I.
INTRODUCTION
Over a decade ago, the National Convergence Initiative (NCI) was formulated as a common
framework for sustainable rural development and poverty reduction through the issuance of Joint
Memorandum Circular (JMC) No. 01 Series of 1999. This was signed jointly by the Department
of Agriculture (DA), Department of Agrarian Reform (DAR) and the Department of Environment
and Natural Resources (DENR) as the 3 leading government agencies in-charge of rural
development focusing on agriculture, agrarian reform and natural resources (AARNR). Nine pilot
convergence areas were implemented during this period, namely: 1) Cagayan Valley River
System 2) Central Luzon 3) Bicol River Basin System 4) Negros Island 5) Panay Island 6) Bohol
7) Zamboanga Peninsula 8) CARAGA 9) Davao del Norte/Oriental Mindoro where strategic
investment plans were prepared. However due to change in leadership in the 3 agencies, the
implementation was delayed.
Another Joint Memorandum Circular (JMC) No. 01 Series of 2004 was issued by a new set of
Department Secretaries to reactivate the NCI in line with the effort of the government to create a
bigger impact in the countryside. Specific convergence zones were identified in each of the
provinces under the nine pilot convergence sites to have more focus in the implementation of
said plans.TheGerman Technical Cooperation (GIZ) then teamed up with the DA, DAR and
DENR to align the GIZ rural development and natural resources management program with the
convergence strategy.
A year after, in 2005, the National Steering Committee earmarked the expansion of the NCI for
nationwide implementation in line with the Medium Term Philippine Development Plan (MTPDP)
for 2005-2010. This involved the development of 2 million hectares of new lands for agribusiness and the generation of 2 million jobs by 2010. The convergence strategy was considered
an “appropriate platform” to achieve GOAL 1 of theMTPDP.
Between 2008 and 2009, NCI broadened the reach of its convergence strategy by generating
agribusiness investment proposals for specific sites. The 1st National Agri-Investment Forum was
organized in September 2009 to elicit interest and participation from the private sector on 17
agri-investment proposals developed by NCI. A positive outcome was noted with the interest
shown by various investors and agribusiness firms in pursuing the agri-investment proposals.
By the 1st quarter of 2010, the combined gains from the convergence initiative programs of DA,
DAR and DENR yielded 1.82 million hectares of land developed and the generation of 2.65
million jobs. Most of the reported gains were based on production areas rather than on actual
agri-business endeavours of the said areas.
The administration of President Benigno Simeon C. Aquino III continues to uphold the
commitment to countryside development as the linchpin for poverty reduction. While it will pursue
the agri-based investment proposals already in the pipeline, the current leadership will also
address the main concerns such as: 1) gaps/weaknesses in program implementation; 2) clear
mechanisms for harmonization among the 3 government agencies; 3) conflicting and overlapping
policies among the 3 agencies which affects implementation of convergence activities in the field;
1
4) clear financing scheme for convergence initiatives and 5) empowerment of the LGUs as
implementing arm of convergence initiatives on the local level.
The issuance of JMC No. 01 Series of 2010 by the new Department Secretaries of DA, DAR and
DENR added a new dimension to the convergence strategy through the adoption of the
watershed and ecosystem management approach as the intervention framework in the
convergence areas. This approach had been adopted by DENR in 1999 as basis in program
planning and implementation for watershed areas in all regions. This convergence strategy is
also known as the “Ridge to Reef Approach”. It is defined as a holistic, collaborative, multiple use
and sustainable management of all resources within the watershed. It takes into account the
human interventions in the forest and upland areas and its impact on lowland areas as well as
coastal and marine areas. The principle behind it is that ecosystems are inter-dependent and
that intervention in one ecosystem will impact other ecosystems.1
With poverty reduction as a primary goal of the government, the convergence initiative has a
defined constituency which are the small farmers (Agrarian Reform Beneficiaries and nonARBs), fisher folks and marginalized upland dwellers within areas covered by tenurial
instruments of DENR and the National Commission on Indigenous Peoples (NCIP).
The convergence initiative will directly contribute to the attainment of outcomes on agriculture,
agrarian reform and natural resources sub-sector specifically in: 1) ensuring food security and
increased income; 2) enhancing access to land and other natural resources and in improving the
quality of the environment; and 3) developing the self-reliance of constituency and increased
resilience of their communities.
Specific objectives of the Convergence Initiatives are to: 1) facilitate the implementation of
different agencies to ensure that resources are maximized by achieving synergy and institutional
efficiency; 2) build partnership between and among the local communities, LGUs and
government agencies to ensure that all development interventions are based on actual needs
and aspirations of the community; 3) expand opportunities for agro-enterprise and agribusiness
development for its constituency; and 4) achieve spatial integration within different ecosystems to
ensure environmental integrity and sustainability.
To implement the convergence initiatives, multi-agency coordinative bodies will be established at
the national, regional, provincial and municipal levels composed of representatives from the DA,
DAR and the DENR with the Local Government Units as the integrating and converging force at
the local level. There is a NCI Steering Committee (NCISC) composed of the Secretaries of DA,
DAR, DENR, DILG and NEDA who shall act as the policy making body of the enhanced NCI.
They will approve the membership of the National Technical Working Group and the 4
Component Working Groups on Policy and Advocacy, Capacity Development, Agro-enterprise
Cluster and Agribusiness, and Knowledge Management. The NCI Steering Committee will be
1
Adopted from the Policy Framework and Implementing Strategy for the Enhanced DA-DAR-DENR Convergence
Initiative for Sustainable Rural Development.
2
supported by a National Convergence Initiative Secretariat (NCIS) composed of the Coordinators
of each working group as members. The NCIS shall work closely with the National Focal Person,
the Chair of the different working groups and the agency Convergence Focal Persons. There will
be other supporting government line agencies that will be involved in the NCI implementation to
ensure complementation and alignment of enhanced NCI interventions. (See Annex A: Policy
Framework and Implementing Strategy for the Enhanced DA-DAR-DENR Convergence Initiative
for Sustainable Rural Development)
II.
THE OPERATIONS MANUAL
A. Objectives
Through the past years, the experiences generated in implementing the convergence initiative
have shown differences and implementation gaps as experienced in the various Regions,
Provinces and Municipalities. Marked differences have emerged in the process flow in terms of
the various activities conducted, the time frame in conducting the activities and the forms and
tools used in analysing and selecting the convergence area and in developing the convergence
plans. Experiences from the national and the local levels provided a rich resource base for the
writing of this Operations Manual. It had become imperative to issue an Operations Manual to
capture these experiences and best practices, analyze these and identify a general process flow
that will systematize the implementation, clarify gaps and present tools for more efficient
convergence planning and effective implementation. With the adoption of the watershed and
ecosystem management approach as an added dimension in the Convergence strategy, the
Operations Manual will be a tool for implementers in operationalizing the JMC No. 01 Series of
2010. Specifically, the objectives of the Operations Manual are:
1. To systematize the process of planning and implementing the Convergence Initiative at the
national, regional, provincial, municipal and community levels of the various implementers
from the government agencies, local government units, people’s organizations and support
groups and institutions;
2. To serve as a guide in the synchronized and organized management of the various activities
from preparatory, planning and implementation phases; and
3. To reinforce the joint and diverging roles and responsibilities of the DA, DAR, DENR and the
Local Government in the planning, implementation and management of the convergence
initiatives.
3
B. Framework in the Development of Operations Manual
The development of the Operations Manual typifies the essence of convergence initiative. It is a
collaborative work done by a multi-disciplinary and multi-agency team composed of members
from the National Convergence Initiative Technical Working Groups (NCITWG) and selected
members from the Regional and Provincial Technical Working Groups from Regions 5, 6, 8 and
10. The work was spearheaded by the Capacity Development Technical Working Group with
support from the National Convergence Initiative Secretariat. Presented below is the framework
in the development of the Operations Manual:
Policy and Implementation Framework and Guiding Principle
Figure 1 : Framework in Operations Manual Development
JMC No. 01, Series of 1999, JMC No. 01, Series of 2004 and JMC
No. 01, Series of 2010
Policy Framework and Implementation Strategy for the
Enhanced DA-DAR-DENR Convergence Initiative for
Sustainable Rural Development
Field Experiences in Convergence Initiative Implementation
(Data Gathering and Field Validation in Regions 5, 6, 8 and 10)



Document
Future
Implementation to
enhance
future
Manual
Revision
Process Used
Implementation
Issues
Best Practices




Policy and Advocacy
Agro-Enterprise Cluster &
Agribusiness Development
Capacity Development
Knowledge Management
Workshops on Presentation of Field Experiences
 Process Flow and Implementation Issues
 Topic Outline of Operations Manual
Writing of Draft Operations Manual
 First Draft
 Presentation and Refinement
 Finalization
Printing and Distribution
4
C. Content of the Manual of Operations
The NCI Manual of Operations describes the general process flow in implementing the
Convergence Initiative. It is divided into eleven (11) major steps which fall within three(3) main
phases. These are described in detail in the succeeding Chapter.
PREPARATORY PHASE
A. Mobilization of the Regional and Provincial Convergence Initiative Technical Working
Group
B. Orientation on JMC No. 01, Series of 2010
C. Selection of Convergence Area
D. Formation of Municipal Convergence Initiative Technical Working Group
PLANNING PHASE
E.
F.
G.
H.
Convergence Area Profile (Data Gathering and Validation)
Formulating the Convergence Area Development Plan
Plan Evaluation and Approval
Launching
IMPLEMENTATION PHASE
I. 1. Implementation of the Convergence Area Development Plan
I. 2. Implementation of Convergence Initiative Components
9.2.1. Policy and Advocacy
9.2.2. Agro Enterprise and Agribusiness Development
9.2.3. Capacity Development
9.2.4. Knowledge Management
J. Monitoring and Evaluation
K. Impact Assessment
III.
GENERAL PROCESS FLOW IN THE IMPLEMENTATION OF
CONVERGENCE INITIATIVE
The general process flow in the implementation of the convergence initiative is divided into 11
major activities which fall within the 3 main Phases namely the Preparatory Phase, Planning
Phase and Implementation Phase. Activities of the convergence initiatives are implemented by
the multi-agency coordinative bodies established at the national, regional, provincial and
municipal levels composed of officials coming from DA, DAR and DENR and the Local
Government Units with support from other government line agencies. Presented in detail are the
11 major activities in the implementation of the Convergence Initiative: (See Figure 2)
5
Figure 2
GENERAL PROCESS FLOW IN THE IMPLEMENTATION OF CONVERGENCE INITIATIVE
PREPARATORY PHASE
PLANNING PHASE
IMPLEMENTATION PHASE
M&E
MOBILIZATION OF
RCITWG AND PCITWG
(1)
(1)
Issuance of
JMC No. 01
Series of
1999, 2004
and 2010
FORMULATION OF
CONVERGENCE AREA
PROFILE : DATA
GATHERING &
VALIDATION
(5)
ORIENTATION
(2)
IMPLEMENTATION
OF:

CADP

FORMULATION OF
CONVERGENCE AREA
DEV. PLAN (CADP)
(6)

Planning

Convergence Area
Development Plan
( 6)
SELECTION OF
CONVERGENCE
AREA
(3)
PLAN EVALUATION &
APPROVAL
(7)
IMPACT ASSESSMENT
POLICY &
ADVOCACY

AGROENTERPRISE &
AGRIBUSINESS
DEVELOPMENT

CAPACITY
DEVELOPMENT

KNOWLEDGE
MANAGEMENT
M&E OF
PROGRESS OF
CADP
IMPLEMENTATION AND
COMPONENTS
(10)
IMPACT
ASSESSMENT ON
AARNR
OUTCOME
(11)
(9)
MOBILIZATION OF
MCITWG
(4)
LAUNCHING
(8)
6
FEEDBACK LOOP
PREPARATORY PHASE
A. MOBILIZATION OF THE REGIONAL AND PROVINCIAL CONVERGENCE
INITIATIVE TECHNICAL WORKING GROUP
The National Convergence Initiative (NCI), as a strategy for sustainable rural development, is a
work in progress. Hence, efforts will be exerted to ensure that convergence implementing
mechanisms and structures established at the local (sub-national) levels are “working” and
continue to be functional. The convergence structure at the regional level shall be organized as
proposed below.
1. Regional Convergence Initiative-Technical Working Group (RCITWG)
Parallel to the National Convergence Initiative (NCI) TWG, the RCITWG shall manage and
supervise the programs, projects, and other related activities at the regional level. The RCITWG
shall be the regional arm of the NCITWG in carrying out its functions.
The RCITWG shall work closely with other government line agencies and offices and with the
Regional Development Council (RDC) and concerned Provincial Development Council (PDC) to
ensure that the enhanced convergence initiative interventions are aligned with the regional
development agenda and initiatives. It shall likewise facilitate complementation of efforts and
resources for greater impact.
The RCITWG shall coordinate and work closely with the Provincial Local Government Units
(PLGUs) in the implementation of the NCI plans, programs, projects, and other related activities.
The Regional Directors of DA, DAR, and DENR may enter into an agreement with the Provincial
Governor or LGU Leagues, as necessary.
The RCITWG shall be composed of:
Chairperson:
Co-Chairpersons:
Regional Director/Executive Director
Regional Director,
Regional Director,
Member:
Regional Focal Person, Head RCI-TWG Secretariat
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The chairperson of the RCITWG shall be a convergence champion and shall be decided by and
among the Regional Directors of DA, DAR and DENR. Upon the finalization of the RCITWG
composition, a Resolution or a Joint DA-DAR-DENR Special Order to that effect shall be
submitted to the NCI Secretariat.
Membership of the RCITWG may be expanded to include representatives from the Provincial
LGUs and other agencies as deemed necessary. The RCITWG shall meet monthly or as
deemed necessary.
The RCI Secretariat
The RCI-Secretariat shall be created and would be composed of representatives from the
regional offices of DA, DAR, and DENR. The RCI Secretariat shall be headed by the Regional
Focal Person. The Regional Focal Person shall be designated by the Chairperson of RCITWG
(from the agency where the Chairperson belongs).
The functions of the RCI Secretariat are as follows:
1. Coordinate the conduct of meetings, workshops, write shops, and consultations as deemed
necessary;
2. Facilitate the provision of administrative, logistics, and technical support to the RCITWG;
3. Document, prepare, and disseminate the highlights of meeting/workshops proceedings;
4. Ensure that appropriate
meetings/workshops;
actions
are
taken
on
agreements
reached
during
5. Submit monitoring/progress reports to the NCI Secretariat;
6. Work closely with the RCITWG and other Working Groups; and
7. Maintain effective and efficient data management systems of the RCI.
To ensure that an effective vertical linkage between the national and regional levels is
achieved, the relevant data and information related to the planning and operations of the
Convergence Initiative shall be consolidated, integrated and maintained at the DA Regional
Field Units. As such, the regional offices of the other agencies shall submit the required reports
and other information requirements to the DA Regional Field Units.
8
2. Provincial Convergence Initiative Technical Working Group (PCITWG)
The PCITWG shall be responsible in implementing plans, programs, projects, and other related
activities of the NCI at their respective provinces in collaboration with the RCITWG. The
PCITWG shall identify or determine appropriate interventions, resources, and support services
needed such as, but not limited to infrastructure, logistics, extension, inputs, lands, and
institutional development for the implementation of the NCI plans and programs.
The Chairperson of the PCITWG shall be agreed upon by the provincial members and shall be
a choice between the provincial head of DAR or of DENR. The Governor of the province shall
be the Co-Chairperson. The members of the PCITWG are the Provincial Environment and
Natural Resources Officer (PENRO), Provincial Agrarian Reform Officer (PARO), Provincial
Agriculture Officer (PAO), and Provincial Planning and Development Coordinator (PPDC).
The respective interface mechanisms shall be LGU-led with DA, DAR, and DENR providing
technical and operational support. Existing LGU mechanisms may be adopted to spearhead or
manage the convergence initiatives at the LGU level.
B. CONDUCT OF THE INTER-AGENCY PROVINCIAL ORIENTATION
1. Objectives:
At the end of the activity, the participants shall have acquired common understanding on the: a)
concept and mechanics of the NCI strategy; and b) how to operationalize the Watershed and
Ecosystem Management or Ridge-to-Reef Approach, and come-up with the long list of potential
convergence areas.
2. Topics:
 Concept and Mechanics of the Enhanced National Convergence Initiatives (NCI) Strategy
 Watershed and Ecosystem Management or Ridge-to-Reef Approach
 Agro-Enterprise Cluster and Agribusiness Development
 Criteria in Selecting the Convergence Sites
(Note:A soft copy of all presentation materials in CD format is enclosed at the back of this NCI
Operations Manual.)
9
3. Expected Outputs:
The expected outputs in conducting the Inter-Agency Orientation are to: a) forge an Agreement
among DA, DAR and DENR to adapt the NCI strategy; b) identify the long list of
municipalities/areas considered in convergence site selection; and c) develop a plan on how to
move forward with the various convergence initiative activities.
4. Participants:
The Orientation will be attended by the Provincial heads and other Provincial Government
officials namely: the Regional Director (RD) of DAR; Regional Executive Director (RED) and
Regional Technical Director (RTD) of DA and DENR; Assistant Regional Director for Operations
(ARDO) of DAR; technical staff of DA, DAR, DENR; Provincial Governor; Provincial Planning
Development Officer; Provincial Budget/Finance Officer; other staff from the Office of the
Governor; and the Municipal Mayors.
C.
SELECTION OF THE CONVERGENCE AREA
1. Initial Data Gathering
The PCITWG shall request all concerned LGUs that are part of the long list of potential
convergence areas, to submit the following information/data:
Table 1 : Initial Data Requirement
TYPE OF DATA
 Updated Provincial Physical
Framework Plan (PPFP)
DATA SOURCE
 PLGU
This is the profile of the province
containing baseline information on the
bio-physical, socio-economic,
infrastructure, and investment plans.
 Watershed characterization and
management plan
 Data on various crops grown (i.e.,
volume of production, number of
hectares/ areas planted, existing and
potential market)
 DENR
 Provincial/Municipal Agricultural
Office
 DAR through the Agrarian Reform
Community Monitoring and
Tracking System (ARC MTS)
10
TYPE OF DATA
DATA SOURCE
 Maps
showing
geo-political  NAMRIA
boundaries (province, municipalities
and barangays)
 Thematic maps showing:
 LGU, DA, DENR, NAMRIA
1. topography
2. slope/elevation
3. existing land use
4. soil profile
5. settlement
6. land classification
7. vegetation cover
8. tenure
9. watershed and drainage
10. elevation
11. issues
12. forest development
13. geologic mineral
 Infrastructure map showing the road  LGU
networks, irrigation and dams, postharvest facilities, transmission lines,
communication
facilities,
banks,
airports, seaports, state universities
and
colleges,
research
and
development centers, market and
trading posts, etc.
2. Screening/Assessment of Nominated Municipalities/ Areas
The PCITWG shall evaluate all the nominated convergence areas using the MUST criterion.
Only those areas which passed the MUST criterion will be evaluated using the Prioritization
Criteria. This will result into the shortlist of selected convergence areas.
11
Table 2 :The MUST and PRIORITIZATION Criteria
Criteria/Parameter
Weight
Descriptor
MUST CRITERIA
1. Completeness
of
ecosystem
zones
0


