Project 7. Strengthening the Institutional Framework for Participatory Governance: Institutionalization, Operationalization and Capacity Development of the Philippine Urban Forum

Intended Outcomes

Outcome No. 4 : Strengthened and Institutionalized Participation

Key Result Areas

KRA NO. 2: Institutions Development
KRA NO. 3: Capacity Building

Rationale

Urban Development requires the contribution and participation of the various sectors of society. Stakeholders play varying roles and these roles must converge and synchronize to pursue an agreed on and commonly understood vision. Toward this end, the institutionalization in the Philippines of participatory governance at national and local levels provides the enabling environment where convergence and effective mutual reinforcement and complementation of efforts and resources can be achieved.

The Philippine Urban Forum was established in 2002 as a collaborative undertaking between the National Housing and Urban Development Council (HUDCC), the United Nations Center for Human Settlements (UN-HABITAT), and the United National Development Programme (UNDP). It is composed of members and partners from the national government, people’s organizations, non-government organizations, local government organizations, academe, and other relevant sectors.

The PUF was established for the following purposes:

1. To provide a mechanism for continuing discussion, sharing of information and achieving consensus among various stakeholders on key urban development policies, strategies, issues and concerns.

   The PUF provides the platform for the operationalization of the NHUDF through discussion, consensus and synchronization of efforts among local governments, between local and national governments, between government and the citizenry, and between the government and other stakeholders (business, POs, NGOs, academe, etc).

2. To develop and provide support in the study and application of local and international lessons, best practice and experience as well as initiatives useful in addressing urban development and urban governance issues, opportunities and concerns.

   The experience has provided valuable cross–sectoral inputs to the policy debate achieved with the implementation of SPPD 1. The PUF will continue to be the vehicle to disseminate and dialogue on the applicability of innovative approaches in urban management, which will be anchored in the proposed national policy formulation mechanism.

3. To serve as the vehicle for promoting the twin campaigns or Good Urban Governance and Secure Tenure and spearhead the creation as well as development of "inclusive cities" in the Philippines.

4. To act as the forum for resolving issues among stakeholders in order to facilitate coordination, complementation and synchronization of efforts.

   PUF has provided an effective forum for good governance and secure tenure campaigns. PUF has initiated coordination and assistance in the development of city action plans, which was done through the LCP. PUF has put in place the mechanism for participation, consensus, discussion and harmonization of efforts. With barely a year of operation, there is a need for PUF to firm up its institutional framework and internal capacities to enable it to better perform its mandate.

   HUDCC acts as the convener of the PUF. While the PUF has achieved significant mileage in the fulfillment of its purpose, much remains to be done to enable the PUF to effectively provide the institutional mechanism for consensus building, coordination, and information sharing at national and local levels, and the effective forum on wide-ranging issues on urban development and housing. This will require a firmer institutional framework founded on formal enabling mechanisms, sound operating structures and systems together with quality and adequate resources, and continuing capacity development.

Objectives

1. Consolidate the PUF mandate, mission and functions and broaden its partnerships, determine its composition or membership, and design the formal internal operating structure and systems, as well as external linkages, which are required to support the performance of the PUF functions and achievement of its mandate and mission.
2. Formulate its program structure, the first annual operating plan, and its first multi-year development program in consultation with its partners and other key stakeholders.
   The program structure should be formulated along project monitoring, as well as advocacy and consensus building activities of the PUF to further converge the understanding and implementation of GUGC and STC principles.
3. Clearly define the role of the PUF in urban governance, establish the basis for its institutionalization, organizational identity and placement, and determine as well as prepare the appropriate enabling instruments therefor.
4. Provide support for the operationalization and program implementation of the PUF for the first three years.
5. Identification of potential anchoring partners towards the establishment of the mechanisms for the institutional sustainability of the PUF.

