Leyte Island Trainers Pool Monitoring and Evaluation Municipal Environment and Natural Resource Officer Municipal Implementing Team Memorandum of Agreement Memorandum of Understanding Marine Protected Area National Mapping and Resource Information Authority National Commission on Indigenous Peoples National Disaster Risk Reduction and Management Framework National Economic and Development Authority Philippine Association for Intercultural Development Provincial and Local Planning and Expenditure Management Provincial Land Use Committee Program, Project, and Activities Provincial Physical Framework Plan Ridge to Reef Republic Act Rationalized Local Planning System Rationalized Planning System Sustainable Integrated Management and Planning for Local Government Ecosystems Sangguniang Bayan Sangguniang Panlalawigan Visayas State University Zoning Ordinance

Summary SIMPLE is an integrated ecosystems planning and management approach. It is designed to help local governments to plan and manage their entire land territory, be it public, private or ancestral lands. The needs for the fast growing population of the Philippines have put heavy stress on forests, agricultural lands, coastal areas and settlements. This forces local governments to assign new land areas for commercial use, residential developments or other social and economic activities. Unsustainable practices, such as logging, illegal fishing or land conversion are often the consequences and aggravate the pressure on natural resources or infrastructures.

SIMPLE supports multiple policies, above all the The Philippine Development Plan (2011-2016), where the Integrated Ecosystem-based Management is adopted as a major strategy. It also supports policies and guidelines for local governments, such as the National Convergence Initiative’s strategies to improve rural development, the initiatives of national government agencies to mainstream climate change adaptation and disaster risk reduction or other important topics such as improved budgeting and expenditure management at the local level.

70% of all local governments have outdated or no land use plans at all that could address these issues.

SIMPLE sees all ecosystems in their holistic importance for the land resources of a local government unit. It has three main advantages to offer: first, it enables local governments to manage their entire territory from ridge-to-reef. It integrates planning and management into the Comprehensive Land Use Plan (CLUP) for all lands including the 15km municipal water zone. This allows to address climate change adaptation and disaster risk reduction measures. Second, it empowers communities. SIMPLE builds on a participatory land use and development planning process starting at the barangay level. This increases tremendously the accuracy of data, the ownership and acceptability of projects and priorities as well as the compliance with zoning regulations. Third, SIMPLE develops long-term capacity at the local level at affordable costs because it provides tools and instruments adjusted to locally available knowledge and capabilities.

With this, SIMPLE stands on two pillars: ridge-to-reef planning as well as management and implementation.

SIMPLE requires the participation of the Provincial Government along with its component municipalities and cities. The five phases of SIMPLE build on a three-level intervention by the province, municipalities and cities and barangays. The overall costs for the Provincial Government to build a pool of trainers and acquire needed equipment are estimated at PhP2 million. Each municipality needs an investment of about PhP2 million.

Of the 35 municipalities and cities currently implementing SIMPLE, three have approved their land use plans and zoning ordinances. 11 municipalities will finalize their plans in 2012. 332 out of 910 supported barangays are implementing their barangay development plans with 48,400 households benefitting in Leyte Island alone. The use of Geographic Information Systems (GIS) has greatly improved the data basis and led to a correction of boundary measurements in almost all supported areas. Climate change adaptation and risk reduction measures are likewise integrated into the plans. For the first time, local governments can now implement a ridge-to-reef zoning ordinance, link plans with budgets and expenditures and manage their entire land area based on a sound planning document.

5

Five reasons to use SIMPLE:

1

SIMPLE is an integrated ecosystem planning and management approach that enables municipalities and cities to manage or co-manage their entire territory from ridge-to-reef, be it public lands, private lands or ancestral domains.

2

SIMPLE empowers the local communities, because it builds on a participatory land use and development planning process starting at the barangay level.

3

SIMPLE develops long-term capacity at the local level at affordable costs because it provides long-term capacity building along with tools adjusted to locally available knowledge and capabilities.

4

SIMPLE links investment plans with budgets and expenditures and monitors the compliance with the zoning ordinance.

5

SIMPLE helps reduce impacts from disasters and climate change by providing tools and instruments for local governments to cope with such risks.

8

© ANGOC

© Jacqueline Hernandez

The necessity for land use planning and management

Limited lands, multiple and competing uses Land may be used in many different ways. It may be used for commercial purposes or meant to make a living, it can serve ecological conservation or used for agricultural production. With a continuously growing population, a great majority of the people depend on land resources for their livelihood and welfare.

This puts heavy pressure not only on the country’s forests, prime agricultural lands and coastal resources but also on settlements. The fast growing population needs more space for economic activities. This urges Local Governments to assign new land areas for developments, which often destroy the best agricultural lands. The poor are driven to the uplands, where they often resort to unsustainable practices such as kaingin (slash-and-burn) and cutting down of trees. This aggravates erosion, affects water supply and causes river siltation with negative effects unto agricultural and coastal areas downstream. Communities in low-lying areas suffer, for instance, from flooding, because of deforestation. Other hazards threaten settlements, such as earthquakes, landslides or tsunamis and disaster-prone areas are often not identified. Urban poor are driven to riverbanks, where their housing structures or discharged waste cause clogging of urban waterways, while they themselves fall victim to floods. Fishermen cannot catch enough fish from the sea to feed their growing families because of river siltation that destroys the reefs and because overfishing is diminishing fish stocks.

The challenges to sound territorial development According to estimates by HLURB, 70% of all municipalities and cities in the Philippines have outdated or no land use plan at all. The land use plans of 947 municipalities and cities have expired latest in 2002 (292 out of those 947 did not have an approved Comprehensive Land Use Plan (CLUP) since 1994). This means that only 484 municipal governments have an updated CLUP in place that was approved after 2003. The challenges that local governments face in developing and managing their own territory include: Lack of capacity and expertise in land use planning Local governments often lack the capacity and expertise to formulate such plans. Hiring of consultants can become very expensive and the acceptance by the communities of plans written by outsiders is usually very low.

9

SIMPLE The necessity for land use planning and management

Lack of ownership over externally-formulated land use plans Many municipal governments do not use their land use plans for decision-making because they have been written by consultants for compliance and thus, are not understood by them. In many instances, such plans are of low quality or even contain false information.

Fragmented and multiple sectoral plans The multitude of required planning documents discourages integrated planning. Although cities and municipalities are provided the power to formulate Comprehensive Land Use Plans (CLUP) and manage their entire territory (Local Government Code of 1991, sections 20, 447, 458), public and ancestral lands are often excluded from the current prescribed CLUP as the three regulatory agencies, namely the Housing and Land Use Regulatory Board (HLURB), Department of the Environment and Natural Resources (DENR) and the National Commission on Indigenous Peoples (NCIP) require different planning documents for the three different types of land (public, private, ancestral domains).

Figure 1 lists some of the prescribed plans to local governments from uplands to municipal waters.

The multitude of plans demonstrates inefficiency in planning and can lead to conflicting land uses that hinder the optimal use of land. For example, Figure 2 shows overlapping claims from ancestral domains, protected areas and claims for mining tenements. Such claims can only be resolved if an integrated plan for the entire local governments’ territory can be formulated and implemented.

Figure 1: Some of the current prescribed plans to local governments from uplands to municipal waters .

* According to current guidelines

Coastal & Marine

Lowland

Forest

Upland Forest Land Use Plan (FLUP)

Comprehensive Land Use Plan (A&D Lands)*

Integrated Resource Management Plan (IRMP) Ancestral Domain Sustainable Development Protection Plan (ADSDPP) Integrated Ecosystem Management Plan

Comprehensive Development Plan Barangay Action Plan KALAHI-CIDSS

Agrarian Reform Community Development Plan (ARCDP) Agriculture and Fisheries Modernization Plan (AFMP) Infrastructure Planning Coastal Fisheries Resource Management Plan

10

Implementing Agency

HLURB

DENR

DA

DAR

NCIP

DILG

Various

SIMPLE The necessity for land use planning and management

Figure 2: Overlapping land claims .