Remarks
Should cut
across This is a must
various ecosystems or criterion.
As
a combination of at such, it will also
least two ecosystems.
serve as preShould be located qualification
within the 141 priority criteria such that
failure of the LGU
watersheds
identified/proclaimed
to comply with
by DENR (Annex B this
parameter
contains the list of will
give
the
Watershed Supporting
PCITWG a signal
141 River Irrigation
NOT to proceed
System of the NIA)
with
the
evaluation. Since,
this is a must
criterion,
no
weight is given.
PRIORITIZATION CRITERIA
2. Presence of key
production
zones and with
connectivity for
increased
productivity and
income
35%



There are huge tracts
of lands for agroforestry development
that are considered key
production areas for
major crops/produce.
There is big potential
for expanding/scaling
up and/or connecting
these key production
areas
to
allied
industries/services for
backward and forward
integration,
and
in
increasing
existing
production level.
Farmers
cultivating
these lands are open to
12
Criteria/Parameter
Weight
Descriptor
Remarks
possible adoption of
integrated
farming
systems, or shift from
mono-cropping
to
multi-cropping or high
value crop production.
3. Combination of
sites
across
major poverty
groups
25%

There is a mix of areas
with
a
significant
number of upland and
small farmers, agrarian
reform
beneficiaries
(existing and potential),
agricultural
workers,
fishers,
indigenous
peoples, rural women,
etc.
4. Presence
of
development
oriented
local
government
leaders
and
LGU alliances
20%

Local
government
leaders
are
development-oriented;
Proven track record in
implementing
or
supporting
rural
development
and
resource development
related projects;
High
level
of
participation/
involvement
of
provincial
and
municipal officials that
are willing to support
the CI;
Willingness of LGU to
provide
counterpart
funds/resources



5. Presence
of
NGOs,
POs,
private sector
and
an
academic/resea
rch community
20%


There is a mix of rural
development-oriented
NGOs and POs who
are willing to become
development partners
of the LGU to sustain
CIs.
There
are
also
private/business
and
13
Criteria/Parameter
Weight
Descriptor

Remarks
academic institutions
that are willing and
able
to
contribute
expertise
and
resources
in
agricultural/agrarian
and
environmental
research
and
extension.
Potential partners with
proven track record in
implementing
or
supporting rural and
integrated
resource
development
related
projects
3.
Shortlisting and Final Selection of Convergence Area/s
3.1.
Prioritization Criteria for Final Selection
As previously mentioned, only those nominated convergence areas which passed criteria 1:
completeness of ecosystem zones, will proceed to this step, and will be evaluated using the
Prioritization Criteria.
In the assessment/shortlisting process, the PCITWG shall use the following rating system:
Table 3 : Rating System for the Final Selection of Convergence Area/s
Weight
CRITERIA
Distribution
1. Key production zones with connectivity for increased
35%
productivity and income
2. Combination of sites across major poverty groups
25%
3. Presence of development-oriented local government leaders and
LGU alliances
4. Presence of NGOs/POs, private sector and academic/research
community
TOTAL
20%
20%
100%
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All selected convergence areas will be rated using the scale of 1- 5, where:


5 is the highest
1 is the lowest
1. Key production zones with connectivity for increased productivity and income (35%):
Rating
Existing & Available/Potential Area
Commodity Mix
for Production
Rating 1
2,000 - 5,000 hectares
With at least 2 commodities
Rating 2
5,000 - 10,000 hectares
With at least 3 commodities
Rating 3
5,000 - 10,000 hectares
With at least 4 commodities
Rating 4
15,000 – 20,000 hectares
With at least 5 commodities
Rating 5
More than 20,000 hectares
With
more
commodities
than
6
2. Combination of sites across major poverty groups (25%)
Rating
Poverty incidence
Direct Beneficiaries
Rating 1
Rating 2
Rating 3
Rating 4
Rating 5
Site is considered non-poor
or non-food-poor based on
the NSCB list
Site is either one of the top
21 and above poorest or
most food-poor provinces
based on the latest National
Statistics
Coordination
Board (NSCB) list
Site is either one of the top
20 poorest or most foodpoor provinces based on the
latest NSCB list
Site is part of the 11th to 20th
poorest and most food-poor
provinces based on the
latest NSCB list
More than 1,000 households
More than 2,000 households
More than 3,000 households
More than 4,000 households
Site is part of the top 10 More than 5,000 households
poorest
and
food-poor
15
Rating
Poverty incidence
provinces based
latest NSCB list
on
Direct Beneficiaries
the
Note: Annex C shows the latest list of poorest and most food poor provinces
(NSCB data)
3. Presence of development-oriented local government leaders and LGUalliances. (20%):
Rating 1
Willingness to provide counterpart of at least 5% of the LGU's annual
development fund; with sustained linkage with any government
agencies or other external partners; Strongly supports
programs/projects of DA, DAR and DENR
Rating 2
Willingness to provide counterpart of at least 10% of the LGU's
annual development fund; With sustained linkage with either DA,
DAR or DENR; Strongly supports programs/projects of other
government agencies or other entities operating in the area
Rating 3
Willingness to provide counterpart of at least 15% of the LGU's
annual
development
fund;
Presence of
LGU-initiated
program/project; With sustained linkage with DA, DAR and DENR or
any entity
Rating 4
Willingness to provide counterpart of at least 20% of the LGU's
annual
development
fund;
Presence of
LGU-initiated
programs/projects; With sustained linkage with DA, DAR and DENR
or any entity
Rating 5
Willingness to provide counterpart of at least 25% of the LGU's
annual
development
fund;
Presence
of
LGU-initiated
programs/projects; With sustained linkage with DA, DAR and DENR;
Presence of Operations and Maintenance Plan for on-going or past
projects as embodied in the LGU's annual investment plan
4. Aside from DA, DAR and DENR, there is presence of NGOs/POs, private sector and
academic/research community that are willing to support the convergence initiative (20%)
Rating 1
With at least three GAs, POs, NGOs, private sector organizations
that are willing to support the convergence initiative
16
Rating 2
Presence of at least four GAs,
POs, NGOs, private sector
organizations that have start up projects in the area
Rating 3
Presence of at least five GAs, POs, NGOs, private sector
organizations implementing programs/projects in the last two years
Rating 4
Presence of at least six GAs, POs, NGOs, private sector
organizations implementing programs/projects in the last three years
Rating 5
Presence of at least seven GAs POs, NGOs, private sector
organizations implementing programs/projects in the last four years
The format shown as Annex D shall be used as tool for Convergence Area Evaluation.
3.2 Computation
The computation of the overall rating for each nominated convergence area will be guided by
the following:
To get the score per criterion, the formula is: (Rating per Criterion x Weight % / 5) x 100.
Example:
Criteria 1: 5 x 0.35 / 5 x 100 = 35
To get the overall rating, add all the scores corresponding to each of the four criteria.
17
Example: Municipality of San Mateo
Criteria 1: 5 x 0.35 / 5 x 100 = 35
Criteria 2: 4 x 0.25 / 5 x 100 = 20
Criteria 3: 4 x 0.20 / 5 x 100 = 16
Criteria 4: 3 x 0.20 / 5 x 100 = 12
Overall/total rating: 83
3.3.
Prioritization Scheme
Based on the overall/total rating obtained of the nominated convergence areas, the following
prioritization scheme is suggested:
Total Rating
80% and above
=
Priority 1
60% - 79%
=
Priority 2
50% - 59%
=
Priority 3
Below 50%
=
Not recommended for
inclusion
The interpretation of the overall/total rating of 83% for the Municipality of San Mateo means that it
will be part of Priority 1.
4.
Endorsement of Evaluation Results by the PCITWG and RCITWG
After completing the evaluation process for all nominated convergence sites, the PCITWG shall
submit the evaluation results to the RCITWG and recommend the shortlist of convergence areas
for final approval and confirmation. The PCITWG shall use the format shown in Annex E for this
purpose.
18
5.
Confirmation by RCITWG Regarding the Official Inclusion of Convergence
Areas in the CI and Notification of the Concerned LGUs
After reviewing all documents submitted by the PCITWG, the RCITWG shall send a letter of
confirmation to the concerned LGUs of their inclusion in the Provincial Convergence Initiative,
copy furnished the PCITWG and the NCITWG. The concerned LGU/s shall also be requested to
submit the following additional data/information/documents:
Table 4: Additional Data, Information and Documents
TYPE OF DATA




DATA SOURCE
Comprehensive Land Use Plan (CLUP)
Municipal/barangay development plans
Municipal/barangay profiles
Various maps such as geo-hazard map, ground
rupture hazard map, volcanic hazard map, raininduced landslide hazard map, ground shaking hazard
map, flood hazard map, liquefaction hazard map,
tsunami hazard map, storm surge hazard map, etc., if
available




LGU
LGU
LGU
LGU (Optional)
The pro-forma letter and the summary list of all confirmed convergence areas shown in Annexes
F&G shall be used.
D.
MOBILIZATION OF THE MUNICIPAL
TECHNICAL WORKING GROUP
CONVERGENCE
INITIATIVE
1. Municipal Convergence Initiative Technical Working Group (MCITWG)
The MCITWG shall be responsible in implementing plans, programs, projects, and other
related activities of the NCI at the municipal level in collaboration with the PCITWG. The
MCITWG shall identify or determine appropriate interventions, resources, and support
services needed such as, but not limited to, infrastructure, logistics, extension, inputs, lands,
and institutional development for the implementation of the NCI plans and programs.
The Chairperson of the MCITWG shall be agreed upon by the municipal members and shall
be a choice between the Municipal Agrarian Reform Officer (MARO) or the Community
Environment and Natural Resources Officer (CENRO). The Mayor of the municipality shall
be the co-Chairperson. The members of the MCITWG are the Community Environment and
Natural Resources Officer (CENRO), City/Municipal Environment and Natural Resource
Officer (C/MENRO), Municipal Agrarian Reform Officer (MARO), Municipal Agriculture
19
Officer (MAO) and concerned City/Municipal Planning and Development Coordinator
(C/MPDC).
The respective interface mechanisms shall be LGU-led with DA, DAR, and DENR providing
technical and operational support. Existing LGU mechanisms may be adopted to spearhead
or manage the convergence initiatives at the LGU level.
The over-all DA-DAR-DENR Convergence Initiative Structure is graphically presented in
Annex A of the Policy Framework and Implementing Strategy for the Enhanced DA-DARDENR Convergence Initiative for Sustainable Rural Development.
2. Conduct of the Municipal Orientation and Planning Workshop
2.1.
Objectives:
At the end of the activity, the participants shall have acquired an understanding on: a)
concept and mechanics of the NCI strategy; b) how to operationalize the Watershed and
Ecosystem Management or Ridge-to-Reef Approach; and c) the process of preparing the
Convergence Area Profile (CAP).
2.2.
Topics:
a. Concept and Mechanics of the Enhanced National Convergence Initiatives (NCI)
Strategy
b. Watershed and Ecosystem Management or Ridge-to-Reef Approach
c. Agro-Enterprise Cluster and Agribusiness Development
d. Data Requirements and Process Flow on the Preparation of the CAP.
(Note: A soft copy of all presentation materials in CD format is enclosed at the back of this
NCI Operations Manual.)
2.3.
Expected Outputs:
The expected outputs are the LGU commitment to pursue CI strategy and the plan on how to
come up with the Convergence Area Profile (CAP)
20
2.4.
Participants:
The participants of the Orientation are the Municipal Mayor, Municipal Planning and
Development Officer (MPDO), Municipal Budget/Finance Officer, MAO, MARO, CENRO,
other LGU officials, Agricultural Technicians, MPDO staff, DAR Development Facilitator, and
Barangay Captains.
PLANNING PHASE
E.
CONVERGENCE AREA PROFILE (DATA GATHERING AND VALIDATION)
1. Data Gathering and Validation
After identifying the convergence area, data gathering of primary and secondary data, field
verification and ocular inspection will be conducted. This will be undertaken by the PCITWG
together with the MCITWGs within the convergence area. As a result of all the data gathered,
a Convergence Area Profile (CAP) will be prepared, using the format in Annex H.
The CAP is the systematic presentation of all the primary and secondary data gathered and
the result of the field validation and ocular inspection conducted on the convergence area
with supporting maps. It will contain the following data:
1. Situation of the watershed and condition of ecosystem (DENR Report)
2. Comprehensive Land Use Plan (CLUP) which contains the long list of commodities
produced in the area
3. Socio-economic conditions (gender and Indigenous People disaggregated demographic
data and population spread)
4. Existing policies, laws applicable and specific to the area (NIPAS, reservation, LGC,
Fisheries Code, CBFM, IPRA, customary laws-IKSPs)
5. Institutional arrangements (geo-political situationer of the Barangays, Municipalities,
Province covered)
6. Relevant cultural and religious practices
7. Current investment and agribusiness situation (existing commodities, production,
processing and marketing system)
8. Municipal and Provincial Physical Framework Plan (geographical location, physical,
biological, social, infrastructure)
9. SWOT (Strengths, Weaknesses, Opportunities and Threats) analysis of the various
ecosystems (forest, upland, grassland, lowland/urban, coastal and marine) within the
convergence area
10. Maps (from NAMRIA and other sources): geo-political boundaries, topography, slope,
existing land use, soil profile, infrastructure, hazard map, etc.
21
2. Convergence Area Profile Analysis
Based on identified needs of the convergence area, the necessary inputs, activities and
interventions are identified. These should be in support of the goals of the comprehensive
provincial and municipal development plans and must contribute to the protection of the
environment, the management of the ecosystem and the development of new lands for
agribusiness.
Data analysis is the result of the spatial integration of all the data gathered combining and
overlaying these in the maps to arrive at a better understanding on the existing situation of
the watershed in terms of land use, institutional presence (LGUs, GOs, NGOs, private
groups, POs), socio-economic condition of the population, population spread, current
investment and agribusiness situation and issues and constraints that may affect the
implementation of the Plans that will be formulated. The analysis will result in the
identification of the necessary interventions to protect the environment, manage the
ecosystem effectively and develop the agro-enterprise and agribusiness potential of the
convergence area using the combined resources of the LGUs, the three (3) lead agencies
(DA, DAR and DENR), other support groups and institutions and the private sector investors.
The Convergence Area Profile analysis will result in the following:
1.
2.
3.
F.
Providing the physical and infrastructure requirements to develop the area such as
farm-to-market roads, irrigation and post-harvest facilities, and other infrastructure
that will support the protection of the watershed and the management of the
ecosystem;
Identifying activities on environment protection and ecosystem management; and
Providing the cluster commodities and investment requirements that can be
implemented within the convergence area which were identified based on the value
chain analysis (VCA) and market study.
PREPARATION OF THE CONVERGENCE AREA DEVELOPMENT PLAN
1. Preparing the Road Map for the Crafting of the Convergence Area Development
Plan
The Convergence Area Development Plan (CADP) is a comprehensive plan which
addresses the management of the watershed and the ecosystem in a holistic and
sustainable manner. This will be done through the implementation of interventions and
activities that will promote sustainable management of all resources within the
convergence area. The CADP seeks to:
22




identify interventions and activities that will be implemented within the convergence
area in order to manage the watershed and ecosystems and develop the
agribusiness potential without adversely affecting the watershed and the ecosystems;
demonstrate the complementation and integration of services to be provided by the
DA, DAR and DENR with the Local Government Units (LGUs) and concerned NGOs,
Private Institutions, and Research Centers;
present the budgetary/investment requirements in managing and developing the
convergence area within a 5 year period (2011-2015); and
serve as a guide for all implementers in the activities to be implemented and the
synchronization of inputs from the three (3) lead government agencies, the LGUs and
all groups and institutions involved.
The formulation of the CADP is the outcome of the joint analysis made by the LGUs
together with DA, DAR and DENR on the present condition of the ecosystem, institutional
capacities, socio-economic condition, population spread and characteristics, sociocultural practices, current land use practices, issues and constraints of the convergence
site. All the relevant data and maps concerning the Convergence Area are presented in a
Profile Format, which was prepared by the MCITWG in Annex H. The data in the Profile
are analyzed to determine the needs and requirements of the convergence area. This
becomes the basis in formulating the Convergence Area Development Plan.
Presented in Figure 3 is an illustration of the process from data gathering to validation,
formulation of CAP, analysis and the formulation of the Convergence Area Development
Plan (CADP):
23
Figure 3
Process in Preparing the Convergence Area Profile and Convergence Area Development Plan
Data Gathering, Field Validation Activities
Convergence Area Profile (CAP)
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
Situation of Watershed (DENR Report)
SWOT assessment Ecosystem (DENR and LGU)
CLUP (LGU)
Socio-Economic Condition (demographic data, population spread,
IPs, small farmers, fishers – gender and IP disaggregated)
Existing policies, laws applicable to the area (NIPAS, reservation,
CBFM,IPRA, customary laws)
Institutional Arrangements
Cultural and Religious Practices
Current Investment and agribusiness situation
Municipal and Provincial Physical Framework Plan
Maps
CAP ANALYSIS
Convergence Area Development Plan (CADP)
I.
II.
III.
IV.
V.
VI.
VII.
VIII.
IX.
Executive Summary
Introduction/Background/Rationale
Regional/Provincial Context (CLUP, PPFP)
Vision-Mission Statement
Goals and Objectives
Convergence Area Profile
Development Framework Plan
A. Spatial Strategy
B. Spatial Integration
C. Institutional Integration
D. Programs and Projects
Plan Implementation
Expected Benefits
Convergence Area Development Plan Evaluation and
Approval
(LGU –> MCITWG->PCITWG->RCITWG->NCISC)
Submission -> Review -> Approval -> For
Information/Approval
24
The Convergence Area Development Plan (CADP) will be formulated based on the
analysis of the Convergence Area Profile and will be guided by the existing issuances of
the DA, DAR and DENR mentioned as follows.