The project is expected to result in significant improvements in the quality, equity, relevance and responsiveness of policies, programs, institutional mechanisms and resource management for urban development, improvements in urban governance, as well as improvements of capacities of non-government partners in participatory governance. These results will be achieved through an institutionalized PUF that will have the mandate and capacity to achieve effective sharing of information and ideas, resolution and harmonization of interests and concerns, and relevant application of lessons, best practices and experiences.

The project will also specifically examine and design mechanisms that will institutionalize consultations, coordination, information sharing and consensus building at local levels, as well as the vertical flow of these processes between national and local levels.

Project Components/Scope of Work

• Component 1: INSTITUTIONALIZATION ↑

Institutionalization will involve detailed diagnostic studies and subsequent design of the institutional framework and institutionalization mechanisms

1. Situation Review, Needs Analysis and Design of the Institutional Framework Operating Structure and Systems, and Resource Requirements Definition
2. Development and Passage of the Enabling Instruments
3. Formulation of the Operationalization Plan

A. Situation Review, Needs Analysis, and Design of the Institutional Framework Operating Structure and Systems, and Resource Requirements Definition

A rapid assessment of existing mechanisms for consultation, consensus building, information sharing and coordination, at national and local levels will be conducted. This will include a rapid assessment of the current composition, functions, programs and activities, resources, structure and operating mechanisms of the PUF and the role of HUDCC, local government’s and other national government agencies and instrumentalities in participatory governance. The assessment will lead to the identification of needs, opportunities, problems to be addressed and solutions. The assessment will provide key inputs in the subsequent design of the institutionalization plan which will include the following:

1. Consolidation of the role, mission and functions of the PUF
2. Determination of the composition or membership of the PUF
3. Determination of appropriate organizational personality and placement
4. Design of internal functional and formal structural configuration (national and local levels, as the case may be)
5. Definition of key operating systems and their vertical as well as horizontal flows
6. Definition of skills mix, staffing, competency, tenure, and remuneration package
7. Definition of resource requirements
8. Financing strategy

Consultations will be conducted to review and fine-tune, agree upon, as well as generate support for the institutionalization approach and process. The institutionalization plan will be submitted to HUDCC for its approval. HUDCC will act on the operationalization plan with consideration of the inputs of the consultation process. HUDCC will play the lead role in the formalization of the enabling instruments that will effect the PUF's institutionalization. Back to Component 1 ↑

B. Development and Passage of the Enabling Instruments

The appropriate enabling instruments will be prepared once the organizational personality of the PUF has been agreed upon (e.g. whether it will be government entity or a private sector organization). Mechanisms for facilitating the passage/formalization of the enabling instrument will be adopted and implemented. Back to Component 1 ↑

C. Formulation of the Operationalization Plan

The formulation of the operationalization plan will entail the design of specific change management processes that will enable the existing PUF to migrate to its new institutional setup. The plan will define the processes necessary to manage the transition period and will include such areas as installation of the new structure and staffing, manning, systems installation, office setup, handholding, and monitoring of organizational operations. Back to Component 1 ↑

• Component 2: OPERATIONALIZATION AND CAPACITY-BUILDING ↑

Operationalization and Capacity-Building involve the formulation of PUF's first annual operating plan, operationalization of the PUF under the new setup, and formulation of the first medium-term development plan.

1. Operationalization and Medium-Term Program
2. Program Development and Implementation
3. Operations Management
4. Capacity-Building

A. Operationalization and Medium-Term Program

Operationalization will involve installing the structures, systems and resources based on the operationalization plan and executing the activities in accordance with the prescribed processes.

The work program will be developed immediately by the core personnel of the institutionalized PUF and will commence upon the formal start of its operations. The work program will define the objectives, targets, methodologies and resource generation and management mechanisms that will be adopted for the first year of the institutionalized PUF operations.