Ancestral domains (red) Protected Areas (blue) Application for Mining Tenements (black) Forest cover (green)

The need to know how to integrate climate change and disaster risks into local planning The effects of climate change, which result in a significant increase in the frequency and intensity of weather-related disasters, call for stricter land use policies that give priority to life and safety, as well as food security and environmental conservation. Geo-hazard risks, such as earthquakes and tsunamis, need to be assessed as well.

SIMPLE: An integrated ecosystems planning and management approach In response to these pressing issues and in cooperation with national and local partners, GIZ has developed SIMPLE to help local governments to undertake integrated comprehensive land use planning on their own and to manage land more effectively. SIMPLE is an integrated ecosystems planning and management approach. That means that all local ecosystems are integrated in the plan and seen in their holistic importance for the land territory of the local governments. SIMPLE contains process descriptions, training tools and management instruments for provinces, municipalities / cities and barangays. Local planners and facilitators on their own can apply all tools provided, such as software solutions, guidebooks or ready-to-use facilitation techniques. Localized trainings will lead to long-term capacity building at the local government level, which will lower the costs for planning.

SIMPLE can thus greatly contribute to a sound territorial management of the local governments in the medium and long term.

11

SIMPLE Policy Settings and Contributions SIMPLE supports multiple policies within the umbrella of environment and natural resources sector. Priorities outlined in the implementation of national action plans on forests and watersheds, coastal and marine resources, climate change and disaster risk management are supported and described in Table 1. The main key policy supported is The Philippine Development Plan (2011-2016), where the Integrated Ecosystem-based Management is adopted as a major strategy. SIMPLE supports the National Convergence Initiative agencies tasked to carry out this strategy to improve rural development.

In support of pushing forward sustainable management of the country’s environment and natural resources, SIMPLE’s contribution in the policies described in Table 1 are in the areas of:

Effective environmental governance • Encourage multi-stakeholder participation to manage their own natural resources • Tenurial security both in the upland and coastal areas by encouraging Co-Management agreements with DENR • Improving database and digitization of spatial information

Institutional strengthening and capability-building • Providing assistance to local governments to develop and implement local environment and natural resources management plans • Integration of disaster risk reduction and climate change adaptation in local development plans in the updating of Comprehensive Land Use Plans by municipal governments and enforcement of zoning ordinances

Implementing Convergence Initiative • Build partnerships between and among the local communities, local governments and government agencies to ensure that local development interventions are based on actual needs and aspirations of the community • Achieve spatial integration within the different ecosystems and ensure environmental integrity and sustainability

12

SIMPLE Policy Settings and Contributions

Table 1. Key relevant policies supported and complemented by SIMPLE Year of adoption

Key relevant policy / framework/ regulations

Areas of priorities / action

1987

Constitution, Article XII, Sec.6

The use of property bears a social function, and all economic agents shall contribute to the common good. Individuals and private groups, including corporations, cooperatives, and similar collective organizations, shall have the right to own, establish, and operate economic enterprises, subject to the duty of the State to promote distributive justice and to intervene when the common good so demands.

1991

Sec. 20 (c), Local Government Code of 1991 (RA 7160)

The local government units shall, in conformity with existing laws, continue to prepare their respective comprehensive land use plans enacted through zoning ordinances which shall be the primary and dominant bases for the future use of land resources: Provided, that the requirements for food production, human settlements, and industrial expansion shall be taken into consideration in the preparation of such plans.

2011-2016

The Philippine Development Plan

Improved conservation, protection and rehabilitation of natural resources. Integrated ecosystem-based management will continue to be adopted as a major strategy for sustainable natural resource management

2009

The Climate Change Act (2009)

Ensure and strengthen the adaptation of the country’s natural ecosystems and human communities to climate change

2010

National Framework Strategy on Climate Adopted by the Climate Change Commission and is the country’s Change roadmap towards climate change resiliency. It is to be implemented at the local level with the local government unit as the frontline agency in the formulation, planning and implementation of its climate change action plan. Building an economically stable and ecologically sustainable town, also known as Ecotown, is a key approach.

2010

Republic Act 10121 (Philippine DRM Act Mainstreaming disaster risk reduction and climate change adaptation of 2010) and the National Disaster Risk in planning and implementation Reduction and Management Framework (NDRRMF)

2009

Joint Memorandum Circular 2009 for the Harmonization and the Comprehensive Land Use Plan and the Comprehensive Development Plan

2008

Joint Memorandum Circular (JMC No. To harmonize all local governments’ relevant schedules and 001, Series of 2007) on Harmonization of requirements for planning, investment programming, budgeting as Local Planning, Investment Programming, well as revenue and expenditure management Revenue Administration, Budgeting and Expenditure Management

1999

Joint Memorandum Circular (JMC) No. 1, Series of 1999) and succeeding related policies

Provide description of how the Comprehensive Land Use Plan and Comprehensive Development Plan can be formulated jointly and more efficiently

Establishes the Convergence Initiative towards rural sustainable development of the three rural development agencies DA, DAR and the DENR

13

SIMPLE Policy Settings and Contributions

National Guidelines supported and implemented by SIMPLE Guidelines on Provincial and Local Planning and Expenditure Management (PLPEM), 2007 | NEDA Comprehensive Land Use Plan Guide Book: A Guide to Comprehensive Land Use Plan Preparation | HLURB Budget Operations Manual for Local Government Units (2008 Edition) | DBM Rationalized Local Planning System, A Source Book, 1st Edition 2008 and Comprehensive Development Plan, 1st Edition 2008 | DILG • The Statement of Receipts and Expenditures Manual For Local Government Units (2008) | BLGF • Guidelines on Forest Land Use Planning (FLUP) | DENR

• • • •

Environment and natural resource financing • Ensure rightful share of environment and natural resources activities and priorities in local government budgets • Enhance collection of taxes / revenues pertaining to environment • Utilize disposable public and government land assets and resources, balancing economic environmental, and social development objectives.

SIMPLE draws on the Rationalized Planning System promoted by the Department of Interior and Local Government (DILG). The Rationalized Planning System is currently implemented following the passage of the Joint Memorandum Circular (JMC) No. 1, Series of 2007 signed by the National Economic and Development Authority (NEDA), Department of Interior and Local Government (DILG), Department of Finance (DoF), and the Department of Budget and Management (DBM) with the Housing and Land Use Regulatory Board (HLURB) as an extended member.

SIMPLE in itself is not a policy guideline. It is rather a collection of processes, management tools and methods to implement existing guidelines and policies more efficiently to capacitate the local governments nationwide.

All relevant guidelines used and supported by SIMPLE can be found at www.jmc2007compendium.com.

14

SIMPLE Goals & Objectives • Pillars for Sound Territorial Development • Stakeholders’ Role • Phases • Estimated Costs

SIMPLE Goals and Objectives

SIMPLE enables local governments to manage their entire territory from “ridge to reef” SIMPLE encourages local governments to integrate all nonurban areas into their land use plans. This has not been common practice in the past, simply because it was not mandatory and appropriate methods and tools were not available.

A typical rural town consists of between 40% to 60% public land. A key approach therefore involves including forest land use planning (FLUP) in the Comprehensive Land Use Plan. The forest lands will be surveyed and protection and production zones will be identified as desribed in the FLUP guidelines. For the coastal areas, this means foremost the delineation of the 15km municipal water zone. This includes not only resolving boundary issues but also the delineation into water use zones.