DENR MC 2008-05Guidelines in the Preparation of Integrated Watershed
Management Plans

EO No. 533 Adopting Integrated Coastal Management as a National Strategy
to Ensure the Sustainable Development of the Country’s coastal and Marine
Environment and Resources and Establishing Supporting Mechanisms for its
Implementation

DAR MC No. 04 series 2003 Operationalizing the Development of Kapit-Bisig
Laban saKahirapan Agrarian Reform Zones (KALAHI ARZones)

DAR Memorandum Circular No. 03 series 2006 Intensified Rural Development
Through Agrarian Reform Communities (ARCs) Connectivity

DAR Memorandum Circular No. 13 Series 2009 Operational Directives for the
Development of ARC Clusters

Forest Land Use Planning (FLUP)

Sustainable Agriculture and Fisheries Development Zones (AFMA)

Reports on Coastal Resource Management, Bureau of Fisheries and Aquatic
Resources, Department of Agriculture
2. Suggested Outline of the Convergence Area Development Plan
I.
Executive Summary
The Executive Summary should provide a concise presentation of the key
components of the plan. It should clearly describe the goals/purposes of the plan
as well as the principles underlying its preparation and duration/plan period. It
should highlight the plan’s framework for development, the strategies, the
programs/projects to be implemented and the resource requirements/costs,
benefits to be derived and the prospective funding sources. The proposed plan
implementation, covering organizational structure and monitoring and evaluation
should likewise be described in this section.
25
II. Introduction/Background/Rationale
This section should clarify that the plan covers only the specific convergence area
targeted for development, which just forms part of the development plan of the
entire province and an input to the regional development plan. It should briefly
discuss the plan’s relevance to the provincial, regional and national development
thrusts and program. It should specify the time frame for the plan.
It should explain how the document is organized including a short description of
its contents.
The Rationale should answer the questions – Why is there a need to formulate a
Convergence Area Development Plan? What are the major reasons for doing so?
This may be answered by introducing the enhanced convergence strategy
elaborated under JMC No. 1 series 2010, its objectives and intended impact for
the rural sector.
It should also include a short description of the planning approach and
methodology used.
III. Regional/Provincial Context
To put the plan in its proper context, the general socio-economic and ecological
situation as well as the overall development directions at the regional and
provincial levels is relevant. This section should focus on key development
indicators described in the Comprehensive Land Use Plan (CLUP), the Regional
Development Plans and the Provincial Physical Framework Plan (PPFP) where
the proposed development strategies and interventions in the convergence area
are expected to contribute.
IV. Vision-Mission Statement
State the vision and mission statements for the long ( 25 years) and medium-term
(5 years) period.
V. Goals and Objectives
State the goals and objectives (general and specific) of the plan. What would be
the contributions of the plan to the overall objectives and targets of the
region/province?
26
VI. Convergence Area Profile
This section presents a narrative report describing the present condition of the
watershed in accordance with the Watershed Characterization Report (DENR MC
2008-05 Guidelines on Integrated Watershed Management Plan, Annex B). It is
equally important to refer to the CLUP/s of municipalities within the watershed and
the sectoral plans (Forest Land Use Plans, ARC Development Plans, Coastal
Resources Management Plans, etc.).
This section should highlight the following:
 Characteristics of the Watershed
 Development Potentials
 Development Constraints
VII. Development Framework Plan
This section should discuss the watershed and ecosystem management approach
in managing the convergence area.
A) Spatial Strategy
The spatial strategy should show in a map the location and specific role/function
of the different convergence areas/municipalities in relation to the overall direction
of the province/ region. It should also illustrate the ecological zones, eg. coastal
and marine, lowland, upland and forest areas and their inter-linkages.
B) Spatial Integration
This section should outline the management strategies to be adopted:

Water Management

Management of Vulnerable areas

Allocation of Best Land Uses
Management of Forest and Upland Ecosystem
Management of Lowland and Urban (urbanizing) Ecosystem
Management of Freshwater/Coastal or Marine Ecosystem
The agribusiness potential in each ecosystem should be identified.
C) Institutional Integration
This section should describe how the different institutions and network of
institutions could converge their services in support of the strategies/interventions
27
and work together towards the development of the convergence areas. The
following may be discussed:


LGU-alliances
Network of POs
D) Programs and Projects
This section should provide an overview of the program/projects to be
implemented in order to meet the goals and objectives over the plan period.
These can be categorized along components, e.g. the main strategies described
in VII.B above. It is important to include the targets (e.g. units/numbers, hectares,
number of seedlings) cost estimates and time frame for each of the proposed
project.
The funding requirements should be presented to reflect the total requirement for
the duration of the plan, broken down by year and by proposed funding source.
In addition to the different components and programs/projects, other support
interventions could be identified e.g. Policy and Advocacy, Capacity Development,
Agro enterprise and Agribusiness Development and Knowledge Management, as
necessary.
VIII.
Plan Implementation
A) Organization and Management Structure
This section should answer the questions - Who will implement the plan? What
will be the composition of the structure? What will be the role/ expected
contributions of each organization? Are present capabilities sufficient to match
future responsibilities? What measures should be taken to augment capabilities?
What will be the relevant post-implementation structure of the program?
The organizational and management structure of the implementation of the plan
should be presented.
1. Monitoring and Evaluation
This section should answer the questions – How will the program be monitored?
Who will monitor and what mode and methods of monitoring will be adopted?
2. Schedule of Major Activities
28
Prepare a timetable of activities, preferably a Gantt Chart of major activities.
B) Expected Benefits
In addition to productivity and income benefits, the social soundness of the
investment should be adequately discussed. The evaluation should take into
account the groups or sectors to be benefited by the program investment, on the
one hand, and which would be adversely affected on the other. The acceptability
of the program to the recipient communities and neighboring areas should be
taken into consideration. The unquantifiable social benefits should likewise be
included, e.g. increased political awareness, gender awareness etc.
A section on the likely environmental effects of the proposed investment should
be included and appropriate mitigation measures should be included where
adverse effects are likely to be created.
3.
Identifying the Agri-business Potential in Each Ecosystem
3.1.
Cluster Commodity Selection
a. Conduct of Municipal Orientation and Planning Workshop
The RCITWG together with the representatives from the PCITWG will conduct an
orientation and planning workshop. At the end of the activity, the participants shall
have acquired a common understanding on the concept and mechanics of the NCI
strategy. The participants will also have a common knowledge on how to
operationalize the ridge-to-reef approach and identified the commodities that will be
developed as agro-enterprises in the area.
The participants to the orientation and planning session will be: Municipal Mayor;
Municipal Planning and Development Officer (MPDO); Municipal Budget/Finance
Officer; MAO; MARO; CENRO; other LGU officials; Agricultural Technicians; MPDO
staff; DAR Development Facilitator; barangay captains
The following are the topics that will be presented and discussed:


Concept and mechanics of the Enhanced National Convergence Initiatives
(NCI) Strategy
Ridge-to-Reef Approach
29

Agro-enterprise Cluster and Agribusiness Development
The expected outputs will be the following:
1) LGU commitment to pursue CI strategy;
2) Long list of crops/commodities to be considered in agro-enterprise cluster and
agribusiness development and corresponding profile; and
3) Plan on how to move forward (especially on how to generate the necessary
data required by the PCITWG)
The profile of identified commodities should establish the expanse of production in
terms of hectares/area planted and available and potential market. The impact of
climate change will also be considered in all aspects in planning and selection of sites
and cluster commodities.
b. Shortlisting of Cluster Commodities
The MCITWG shall conduct another session to come up with the short list of
commodity clusters.
This activity shall be attended by representatives from
representatives of the RCITWG and PCITWG, municipal LGU officials,
representatives from NGOs, POs, farmers’ groups and other organized groups.
A key input in the shortlisting process is the Value Chain Analysis (VCA), which will
be used to assess the economic value of commodities and identify the possible
commodity mix by ecosystem that will facilitate backward and forward integration.
Through VCA, the group will generate data on raw/planting materials sourcing,
production, technology, market demand, etc.
The MCITWG, together with other sectors of the community shall prioritize the
commodities using the following criteria:
Table 5: Criteria for Prioritization of Commodities
Selection Criteria
Weight Distribution
1. Market demand
40%
2. Outreach
20%
3. National Priority Ranking
20%
4. Complementarity
20%
100%
30
To prioritize the commodities, each of the shortlisted commodities shall be subjected
to the following criteria, using the scale of 1- 5, where:


5 is the highest
1 is the lowest
Table 6 : Criteria on Market Demand (40%):
Rating
Contribution to GDP or Export
Earnings
Market Demand Level
Rating 1
No contribution to GDP/ export
earnings
No market demand for the
commodity
Rating 2
1-3 % contribution to GDP/
export earnings
Limited local market for identified
commodity is present
Rating 3
4-7% contribution to GDP/
export earnings
Local market for identified
commodity is available
Rating 4
8-10% contribution to GDP/
export earnings
Provincial and local market
demand is high
Rating 5
At least 11% contribution to
GDP/ export earnings
International, regional, provincial
and local market demand is high
31
Table 7 :Criteria on Outreach (20%):
Rating
Employment Generation
Potential
Rating 1
At least 200 existing and
potential jobs is/shall be
generated
Rating 2
At least 400 existing and
potential jobs is/shall be
generated
Rating 3
At least 600 existing and
potential jobs is/shall be
generated
Rating 4
At least 800 existing and
potential jobs is/shall be
generated
Rating 5
At least 1,000 existing and
potential jobs is/shall be
generated
Presence of Farmers’/Organized
Groups that are Engaged in
Production of Chosen
Commodity
No farmers'/organized groups'
that are willing to engage in
production of chosen commodity
Presence of farmers'/organized
group' but are hesitant to engage
in production of chosen
commodity
Presence of at least one
farmers'/organized group that is
willing to engage and has
previous experience in producing
chosen commodity
Presence of at least one
farmers'/organized group that is
willing to engage and has
previous experience in producing
chosen commodity
Presence of at least one
successful farmers'/organized
group that is engaged in the
production of chosen commodity
with market linkages
Table 8: Criteria on National Priority Ranking (20%)
Rating 1 Not relevant nor important to the export promotion thrust of the
Government; not mentioned in speeches of government officials nor
included in the LGU’s development plans
Rating 2
Low relevance/importance to the export promotion thrust of the
Government and very rarely mentioned in speeches of Government
officials or rarely included in LGU’s development plans
Rating 3
Medium level relevance/importance to the export promotion thrust
of the Government and commonly mentioned in speeches of
government officials or commonly included in the LGU’s
32
development plans at all levels
Rating 4
High relevance/importance to the export promotion thrust of the
Government and frequently mentioned in speeches of government
officials or frequently included in the LGU’s development plans at all
levels
Rating 5
Very high relevance/importance to the export promotion thrust of
the Government and always mentioned in speeches of government
officials or always included in the LGU’s development plans at all
levels
Table 9 : Criteria on Complementarily (20%)
Rating Presence
Availability
of Availability
of
of physical raw/planting
appropriate
(roads,
materials – 5%
technology
bridges,
(production,
irrigation,
processing, etc.)
etc.) and
– 5%
economic
infrastructure
(credit) –
5%
Presence/adequacy of
extension
services
(e.g. training services;
business
advisory
services;
demonstration
services; information;
education,
communication support
services through trimedia) – 5%
Rating 1
No
physical
infrastructure is
present;
only
informal
credit
sources
are
available
No readily
available or very
limited source of
raw/planting
materials
Appropriate
technology is
not readily
available
No extension services
are locally available
Rating 2
Physical
infrastructure
present is
Raw/planting
materials are
sourced from
nearby
Appropriate
technology is
available from
nearby
At least one of the
above-mentioned
extension services is
33
limited;
only
informal
sources of
credit is
available
municipalities/are
as
municipalities/
areas
available on-site
Rating 3
Any one
of the
abovementioned
physical
infrastructure is
present; at
least one
formal
credit
source is
available
Raw/planting
materials are
readily available
on-site but on
certain months
only
At least two of the
above-mentioned
extension services are
available on-site
Rating 4
Any two of
the abovementioned
physical
infrastructure are
present; at
least two
formal
credit
sources
are
available
Raw/planting
materials are
available within
the area year
round
Rating 5
Adequate
physical
infrastructure such
as roads,
Raw/planting
materials are
available within
the area year
round, with some
A group of oncall agricultural
technicians is
present to
provide
appropriate
technology;
functional
processing
facilities are
available in
nearby
municipalities/
areas
A group of
skilled LGU
agricultural
technicians
regularly visits
the area to
provide
adequate
appropriate
technology;
functional
processing
facilities are
available in
nearby
municipalities/
areas
A pool of trained
para-technicians
is available to
provide a menu
of appropriate
Any three of the abovementioned extension
services are available
on-site
All of the four abovementioned extension
services are available
on-site
34
bridges,
irrigation
system is
present; at
least three
formal
credit
sources
are
available
surplus available
for sale
technology;
functional
processing
facilities are
available on-site
c. Computation of Rating:
1) How to compute the overall rating score per commodity:

The formula to get the score per criterion:
Rating per criterion x Weight / 5 x 100

To get the overall rating, add all the scores corresponding to each of the four
criteria
Example: Commodity 1: Rice
Criteria 1:
5 x 0.10 / 5 x 100 = 10
Criteria 2:
5 x 0.15 / 5 x 100 = 15
Criteria 3:
5 x 0.15 / 5 x 100 = 15
Criteria 4:
3 x 0.15 / 5 x 100 = 9
Criteria 5:
5 x 0.35 / 5 x 100 = 35
Criteria 6:
3 x 0.10 / 5 x 100 = 6
Overall rating 90
Example: Commodity 2: Mango
Criteria 1:
4 x 0.10 / 5 x 100 = 8
Criteria 2:
4 x 0.15 / 5 x 100 = 12
Criteria 3:
4 x 0.15 / 5 x 100 = 12
35
Criteria 4:
3 x 0.15 / 5 x 100 = 9
Criteria 5:
5 x 0.35 / 5 x 100 = 10
Criteria 6:
5 x 0.10 / 5 x 100 = 6
Overall rating 82
Example: Commodity 3: Dairy Products
Criteria 1:
3 x 0.10 / 5 x 100 = 6
Criteria 2:
3 x 0.15 / 5 x 100 = 9
Criteria 3:
4 x 0.15 / 5 x 100 = 12
Criteria 4:
3 x 0.15 / 5 x 100 = 9
Criteria 5:
4 x 0.35 / 5 x 100 = 28
Criteria 6:
3 x 0.10 / 5 x 100 = 6
Overall rating 70
2)
How to Prioritize the Commodities:
Commodities with rating of:
85% and up
= Priority 1
70% - 84%
=
Priority 2
50% - 69%
=
Priority 3
Below 50%
=
will not be favorably
considered
Given the examples above, rice is part of Priority 1; while mango and dairy products are
part of Priority 2.
36
d. Workshop on Commodity Profiling and Commodity Based Investment
Programming
This is a two-day workshop. Members of the concerned CI-TWGs and selected technical
staff from DA, DAR, DENR and the concerned LGU shall attend the first day. The output
of which are the profiles of priority commodities and their respective investment
requirements from 2011- 2016.
Using the outputs of Day 1, specifically, the commodity profiles and investment
requirements shall be presented to selected farmer leaders, representatives of organized
groups and other stakeholders on the second day. Annex I shows the template used in
preparing the Investment Proposal/Business Plan.
e. Refinement and Finalization of the Commodity-Based Investment Plans and
Preparation of Cost-Benefit Analysis
Another two-day workshop will be held for this activity. This will be attended by the
members of the concerned CI-TWGs and selected technical staff of DA, DAR, DENR and
concerned LGU. Resource speakers and agribusiness enterprise development experts
will be invited to guide the local convergence teams in refining and finalizing the
investment plans. The outputs of this activity are the full-blown investment plan, and
capsule proposals for each commodity, for which funding commitments of each agency
shall be defined. (See Annex J: Sample Investment Proposal on Cripy Banana Chips)
f.
Conduct of Investment Forum
To encourage the participation of the private sector and attract private investors and other
possible development partners, a Regional Investment Forum will be conducted annually
or as deemed necessary. Prepared investment plans that need external investments will
be presented in the Regional Convergence Investment Forum.
A National Investment Forum will also be held annually. Investment proposals not picked
up by investors in the Regional Investment Forum will be again presented in this forum.
g. Monitoring and Evaluation
Implementation of the funded investment plans shall be closely monitored by the local
TWG and progress of implementation shall be reported to the Regional CI TWG and
National CI TWG. Unfunded investment plans shall also be monitored, reviewed and
revised if deemed necessary. This will be lined up to other available funding windows.
37
Evaluation of CI agro-enterprise and agribusiness undertaking will also be done. This
can be done by either the in-house monitoring or evaluation units of DA, DAR and DENR.
Documentation of best practices will be coordinated with the Knowledge Management
Component for dissemination and replication to other areas where deemed applicable.
h. Follow Through Activity : Commodity and Investment Mapping
In preparation for the official CI launching, the technical staff of the LGU shall initiate the
mapping of the identified commodity clusters. Required support investments like farm to
market roads, drying and other post-harvest facilities will be identified. Support
infrastructures that are under the banner programs of DA, DAR and DENR will be
proposed to be programmed under said banner programs. Other infrastructure
requirement that cannot be accommodated by the regular programs will be packaged into
a proposal for funding through foreign grants and other external assistance.
G.
CONVERGENCE AREA DEVELOPMENT PLAN EVALUATION AND
APPROVAL
The evaluation of the Convergence Area Development Plan (CADP) will go through a
process of review, field validation and approval. If the convergence area covers only a
single municipality then the CADP will be prepared at the Municipal level and submitted
for review at the Provincial level and for approval at the Regional level. If the
convergence area covers more than one municipality then the Plan will be prepared at
the Provincial level and submitted for review and approval at the Regional level. For
purposes of this write-up, the MCITWG/PCITWG that prepared the CADP will be
referred as the Planning Team while the PCITWG/RCITWG that will review and
approve the CADP will be referred to as the Reviewing Team.
1.
Review and Evaluation of CADP

Upon receipt of the CADP, the members of the Reviewing Team
(PCITWG/RCITWG) will first conduct a table review of the plan.