Also, once operations commence, it is necessary that the new PUF immediately undergo the medium-term planning process that will set the multi-year direction of its operations. Such program planning process will specifically include policies, strategies, and programmed activities and targets in the following:

1. Consensus building, information sharing, and advocacy
2. Mechanisms for PUF role in the implementation of the action agenda and the execution of the various bankable projects
3. Conduct of research that will feed into the policy, strategy advocacy, and consensus building, information sharing processes Back to Component 2 ↑

B. Program Development and Implementation

Specific programs identified in the medium-term plan that are scheduled to commence immediately will be implemented starting year one. These programs are expected to be in the following areas:

1. Monitoring of the implementation of the national action agenda

2. Building Awareness on GUG: Design and Conduct of National and Local Advocacy and Public Education

   The twin campaigns on good urban governance and secure tenure has been effectively launched and has served as the first giant step towards building general public awareness on urban development and the need and essence of good urban governance.

   A more intensive program on building wider public awareness on urban development and urban governance will provide the foundation upon which a more meaningful participation will be anchored. This project component involves the conduct of a general public survey on awareness and participation, design of advocacy mechanisms for building public awareness and formulation of specific programs for improving knowledge and understanding of public officials and employees on urban development and urban governance as these affect their work. Back to Component 2 ↑

3. Information Sharing, Consensus-Building, and Advocacy
   • Conduct of regional and national quarterly information sharing and advocacy programs
   • Preparation and dissemination of multi-media materials to support the advocacy and information sharing
   • Development and installation of PUF systems and external linkages for regular exchange data banking and updating of information
   • Design of mechanisms for regular assessment of program performance Back to Component 2 ↑


4. Research and Studies

   PUF will undertake research and design activities to support advocacies and information sharing. Research activities will involve such areas as surveying best practices, developing models and replication methodologies, developing baseline data, establishing urban development performance systems, and policy/program reviews, among others.

   The PUF will develop a research agenda to accompany the medium-term development program and will implement activities scheduled for the first three years. Back to Component 2 ↑

C. Operations Management

Support will be required to initially maintain the institutionalized PUF operations for at least 3 years. Support will be in such areas as providing for qualified manpower, office equipment, information and communication technology, and operating expenses. Back to Component 2 ↑

D. Capacity-Building

Capacity building involves the development of competencies of both the PUF core staff and those of selected members specially the people's organizations. Staff training and comparative studies both local and abroad will provide the nucleus of the capacity building program. Echo training and sharing mechanism will be designed and installed.

Focus on members from people’s organization is geared towards equalizing capacity to effectively participate in policy discussion and debates and in contributing to reforms, program development and performance assessment at national and local levels. Back to Component 2 ↑

Expected Outputs

The overall output of the project is a fully functional and institutionalized PUF. The specific deliverables expected of this project include the following:

1. Situation Review Report
2. Institutionalization Plan Report and draft enabling instruments
3. Operationalization Plan Report
4. Annual Work Program for year 1
5. Medium-term Development Program
6. Monitoring reports on the national action agenda implementation
7. Completed advocacy, consultations, and information sharing activities
8. Research Agenda for the medium-term
9. Completed years 1-2 research activities (reports)
10. Completed local and international training of PUF core staff and selected PUF members

Project Management Arrangements

The Housing and Urban Development Coordinating Council (HUDCC) through the Philippine Urban Forum (PUF) will be the executing and implementing agency for the project. The UN Habitat will be the cooperating partner. As cooperating partner the UN Habitat will provide guidance and international perspectives and inputs for relevant application to the Philippines context.

The HUDCC will provide a core group to form the full-time secretariat and contracted technical specialists and researchers of the PUF. A program advisor who will at the same time be the lead facilitator will be hired to provide advice to the head of the Secretariat and to the PUF and HUDCC on the overall direction and specific project activities.

An international consultant will be hired to provide international perspectives and best practices/lessons that will guide the design and implementation of the institutionalization. The institutional design work will be outsourced to a qualified expert who will be under the supervision of the Secretariat head.

Project Duration

(sequential)
Component 1: 6 months
Component 2: 2.5 years

Estimated Cost

US$ 1,200,000