Protection and production purposes have to be balanced just as in the forest areas. The establishment of Marine Protected Areas is often an important result of coastal planning.

Ridge-to-reef planning and management will also help to include climate change adaptation and disaster risk reduction measures in the land use plan. Mapping the risks and hazards is the prerequisite to draw up proper conclusions where to locate people, infrastructure, agriculture or nature protection areas.

The core of every land use plan is the delineation of allowed uses in various zones in both public and private lands. The Zoning Ordinance (ZO) as the legal instrument must be enforced to reach compliance of citizens

16

Global Positioning System Field Survey

17

SIMPLE Goals and Objectives

with the prescribed land uses. SIMPLE provides a ready-to-use template for local governments to cover all lands. This will greatly improve the land use efficiency by assigning and monitoring the right use of land to certain zones and its strict enforcement and compliance.

With the assigning of proper land uses and monitoring its compliance, negative effects stemming from land conversions or uncontrolled urban growth can be limited. Prime agricultural lands can be maintained and crucial ecosystems will continue to provide services, such as clean water supply, fish or wood. This builds healthy communities because it supports social stability, peace and order and livelihood for the poorest. Business enterprises will benefit from clearer rules and regulations and more transparency in possible land uses for private investments. The development of housing and social infrastructure becomes safer and faster as local governments will identify priorities and the feasibility of public investments based on sound plans.

“In the past, we are just planning everything with a few people. It was just the Municipal Planning and Development Office, the consultants and the Mayor. With SIMPLE, the grassroots are involved, the barangays are well represented.

Before, there were no thematic maps like flood maps but with SIMPLE, people became aware of the hazards and proper land use planning is being implemented.”

Fernando Sarile Jr., Municipal and Development Planning Officer, Municipality of Javier, Leyte

SIMPLE empowers communities SIMPLE builds on a participatory land use and development planning process starting at the barangay level by communities for communities.

This does not change the usual local development planning process but adds a participatory element to it.

The output of this process is a barangay development plan (BDP) that feeds into the local development plans (CLUP and CDP).

What this facilitated participatory planning does change, fundamentally, is how the plan is made. It ensures that people directly affected by the plan and those who will implement it also participate in its formulation. In short, they make the plan. This process can dramatically change the insight and accuracy of the situational analysis, the practicality of the target results, the acceptability of the methods, and hence the probability of successful implementation. Last but not least, communities will comply with the plan because they were consulted during its formulation.

18

“It was easy for us to produce maps with calculations of land uses for certain areas and present them to the barangay constituents based on their proposals because we use GIS.” Errol Ripalda, GIS staff of Municipality of Alangalang, Leyte

SIMPLE develops local capacities at affordable costs SIMPLE’s participatory nature improves the data basis for planning, helps prioritize investment projects and guarantees compliance with zoning regulations. It uses locally available knowledge and builds on the experience of the people. Its core is the establishment of a pool of trainers at the provincial level that provides trainings to municipalities and cities including the use of Geographic Information Systems (GIS). This lowers costs as the employment of external experts is largely reduced.

It is innovative in its easy-to-understand description and application of the rather complex planning guidelines currently prescribed. It adapts important topics, such as land conflicts, budgeting and revenue management, gender, disaster risk reduction and climate change adaptation to the locally available capacity of planners and community workers. Communities are encouraged to try out innovative methods and techniques to showcase how to reconcile the conservation of natural resources with food security, income generation and other needs.

19

SIMPLE Pillars for Sound Territorial Development SIMPLE stands on two pillars: Ridge-to-Reef planning and management and implementation.

For each of the two pillars, SIMPLE provides specific tools and instruments. Each pillar is further divided into phases. Both pillars are connected with long-term capacity building to sustain the support. Phase 1, the establishment of the trainer pool, lays the ground for the successful use of SIMPLE and binds the two main pillars together. Phase 2 to 4 focus on the integrated ecosystem planning including investment planning and budgeting at municipal and barangay level.

Management and implementation is described in Phase 5.

SOUND TERRITORIAL DEVELOPMENT

Comprehensive Land Use Plan with Comprehensive Development Plan, Investment Programming and Budgeting

Coastal

Lowland Long-term capacity building:

PILLAR 1

Ridge-to-Reef Planning (Phase 2-4) Planning for dynamic and inter-connected (rural or urban) ecosystems in public, private and ancestral lands of local governments Integration of three planning layers: Province, Municipal / City, Barangay Linking plans with budgets and formulate investment programs 20

SIMPLE Pillars for Sound Territorial Development

Upland

Forests

Disaster Risk Reduction & Climate Change Adaptation

Establishment of Trainer Pool (Phase 1) PILLAR 2

Management & Implementation (Phase 5) Linking budgets with expenditures: monitor annual budgets and corresponding expenditures Zoning Ordinance enforcement, monitoring of project implementation, impact evaluation

21

SIMPLE Pillars for Sound Territorial Development

SIMPLE Links plans with budgets and expenditures at three levels SIMPLE connects existing planning steps and guidelines to a holistic approach. It “weaves” together the Provincial, Municipal and Barangay level plans and integrates them into a consistent structure. Along the way, SIMPLE introduces various innovations to make the process more efficient and gain better results (Figure 3).

“Our budgeting and planning before SIMPLE were just for infrastructure. With SIMPLE, we are also able to plan for water, environment, disaster, everything. Also, our budget especially in the barangay is linked to our plans. We now plan first according to the data we ourselves gathered and then link it to our budget.

Before we budgeted based on what we wanted, or on impulse.”

Fernando Sarile Jr., Municipal and Development Planning Officer, Municipality of Javier, Leyte

In the current planning framework, the provincial level is disconnected from the municipalities. Comprehensive Land Use Plans are not consistently aligned to the Provincial Physical Framework Plan, which causes serious problems and conflicts in some cases. The sectoral plans, such as the Comprehensive Development Plans, are often not connected to the Comprehensive Land Use Plan, although investment strategies need to be grounded in a spatial dimension. SIMPLE therefore links all planning steps together to undertake land use planning jointly with sectoral planning, investment programming and budgeting, using the provincial framework as a guidepost.

22

Figure 3: SIMPLE’s Three Level Approach and its innovations

SIMPLE Pillars for Sound Territorial Development

Province

Uses the development directions provided by the Provincial physical framework for municipalities and accounts for: Critical watershed, protection areas, rivers and catchments Hazards and risk (geohazards, flooding, landslides, etc.)

Infrastructures (existing and planned) Data Provides technical support to component municipalities and cities through the trainer pool and the GIS unit

development strategies on the directions of the provincial physical framework and plans Municipality Bases holistically (ridge-to-reef) for its entire territory using the indicative strategic plan matrix Develops investment programs and implements plans Incorporates vulnerability asessment to address climate change impacts and disaster risks or City Establishes local GIS units Forms Municipal Implementing Teams to facilitate planning process

Barangay

Integrates participation of communities for planning as basis for Comprehensive Land Use Plan and this helps ensure ownership and compliance with zoning regulations Priority setting for community projects to channel internal and external funding Council and community to support planning process

23

SIMPLE Pillars for Sound Territorial Development

The tri-level process guarantees that all local governments plans are aligned to the physical framework of the province and comply with prescribed land uses, such as hazard zones, protection areas or critical watersheds. As Figure 4 shows, SIMPLE links planning and budgeting from the Provincial Physical Framework Plan all the way down to the annual investment plan and the monitoring of expenditures. This ensures a consistent spatial structure within the provincial framework.