Meeting/s will be held between the Reviewing Team and the Planning Team to
present and discuss the content of the CADP and assess its feasibility and
consistency with the Municipal, Provincial and Regional Development Plans
and to identify future bottlenecks in the implementation.
38
2. Field Validation


3.
4.
Field validation will be conducted by the Reviewing Team to verify the actual
situation on the ground and to discuss the CADP with the existing groups and
potential beneficiaries. This will also determine the existing and potential
issues and impediments in the implementation of the plan.
Field Validation Report will be prepared and will be used in the deliberation of
the Reviewing Team.
Result of Evaluation

Based on the results of the review and evaluation done through meetings and
field validation, the Reviewing Team will officially inform the Planning Team on
its decision regarding the approval of the CADP. This will be done through an
Official Letter with attachment of the Minutes of the meetings and Field
Validation Report.

The result of the evaluation may require further action by the Planning Team
to comply with the issues raised by the Reviewing Team. In this case,
approval of the CADP will be conditional pending the compliance of the
Planning Team on the issues raised by the Reviewing Team.
Final Approval

The final approval of the CADP will be given by the Reviewing Team after a
thorough review process. This will be communicated through an Official Letter
signifying the approval of the CADP.

The approved CADP will be endorsed to the RCITWG and NCITWG for fund
programming and necessary support.

Upon receipt of the approved CADP, the NCITWG will assess the plan for
completeness and consistency with the specific plans of the concerned
government agencies and groups involved and with the over-all national plan
on Convergence Initiatives.

If the CADP is found in order, the NCITWG will inform the RCITWG of its
confirmation and approval.

The approval of CADP will signify that the convergence area is ready for the
Launching Activity. (See Figure 4: Review and Approval Process of CADP)
39
FIGURE 4 : REVIEW AND APPROVAL PROCESS OF CADP
MCITWG
PCITWG
RCITWG
PREPARES CADP
(1)
REVIEWS CADP
(3)
SUBMITS CADP
(2)
CONDUCTS TABLE
REVIEW
(4)
REVIEWS CADP
FOR
CONSISTENCY
WITH REGIONAL
PLANS AND FUND
PROGRAMMING &
SUPPORT
(8)
FIELD VALIDATION
(5)
RECOMMENDATION
BASED ON ISSUES
IDENTIFIED AND
CONSISTENCY WITH
PROVINCIAL PLANS
(6)
NCITWG
REVIEWS CADP
FOR
CONSISTENCY
WITH NATIONAL
PLANS, FUND
PROGRAMMING &
SUPPORT
(10)
?
NOT
CONSISTENT
CONSISTENT
GO BACK
TO # 3
GO BACK
TO # 1
NOT
CONSISTENT
?
CONSISTENT
RECOMMENDS
APPROVAL
(9))
RECOMMENDS
APPROVAL
(7)
40
H.
LAUNCHING THE CONVERGENCE AREA
Launching of the Convergence Area is the last activity in the Planning Phase. This event will
signify that the Convergence Area Development Plan had been approved for implementation.
Presented in this topic are the activities that will be conducted for the successful conduct of
the launching activity. The objective of which is to guide the RCTWG, PCTWG and MCTWG
in their preparations for the conduct of cost-effective and multi-stakeholder participatory
launching of convergence area.
The Launching of the Convergence Area involves three (3) main activities:
1. Pre-Launching Activities -is the conduct of series of meetings, planning sessions and
the organization of committees for the actual launching.
a. Participants :












RCITWG (DA,DAR,DENR)
Provincial Planning and Development Officer (PPDO)
Provincial Agriculture Officer (PAO)
Provincial Agrarian Reform Officer (PARO)
Provincial Environment and Natural Resources Officer
(PENRO)
Community Environment and Natural Resources Officer
(CENRO)
Mayor/s or Representative
Municipal Planning and Development Officer (MPDO)
LGU-Environment and Natural Resources Officer (ENRO)
Municipal Agrarian Reform Officer (MARO)
Selected Civil Society Organizations (CSO) and People’s
Organization (PO) representatives
Other concerned offices and partners
b. Process :
Planning sessions shall include identification of activities for the launching, including
budget requirement, committee tasks, areas where complementation of activities and
resources should be focused.
The Regional Convergence Initiative Technical Working Group (RCITWG) shall lead in
the planning and coordinating the preparations for the launching activity with specific
assigned tasks to the PCITWG and MCITWG:
Suggested working committees for the actual launching are provided below. Committees
may be combined depending on the dynamics within the LGUs, availability of staff
support and other factors.
41
1) Finance Committee– is responsible for ensuring the availability of funds for
the activity.
2) Food Committee - is responsible for the necessary arrangements and
preparations of food requirements for the activity.
3) Program Committee – is responsible in the preparation of the program of
activities, invitations for the guests and VIPs, and overall coordination of the
participants who are attending the launching activity.
4) Physical Arrangement Committee – is responsible for the physical
preparation of the venue. Some considerations in selecting venue would
include proximity and accessibility of the area with some of the projects to be
presented during the launching so that the projects would be more
appreciated by the participants.
5) Promotions Committee – is responsible in promotional and IEC activities for
awareness of the participants, stakeholders and other partners including the
preparation of IEC materials like posters, leaflets, etc. Press briefing material
may also be prepared by the committee as needed.
6) Documentation Committee - is responsible in the documentation of the
activity through video, photos and tape recording.
7) Technical Committee- is responsible in the preparation of the necessary
technical and legal documents and materials.
c. Major Activities:
1) Creation of the management and planning teams and/or specific committees
2) Identification of key stakeholders who will attend the launching
3) Inter-agency meetings and consultations, orientation and levelling-off
meetings
d. Output :Program for Local Convergence Area Launching or Program of Activities
2.
Actual Launching
The Regional Convergence Initiative Technical Working Group (RCITWG) shall lead in the
conduct of the launching activity with specific assigned tasks to the PCITWG, MCITWG and
the specific committees:
The Technical Committee is responsible in the preparation of the necessary technical and
legal documents and materials such as:
42
a. Project profiles, project briefs, flyers about the CADP
b. Presentation materials on CI and CADP
c. Memoranda of Agreement (MOA) or Memoranda of Understanding (MOU) which
contain the following information:
mission, purpose, scope, terms of
understanding, signatures of concerned parties and witnesses
d. Tokens of recognition/appreciation
e. Land titles for distribution
f. Agricultural equipment and inputs
g. Facsimile or actual checks
h. Other documents.
Table 10 :Suggested Program of Activities During the Launching.
Activity
Office Responsible
Invocation
National Anthem
Welcome Remarks
Host LGU
Background on the DA-DAR-DENR NCI/RCITWG
Convergence Initiative
Presentation
of
Convergence
Area PCITWG
Development Plan
Commitment of Support
DA, DAR, DENR
Responses
Governor/
Congressional
District Representative
MOU/MOA Signing
RCITWG/PCITWG
Ceremonial Launching and Turn- Over of PCTWG/MCITWG
Projects
Closing Remarks
NCI Official or LGU
Press Conference
RCITWG
Suggested Guests and Participants :











Office of the President
NCI Steering Committee - DA,DAR,DENR
NCI TWG Members – DA, DAR, DENR
Governor
Senate/Congressional District Representative
Mayors
NEDA/Regional Development Council (RDC)
Other NGAs (DTI, DOH, DOLE, DSWD etc)
Development partners operating in the area
Other offices and partners (POs) from the concerned LGUs
Representatives from local media
The actual launching activity runsfrom2-3 hours.
Resources that may be incurred during the launching activity should be collectively shared by
the LGUs and agencies involved.
43
3.
Post Launching Activities
The RCITWG, PCITWG and Secretariat shall conduct an assessment of the launching
activity. This would facilitate the information and experiential sharing concerning the results
of the launching. The assessment helps in addressing concerns that need immediate action
of the concerned agencies, POs and CSOs .
The Promotional Committee shall conduct a press release on the results of the actual
conduct of launching. It shall also acknowledge key people for their support. Recognition
could be given to concerned support groups during a major event, (e.g. trade fair).
The RCITWG, PCITWG and Secretariat shall conduct monthly meetings to update the
members on the status of projects/initiatives and agreements reached during the launching
activity. The group shall coordinate the jump-start of projects and continuously follow-up
agency commitments at various levels.
The Regional Secretariat prepares documentation on the conduct of launching and post
launching activities and maintains database of project documents for future reference.
IMPLEMENTATION PHASE
There are 4 major activities under the implementation phase which will be presented in this
Chapter. It will start with the discussion on the implementation of the CADP, then the 4
Components which support the implementation,theMonitoring and Evaluation and lastly the
Impact Assessment.
I.1.
IMPLEMENTATION OF THE CONVERGENCE AREA DEVELOPMENT PLAN
1.
Organization and Management:
a.
Municipal Convergence Initiative Technical Working Group (MCITWG)
as the Management/Implementation Team for CADP
In implementing the CADP, a Management/Implementation Team is responsible for
the supervision, management and coordination and monitoring of the implementation
of the projects identified under the CADP. The MCITWG shall act as the
management/ implementation team.
The MCITWG/Implementing Team shall hold its office in a strategic and centrally
located area/office accessible to the team members.
44
Other modalities may be explored for more effective implementation of CADP projects
and activities.
Options in setting up the Coordinating and Management Offices
Option 1: Regional Project Management Office (PMO) to be established/based at
office of RCITWG Chair
Option 2 : Provincial PMO to be established/based at office of PCITWG Chair
Other options that were gathered from the Provincial level data gathering are:
1) Project Management / Coordinating Office to be formed in a strategic
area within the convergence cluster
2) Creation of a Council or LGU Alliance of Convergence Area
b.
Roles and Responsibilities of Management/Implementing Unit
The management office/implementing unit shall have the following specific duties and
responsibilities:
1) Assist the LGUs in the preparation of project proposals
2) Conduct site validation and preliminary investigation of proposed
projects
3) Secure clearances, endorsements and other necessary documents
pertaining to the implementation of projects approved under the
initiative
4) Submit regular program of activities and accomplishment reports to
the MCITWG, PCITWG and other offices when necessary
5) Monitor the implementation of projects
6) Submit physical and financial status of accomplishment
7) Provide overall management and supervision of the approved projects
8) Coordinate with concerned agencies and institutions to resolve issues
and problems arising during implementation of projects
9) Establish and maintain database of projects and activities for all
components (Policy and Advocacy, Agro-enterprise, Capacity
Development) based on Knowledge Management component’s
recommended principles and systems
10) Performs other tasks assigned by the MCITWG and PCITWG.
45
c.
Integration and Coordination Mechanisms
Mechanisms to integrate and coordinate interventions for the CADP shall be put in
place by the RCITWG and PCITWG to ensure inter-phasing, consistency and
sustainability.
Regular planning, coordination and assessment activities shall be conducted to
identify implementation gaps, issues and concerns to support the implementation
plan. A complete documentation of concerns per component shall be required for
immediate action of concerned working group. Concerns specific to certain agencies
shall be endorsed to the concerned agency.
TWG Focal Persons at all levels (Annex A: Policy Framework - NCI Organizational
Structure) shall act as Heads of Secretariat which will coordinate the conduct of
meetings,
provide
administrative
and
logistical
support,
document
meetings/workshops and maintain effective and efficient data management systems.
c.1.
Municipal Level Coordination
Municipal level coordination for the CADP shall be undertaken through the
MCITWG. Implementation problems and issues shall be threshed out during the
MCITWG meetings.
Mechanisms to integrate and coordinate concerns/issues of each component
shall be consolidated by the Implementing Team. These shall be processed by
the PCITWG and RCITWG.
Coordination meetings at the municipal level shall be held weekly or as
necessary as determined by the MCITWG.
c.2.
Provincial Level Coordination
Provincial level coordination for the CADP shall be undertaken through the
PCITWG. Implementation problems and issues shall be threshed out during the
PCITWG meetings. Coordination meetings at the Provincial Level shall be held
twice a month or as necessary as determined by the PCITWG.
c.3.
Regional Level Coordination
Regional level coordination for the CADP shall be undertaken through the
RCITWG. Implementation problems and issues shall be threshed out during the
RCITWG meetings. Coordination meetings at the Regional Level shall be held
monthly or as necessary as determined by the RCITWG.
c.4.
National Level Coordination
National level coordination for the NCI and CADP shall be undertaken through
the NCI Steering Committee, Component TWGs and NCI Secretariat.
46
Implementation problems and issues raised during provincial and regional
coordination meetings shall be threshed out and resolved at the national level.
The Steering Committee shall meet at least twice a year; the TWG once every
quarter, and the NCI Secretariat as necessary.
The NCI Secretariat shall coordinate with oversight agencies (NEDA, DBM, PMS,
etc) regarding submission of regular and special reports to be required by such
agencies.
The Planning Offices of DA, DAR and DENR shall ensure that NCI plans and
targets including those under CADPs are incorporated in agency Work and
Financial Plans (WFP).
Accomplishment in agency implemented (counterpart) projects within the CADPs
should also be incorporated in periodic agency accomplishment reports.
2.
Annual CADP Review and Planning
Annual review and planning workshop to be held every December/January aims to
review the overall project annual accomplishment vis-à-vis planned targets to determine
efficiency of project implementation and discuss major strategies and issues that affect
the implementation of projects under the CADP. Planning for the succeeding shall be
undertaken in the same workshop.
Before the cluster-wide review and planning workshop, each LGU shall conduct its own
assessment and planning workshop to review their plans and accomplishments with
respect to the overall CADP plans and targets.
3.
Financial Aspect
Based on the NCI guiding principles (Joint MC 1, S. 2010), funds necessary to carry out
the implementation of the enhanced Convergence Initiative shall be taken from the
available funds of DA, DAR and DENR. Other sources of funds such as grants,
donations, and other forms of assistance from donor agencies and other public or private
entities may be tapped and facilitated by NCI-TWG subject to regular auditing guidelines
and procedures. Cost-sharing or counter parting schemes among NGAs and LGUs will
be encouraged to support the implementation of the enhanced CI.
Funds for the convergence initiative shall form part of the work and financial plan (WFP)
of each department to effectively and efficiently carry out convergence activities.
These department WFPs are outputs of planning and budgeting process established and
standardized across government offices. They are submitted to DBM and incorporated
in the National Expenditure Program (NEP) and General Appropriations Act (GAA).
Processing and downloading of agency funds from Central to field offices shall consider
the government’s existing accounting and auditing procedures.
47
I. 2. IMPLEMENTATION OF 4 COMPONENTS
There are four Components that will provide support and guidance in the implementation of
the Convergence Area Development Plan (CADP). These components are (1) Policy and
Advocacy, (2) Agro-Enterprise and Agribusiness Development, (3) Capacity Development
and (4) Knowledge Management. These components perform an equally important role in the
attainment of the goals and objectives of the convergence initiatives by reinforcing and
enhancing the implementation of CADP. The processes involved in the implementation of
these components are described below:
1.
Policy and Advocacy Component
In the implementation of JMC No. 01 Series of 2010, the Policy and Advocacy Component
will ensure that there are no conflicting, overlapping or unclear policies. This component will
address policy concerns through policy reforms in the context of formulating and amending
policy issuances, resolution of overarching cross-sectoral policy issues and the advocacy for
legislation or other instruments leading to institutional and operational efficiencies and
stakeholder participation under the convergence strategy. In order to operationalize the
processes involved in addressing conflicting, overlapping or unclear policies the following
activities will be implemented all throughout the implementation of the Convergence Area
Development Plan. (See Annex K: Matrix on Policy and Advocacy Component2)
a.
b.
c.
d.
e.
f.
g.
h.
Review of Policy issues
Amendment of proposed policy and crafting of Policy Issue Fact Sheet
Endorsement of Policy Issue Fact Sheet to the Policy and Advocacy Group
Refinement of Draft Policy
Deliberation of Draft Policy by Working Group
Conduct Consultative Fora
Endorsement of Policy
Consideration and passage of Policy by NCISC
2
Source: Write-up of Policy and Advocacy Working Group
48
2.
Agro-Enterprise Cluster and Agribusiness Development Component
The Agro-enterprise and Agribusiness Development Component will support the
establishment of agro-enterprise clusters in all provinces.3. These clusters will focus on agribusiness initiatives based on the potential of the areas. In selecting the agro-enterprise
clusters, due consideration will be given to the environment and ecological integrity of the
agro-enterprise cluster. Hence, models will be developed to ensure that the nature and type
of agro-enterprises will be congruent and in harmony with the ecosystem. Presented below
are the objectives and the process of operationalizing the agro-enterprise and agribusiness
activities.4
a.
Objectives
Generally, this component aims to contribute in promoting sustainable rural development
through convergence.
Specifically, it aims to:
1)
2)
3)
4)
5)
b.
Identify cluster commodities in the selected local convergence agro-enterprise
clusters;
Develop investment plans for the development of the selected cluster commodities;
Implement agro and agribusiness enterprises in the selected convergence clusters;
Promote forward and backward integration of cluster commodities; and
Link the different cluster products to relevant market.
Operationalizing the Agro-enterprise and Agribusiness Activities
1)
Adopt a Combination of Bottom-up and Top-down Approach
Following the DA, DAR, DENR CI policies and guidelines, the National
Convergence Agro-Enterprise and Agribusiness Development TWG will work with
the Regional CI TWG in implementing and operationalizing the Agro-Industry and
Agribusiness Cluster Component. Participatory approach will be observed where a
combination of top-down and bottom-up approaches will be used. Under this
approach, the target beneficiaries or partner implementers will be the one to
3
Specific discussion on the establishment of agro-enterprise clusters and commodities is integrated under the activity on
the Preparation of the Convergence Area Development Plan (CADP) pages 27-35 of this Operations Manual.
4
Source: Write-up of Agro-enterprise Cluster and Agribusiness Development Component
49
identify the package to be included in their cluster based on the agreed selection
criteria as well as their felt need and management capability. The technical
concerns of the selected projects however, will be discussed and approved by the
concerned government agencies.
2)
Adopt a Value Chain Approach
To develop a sustainable competitive advantage of the selected agro-enterprise
and agribusiness clusters in the business arena, thevalue chain approach will be
adopted in implementing this component. The value chain approach is a powerful
tool for the small farmer-producers and agribusiness entrepreneurs to identify the
key activities within the firm, which form the value chain for the organization/agrobusiness enterprise and have the potential of a sustainable competitive advantage.
The competitive advantage of an organisation lies in its ability to perform crucial
activities along the value chain better than its competitors. Understanding how
industries in which SMEs participation can become more competitive requires both
systematic and systemic analysis of the factors affecting the performance of the
firms in the value chain and the relationships among these firms.
3)
Set the Selection Criteria
Selection cluster commodities and farmer cooperatives/organizations who will be
selected as partner implementers and who will manage the operation of the
projects and facilities that will be established under this CI component shall be
done in accordance with the selection criteria that will be set and agreed prior to
actual implementation.
4)
Implement Counter-parting Scheme
To foster project ownership, counter-parting will likewise be adopted. Partner
implementers will be required to put up equity (cash or in kind) equivalent to the
corresponding percentage based on the income classification of the municipality.
Partner implementing coops/farmers organizations will likewise be required to
provide counterpart particularly the working capital for the 1st three months of
operation. To ensure allocation of LGU equity, a Sangguniang Bayan (SB)
resolution will be required from participating LGUs. For the cooperatives and
farmers’ organizations, a Board Resolution will be required.
50
3. Capacity Development Component
The Capacity Development Component will ensure that the implementing agencies (DA-DAR
and DENR) and other involved agencies, groups and institutions have a shared appreciation
and understanding of convergence and the common framework for sustainable rural
development. To efficiently deliver the necessary NCI interventions and activities at the
national, regional, provincial, municipal and community levels require capacity development
interventions such as training, education as well as institutional development. The process in
implementing the capacity development intervention is presented as follows: (See Annex L :
Process Flow for Capacity Development Component5 and Annex M: Proposed List of
Indicative Training Program)
Phase 1 : Strengthening the partnership and/or establishment of new network with relevant
stakeholders in the Convergence Initiative (CI) sites.