Figure 4: Innovations of SIMPLE within the Rationalized Planning System

Provincial Physical Framework Plan Derive development directions for CLUP Barangay consultations for data analysis, mapping and priority setting Ridge-to-Reef Comprehensive Land Use Plan (CLUP) including Disaster Risk Reduction and Climate Change Adaptation

Settlement Policies

Protection land Policies

Production land Policies

Ridge-to-Reef Zoning Ordinance

Infrastructure Policies

Other Regulatory Measures

Comprehensive Development Plan (CDP) Social

Economic

Infrastructure

Local Development Investment Program

Environmental Management

Legislative Support Measures

Executive and Legislative Agenda (ELA)

Annual Investment Annual Budget Annual Expenditure Monitoring

Innovations of SIMPLE

24

Institutional

SIMPLE Pillars for Sound Territorial Development

SIMPLE as an integrated ecosystem planning and management approach SIMPLE provides an integrated ecosystem planning and management approach. This is often called a “ridge-to-reef ” approach or “R2R”. This means that planning for land has to recognize the dynamic interrelationships and interconnectedness of ecosystems from the mountains (landscaperidge) to the seas (seascape-reef ). As such it helps municipalities and cities to plan for their entire land area and not only for private lands.

SIMPLE provides the necessary yet easy-to-understand training tools and management instruments to keep local ecosystems productive and healthy. SIMPLE also offers new and ready-to-use tools and templates to formulate, pass and enforce the necessary local regulations, such as a ridge-to-reef zoning ordinance. Figure 5, shows an example of a Ridge-to-Reef zoning map of the Municipality of Silago, Southern Leyte.

Figure 5. The Municipality of Silago’s Ridge-to-Reef Zoning Map

25

Stakeholders’ Role

SIMPLE requires the participation of various sectors. First, it is important that both provincial government and the municipalities and cities have agreed to undertake the process. Sangguniang members both at the provincial and municipal level play an important role because they will have to approve the Comprehensive Land Use Plan and Zoning Ordinance eventually. The support of national government agencies is likewise crucial. Provinces and municipalities / cities have to partner with the oversight agencies in order to build the Trainer Pool and link the regional and provincial physical planning with local land use planning. Third, the involvement of the civil society organizations, indigenous people, the church, or any other group willing to participate is equally important.

During the set-up phase, the Provincial government plays a central role to provide funds, hardware and staff to build capacity and train the municipal planning facilitators. Barangay officials have to be on board as their role becomes crucial during the community consultations and the formulation of Barangay Development Plans. Very important can be also the building of alliances (inter-local cooperations) between local governments in order to address cross-border issues, such as joint coastlines or watershed areas.

26

SIMPLE Stakeholders’ Role

Table 2: Stakeholders of SIMPLE Level

Institution

Regional Line Agencies

Requirement

Memorandum of Agreement or similar arrangement

Objective Second trainers as members of the trainer pool to provide specialized trainings Provide technical support Share data at no costs Review plans and act as resource person

Convergance Initiative: DILG, DAR, DENR, DA, BFAR

Second trainers on specific requests and field of expertise

DA: agri-ecosystem vulnerability assessment, crop planning, irrigation, soil analysis, integrated pest management in the context of Climate Change Adaptation, upland agriculture & soild / water conservation measures including extension techniques, post harvest technologies, product market information DENR: forest ecosystem vulnerability assessment, forest management, agroforestry, watershed management, Sloping Agricultural Land Technology (SALT), slope treatment oriented measures, soil and water conservation measures, biodiversity, processing and market of indigenous forest products, Environmental Impact Assessment (EIA) BFAR: Fishpond, Mangroves, coastal vulnerability assessment, MPA planning and management, EIA-related expertises to effect ridge-to-reef EIA protocol DAR: Agrarian Reform Beneficiaries, land titling issues, People’s Organization / institutional development, EIA-related expertises to effect ridge-to-reef EIA protocol

Other organizations; agencies

Resource persons on-call for specific requests and field of expertise

DILG, Academe- governance topics applied across ecosystems, use of Community-based Monitoring System in mainstreaming Climate Change Adaptation-Disaster Risk Reduction into CLUP, investment programming, budgeting, codification, local government performance assessments

Establish Geographic Information System (GIS) unit

Executive Order; assign at least five personnel

Geographic Information System (GIS) unit to handle GIS trainings, manage Map Viewer and integrate all GIS data from municipalities and cities

Trainer Pool

Executive Order; assign at least 15 personnel to conduct trainings for munic/cities

Train municipal and city planners and their community facilitators Sustain long-term support to land use planning and management

Sangguniang Panlalawigan

Board resolution; supporting Memorandum of Understanding (MoU) with several local governments in case of an existing InterLocal Cooperation

Sangguniang Panlalawigan members have to be on board at the beginning of the process as approving body of the Comprehensive Land Use Plan and Zoning Ordinance of its component municipalities /cities

Municipal Implementing Team (MIT)

Executive Order; assign up to 10 technical and multisectoral staff (if possible not department heads)

Municipal Implementing Team will conduct: Plan facilitation together with the community GPS surveys Digitization of maps Comprehensive Land Use Plan / Zoning Ordinance writing Formulation of other important documents (Comprehensive Development Plan, Local Development Investment Plan)

Sangguniang Bayan

Board resolution; MoU with other local governments in case of an existing InterLocal Cooperation

Sangguniang Bayan members have to be on board at the beginning of the process as approving body of the Comprehensive Land Use Plan and Zoning Ordinance

Barangay council

Barangay resolution; at the request of the Local Chief Executive (LCE)

Council members to participate during consultation process and write-up of plan

Community members

At the request of the barangay council

Participate at consultations Assist in writing of documents Render voluntary services

Region

Province

Municipality or City

Barangay

27

SIMPLE Overview of

1 Trainer Pool formation

1

STEP

2

STEP

Selection of members of the Trainer Pool

Issuance of Executive Order

2 Linking Provincial with Municipal or City development strategies

1

STEP

3

STEP

4

STEP

Conduct of training of trainers and establishment of the Provincial GIS unit

Conduct of specialized trainings

2

STEP

5

Review of the development aspect

3 Comprehensive Land Use Planning

3

Filling up of the Strategic Physical Plan matrices

4

Defining an indicative land use and development strategy

Institutionalizing the Trainer Pool

STEP

1

Getting organized (Preparatory Phase)

2

Orientation and mobilization of barangaylocal governments and communities

STEP

3

STEP

4

STEP

5

STEP

6

STEP

28

1

PART

Barangay level

STEP

STEP

STEP

Review of the physical framework aspect

Barangay Resource Assessment and analysis Plan formulation and preparation Plan legitimization and adoption Plan implementation, monitoring and evaluation

the Five Phases

5 4 Linking plans and budgets: Comprehensive development and investment programming

2

PART

1

STEP

Municipal level

STEP

1

Barangay Development Plan consolidation and integration

2

Inventory of ordinances relating to Zoning Ordinance

3

Conduct of sectoral, intraand cross sectoral studies

4

Physical and development strategies finalization through a series of writeshops

5

Formulation and legitimization of Zoning Ordinance and Comprehensive Land Use Plan

STEP

STEP

STEP

STEP

Review existing Comprehensive Development Plan in relation to the Sangguniang Panglalawiganapproved Comprehensive Land Use Plan

2

Formulate Local Development Investment Program

3

Draw out Annual Investment Plan from the Local Development Investment Program

STEP

STEP

Management and implementation: Monitoring budgets and expenditures and enforcement of Zoning Ordinance

1

STEP

Review existing monitoring instruments

2

Formulation of a monitoring and evaluation plan

3

Monitor if budgets and expenditures are linked to the Comprehensive Land Use Plan, Comprehensive Development Plan and Local Development Investment Program

4

Regular monitoring and enforcement of the Zoning Ordinance

STEP

STEP

STEP

29

SIMPLE Phases

Phase 1:

Trainer Pool Formation The establishment of a Trainer Pool in every partner Province is an essential element of SIMPLE. This pool of trained local experts is built up as a service provider for municipalities and cities in the Province to implement SIMPLE.