Conduct consultation meetings to establish partnership and define the process of
capability development activities at the RCITWG, PCITWG and MCITWG.
Phase 2: Conduct the training cycle/process (See Annex N: Training Cycle)

Training needs/capability building needs of stakeholders and partners.
a)
Conduct rapid appraisal of training needs/felt needs of partners and
stakeholders in the CI sites
b)
Prepare list of training program based on rapid appraisal
c)
Coordinate arrangements with RCI/PCI/MCI Focal persons regarding
identified/proposed training program. (See Annex N.1)
 Training Design and training proposal preparation (See Annexes N.2 to N.8)
 Pre-Implementation
a)
Prepare Training Design and Training Plan
b)
Prepare and finalize all administrative arrangements
c)
Prepare training materials
d)
Prepare Resource Speakers
 Conduct Training
 Training Evaluation
5
Source : Write-up of the Capacity Development Working Group
51
4. Knowledge Management
The function of the Knowledge Management Component is to ensure that the NCI programs,
projects and initiatives are implemented and monitored in an efficient and effective manner.
It will likewise ensure that innovations are documented, shared and disseminated for possible
adoption, expansion and scaling-up. The following are the key activities that will be
implemented under this Component: (See Annex O : Matrix on Knowledge Management
Component6 )
a.
Information and Database Management (IDM)
A Convergence Initiative Database System shall be designed and developed jointly by the
Information Technology Groups (ITG) of the three agencies (DA, DAR & DENR). The system
will be installed at the provincial, regional and central units of the agencies to allow
generation of information at their respective levels. The central database will be maintained
at the DA which shall officially provide information and reports to the oversight agencies. It
shall as well provide and facilitate the necessary access to the different users.
The IDM will facilitate the development and management of Convergence Initiative Database
System and shall include but not limited to the following data;





Agribusiness Land (profiles, validated, developed)
Job Generation
Human Resource Development
Fund Sources
Other pertinent statistics (i.e information)
b. Identify Data/Information Needed
These are the data that will provide information to the executive for decision making
as well as the input for monitoring and evaluation. The Knowledge Management
Technical Working Group (KM-TWG) will design the data capture form to be used for
data gathering.
c. Prepare Plan for Data Gathering and Collection
6
Source: Write-up of Knowledge Management Component Working Group
52
The KM-TWG in coordination with other NCI TWG and relevant agencies will prepare
the plan for data gathering. The plan and the desired captured form will be
disseminated. The Data gathering and collection shall be undertaken at the municipal
level for submission to the provincial level.

Data Gathering Method
1. Interview with Management, exemplars or workers
Interviews are conducted one-on-one or with a small group.



Write down your questions before the interview and give them to the
person(s) being interviewed, if possible
Decide beforehand how you want to document the information you
gather
Tell the person being interviewed the purpose and how you will use what
they tell you
2. Panel of Experts
This method is used to get the collective observations and opinions of the
“best of the breed”.




Make sure that each participant is truly an expert
Let participants know well in advance what is expected of them and give
them time to prepare
Focus the discussion on the topic at hand and keep participants on track
Document the panel as interviews are documented.
3. Observations
Direct observation of work performance is an excellent means of gathering
data. These are usually done in conjunction with another data gathering
method that is used to fill in the gaps and answer some questions.


Arrange observations well in advance and get permission from
management
Let workers know why they are being observed.
4. Surveys (Formal or Informal)
Surveys are used when data is gathered from a large number of people and
when it is impractical to meet them all face to face.

Decide up-front if conclusions will be based on statistics. If so, consult
an expert to help determine the sample group, method of data
collection and how to analyze the data gathered.
53


d.
It is best to use commercially designed instruments, if they are
available. They save development time, and they have been tested to
ensure they work
If own survey has to be designed, it must be tested to a sample group
from the target population.
Design and Develop Database Management System
The Knowledge Management’s Information Technology Group (KM-ITG) will plan for
the design and development of the Database Management System particularly;
1.
2.
3.
4.
e.
Design an input and output forms to be used for data gathering and report
generation.
Design Database structure based on the input and output forms.
Identify resource requirements (hardware, software and peopleware) and the
budget corresponds to it.
Development of Data Entry, Inquiry and Report Generation programs.
Database Build-up
Data entry and initial processing shall be done at the provincial level. Information
generated at the provincial level shall be submitted electronically to the regional
and national level for consolidation, processing and analysis.
1. Training/Orientation
Preparation for training/orientation will be done by KM-TWG. The processes
to be done are the following;




Prepare user’s manual for the encoding of data/information.
Prepare materials needed for the training/orientation.
Encode data/information from the prescribed capture form.
Verify/validate data for accuracy
2. Report Generation and Data Analysis
The three agencies shall assign at least two focal persons to analyze data and
translate to a narrative report with corresponding recommendations for
submission to the NCITWG and the National Convergence Initiative Steering
Committee (NCISC). These reports will then be formally endorsed to the
Oversight agencies.
54
3. Database Maintenance
Updating and modification of data will be done at the municipal level on a
regular basis to make sure that all the information in the database is current.
Updates will be submitted to the provincial level for encoding of the data.
f.
Information Dissemination
The objective of the information dissemination is to ensure the sharing and circulation of
information to all NCI stakeholders.

Prepare Dissemination Plan
The dissemination plan will be prepared by KM in coordination with DENR-PAO,
DAR-PAS, DAR-BARIE, DA-AFIS and NCI Secretariat.


1)
2)
3)
4)
5)
6)
7)
Package information materials (content, target audience)
Identify dissemination methods
Newsletter - use the organization’s newsletter to announce the project,
give regular updates, develop a profile, and get buy-in.
Website - project website is one of the most versatile dissemination
tools. Put plenty of information there for different audiences. Add to it
regularly so people keep coming back. Sell the project and engage the
community.
Press Release (Tri-media) - A press release is a formal announcement to
the national press, television or radio broadcast.
Flyer/Brochures - Though much communication is electronic, it is still
often useful to create an A4 flyer that can be circulated in printed form
(e.g. to hand out at conferences or to colleagues at your institution). The
electronic version (e.g. PDF file) can also be circulated electronically.
Programme/Cluster Meeting – these meetings are excellent
opportunities for projects to learn from each other, discuss common
issues, and get feedback on their work.
Conference Presentation - conferences are an important opportunity to
share achievements with experts in the field (e.g. agriculture, fishery,
technology etc).
Posters - A poster session at a conference may be more appropriate
when you have work in progress. You write up your work in poster format,
and present it to delegates who attend the session. It may not be as
glamorous as doing a presentation in the auditorium, but it’s an excellent
55
8)
9)
10)
11)
way to practice engaging people, gauge their reactions, and get one-toone feedback.
Workshops - small interactive events held to achieve a specific
objective. A workshop could be used to get feedback from users on a
demo or to get feedback from experts on a particular issue.
Demonstration - show what you’ve developed and get feedback. Demos
are useful early in the project to get feedback from stakeholders on
functionality, usability, and look-and-feel.
Journal Articles - Any and every opportunity should be taken to get
articles published about the project. Consider peer reviewed journals in
relevant disciplines near the end of the project when you have data and
results to report.
Reports and other documents - reports on specific topics or anything
that project has developed that may be useful to others (e.g. guidelines,
methods, evaluation criteria, questionnaires) can be post the website so
they are accessible to a wide audience.
g. Monitoring and Evaluation
This activity aims to improve performance and determine the relevance, effectiveness and
impact of the project. KM – TWG in coordination with other NCI TWG will do the following for
the development of the Result Based Monitoring System. (See Annex P : M&E Template)
1)
Develop Results Based Monitoring System
a)
b)
c)
d)
e)
f)
2)
Clarify project aims, objectives, values and activities
Clarify the target groups
Identify outputs and outcomes
Set performance indicators
Set frequency of monitoring
Design M&E form or Logical Framework for monitoring.
Training/Orientation on M&E System
a)
b)
c)
d)
Preparation of training needs/materials
Identification of participants
Conduct the actual training
Evaluate the effectiveness of the system for modification and
enhancement.
56
3)
Implementation of M&E System
a) Prepare implementation plan
b) Identify convergence area/project for pilot testing of the system.
c) Conduct monitoring and evaluation using the prescribed M&E form and
Logical Framework (See Annex Q : Guide in the Formulation of Logical
Framework)
h.
Documentation of Innovations and Best practices.
This activity is intended to identify the innovations and best practices for adoption,
expansion and development of the projects/programs.
Best practice is defined as the development initiatives which have resulted in concrete
and measurable impact in the quality of life and local resource base of targeted
communities in particular and of agrarian reform communities in general. In addition,
there should be some evidence of expansion, scaling-up or adoption in other areas,
beneficiary-groups or communities.
Innovative strategies or approaches are pioneering and creative strategies,
processes and procedures that have provided new insights in the enhancement of
alternative development models and paradigms
1)
2)
3)
4)
5)
6)
7)
8)
Identify criteria for “best practices” and “innovations”
Conduct consultation to identify areas with good practices/innovations.
Prepare questionnaires and send to LGUs with good practices and response
screened by the region before sending to Central Office (CO).
Short listing by CO based on the criteria identified.
Visit the area for validation with CO and RO staff with contractor to collect
data/interview.
Report writing, review and finalize
Store in the Database System
Package/Disseminate information thru fora, trainings and presentation for
adoption.
57
J. MONITORING AND EVALUATION
The Monitoring and Evaluation (M&E) System is a tool or mechanism that aims to keep track
on the status of the program implementation of activities within the Convergence Areas. The
system will also be able to address issues, problems, and bottlenecks affecting the program
implementation. Indicators for the M & E shall be based on the Policy Framework and
Implementing Strategy of the Enhanced DA-DAR-DENR Convergence Initiative for
Sustainable Rural Development.
The M & E System must be able to support the following management requirements:
1.
Policy level. The M&E system must provide the necessary feedback on the
effectiveness of policies and programs.
2.
Strategic Concerns. Improvement or enhancements of program designs are
dependent on the quality of information and insights received by implementers.
3.
Operational Efficiency. Accurate and timely information are needed to make quick and
decisive adjustments in the operations.
The NCI Technical Working Group (TWG) on Knowledge Management (KM) shall lead the
preparations and implementation of the M & E System in cooperation with the other TWGs.
1.
Logical Framework Matrix and Implementation Plan
The logical framework (Logframe) matrix aims to set goals and targets for the NCI that will
serve as basis for the success of the project.
The Logframe is created in order to provide a clear coverage and/or boundary as to what is
going to be monitored and evaluated. This matrix is also used in order to indicate what the
desired objectives are. The matrix is composed of:
a.
Goal.Poverty eradication (poverty reduction in the medium term) and sustainable
rural development.
b.
Purpose. (1.) Ensured food security and increased income, (2.) Enhanced access to
land (and other natural resources) and improved quality of the environment and (3.)
Self-reliance of constituency and increase resilience of their communities.
c.
Output.The outputs can be grouped into four components: (a) Policy and Advocacy,
(b) Agro-enterprise Cluster and Agribusiness Development, (c) Capacity
Development, and (d) Knowledge Management.
58
d.
Input/Key Interventions. Key interventions under each of the components will be
anchored on the outputs.
Parameters that will ask the requirements as basis for monitoring and evaluation are the
following:
1.
Objectively Verifiable Indicator(OVI).These are the indicators that show the aimed
targets and resources to be used. The indicators are usually quantifiable.
2.
Means of Verification(MOV).This refers to the validation of the Objectively Verifiable
Indicators. These usually come in reports, survey results, studies, and observation,
among others.
3.
Important Assumptions(IA).This refers to the factors that were not included in
setting up the indicators.
Please refer to Table 11 for the NCI Logframe and Figures 5 for the Logical Framework
Matrix.
Table 11: NCI Logframe
Narrative Summary
Goal
Poverty eradication
and sustainable rural
development
Objectively Verifiable Indicator



Purpose
(1.) Ensured food
security and increased
income


(2.) Enhanced access
to land (and other
natural resources) and
improved quality of the
environment
(3.) Self-reliance of
constituency and
increase resilience of
their communities.



Means of
Verification
Sustained growth that
creates jobs
Draws the vast majority into
the economic and social
mainstream
Continuously reduces mass
poverty
Terminal and
Impact
Assessment
Reports
Household income of
constituency increased
above the poverty line
Food staples available at
reasonable prices at all
times
Improved conservation,
protection and rehabilitation
of natural resources
Increase in no. of
constituency with titles to
land or other tenurial
instruments
Increase in no. of




Important
Assumption
Annual
Reports,
Midterm
Reports
Analysis of
existing data
and statistics
Cooperation
workshops
(Mutual
assessment of
key
stakeholders)
Focused
59


Output
(a) Policy and
Advocacy




(b) Agro-enterprise
Cluster and
Agribusiness
Development



(c) Capacity
Development

constituency engaged in or
employed in market-led
and environment-friendly
agri-enterprises
Constituency or
organization of constituency
and communities able to
participate in local
governance, and
management of resources
Constituency/organizations
able to cope with “socioeconomic shocks,
environmental hazards and
climate-related risks
Formulated and amended
policies related to
convergence under the rural
development sector
Legal instruments,
resolutions or agreements
by and among government
agencies as regards to the
harmonization and
resolution of conflicting
policy issues and concerns
in the implementation of
laws and policies on rural
development
Policies expanded or
improved to address gaps
Advocacy networks for
policy reforms established
Agro-Enterprise clusters
established in all provinces
Agro-Enterprise cluster
models developed
Planning and management
tools to facilitate agroenterprise cluster and
agribusiness development
introduced
Developed shared interest
and common understanding
of the convergence strategy














Group
Discussions
Surveys
Interviews
Monthly and
Quarterly
Reports
Cooperation
workshops
(Mutual
assessment of
key
stakeholders)
Focused
Group
Discussions
Surveys
Interviews
Field Validation
Cooperation
workshops
(Mutual
assessment of
key
stakeholders)
Focused
Group
Discussions
Surveys
Interviews
Field Validation
Cooperation
workshops
60


(d) Knowledge
Management



and intervention framework
among the implementers at
the national and local levels
Capacitated implementers
and the technical working
groups in the following
areas: policy analysis, agroenterprise cluster and
agribusiness development,
knowledge management,
and monitoring & evaluation
Network of institutions (for
capacity development)
established
Monitoring and tracking
system developed, installed
and operationalized
Experience and learning
exchange facilitated
Success stories/innovative
practices documented and
disseminated



(Mutual
assessment of
key
stakeholders)
Focused
Group
Discussions
Surveys
Interviews
 Field Validation
 Cooperation
workshops
(Mutual
assessment of
key
stakeholders)
 Focused
Group
Discussions
 Surveys
 Interviews
Secondary data such as reports, previous studies can be used in setting up the Logframe as
well as survey instruments, key informant interviews and focus group discussions. The
Logframe must be presented to the stakeholders for validation. The development of a
Logframe may be started at the Local Convergence Agro- Enterprise Cluster (LCAEC)
development workshops (regional level).
It is necessary to link the logical framework to the NCI implementation plan, which indicates the
targets based from the logical framework. As seen in Figure 6, the inputs and outputs can be
presented in a detailed manner, indicating the indicators and its target during the first month,
and so on.
61
Figure 5: Logical Framework Matrix
Detailed Implementation
Plan or Annual Plan
NS OVI MoV IA
GGoal
Purpose
e
Output
s
Inputs
Output
Code
Figure 6: Linking the Logical Framework to
the Implementation Plan
The NCI TWG on Knowledge Management shall lead the group on setting-up the M & E
System and provide technical support to Regional Convergence Initiative TWGs (RCITWG) in
formulating the matrices. The RCITWG shall draft the link of the logical framework and
implementation plan and shall oversee the implementation in their covered areas. The
formulation of a Logframe and implementation plan shall take two months.
2.
Monitoring and Evaluation System: Report Validation
The M & E System comprises of four aspects, namely Progress M & E, Initial Gains Evaluation,
Results M & E and Impact Assessment. Figure 7 shows the stage of the implementation and
the points where the aspects of M & E will take place.
62
Figure 7: The Four Types of Monitoring & Evaluation
a.
Progress Monitoring and Evaluation.
The Progress M & E basically deals with the updating of the project as it moves forward until its
completion. Reports to be submitted for progress M & E include the Monthly Report, Quarterly
Report, Semi-annual/Mid-Year Report, and Annual Report. The contents include the inputs
deployed and outputs achieved, targets versus accomplished, physical versus financial, and
explanation for slippages. The annual report shall include a narrative summary of the year’s
progress. The monitoring forms will be populated by the Municipal Convergence TWG to be
submitted to the Provincial Convergence TWG for verification and be forwarded to the
Regional Convergence TWG for final validation in the local level. Same process flow will be
done with the Initial Gains Evaluation and Results Monitoring and Evaluation. The reporting
duration for the monthly and quarterly report will be two weeks, through electronic mail. The
reporting duration for the semi-annual and annual reports will be for one month, through
electronic mail and a hard copy to be sent to the NCI TWG concerned which they will review
and process the report and be submitted to the KM TWG for consolidation. (Please refer to
Annex P for the Monthly Reporting Format and for the Quarterly, Mid-year and Annual
Reporting Format).
b. Initial Gains Evaluation.
The Initial Gains Evaluation refers to the progress of the project entering the half-way mark.
Included here are the accomplishments of the first three years of the project (halfway point). In
here, the initial developments and changes happened should be highlighted. Along with this,
the usual reporting on the targets versus accomplishments and physical versus financial
63
should also be included. Finally, a narrative summary shall be included discussing the
highlights of the first half of the project. The reporting duration should be within two to three
months, through electronic mail and a hard copy to be sent to the NCI TWG concerned which
they will review and process the report and be submitted to the KM TWG for consolidation.
The monitoring form for the Initial Gains Evaluation will be dependent on the submitted
Progress Monitoring and Evaluation reports.
c. Results Monitoring and Evaluation.
In Results M & E, the initial results of the project are incorporated. The accomplishments of the
projects are included. The initial developments as result of the interventions should be
captured as well. Aside from these, the reporting on the targets versus accomplishments and
physical versus financial should also be included. Finally, a narrative summary shall be
included discussing the highlights of the first half of the project. The reporting duration should
be within two to three months, through electronic mail and a hard copy to be sent to the
concerned NCI TWG for their review and processing of the report and will be submitted to the
KM TWG for consolidation. The monitoring form for the Results Monitoring and Evaluation will
be dependent on the submitted Progress Monitoring and Evaluation reports.
d. Impact Evaluation/Assessment.
The Impact Evaluation component of M & E shall be discussed in the next chapter.
3. Monitoring and Evaluation System: Field Validation
Another tool for M & E is the field validation. Site visits shall be conducted in order to validate
selected accomplishments mentioned from the reports submitted. The NCI shall form a
Validation Team that will be composed of the representatives from the Planning Units of DA,
DAR and DENR Central Office, NCI Secretariat, TWG on Agribusiness and Agro-Enterprise
Development, Knowledge Management Technical Working Group (KMTWG); along with the
respective RCITWG.
The bases for field validation include significant gaps or discrepancies on targets and
accomplishments, financial and physical. Also to be looked at are the dubious or unfilled data
that needs actual visit to validate the reports submitted. For those that showed poor
performances, the implementation processes shall be looked at in order to suggest the
necessary adjustments.
The field validation shall be conducted biannually for one to two weeks. The validating team
shall provide a report to the NCI TWG on KM.
64
K. IMPACT ASSESSMENT
The impact assessment provides an in-depth analysis of the results of the entire project.
Looking back at the logframe, the impact assessment will answer whether or not the long-term
goals of the project were achieved. The impact assessment aims to evaluate the extent of the
results of the project and to determine whether or not the project was able to achieve its ultimate
goals based on in-depth analyses of the results of the project.
Impact assessment should be done at two levels—Regional and National. At the regional level,
impact assessment should be done at their respective convergence areas. As for the National
level, the assessment should collate all the evaluations from the Regions to provide sole report
on the Impact Assessment of the NCI. The Impact Assessment Reports should contain the
following:
1.
2.
3.
4.
Evaluation of the effectiveness of the project in terms of the target groups
Should discuss whether or not the goals are achieved
Assessment of the actual benefits gained from the project.
Provide recommendations on how to move about once the project is finished
In conducting impact assessments, it is possible to draw services from consultants, especially
at the compilation of the impact assessment reports from the regions. The timeframe of the
impact evaluation at the regional level shall be for two to four months while the compilation for
a National Convergence Impact Assessment shall be done within two months. The reports
shall be collected by the NCI KMTWG.
65
LIST OF ANNEXES
ANNEX A
ANNEX B
ANNEX C
Policy Framework and Implementing Strategy for the Enhanced DA-DAR-DENR
Convergence Initiative for Sustainable Rural Development
List of Watershed Supporting the 141 River Irrigation Systems of NIA
List of Poorest and Most Food Poor Provinces
Ranking of Provinces by Poverty Incidence
ANNEX D
ANNEX E
ANNEX F
ANNEX G
ANNEX H
ANNEX I
ANNEX J
ANNEX K
ANNEX L
ANNEX M
ANNEX N
ANNEX N.1
ANNEX N.2
ANNEX N.3
ANNEX N.4
ANNEX N.5
ANNEX N.6
ANNEX N.7
ANNEX N.8
ANNEX O
ANNEX P
ANNEX Q
Format for Convergence Area Evaluation
Endorsement of Evaluation Results
Pro-Forma Letter Re: Confirmation on Convergence Area Selection
List of All Confirmed Convergence Area
Convergence Area Profile Format
Investment Proposal/Business Plan Template
Sample Investment Proposal on Crispy Banana Chips from Friends of Bislig
Incorporated, Cebu City)
Matrix on Policy and Advocacy Component
Process Flow for Capability Development
Proposed Indicative Training Program
Training Cycle
Developing a Training Program
Different Training Methods
Checklist in Implementing Training Program/Activities
Checklist of Training Forms/Supplies/Materials
Sample Budget Estimate
Training Forms
Training Design Format
Training Report Format
Matrix Knowledge Management Component
Monitoring and Evaluation Template
Guide in Formulating the Logical Framework
66
LIST OF TABLES
Table No.
TABLE 1
TABLE 2
TABLE 3
TABLE 4
TABLE 5
TABLE 6
TABLE 7
TABLE 8
TABLE 9
TABLE 10
TABLE 11
Title
Initial Data Requirement
The Must and Prioritization Criteria
Rating system for the Final Selection of Convergence Area
Additional Data, Information and Documents
Criteria for Prioritization of Commodities
Criteria for Market Demand
Criteria for Outreach
Criteria for National Priority Ranking
Criteria for Complementarity
Suggested program of Activities During the Launching
NCI Logical Framework
Page
10
12
14
19
30
31
32
32
33
43
60
List of Figures
Number
FIGURE 1
FIGURE 2
FIGURE 3
FIGURE 4
FIGURE 5
FIGURE 6
FIGURE 7
Title
Framework in the Operations Manual Development
General Process Flow in the Implementation of National
Convergence Initiative
Process in Preparing the Convergence Area Profile and
Convergence Area Development Plan
Review and Approval Process of CADP
Logical Framework Matrix
Linking the LogFrame to the Implementation Plan
The Four Types of Monitoring and Evaluation
Page
4
6
24
40
62
62
63
Attachment
Orientation Material
Compact Disc Containing:
1.
NCI Final Video
2.
NCI AVP
3.
Powerpoint Presentation on NCI Standard
Presentation as of June 1, 2011
67
ANNEXES
68
ANNEX A
POLICY FRAMEWORK AND IMPLEMENTING STRATEGY FOR THE
ENHANCED DA-DAR-DENR CONVERGENCE INITIATIVE
FOR SUSTAINABLE RURAL DEVELOPMENT
I.
BACKGROUND
The National Convergence Initiative (NCI) was created through Joint Memorandum Circular 01,
series of 1999, signed by the Secretaries of the Department of Agriculture (DA), Department of
Agrarian Reform (DAR), and the Department of Environment and Natural Resources (DENR), and
duly approved by the President. It aims to develop and operationalize a common framework for
sustainable rural development (SRD) that will facilitate the convergence of the resources of the three
agencies to maximize the impact on countryside development. The underlying principle is that
complementation of agency initiatives within a defined area under a common intervention strategy
will maximize impact, compared to a situation where these agencies would work independently of
each other.
The convergence initiative promotes a framework of sustainable agriculture and rural development
which integrates the people, their economy and their environment. Moreover, this strategy would
optimize resources, create substantial effect in the short-term, and make possible model-building
across ecosystems, production systems, and rural poverty sectors and small producers in the longterm. The three lead rural development agencies will spearhead the completion of such development
tasks and lay down policy environment that encourages the active participation of the private sector,
non-government agencies and civil society organizations, the LGUs, academe, and other government
agencies based on the interest of their respective stakeholders.
Following an agreed set of criteria, the three agencies jointly identified nine convergence sites.
These were: Cagayan Valley River System, Central Luzon, and Bicol River Basin System in Luzon;
Negros Island, Panay Island, and Bohol in Visayas; and Zamboanga Peninsula, CARAGA, and
Davao del Norte/Oriental in Mindanao. Pilot convergence initiatives were developed in these sites.
Strategic investment plans were subsequently formulated for each of the convergence zones to
initiate operationalization of the NCI; however changes in leadership in each of the agencies delayed
the implementation of said plans.
In 2004, Joint Memorandum Circular No. 1, series of 2004 was issued by a new set of department
Secretaries to reactivate the NCI in line with the government’s efforts to create a bigger impact in the
countryside. Specific convergence zones were identified in each of the provinces under the nine pilot
convergence sites to have more focus in the implementation of the NCI. Consequently, The German
69
Technical Cooperation (GTZ) and the three agencies agreed to align the GTZ rural development and
natural resources management program with the convergence strategy.
In 2005, the National Steering Committee decided to expand the scope of the NCI from the priority
convergence sites to nationwide implementation in line with Goal 1 targets under the MTPDP (20052010), particularly to develop two million hectares of new lands for agribusiness and generate two
million jobs by 2010. The convergence strategy was deemed an appropriate platform to achieve Goal
1 of the MTPDP. It will particularly focus on: (a) sharing of expertise and information; (b)
collaboration and complementation of projects; (c) realigning limited resources; and (d)
reconfiguring agency activities to more focused interventions in identified project sites. Five batches
of convergence planning workshops were conducted from April to June 2005 to come up with
provincial action plans for convergence implementation. The plans were geared towards the
achievement of the over-all MTPDP target of 2.05 million hectares developed and 2.65 million jobs
generated. This was followed by a National Strategic Planning Workshop in August 2005 which
defined a clear structure and implementing mechanisms to ensure attainment of the targets.
The respective agencies provided regular reports to the NCI Secretariat on their accomplishments for
hectares developed and jobs generated. Most of the reported accomplishments were based on
production areas and not necessarily agribusiness engagements covering the said areas. In 2008, NCI
stepped-up its efforts to further enhance the convergence strategy by generating agribusiness
investment proposals for specific convergence sites. The 1st National Agri-Investment Forum was
conducted in November 2009 to drum-up interest from the private sector on 17 agri-investment
proposals developed through the NCI. Some of these proposals are currently being pursued by
various investors and agri-business firms.
As of the first quarter of 2010, NCI has reported that combined efforts of DA, DAR, and DENR
yielded 1.82 million hectares of lands developed representing 89% of the 2.05 million hectares
MTPDP target. This translates to 2.65 million jobs generated or 92% of the MTPDP target of 2.87
million jobs. As indicated earlier, most of the reported accomplishments cover only production areas
under the different programs of DA, DAR and DENR. The agri-investment proposals are still in the
pipeline and these are expected to yield higher value agri-production and jobs.
At this point, there is a need to revisit and enhance the National Convergence Initiative for
Sustainable Rural Development. The administration of President Benigno Simeon C. Aquino III
remains committed to ensuring countryside development as the strategy for poverty reduction. The
enhanced NCI will sustain the agribusiness investment engagements that have been initiated,
particularly those already in the pipeline. It will likewise address the weaknesses and gaps that were
experienced during implementation. Clear mechanisms for harmonization and complementation
among the three agencies should be laid-out as there was a tendency for each agency to concentrate
on its own programs even in convergence areas. Corollary to this is the need to address the
70
conflicting and overlapping policies among the three agencies, which hamper the implementation of
programs and projects on the ground. There is likewise a need to set a clear financing scheme for
convergence initiatives, particularly on which areas will require regular funds from the agencies and
those that would need to be financed by the NCI. The LGUs would have to be given a more proactive role in identifying and implementing convergence initiatives at the local level.
II.
FRAMEWORK FOR DEVELOPMENT
The convergence strategy is an environmentally sustainable approach to development. Human
interventions in the forest and upland areas would impact on the lowland areas, and this in turn would
affect the coastal and marine areas. The three agencies have general jurisdictional mandates relating
to these ecosystems: DENR for forest, upland, coastal, and marine areas, DAR for lowland and
upland areas, and DA for lowland and coastal areas. In addition, there are common areas within the
jurisdictional mandates of DA, DAR and DENR, such as key production areas may be within
agrarian reform communities. The convergence strategy shall adopt the watershed and ecosystem
management approach as the intervention framework in the convergence areas. The approach has
been adopted by DENR in 1999 and is the basis for program and project planning and
implementation for watershed areas in all regions.
Watershed and ecosystem management is the holistic, collaborative, multiple use and sustainable
management of all resources within a watershed. Note that convergence zones that straddle multiple
ecosystems form part of the watershed. This approach is also known as “ridge to reef” and is
premised on the principle that ecosystems are inter-dependent and that interventions in one
ecosystem affects other ecosystems. This approach is particularly critical for coastal and marine
ecosystem management since sustaining fisheries and other marine resources depends on how well
we manage human impacts from the mountains to the sea. In the same vein, prime agricultural lands
can substantially be degraded by run-off from the mountains. This becomes an appropriate and
relevant approach to address the issues of climate change, risk reduction and biodiversity
conservation.
The Convergence Initiative Framework Using the Watershed and Ecosystem Management Approach
is graphically presented in Annex A.
While the development within the watershed should be viewed holistically, the regulatory,
management, and jurisdictional mandates of areas within the watershed is distinct. Hence, the
tendency is for each agency to pursue development interventions independent of the other. This
creates conflicts in areas where there are overlapping mandates and jurisdictions. In addition, at the
local level, it is the Local Government Unit (LGU) which has the mandate to coordinate and manage
71
local development. The LGUs have their respective Comprehensive Land Use Plans (CLUPs) which
defines the thrusts and key areas for development interventions within its jurisdiction.
Convergence is a response to the fragmented delivery of agriculture and rural development services
towards improved governance and maximize use of resources. The convergence strategy will
facilitate governance of sustainable rural development in an institutionally horizontal manner while
adopting the watershed and ecosystem management approach. It will: (a) facilitate complementation
of different agencies to ensure that resources are maximized by achieving synergy and institutional
efficiency; (b) build partnership between and among the local communities, LGUs, and government
agencies to ensure that all development interventions are based on the actual needs and aspirations of
the community; (c) expand opportunities for agro-enterprise and agribusiness development for its
constituency; (d) achieve spatial integration within the different ecosystems to ensure environmental
integrity and sustainability.
As a response to the poverty reduction goal of the government, convergence has a defined
constituency. It shall focus interventions to the small farmers (ARBs and non-ARBs), fisherfolks and
marginalized upland dwellers especially those within the areas covered by the tenurial instruments of
DENR and National Commission on Indigenous Peoples (NCIP).
The implementation of the convergence strategy shall be guided by the following principles:
1. The DA-DAR-DENR Convergence Initiative shall be treated as a complementation strategy
between and among the three rural development agencies. Whenever, the opportunity arises,
the convergence shall also work with other national line agencies, donor agencies,
international and local NGOs;
2. The primacy of the LGUs as the integrating and converging force for sustainable rural
development at the local level shall be emphasized;
3. The participatory approach shall be adopted in all phases of development: from planning,
implementation, and monitoring and evaluation;
4. Complementation of resources and expertise of the concerned agencies and LGUs shall take
primordial consideration in the implementation of the Convergence Initiative;
5. Convergence shall be mainstreamed in all programs, projects and activities of the national
government agencies and concerned LGUs;
6. Funds for the Convergence Initiative shall form part of the Work and Financial Plan of each
Department to effectively and efficiently carry out convergence activities;
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7. Networking and linkaging with other government entities such as, but not limited to, the DOJ,
DILG, SCUs, and GOCCs, shall be undertaken by the three rural development agencies for
coverage of potential areas under the Convergence Initiative for agribusiness development;
8. Enabling environment to encourage investment by the private sector.
III.
CRITERIA FOR SELECTION OF CONVERGENCE AREAS
There is a need to ensure that the identification and selection of convergence areas will be aligned
with the objectives of the NCI as well as conforms to the watershed and ecosystem management
approach. The following criteria shall guide the selection of convergence agro-enterprise cluster:
1. Completeness of ecosystem zones.The convergence sites should cut across the various
ecosystems or should be a combination of two or more ecosystems;
2. Key production zone and with connectivity for increased productivity and income.The
convergence sites should be current key production areas or with potential to substantially
expand and scale-up production. As such, the area may transform from mono-cropping to
integrated, multi-cropping or high value farming system. In terms of connectivity, the key
production zone may be linked with surrounding areas for allied industries/services or for
backward linkages;
3. Combination of sites across major poverty groups. The convergence sites must cover a
significant number of small farmers/agricultural workers including potential and current
ARB, fisherfolks, indigenous peoples, and rural women;
4. Presence of development-oriented local government leaders and LGU alliances.The
convergence sites should have LGUs and LCEs (Local Chief Executives) that share a
common perspective in rural development and are willing to support the convergence
initiative;
5. Presence of NGOs, POs, private sector and academic/research community.The convergence
sites should have active POs and/or NGOs that are willing to support the convergence
initiative. Presence of private/business and academic/research institutions who are willing to
partner within the convergence framework shall be an advantage.
IV.
GOAL (IMPACT)
The National Convergence Initiative is a strategy to enhance the implementation of rural development
initiatives particularly those which would benefit from the complementation of resources of the three
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agencies. It will likewise address and resolve policy and jurisdictional gaps that impede the effective
and efficient implementation of the programs and projects of different agencies.
Thus the enhanced NCI shall contribute to the over-all national pursuit of inclusive growth, as
articulated in the Medium Term Philippine Development Plan (CY 2011-2016), particularly those
relating to the rural development sector.
Inclusive growth means growth that is rapid enough to matter: sustained growth that creates jobs,
draws the vast majority into the economic and social mainstream, and continuously reduces mass
poverty.
The above national pursuit of inclusive growth shall be achieved through
development efforts across different sectors.
a confluence of
For the rural development sector, the long-term development goals are poverty eradication (poverty
reduction in the medium term) and sustainable rural development.
V.
PURPOSE (OUTCOMES)
The enhanced NCI shall contribute to the rural development sector outcomes, particularly that of
agriculture, agrarian reform, and natural resources (AARNR subsector).
The rural development outcomes can be viewed from the perspective of breaking out from the
perennial condition of poverty, inequity and lagging human development. Bulk of the poor remains
to be in the rural areas. These are largely the focus and defined constituency of the national
convergence initiatives.
Hence, the primary outcome is on food security and increased incomes within the context of
improving and maintaining the quality of the ecosystem for sustainable rural development which is
one of the ultimate goals (together with poverty eradication) of the rural development sector. This
implies enhancing the role of agriculture as provider of environmental services.
“Food security exists when all people, at all times, have physical and economic access to
sufficient, safe and nutritious food that meets their dietary needs and food preferences for an active
and healthy life.” (World Food Summit 1996).
Rural growth or increasing per capita income in the rural areas lead to poverty reduction and
eradication (in the long term) which again is one of the goals of rural development.
There is also the recognition that there are abundant resources in rural areas. However, there is a
highly inequitable distribution of such resources. There are key gaps in access to land and other
natural resources and this constrains the productive potentials of the rural population. There is a need
to secure the property rights or tenurial status to agricultural land, forest and coastal areas. Access to
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resources by the rural poor can also be viewed from the context of spatial integration. Inclusive
growth shall also mean putting investments (specifically capital or physical investments) in the rural
areas. This is to maximize the use of, and have a better share of the benefits from the resources.
Hence, enhancing access to land and other natural resources is an important outcome in rural
development.
The access to resources and physical investment should be coupled with investment in human
resources for sustained and broad–based growth. Such investment in human resources shall redound
to self-reliance and increase resilience of the constituency and their communities: which is another
dimension of sustainable rural development. Hence, in totality, rural development outcomes address
the imperative of growth with equity or the national pursuit of inclusive growth.
The AARNR outcomes are specific to the agriculture, agrarian reform, and natural resources subsector. The outcomes where the specific convergence initiatives can directly contribute are:
1. Ensured food security and increased income
2. Enhanced access to land (and other natural resources) and improved quality of the
environment
3. Self-reliance of constituency and increase resilience of their communities
Some of the parameters to measure the above outcomes are:
 Household income of constituency increased above the poverty line
 Food staples (rice, white corn and other starchy food) available at reasonable prices at all
times
o Decrease in food subsistence incidence (% of population)
o Increase in rice self-sufficiency ratio (%)
o Stable average inflation rates among basic food commodities (%)
 Improved conservation, protection and rehabilitation of natural resources
o Forest cover increased by _____ hectares
o Increase in no. of adaptors (and area in ha.) of natural farming system and other
environment-friendly farm practices
o No. and area of abandoned, underutilized and unproductive fishponds reverted
back to mangroves
o Complete the delineation and local ordinance of _______municipal waters