1

Selection of members of the Trainer Pool

2

Issuance of Executive Order

STEP

STEP

3

STEP

The pool should consist of at least 15-20 trainers per province to have sufficient time and resources to multiply the concept and assist component municipal governments in its implementation. The members are composed of staff from the various offices of the Province and from municipal staff who will undergo the training of trainers on SIMPLE. Additional members from the academe, civil society organizations and Regional Line Agencies can also join the Trainer Pool.

The provincial government should formalize the secondment of its personnel to the pool of trainers with the issuance of an executive order. This will provide a sound basis to extend assistance to local government units.

Conduct of training of trainers and establishment of the Provincial GIS unit This training aims to build up initial capacity of the trainer pool members to serve as trainers and service provides to other local governments. It mainly consists of a general overview of the SIMPLE approach, the participatory rural appraisal, and the basic and advanced courses on Geographic Information System (GIS).

GIS capacities are needed in order to digitize geospatial information collected during the planning process. A special GIS data storage and viewer software (the Map Viewer) was designed by GIZ and will be provided to partners to manage data. Other GIS applications can be used free of charge, such as open source products, to create and produce geospatial information. A GIS Unit has to be set-up at the provincial level to lead this process and support other municipalities, who may choose to set up their own GIS units.

30

SIMPLE Phases

Figure 6: SIMPLE Training Modules

4

1

STEP

Conduct of specialized training The Comprehensive Land Use Plan facilitation trainings consist of several modules, such as forest and coastal planning, gender responsive planning, conflict sensitivity, climate change, disaster risk reduction & management, the plan-budget-expenditure link, and codification. This will help the pool and local partners to proceed later to the actual CLUP formulation without much external help.

Figure 6 lists SIMPLE’s 11 Training Modules.

4

Facilitation Skills

2

Climate-Change Adaptation

3

Disaster Risk Reduction and Management Conflict Management

5 Gender Responsiveness 6

Inter-level Plan Integration for Comprehensive Land Use Plan and Comprehensive Development Plan Harmonized Comprehensive Land Use Plan-

7 Comprehensive Development Plan

Integrating Forest Land Use and Coastal Fishery Resources

8 Management Plans into Comprehensive Land Use Plan / Comprehensive Development Plan

9 Development of Investment Programming and Budgeting 10

5

STEP

Codification for Local Governments

11 Geographic Information Systems (GIS)

Institutionalizing the Trainer Pool The Trainer Pool can eventually become a duly registered organization by the Securities and Exchange Commission. This registered pool can be integrated into a Consortium that is composed of local government units, the League of Municipalities / Cities, national line agencies, civil society organizations, the provincial government units and the academe. The Trainer Pool, as member of the Consortium, serves as its Secretariat. The Consortium will provide a platform for dialogue in discussing and resolving land related issues and concerns as well as responding to requests from local governments for services. Based on a needs assessment conducted by the Consortium, services can be offered such as land use planning and facilitation, plan implementation, project feasibility studies, monitoring and evaluation or the SIMPLE training and modular inputs on various thematic concerns. The Consortium will charge membership fees and offer its services against payment to cover its costs. Fees and honoraria follow the rules and regulations for service providers by the Department of Science and Technology (DOST). This fills a much-needed gap, as the Consortium can offer quality outputs at much lower costs than current service providers.

31

SIMPLE Phases

Phase 2:

Linking Provincial with Municipal or City Development Strategies

1

Review of the physical framework aspect

2

Review of the development aspect

3

Filling up of the Strategic Physical Plan matrices

4

Defining an indicative land use and development strategy

STEP

STEP

STEP

STEP

32

This crucial step links local land use with the wider provincial physical framework and regional considerations. It is important for Municipal governments to gain a good perspective of how the province lays out its physical framework and development direction as this will serve as guidepost for the individual Municipal governments’ preparation of their comprehensive land use and development trajectory. The Municipal Planning and Implementing Team is best equipped to facilitate the SIMPLE approach with a full knowledge of the watersheds and sub-watersheds that a town belongs to, the critical catchment areas and the extent of their current social and economic vulnerabilities to climate change and disasters. It will also help to understand the specific provincial strategies for the municipality and the corresponding role that the municipality or city has been assigned to within the overall physical framework of the province.

A review of the Provincial Development and Physical Framework Plan will help understand the impacts of the development interventions of the province on the specific municipality. It provides local development planning at the barangay and municipal levels with the basis for identifying programs, projects and activities (PPAs) as well as investments and budget linking them to the objectives and priorities at the provincial level.

From the big picture, the planning team fills in the strategic ecosystem spatial matrices, which aids them in closely looking at the character of the watershed. This will enable the team to draw an indicative land use and development strategy.

The analysis of the summed up matrices results to a clear picture of the disaster vulnerabilities as well as the potentials and limitations of each major ecosystem in a municipality within a broader watershed. The municipal planning team will then draw an initial development concept with the help of initial maps and findings from the steps 1-3. This will guide the municipal team when it moves on the next phase that starts at the barangay level, where it will validate and adjust the concept prior to the actual CLUP visioning exercise.

SIMPLE Phases

Phase 3:

Comprehensive Land Use Planning This phase lays down the groundwork for the updating of the Comprehensive Land Use Plan.

This phase has two important parts, Barangay and Municipal Planning. Phase 3 is subdivided in 11 steps.

1

PART

Barangay level (Steps 1-6) Part 1 is the preparation of the barangay development plan or the BDP. Starting from the synthesis of all of the data and information, the barangay development plans provide the basis for all further steps. It not only contains all crucial information about the barangay but also thematic maps, revenue estimates, priority projects and proposed land uses. At this level, most conflicts and issues surface and can be dealt with appropriately.

1

STEP

Getting organized (Preparatory Phase)

3

STEP

Barangay Resource Assessment and analysis

5

STEP

Plan legitimization and adoption

2

STEP

Orientation and mobilization of barangay officials and the community

4

STEP

Plan formulation and preparation

6

STEP

Plan implementation, monitoring and evaluation

33

SIMPLE Phases

Phase 3:

Comprehensive Land Use Planning

2

PART

Municipal level (Steps 7-11)

7

STEP

Barangay Development Plan consolidation and integration Information from Barangay Development Plans (BDPs) has to be integrated into the municipal spatial strategy.

Integrating BDPs into higher level planning creates the opportunity for further grounding and interlacing the CLUP and the Comprehensive Development Plan in the local context and gives greater meaning to the participatory requirements of planning.

9

STEP

Inventory of ordinances relating to Zoning Ordinance This step provides information on the existing ordinances.

This could be for example a review of fisheries or other regulations available.

10 STEP

Conduct of sectoral, intra and cross sectoral studies

Physical and development strategies finalization through a series of writeshops

Summarizes and consolidates the large volume of data and information (both statistical and spatial) generated from the Barangay Development Plans Conducted to formulate the development strategies of the municipality or city

Based on a cluster approach of up to seven municipalities, Comprehensive Land Use Plan and Zoning 0rdinances are drafted based on the sectoral studies, usually with the help of trainers and resource persons

11 STEP

Plan Formulation and legitimization of Zoning Ordinance and CLUP Zoning translates the land use plan into designated zones or districts (i.e.: residential, industrial, of protection and production uses in the forest or municipal waters). All lands shall be subjected to zoning. The CLUP and the Zoning Ordinance will then be submitted to the Provincial Land Use Committee for approval.

34

8

STEP

The Zoning Ordinance must have: a title and purpose based on goals of the CLUP; designation of specific zones; identification of zones uses and regulations; and provisions to administer and enforce the ordinance are in place.

SIMPLE Phases

Phase 4:

Linking plans and budgets: Comprehensive development and investment programming Phase 4 translates the long-term perspective into a three to six year comprehensive development plan as a basis for the investment program as described in the Comprehensive Develoopment Plan Guide. The plan embodies the vision, sectoral goals, objectives, and development strategies of the LGU. It contains programmed priority projects and subsequent budgeting and implementation.

Three principal instruments necessary to implement the Comprehensive Development Plan include the Local Development Investment Program (LDIP), and the Executive and Legislative Agenda (ELA). This phase will conclude with the formulation of the annual budget, which is a repetitive process. The formed Annual Investment Plan (AIP) follow important plans such as infrastructure or special projects, which all fall under this phase.

1 2 3

STEP

STEP

STEP

Review existing Comprehensive Development Plan in relation to the SP-approved Comprehensive Land Use Plan (CLUP)

Formulate Local Development Investment Program

Draw out Annual Investment Plan from the Local Development Investment Program

Phase 5:

Management and implementation: Monitoring of budgets and expenditures and enforcement of Zoning Ordinance This phase links the plans and budgets with expenditures and focus on the zoning ordinance, implementation and enforcement. With the zoning ordinance as the principal land use regulatory measure to enforce the policies in the CLUP, it is a leverage to have it supplemented by investment that will help shape local development. The CLUP is a rich source of programs and projects to be included in the investment program.

The Local Government Code stipulates that “local budgets shall operationalize approved local development plans” (sec. 305, i, RA7160). In effect, the local development investment program (LDIP) links the plan to the budget. With a functional local development investment plan translated 35

SIMPLE Phases

Phase 5:

Management and implementation: Monitoring of budgets and expenditures and enforcement of Zoning Ordinance into its annual component, the Annual Investment Plan, local budgets can truly operationalize the approved local development plan as directed by the Code (Sec. 305,I, RA 7160).

Monitoring and evaluation is necessary to determine whether or not plans are working, and when circumstances have changed. SIMPLE provides several process monitoring tools to help improve the development of indicators at the local level. The monitoring of the Zoning Ordinance has to be regular, and the steps under this phase will have to be recurrent to regularly monitor if the assigned land use in the Comprehensive Land Use Plan (CLUP) and the Zoning Ordinance are observed.

The steps under Phase 5 are:

1

STEP

2

Review existing monitoring instruments

Formulation of a monitoring & evaluation plan

STEP

3

STEP

Monitor if budgets and expenditures are linked to the CLUP, Comprehensive Development Plan and Local Development Investment Program This step is important, as a plan only unfolds its full potential when its implementation is monitored. Budgets need to be assigned according to planned priorities.

Planning team needs to get involved in the monitoring of annual budgeting and the expenditures of the municipal government. Only this will guarantee that planned measures are implemented.

4

STEP

Regular Monitoring and Enforcement of the Zoning Ordinance The creation of a Monitoring Office is recommended in order to institutionalize monitoring and enforcement of zoning regulations.

Building permits and other local government-issued permits represent important steering means to enforce compliance.

36

SIMPLE Estimated Costs The overall costs per province and per municipality / city depend on the: Number of trainers trained Number of barangays per town, and Amount and number of equipment purchased for the establishment of the GIS unit Table 3 provides an estimate based on experience. The costs contain the complete application of SIMPLE including software and hardware purchase for trainers and implementing teams. It also includes purchases of Geographic Positioning Systems (GPS) units and other items needed Table 3: Costs for SIMPLE Phases Implementation * Phase no.

1

Cost items (2011)

Phase Name Provided by GIZ

Training Manuals and Toolkit Provincial Map Viewer

Provincial Trainer Pool Formation

Training Manuals and Toolkit Reproduction, Provincial GIS Unit, Training of Trainers, equipment, supplies and materials, contingency Barangay Development Plan Production per municipality: Orientations, Municipal Implementing Team Training, GIS sofware, GIS Training, equipment, vehicle for field survey, fuel, food, map overlay analysis and thematic maps preparation, writeshops, workshops, validation assemblies

2-3

Linking Provincial with Municipality or City Development Strategies Per Municipality / City Comprehensive Land and Comprehensive Land Use Use Plan (CLUP) writing, data consolidation, Planning sectoral studies, Zoning Ordinance formulation, Municipal water delineation including Marine Protected Area identification Legitimization and approval: Logistical costs, writeshops, supplies, workshops, material reproduction, public hearings

4

Linking Plans and Budgets: Comprehensive Development and Investment Programming

5

Management and Implementation: Monitoring of Budgets and Expenditures and Enforcement of Zoning Ordinance

Total costs (SIMPLE Phases 1-5) per municipality Forest Land Use Plan

writeshops

Free of charge

1,920,000 (Costs incurred by Province)

1,010,000

174,729

100,000 per municipality

100,000 per municipality per municipality

1,384,729

per municipality

400,000 200,000

Contingency

Total Costs*

Cash in PhP

per municipality

* See Annex 1 for a more detailed version of the costs * All costs are estimates and subject to further validation

1,984,729

37

SIMPLE Estimated Costs

in the process. The precondition, again, is that the province will train and equip at least 15 trainers who will serve as resource persons for municipalities and cities. Municipal governments will then cluster themselves based on identified watersheds in groups of seven in Phases 2 to 4 to jointly complete their planning process.

Total Costs for the Provincial and Local Government Unit The Provincial and Municipal Governments will each spend about PhP2 million. The cost estimates are based on: Establishment and full equipment of the 15 Trainers including all necessary trainings, laptops, GIS capacity building and four GPS units Average number of barangays assumed per muncipality / city: 30 barangays Forest Land Use Plan: Additional PhP400,000 to be incurred by the LGU Contingency reserve of PhP200,000 should be calculated to plan for unexpected expenses The total costs per municipality / city will sum up to around PhP2 million.

A worthy investment for a sustainable future The benefits and emerging impacts justify the initial costs of PhP2 million per province. This investment creates a sustainable mechanism for an integrated ecosystems planning and management system with well-capacitated Provincial trainers and GIS unit at the provincial level and in every municipality.

The planning and budgeting cycle can be met with internal capacities since future updates of plans do not require a new investment. Development priorities can be designed and implemented in a more rational manner. The integration of forest land use planning will create urgently needed livelihoods for the upland population and Co-Management agreement with DENR will contribute to a sustainable use of natural resources in the public domain. The integration of coastal management planning that starts with the conduct of vulnerability assessments will ensure the integrity not only of the coastal and marine zones but ensure the integrity of the ridge to reef ecosystems of a town.

If local governments decide to implement the Integrated Taxation Management (iTax), additional costs will be incurred. However, this will usually be amortized within two to three years, as tax revenue collections tend to increase dramatically.

More information about iTax can be found under www.my-itax.com.

38

SIMPLE

Emerging Results • Lessons Learned and Success Factors

SIMPLE Emerging Results Figure 7: Map location of where SIMPLE is currently being implemented

The partnership of GIZ is currently focused on capacity development for the implementation of SIMPLE in 35 municipalities and cities in six provinces (Figure 7) (Leyte, Southern Leyte, Negros Occidental, Antique, Mindoro Oriental, and Occidental Mindoro). Three municipalities have so far finalized their Comprehensive Land Use Plan (CLUP). Seven municipalities in Leyte are currently in the final stages of writing their CLUP and Zoning Ordinance. Additional six municipalities will formulate their CLUPs until the end of 2012.

The remaining partners are expected to finalize their plans in 2013.

Western Visayas

Mindoro Island 40

Leyte Island

Meaningful people’s participation in development planning and decision-making SIMPLE stipulates that development planning is best initiated at the local level with active participation, not only consultation, of the local community and especially marginalized groups, whose needs and interests often tend to be overlooked. Participation means: Empowered barangays, wider consensus and ownership of projects Town citizens take part in agreeing in the future land uses and lead in defining their prorities to improve delivery of services to them The Client Satisfaction Survey conducted by the EnRD Program has shown that the community’s participation in the planning process has increased benefits because all implemented projects were based on people’s priorities A sound and rational utilization of the IRA resources Improvements in vital infrastructure: school children having better classrooms and farmers getting better income owing to the improvement of their farm-to-market roads. Local governments are enabled to properly invest into disaster risk reduction using the calamity fund Improved lives of 48,400 households in 16 municipalities in Leyte Island Three Municipal governments with approved CLUP-CDP and Zoning Ordinance have begun implementing their plans, programs and activities Of the 910 supported barangays, 332 have formulated and implemented their barangay plans, mostly with their own funds Barangays find better ways to access additional external funds (higher local governments, congressional funds, private sector and from non-government organizations). The readiness of local governments for incoming funding is a crucial factor to attract outside sources.

41

SIMPLE Emerging Results

Figure 8: Updating of NAMRIA base maps through the Utilization of SIMPLE to delineate Municipal Boundary of Javier, Leyte

Improved accuracy in data through the use of Geographic Positioning Systems The SIMPLE approach supplied more accurate data to inform municipal and provincial plans.

Using GPS, all partners have surveyed their lands often for the first time. This has helped contain or transform boundary conflicts between Barangays and Municipalities and provided accurate data needed for the CLUP. Base maps often originating from the 1954 maps provided by the National Mapping and Resource Information Authority (NAMRIA) are updated and help municipal governments to understand their spatial conditions and changes. Figure 8 shows the municipal boundary of Javier as it is recorded in the official cadastral map of DENR (green line). However, during ground validation using the SIMPLE approach, the municipal team realized that the actual boundaries found on the ground differ considerably from the offical map (yellow line). All municipalities and cities have encountered such issues. As muncipal governments do not have the mandate to correct boundaries, SIMPLE can be used in coordination with the national agencies to update official maps to provide an accurate data basis for land management.

42

SIMPLE Emerging Results

Zoning Ordinance Implementation – Silago Southern Leyte The formulation of the first fully geo-referenced Zoning Ordinance in the municipality of Silago in Southern Leyte has set new standards for land use planning. This Zoning Ordinance is based on the standard ordinance from HLURB but includes all public lands and municipal waters.

Silago’s Comprehensive Land Use Plan (2012-2022) did not only define its entire land area and assigned zones to its use, it has also identified all hazardous areas under risk and established new protection areas in the forest and the sea. This will improve resilience to natural disasters and climate change and determine the best investment options for land. It will also help in maintaining water supply for agriculture and household use, providing production land for upland farmers and helping fishermen cope with dwindling fish catch. The Zoning Ordinance of Silago can be downloaded from www.enrdph.org.

Climate Change Adaptation and Disaster Risk Reduction Measures SIMPLE provides vulnerability assessment tools at the community and municipal level to develop solutions for expected climate change impacts by and across ecosystem. Generic measures, such as investments into reforestation, mangrove planting, riverbank stabilization and agricultural and household water supply have been implemented by SIMPLE partners as they do not require detailed climate change analysis, which are often not available at the local level.

Hazard maps helped for example the City of Maasin to identify flood, liquefaction and landslide areas (Figure 9). This prompted Maasin to begin the rehabilitation of its major watershed (Canturing watershed) with 24 barangays and to repair the water pipe system to improve the city’s water supply. This contributed to reducing water-borne diseases. Similarly, the municipality of Tanauan in Leyte used the results of SIMPLE to further reduce damage and losses to lives and properties caused by floods. The municipality has also introduced submersible rice varieties with improved flood resistance. The municipality of Silago has started to revise its building code to prescribe two-story buildings for flood-prone areas. Many towns have begun to change their land use allocations for settlements based on the hazard assessment. The municipality of Abuyog has mobilized its local funds to build bridges to fasten evacuation procedures. Others have transformed their day-care buidlings into evacuation centers and used their calamity fund to buy rescue equipment. The building of local capacity has led to a mind shift of planners and decision-makers from mere compliance with planning regulations to a solid and sound planning and management of disaster risks.

Figure 9: Multi-hazard map of the City of Maasin, Southern Leyte

43

SIMPLE Emerging Results

Improved real property tax system Figure 10: iTax Map of the Municipality of Tolosa

LGUs that have incorporated iTax in Leyte show a 33% average tax collection increases with the expansion of their tax base resulting from their improvements in their real property tax system. Tax maps based on cadastral surveys can be easily linked to land use plans and provide a solid foundation for each plan.

Figure 10, shows the tax map of the Municpality of Tolosa. The map shows which tax payer has paid (yellow), is exempted (blue), as well as where the delinquent tax payers are located (red). Such maps can also greatly help to analyse the potential dammage by hazards on properties.

For example, if flood prone areas are overlaid with the assessment value of properties, municipalities can decide in what locations they need to invest into risk reduction measures or where new developments should be planned. Figure 11 shows, for example, that the commercial area of the town Tabontabon in Leyte is most affected by floods. Such information is crucial to further development to reduce damages of disasters on vital infrastructures.

Figure 11: Flood prone areas overlaid with parcellary map in the Municipality of Tabontabon, Leyte

44

SIMPLE Lessons Learned and Success Factors

Political Commitment As in every undertaking involving political actors, the commitment of those in charge is crucial. Two main lessons can be learned from SIMPLE. First, the integration of the Sangguniang members, both at the provincial and municipal level, lays the ground for commitment across political terms. Land always has an economic dimension where interests can collide. Even more, it is crucial to get the buy in of decision-makers from both the executive and legislative to ensure that land use plans are enforced continuously. Second, participation of communities in the planning process helps policy makers to connect with voters. Local Chief Executives can clearly increase their voter acceptance if priority projects are based on planning documents rather than on individual preferences by the leader. Important in this context is, however, to include all communities and not only those perceived to be politically supportive.

Amortization of Investments Although the initial costs are quite high for some 4th or 5th class municipalities, the prospects for growth and long-term sustainability will quickly amortize the investment. In places where SIMPLE was adopted, there has been a higher potential for these communities to attract external funds. Important in this regard is realistic planning to signal readiness to outside funders. If this is combined with the introduction of revenue-generating measures, such as computerization of real property tax or business permit collections using iTax or other available systems in the market, local governments will tremendously increase their revenue within three years.

45

SIMPLE Lessons Learned and Success Factors

Existence of Provincial Technical Support Sustainability can only be achieved when all government levels work together. Only the provincial government disposes of sufficient resources to provide technical support and maintain the trainer pool. The provincial GIS Unit is crucial in collecting data and sharing them using the Provincial Map Viewer. The provincial government has likewise the mandate and resources to bring regional agencies on board to provide services to the municipalities.

Implementation and Compliance Plans are living documents. If they are not implemented they will not make any impact.

The benefits local governments can enjoy when they implement a ridge-to-reef land use plan should be the guiding posts for decision-makers. If all stakeholders, from the community to the political leaders, are involved, the quest for implementing what was planned for will be high. Regardless of political color or orientation, the improvement of lives and the protection of precious resources will provide sufficient incentives to the concerned actors to align behind plans and implement what was agreed. Only those local governments committed to undergo all phases of SIMPLE will reap the benefits of this approach. Many local governments assisted by GIZ are still working on their planning documents (Phase 3). If local governments will not link their plans to budgets and monitor the expenditures as well as compliance with allowed land, uses they will put the success of SIMPLE at risk.

46

ANNEXES

ANNEXES DETAILED COSTING OF SIMPLE

PHASES

UNIT

AMOUNT

UNIT COST

COST in PHP

PHASE 1 Provincial Trainer Pool Formation Training Manuals and Toolkit

15

5,000

Provided

by Donor Provided by Donor 75,000

7

50,000

350,000

Laptop

15

50,000

750,000

Venue and Food/day

35

4,000

140,000

GPS

4

30,000

Plotter

1

350,000

Per module

7

5,000

Provincial MAP Viewer Reproduction of Training Toolkit and Guidebook

1 set documents

Training of trainers / 7 Modules by external service provider incl. GIS Equipment

Supplies and Materials Contingency

120,000 350,000 35,000 100,000 1,920,000

Cost incurred by the province PHASE 2 Linking Provincial with Municipal or City Development Strategies and PHASE 3: Comprehensive Land Use Planning Both for the community and municipality/city level Barangay orientation / empowerment Food/day

30

2,000

478,000 60,000

30

5,000

150,000

MIT training on SIMPLE Orientation and facilitation course (contract for service provider, excl. materials) Request of Trainer Pool

food of participants/day per diem/3 trainers/5 days each

800

12,000

GIS training provided by Provincial GIS Unit

per diem/3 trainers/5 days each

800

12,000

Manifold GIS Software

License per LGU, good for 5 machines

19,000

19,000

Equipment

1 GPS Unit

30,000

30,000

2 Laptop

50,000

100,000

1 Desktop for GIS processing

60,000

60,000

1 Printer with integrated scanner 1 Digital Camera

20,000

20,000

15,000

15,000

Equipment

At the community level Pilot Barangay Surveys and planning in 1 pilot barangay Assessment of piloting experience

48

24,000 Food/day

10

2,000

20,000

Food/day

1

2,000

2,000

DETAILED COSTING OF SIMPLE

PHASES Organize monitoring team

UNIT Food/day

AMOUNT

UNIT COST 1

2,000

Replication in more barangays

COST in PHP 2,000 304,000

Base maps preparation

Vehicle for field survey

Multicab

1

140,000

Operational costs Operational costs 140,000

Operation expenses of MIT staff for Perimeter survey of boundaries and data gathering (PRA)

per diem

55 (6 per cluster of 5 barangays)

800

44,000

Review existing data

Fuel expenses

10,000

Reproduction of social survey forms 55

2,000

Operational costs 110,000

Food for Brgy Workshops and Data gathering / PRA Plan Preparation

day

Map overlay analysis and thematic maps preparation Plan legitimization and adoption

Per diem

BDP writeshop / packaging

Food/day

30

2,000

60,000

Validation workshops

Food/day

30

2,000

60,000

Validation of BDP through Barangay assembly and to MDC

Food/day

30

2,000

60,000

24,000 30

800

24,000 180,000

Sub-Total cost for BDP production per municipality:

1,010,000

Average spending per barangay (30 brgys/municipality)

33,667

At the Municipal Level and/or within coastal cluster of at least 7 municipalities/cities (if any) Municipal Water Delineation Survey including identification of Marine Protected Areas

Cost for the 7 LGUs

394,000.00

Cost per municipality

56,285.71

Orientation on the delineation process

Round Trip Plane Fare for NAMRIA personnel Orientation Cost

Field Validation and delineation mapping Publication of the initial Map Public Hearing and Consultations

Validation and Temporary Delineation in case of boundary conflict

3

5,000

5,000

20,000

60,000

NAMRIA service fee: PhP 5000 plus PhP50/km of coastline Publication Cost Fuel and snacks depending on the number of coastal barangays Transportation Public hearing for

24,000 47,000 7

10,000

70,000

24000

24000

70,000

70,000

49

DETAILED COSTING OF SIMPLE

PHASES

UNIT

AMOUNT

UNIT COST

facilitation of the opposition Training cost

2

25,000

50,000

Resource Person

2

10,000

20,000

Submission and dissemination of the final and executory ordinance on the municipal water boundaries to the different concerned agencies and stakeholders

Documentation and dissemination cost

2

12,000

24,000

Orientation for CLUP writing in clusters for 7 Municipalities

Costs for 7 Municip.

129,600

Costs for 1 Municip.

18,514

Orientation for 35 participants

Food/day

3

17,500

52,500

Hotel accommodation

room

9

2,000

18,000

Venue

Venue/day

3

2,500

7,500

Resource person from HLURB

Per diem

3

800

2,400

Flight

1

2,000

2,000

Presence of 3 Trainers from Province

Per diem

9

800

7,200

Travel costs per LGUs/5 pax

Per pax

35

500

17,500

Provision of Guidebook and HLURB Guidelines

Per set

35

500

17,500

GIS Training

Supplies

5,000

Data Consolidation and Updating (stitching) of maps

17,000

Visioning Exercise

Food/day

1

17,000

within regular work hours

17,000 Operational cost 280,000

Sectoral Studies 5 Modular Workshops and Writeshops 2 days each Intersectoral Analysis Workshop/3days

Food/day

10

17,500

175,000

Food/day

3

17,500

52,500

Cross-sectoral Analysis Workshop/3days

Food/day

3

17,500

52,500

Land Use Plan and Zoning Ordinance Formulation for Clusters of 7 Municipalities

Costs for 7 Municip.

231,000

Costs for 1 Municip.

33,000

5 day writeshop incl assessment for 47 pax

Food/day

5

23,500

117,500

Assessment by panel of experts (PLUC technical working group) - 5 days for a cluster of 7 LGUs/10 panelists

Per diem

50

800

40,000

venue

5

3,000

15,000

Hotel accommodation for 47

room

12

2,000

24,000

Presence of 3 Trainers from Province

Per diem

15

800

12,000

Travel costs per LGUs/35 pax

Per pax

35

500

17,500

Supplies

50

COST in PHP

5,000

DETAILED COSTING OF SIMPLE

PHASES

UNIT

AMOUNT

UNIT COST

Legitimization and Approval Conduct of Public Hearings and Consultations per LGU Final Writeshop incl Zoning Ordinance Formulation 3 days Review by PLUC

COST in PHP 171,500

Food/day

7

2,000

14,000

Food/day

3

17,500

52,500

Presentation to PLUC for 10 LGU staff

Transport cost

70

500

35,000

Reproduction of CLUP

set

70

1,000

70,000

Review by Sangguniang

Sub-Total for the cluster of 7 LGUs including water delineation survey: Sub-Total per municipality/city level for CLUP writing:

1,223,100

Phase 4: Linking Plans and Budgets: Comprehensive Development and Investment Programming

Per municipality

100,000

PHASE 5: Management and Implementation: Monitoring Budgets and Expenditures and enforcement of Zoning Ordinance

Per municipality

100,000

174,729

Total costs per Municipality:

1,384,729

Forest Land Use Plan (only in connection with SIMPLE)

400,000

Contingency

200,000

TOTAL per Municipality

1,984,729

All costs are estimates and subject to further validation.

51

Environment and Rural Development Program Decentralization Program Deutsche Gesellschaft für Internationale Zusammenarbeit (GIZ) GmbH 2B PDCP Bank Center, V.A. Rufino corner L.P. Leviste Sts. Salcedo Village, Makati City, Philippines Tel. +63 2 892 9051 Fax +62 2 892 3374 www.enrdph.org Contact Dr. Walter Salzer Program Director and Principal Advisor - EnRD Program Email: walter.salzer@giz.de Dr. Andreas Lange Chief Advisor Local Governance - EnRD Program Email: andreas.lange@giz.de