Increase in no. of constituency with titles to land (agricultural/ancestral lands) or other
tenurial instruments (provides security of tenure/access to resources: community–based
forest management agreement (CBFMA) . . .
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


Increase in no. of constituency engaged in or employed in market-led and environmentfriendly agi-enterprises (agriculture, forestry and fisheries)
Constituency or organization of constituency and communities able to participate in local
governance, and management of resources
Constituency/organizations able to cope with “socio-economic shocks, environmental
hazards and climate-related risks
o Constituency covered with crop insurance, micro-insurance, health insurance
o Constituency with access/eligible to credit, micro-finance and other financial
Services
The Convergence Initiative will contribute to the achievement of the above-stated outcomes through
three main avenues:
1. Institutional efficiencies. A common intervention framework will promote harmonization and
complementation. Resources will be maximized resulting to higher level of outputs and/or
lower cost for the different agencies. In addition, the removal of policy and operational
bottlenecks will likewise lead to a more efficient delivery of services and interventions.
2. Expanding opportunities for agro-enterprise development. The enhanced NCI through its
agro-enterprise cluster component and agribusiness initiatives will facilitate agribusiness
investments that may directly contribute to increasing farm production and productivity as
well as rural employment and livelihood opportunities. It will likewise provide capacity
development interventions that would promote a demand-led and market driven agri-based
production system.
3. Spatial integration. The watershed and ecosystem management approach will ensure that
productive activities and other development interventions within the convergence area take
into consideration their respective impacts on biodiversity, environmental conservation, and
effects of climate change. It will directly contribute to the specific outcome on ENR
sustainably managed.
On the basis of the above, convergence intermediate process outcomes (to show that there is
convergence) would include:
Planning
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

Identified common focused constituency and area
Harmonized and synchronized planning at all levels (municipal, provincial, regional and
national)
 Formulated and agreed among key Rural Development (RD) players on
Convergence Area Development Plan (with Agro-enterprise Cluster Plan as lead
component)
 Agreed funding commitment from Key RD players/other stakeholders
Financing
 Complementation of resources (financial and manpower)
 Mobilization of and increased in investments from other institutions (specifically from the
private sector: private-public partnership)
Implementation
 More timely and synchronized delivery of services ( with reference to above agreed
Convergence Area Development Plan)
 Developed and established institutional arrangement for management and implementation
of projects
 Established market linkages and network
 Increase level of participation and engagement of constituency in all aspects of the
development cycle (planning, implementation, monitoring and evaluation), governance,
and management of natural resources.
VI.
COMPONENTS (OUTPUTS)
The concrete outputs of the enhance NCI are those that will directly contribute to the achievement of
the objectives or outcomes enumerated above. The outputs can be grouped into four components: (a)
Policy and Advocacy, (b) Agro-enterprise Cluster and Agribusiness Development, (c) Capacity
Development, and (d) Knowledge Management. These components are mutually-reinforcing and are
equally important in ensuring that the objectives are achieved.
1. Policy and Advocacy
The over-riding concerns in implementing rural development initiatives, particularly through the
convergence approach, are emerging policy requisites and the harmonization of previously issued
policies which are deemed conflicting, overlapping, or unclear. Such policies cut across land
administration, regulatory frameworks, operational strategies and jurisdictional boundaries. The
component is envisaged to address policy concerns through policy reforms in the context of
formulation and amendment of policy issuances, resolution of overarching cross-sectoral policy
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issues and the advocacy for legislation or other instruments leading to institutional and
operational efficiencies and stakeholder participation under the convergence strategy.
The following are the key output indicators under this component:
a. Formulated and amended policies related to convergence under the rural development sector;
b. Legal instruments, resolutions or agreements by and among government agencies as regards
the harmonization and resolution of conflicting policy issues and concerns in the
implementation of laws and policies on rural development;
c. Policies expanded or improved to address gaps
d. Advocacy networks for policy reforms established.
2. Agro-enterprise Cluster and Agribusiness Development
The component shall address the issue on poverty and employment generation. There is a need to
expand economic opportunities in the rural areas by increasing agri-productivity and diversifying
agricultural production. The NCI will facilitate enterprise development and agribusiness within
the convergence sites.
The outputs under this component are as follows:
a. Agro-Enterprise clusters established in all provinces;
b. Agro-Enterprise cluster models developed;
c. Planning and management tools to facilitate agro-enterprise cluster and agribusiness
development introduced (e.g., value chain, cluster management, M & E system for cluster
development and operations).
3. Capacity Development
There is a need to ensure that the three agencies have a shared appreciation and understanding of
convergence and the common framework for sustainable rural development. At the same time,
the delivery of NCI interventions by the key stakeholders at different levels would require
capacity development interventions such as training and education as well as institutional
development.
Under this component, the following outputs will be pursued:
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a. Developed shared interest and common understanding of the convergence strategy and
intervention framework among the implementers at the national and local levels;
b. Capacitated implementers and the technical working groups in the following areas: policy
analysis, agro-enterprise cluster and agribusiness development, knowledge management, and
monitoring & evaluation.
c. Network of institutions (for capacity development) established
4. Knowledge Management
The multi-agency, multi-discipline, and multi-level set-up of the convergence strategy
necessitates that pertinent data and information is gathered, processed, shared, and utilized to
ensure that NCI programs, projects and initiatives are designed, implemented and monitored in
an efficient and effective manner. It shall likewise ensure that innovations are documented,
shared, and scaled-up.
The knowledge management component will be measured by the following output indicators:
a. Monitoring and tracking system developed, installed and operationalized;
b. Experience and learning exchange facilitated;
c. Success stories/innovative practices documented and disseminated.
VII.
KEY INTERVENTIONS (INPUTS)
Key interventions under each of the components will be anchored on the particular outputs that have
been earlier identified.
1. Policy and Advocacy
A key task under the component is the formulation of requisite policies and the amendment of
conflicting and overlapping laws and policies that are under the ambit of the three lead agencies
and/or other related agencies and offices. Addressing emerging policy imperatives and the
resolution of conflicting or overlapping policy concerns are expected to result in efficiencies in
implementing rural development programs and projects under the convergence strategy.
Stakeholder consultation and information sharing shall be pursued under the advocacies for
legislation and other endeavors towards improving rural development. Supporting the policy
requirements of the other NCI components and other cross-cutting policy and advocacy related
concerns shall be facilitated through the convergence policy processes and mechanism managed
under this component. The policy issues and concerns (PINCs) identified or proposed by the NCI
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components shall essentially be drawn from operational requisites or bottlenecks encountered in the
course of the implementation of programs and projects under NCI.
Public hearings, roundtable discussions and review by technical experts may be conducted to
ensure that resulting policies are sound and would adequately resolve the issue and problems. For
those that can be addressed administratively, the department heads shall issue enabling
orders,clarificatory issuances and joint resolutions. For those that require enactment of laws or
legislation, the leadership of the three agencies shall advocate/recommend legislative action to be
taken by Congress.
2. Agro-Enterprise Cluster and AgribusinessDevelopment
The key intervention under this component is the establishment of agro-enterprise clusters in all
provinces. These clusters will be the focus of agribusiness initiatives based on the potential of the
areas. In selecting the agro-enterprise clusters, due consideration will be given to the
environment and ecological integrity of the convergence agro-enterprise cluster. Hence, models
will be developed to ensure that the nature and type of agro-enterprises will be congruent and in
harmony with the ecosystem. Convergence agro-enterprise clusters with environmentally critical
areas would require higher level of protection and less extractive production processes (e.g.,
ecotourism) compared to convergence agro-enterprise clusters which are generally composed of
productive lowland areas. Either way, there is a need to adopt natural resource management or
sustainable development approaches in planning and implementing the agro-enterprise clusters.
The following is an initial listing of potential activities in convergence agro-enterprise clusters:
Coastal and Marine Ecosystem
a. Mariculture / Fish Culture / Fish Cages
b. Seaweed Farming
c. Mangrove Rehabilitation
d. Fish Sanctuary
e. Marine Protected Area
f. Ecotourism
g. Responsible and regulated small-scale mining operations
Lowland Ecosystems
a. Commercial plantation of high value commercial crops and vegetables
b. Livestock/poultry
c. Rice/corn/grain production
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d. Diversified contour farming system
e. Organized backyard farming
f. Agro-ecotourism
g. Biomass and biogas (from agricultural wastes)
h. Streambank stabilization
i. Responsible and regulated small-scale mining operations
Upland Ecosystem
a. Commercial fruit/forest tree farming
b. Livestock/halal/pasture/dairying
a. Reforestation / Assisted Natural Regeneration
c. Agroforestry
d. Agro-aqua-silvipastoral
e. Diversified farming system
f. Biomass/biofuels/biogas production from farm waste
g. Slope/streambanks stabilization
h. Responsible and regulated small-scale mining operations
i. Special Land Uses pertaining to specific requirement of the convergence plan
Forest Ecosystem
a. Reforestation / Assisted Natural Regeneration
b. Slope/streambanks stabilization
c. Ecotourism
d. Biodiversity conservation
e. Climate mitigation / carbon sink
f. Responsible and regulated small-scale mining operations
g. Watershed Conservation/Protection Measures
To support the development and establishment of the convergenceagro-enterprise clusters, the
National Convergence Initiative shall facilitate the access to and the provision of appropriate
interventions across the agro-enterprise or agribusiness value chain that shall bring about the
most benefits to the constituency. Such interventions may include financing, market
development, and those related to capacity development .
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Financing support shall include access to credit facilities that would provide the necessary capital
for different types of requirements. Market development support includes the provision of market
information particularly on market outlets and prices. NCI will likewise facilitate market
linkages and the development of marketing networks. Capacity development will focus on
effective market oriented advisory services, demand driven skills development, desired essential
skills and knowledge, and values formation/education towards sustainable agriculture. NCI will
assist in facilitating fiscal and other specific incentives applicable under existing laws, rules and
regulations for investors interested to invest in convergence agro-enterprise clusters through
private-public partnership (PPP).
3. Capacity Development
Interventions under capacity development will include orientation and planning sessions among
the three agencies at the national and regional levels. This will ensure a common understanding
and appreciation of the convergence initiatives. This will be followed by the formulation of a
comprehensive capacity development plan for implementers and other key stakeholders involved
in the convergence initiative. The plan will include the design of assessment instrument and
training needs assessment, identification of trainings and other capability development
interventions and the resources required, and the conduct of capacity building intervention.
4. Knowledge Management
Key interventions under the component include the design, installation and operationalization of
a monitoring system for the NCI. This system will track the progress of NCI implementation
across the different components. It will likewise maintain a database for basic information on
key NCI initiatives.
Process documentation of innovative approaches will likewise be done to come up with lessons
and experiences which may be a jump-off point for scaling-up and replication. Knowledge
sharing will be done through learning exchanges and forums to showcase innovative and
successful approaches in NCI implementation. Publication and dissemination of these
approaches and experiences will be done to reach a broader population.
All assessment and planning sessions for the enhanced NCI will be under the knowledge
management component. Annual reports and performance reports will likewise be under the
component.
The Logframe for the Convergence Initiative is presented as Annex B.
VIII. IMPLEMENTATION MECHANISMS AND ORGANIZATIONAL STRUCTURE
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To effectively implement the enhanced NCI, multi-agency coordinative bodies will be established at
the national, regional, provincial, and municipal levels.
A. National Level
The National Steering Committee (NSC)
The National Steering Committee shall act as the policy making body of the enhanced NCI. The
NSC shall issue all policies related to the implementation of the NCI. This includes approval of the
enhanced Sustainable Rural Development Framework and the selection of convergence agroenterprise clusters. It shall also review fulfillment of the commitments of the respective agencies
related to the implementation of the enhanced NCI.
The Secretary of the Department of Agriculture (DA) shall act as Chair Convenor while the
Secretaries of the Department of Agrarian Reform (DAR) and the Department of Environment and
Natural Resources (DENR) shall act as Co-Convenors. The Secretaries shall appoint their respective
permanent alternate representative with a rank of undersecretary.
The NSC shall meet on a monthly basis and may hold special meetings as deemed necessary.
However, hosting of NSC meetings maybe done in rotation amongst the three agencies.
The NSC shall likewise approve the implementation and coordination structure of the enhanced NCI,
including the membership of the National technical Working Group (NTWG) and the four
component working groups, through a joint special order.
The NSC shall be composed of:
Chair Convenor
Co-Convenor
Co-Convenor
Secretary, Department of Agriculture
Secretary, Department of Agrarian Reform
Secretary, Dept. of Environment and Natural Resources
Functions of the NSC:
1. Provide overall policy directions for the implementation of programs/projects and other
related activities under the enhanced NCI;
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2. Appoint the National Focal Person for the enhanced NCI and the Head of the NCI Secretariat;
3. Approve/ratify implementing rules and regulations, programs, projects and plans pertaining to
the operation of the enhanced NCI;
4. Allocate resources to carry out the plans, programs, projects, and other related activities of the
enhanced NCI;
5. Consult with other concerned national government agencies, stakeholders, and partner
agencies on policies and major programs related to sustainable rural development.
The National Convergence Initiative Technical Working Group (NCI-TWG)
A National Convergence Initiative Technical Working Group shall serve as the advisory and
recommendatory body to the NSC on matters related to the implementation of the Convergence
Initiative.
The functions of the NCI-TWG are as follows:
1. Ensure adherence to the SRD framework and recommend to the NSC necessary adjustments.
2. Recommend to the NSC the operational plans, programs, and guidelines relevant to the NCI
Framework
3. Mobilize concerned personnel to actively participate in various activities relative to the
Convergence Initiative.
4. Facilitate the formation of Convergence teams together with other concerned stakeholders.
5. Monitor and evaluate the progress of implementation of Convergence projects/activities.
6. Meet monthly or as deemed necessary.
The NCI-TWG shall be composed of:
Head
Members:
National Focal Person
Chairperson, Working Group on Policy and Advocacy
Chairperson, Working Group on Agro-Enterprise Development
Chairperson, Working Group on Knowledge Management
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Chairperson, Working Group on Capacity Development
Convergence Focal Person, DA
Convergence Focal Person, DAR
Convergence Focal Person, DENR
Head, NCISecretariat
The NTWG National Focal Person shall convene the members of the respective Working Groups to
elect amongst them the Chairperson for each Working Group. The Chairperson of each Working
Group shall then designate or appoint a Coordinator from their respective agency.
Each agency shall likewise designate a Convergence Focal Person who shall be responsible for the
coordination and management of the convergence program in their respective agency (national and
field levels).
The agency Convergence Focal Person shall likewise be a member of the NCI-TWG. The agency
Convergence Focal Person shall work closely with the NCI Secretariat for effective coordination of
concerns of NCI and the working groups relative to their respective agency.
Working Groups of the NCI Technical Working Group
1. Working Group on Policy and Advocacy
The Policy and Advocacy group shall be mainly responsible for the review and audit of
conflicting and overlapping laws, policies and programs that hamper the implementation of
programs and projects of the different agencies. It shall recommend and draft the relevant policies
and other issuances that would harmonize or improve existing policies. It shall likewise identify
those issues that require legislation and coordinate with the appropriate offices and agencies and
stakeholder groups involved in advocating for the respective legislation.
The Policy and Advocacy Working Group shall be composed of:
Chairperson:
Core Members:
To be elected among the core members
Director, DA - Policy and Planning
Director, DENR - Planning and Policy
Director, DAR - Planning Service
Director, DAR – Policy and Strategic Research Service
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Member:
Working Group Coordinator (To be appointed by the WG Chair from
the same agency and shall be a member to the NCI- Secretariat)
Membership of the Working Group on Policy and Advocacy may be expanded to include
representatives from the three agencies whose work and responsibilities are related to the
component and other partners who can productively contribute to the initiatives of the working
group.
2. Working Group on Capacity Development
The Capacity Development group shall be responsible for formulating comprehensive capacity
development plans for the Convergence Initiative stakeholders to include training needs
assessment, identification of required trainings, training design, access and implementation of
training, information, education, and communication (IEC), community organizing, and
institutional development.
The Capacity Development Working Group shall be composed of:
Chairperson
Core Members:
To be elected among the core members
Director, DA-Bureau of Agricultural Research
Director, DA - Agriculture Training Institute
Director, DAR- Bureau of Agrarian Reform Beneficiaries
Development
Director, DAR – Bureau of Agrarian Reform Information and
Education
Director, DENR-Forest Management Bureau
Director, DENR-Human Resources Development Service
Member:
Working Group Coordinator (To be appointed by the WG Chair from
the same agency and shall be a member to the NCI-Secretariat)
Membership of the Working Group on Capacity Development may be expanded to include
representatives from the three agencies whose work and responsibilities are related to the
component and other partners who can productively contribute to the initiatives of the working
group.
3. Working Group on Agro-Enterprise ClusterDevelopment and Agribusiness
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The Agro-enterprise ClusterDevelopment and Agribusiness group shall be responsible for the
development and monitoring the implementation of agro-enterprise cluster development and
agribusiness within the selected convergence agro-enterprise clusters.
The Agro-enterprise ClusterDevelopment and Agribusiness Working Group shall be composed
of:
Chairperson:
Core Members:
Member:
President, DA-Philippine Agricultural Development and
Commercial Corporation
Director, DA - Field Operations Service,
Director DA - Agribusiness and Marketing Assistance Service
Director, DAR-Project Development and Management Staff
Director, DAR- Bureau of Agrarian Reform Beneficiaries
Development
Director, DENR-Forest Management Bureau
Director, DENR-Foreign Assisted and Special Projects Office
Director, NCIP Socio-Economic Service
Working Group Coordinator (PADCC Representative) and shall be a
member to the NCI Secretariat
Membership of the Working Group on Agro-Enterprise Cluster Development and Agribusiness
may be expanded to include representatives from the three agencies whose work and
responsibilities are related to the component and other partners who can productively contribute
to the initiatives of the working group.
4. Working Group on Knowledge Management
The Knowledge Management group shall be responsible for developing a common database of
information for the national, regional and provincial Convergence Initiatives. It will spearhead
the development of a monitoring system for the enhanced NCI and facilitate the conduct of
learning exchange and dissemination. It shall organize and manage orientation and assessment
activities for the enhanced NCI.
The Knowledge Management Working Group shall be composed of:
Chairperson:
Core Members:
To be elected among the core members
Director, DA-Information Technology Center for Agriculture and
Fisheries
Director, DA- Field Operations Service
Director, DA - Planning Service
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Director, DAR-MIS
Director, DAR - Planning Service
Director, DENR-NAMRIA
Director, DENR- Planning and Policy
Director, DENR-Forest Management Bureau
Member:
Working Group Coordinator (To be appointed by the WG Chair from
the same agency and shall be a member to the NCI- Secretariat)
Membership of the Working Group on Knowledge Management may be expanded to include
representatives from the three agencies whose work and responsibilities are related to the
component and other partners who can productively contribute to the initiatives of the working
group.
National Convergence Initiative Secretariat
The NSC shall appoint the Head of the NCI Secretariat with the Coordinators of each of the
Working Groups as members. There will also be permanent members of the Secretariat coming from
the three agencies on top of the coordinators of each working group. The NCI Secretariat shall work
closely with the National Focal Person, the Chairperson of the different Working Groups and the
agency Convergence Focal Person.
The NCI Secretariat shall:
1. Coordinate the conduct of meetings, workshops, writeshops, and consultations as deemed
necessary;
2. Facilitate the provision of administrative and logistics support to the NSC and NTWG;
3. Document, prepare, and disseminate the highlights of meeting/workshops proceedings;
4. Ensure that appropriate actions are taken on agreements reached during meetings/workshops;
5. Submit monitoring/progress reports to the NTWG and NSC and other oversight bodies;
6. Work closely with the NCI-TWG and Working Groups;
7. Together with the National Focal Person, convene the members of each Working Group and
conduct election for the Chair of the Working Groups;
8. Maintain effective and efficient data management system of the NCI.
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Support Government Line Agencies and Offices
The National Convergence Initiative shall work closely with other government line agencies and
offices to ensure complementation and alignment of enhanced NCI interventions with that of other
related agencies and offices. Among these are:

National Commission on Indigenous Peoples (NCIP)

Department of Science and Technology (DOST)

Department of Finance (DOF)

Department of Budget and Management (DBM)

Land Bank of the Philippines (LBP)

Development Bank of the Philippines (DBP)

Department of Trade and Industry (DTI)

Board of Investments (BOI)

Philippine Economic Zone Authority (PEZA)

Department of Public Works and Highways (DPWH)

Department of Energy (DOE)

Department of Interior and Local Government (DILG)

Department of Labor and Employment (DOLE)

Palawan Council for Sustainable Development (PCSD)

Commission on Higher Education (CHeD)

Technical Education and Skills Development Authority (TESDA)

Department of Education (DepEd)


Department of National Defense (DND)
Department of Tourism (DOT)
When necessary, each bureau and line agencyidentified above shall assign a focal person for
Convergence Initiative.
The NCI shall likewise work with Non-Government Organizations coalition groups, Farmers and
Fisherfolk Associations and groups, Academe (State University and Colleges - SUCs), and the
Private/Business Sector.
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B. Sub-National Level
It shall be noted that the National Convergence Initiative as a strategy for sustainable rural
development is a work in progress. Convergence implementing mechanisms and structures
established at the local (sub-national) levels and are “working” may be continued and further
documented as to its functionality. Otherwise, the convergence local structures shall be organized as
proposed below.
3. Regional Convergence Initiative-Technical Working Group (RCI-TWG)
Parallel to the NCI-TWG, the RCI-TWG shall manage and supervise the programs, projects, and
other related activities at the regional level. The RCI-TWG shall be the regional arm of the NCITWG in carrying out its functions.
The RCI-TWG shall work closely with other government line agencies and offices and with the
Regional Development Council (RDC) and concerned Provincial Development Council (PDC) to
ensure that the enhanced convergence initiative interventions are aligned with the regional
development agenda and initiatives. It shall likewise facilitate complementation of efforts and
resources for greater impact.
The RCI-TWG shall coordinate and work closely with the Provincial Local Government Units
(PLGUs) in the implementation of the NCI plans, programs, projects, and other related activities. The
Regional Directors of DA, DAR, and DENR may enter into an agreement with the Provincial
Governor or LGU leagues, as necessary.
The RCI-TWG shall be composed of:
Co-Chairpersons:
Regional Director,
Chairperson:
Regional Director/Executive Director
Member:
Regional Director,
Regional Focal Person, Head RCI-TWG Secretariat
The chairperson of the RCI-TWG shall be a convergence champion and shall be decided by and
among the Regional Directors of DA, DAR and DENR. Upon the completion of the RCI-TWG
composition, a resolution to that effect shall be submitted to the NCI Secretariat.
Membership of the RCI-TWG may be expanded to include representatives from the Provincial LGUs
and other agencies as deemed necessary.
90
The RCI-TWG shall meet monthly or as deemed necessary.
The RCI-Secretariat shall be created and would be composed of representatives from the regional
offices of DA, DAR, and DENR. The RCI Secretariat shall be headed by the Regional Focal Person.
The Regional Focal Person shall be designated by the chairperson of RCI-TWG (from the agency
where the chairperson belongs).
The functions of the RCI Secretariat are as follows:
8. Coordinate the conduct of meetings, workshops, write shops, and consultations as deemed
necessary;
9. Facilitate the provision of administrative, logistics, and technical support to the RCI-TWG;
10. Document, prepare, and disseminate the highlights of meeting/workshops proceedings;
11. Ensure that appropriate actions are taken on agreements reached during meetings/workshops;
12. Submit monitoring/progress reports to the NCI Secretariat;
13. Work closely with the RCI-TWG and Working Groups;
14. Maintain effective and efficient data management systems of the RCI.
To ensure that an effective vertical linkage between the national and regional levels is achieved, the
relevant data and information related to the planning and operations of the Convergence Initiative
shall be consolidated, integrated and maintained at the DA Regional Field Units. As such, the
regional offices of the other agencies shall submit the required reports and other information
requirements to the DA Regional Field Units.
4. Provincial Convergence Initiative Technical Working Group (PCI-TWG)
The PCI-TWG shall be responsible in implementing plans, programs, projects, and other related
activities of the NCI at their respective provinces in collaboration with RCI-TWG. The PCI-TWG
shall identify or determine appropriate interventions, resources, and support services needed such as,
but not limited to infrastructure, logistics, extension, inputs, lands, and institutional development for
the implementation of the NCI plans and programs.
The chairperson of the PCI-TWG shall be agreed upon by the provincial members and shall be a
choice between the provincial head of DAR or of DENR. The Governor of the province shall be the
co-chairperson. The members of the PCI-TWG are the Provincial Environment and Natural
Resources Officer (PENRO), Provincial Agrarian Reform Officer (PARO), Provincial Agriculture
Officer (PAO), and Provincial Planning and Development Coordinator (PPDC).
91
The respective interface mechanisms shall be LGU-led with DA, DAR, and DENR providing
technical and operational support. Existing LGU mechanisms may be adopted to spearhead or
manage the convergence initiatives at the LGU level.
5. Municipal Convergence Initiative Technical Working Group (MCI-TWG)
The MCI-TWG shall be responsible in implementing plans, programs, projects, and other related
activities of the NCI at their respective municipalities in collaboration with the PCI-TWG. The MCITWG shall identify or determine appropriate interventions, resources, and support services needed
such as, but not limited to, infrastructure, logistics, extension, inputs, lands, and institutional
development for the implementation of the NCI plans and programs.
The chairperson of the MCI-TWG shall be agreed upon by the municipal members and shall be a
choice between the Municipal Agrarian Reform Officer (MARO) or the Community Environment
and Natural Resources Officer (CENRO). The Mayor of the municipality shall be the co-chairperson.
The members of the MCI-TWG are the Community Environment and Natural Resources Officer
(CENRO), City/Municipal Environment and Natural Resource Officer (C/MENRO), Municipal
Agrarian Reform Officer (MARO), Municipal Agriculture Officer (MAO) and concerned
City/Municipal Planning and Development Coordinator (C/MPDC).
The respective interface mechanisms shall be LGU-led with DA, DAR, and DENR providing
technical and operational support. Existing LGU mechanisms may be adopted to spearhead or
manage the convergence initiatives at the LGU level.
The over-all DA-DAR-DENR Convergence Initiative Structure is graphically presented in Annex C.
IX.
FINANCING
Funds necessary to carry out the implementation of the enhanced Convergence Initiative shall be
taken from available funds of DA, DAR, and DENR. Other sources of funds such as grants,
donations, and other forms of assistance from donor agencies and other public or private entities may
be tapped and facilitated by NCI-NSC/TWG to support the objectives identified subject to regular
auditing guidelines and procedures. Cost-sharing or counter- parting schemes among national
government and LGUs will be encouraged to support the implementation of the enhanced
Convergence Initiative.
92
X.
MONITORING AND EVALUATION
A monitoring and evaluation system based on progress and program indicators of performance shall
be developed in accordance with the MfDR guidelines/approach.
The M&E design for Convergence Initiative shall be based on a common plan as agreed by the three
agencies. The plans shall ensure that it can contribute to the attainment of the overall goals and
objectives of MfDR.
93
ANNEX A
CONVERGENCE INITIATIVE FRAMEWORK USING THE WATERSHED AND
ECOSYSTEM APPROACH
94
ANNEX B
National Convergence Initiatives
for Sustainable Rural Development
Logical Framework Matrix
Overall Societal Goal (Per MTPDP 2011-2016):


Inclusive growth
Socio-economic growth that is rapid enough
to matter;
Sustained growth that
 creates jobs,
 draws the vast majority into the
economic and social mainstream and
 continuously reduces mass poverty
Rural Development Sector
Long Term Development Goal: Poverty eradication and sustainable rural development
Indicators for the Goal:
o Poverty incidence in rural areas reduced from ___% to
___% by 2016 (medium term)
(contributes to overall decline in incidence of poverty from
33.1% in 1991 to 16.6% by 2015 - per MDG commitments)
o Ensure ecological integrity and mitigating the effects of
climate change
Purpose (Outcomes):
o Ensured food security and increased income
o Enhanced access to land ( and other natural resources) and
improved quality of the environment
o Self-reliance of constituency and increase resilience of their
communities
Indicators for the Purpose:
o Household income of constituency increased above
poverty line
o Food staples (rice, white corn and other starchy food)
available at reasonable prices at all times
 Decrease in food subsistence incidence (% of
population)
 Increase in rice self-sufficiency ratio (%)
 Stable average inflation rates among basic food
commodities (%)
95
o Improved conservation , protection and rehabilitation of
natural resources
 Forest cover increased by ______ hectares (% increase
in area in ha.)
 Increase in no. of adaptors (and area in ha.) of natural
farming system and other environment –friendly farm
practices
 No. and area of abandoned, underutilized and
unproductive fishponds reverted back to Mangroves
 Complete the delineation and local ordinance of
_______ municipal waters
o Increase in no. of constituency with titles to land
(agricultural/ ancestral lands) or other tenurial instruments
(that provides security of tenure and access to resources );
community-based forest management agreement (CBFMA)
o Increase in no. of constituency engaged in or employed in
market-led and environment-friendly agri-enterprises
(agriculture, forestry and fisheries)
o Constituency or organization of constituency and
communities able to participate in local governance, and
management of resources
o Constituency/organizations able to cope with “socioeconomic shocks,” environmental hazards and climaterelated risks
 Constituency covered with crop insurance, microinsurance, health insurance…..
 Constituency with access/eligible to credit, microfinance and other financial services
Convergence Intermediate
Process Outcomes
Planning
 Identified common focused constituency and area
 Harmonized and synchronized planning at all levels (municipal, provincial,
regional and national)
 Formulated and agreed among key Rural Development (RD) players
on Convergence Area Development Plan (with Agro-enterprise Cluster
Plan as lead component)
 Agreed funding commitment from Key RD players/other stakeholders
Financing
 Complementation of resources (financial and manpower)
96

Mobilization of and increased in investments from other institutions
(specifically from the private sector: private-public partnership)
Implementation
 More timely and synchronized delivery of services ( with reference to above
agreed Convergence Area Development Plan)
 Developed and established institutional arrangement for management and
implementation of projects
 Established market linkages and network
 Increase level of participation and engagement of constituency in all aspects
of the development cycle (planning, implementation, monitoring and
evaluation), governance, and management of natural resources.
97
NCI Components Outputs:
Policy and Advocacy
Outputs
National Convergence
Initiatives (NCI) policy
making processes and
mechanism
institutionalized
Indicators
Joint Administrative
Order governing the
policy making
process governing
NCI adopted
Agri-business/Agro- Enterprise /
Agro-forestry Cluster Development
Outputs
Indicators
Strategic convergence Number of
sites identified and
convergence
prioritized
clusters identified
Capacity Development
Outputs
Learning packages
for field
implementers/const
ituents developed




Policies and legal
instruments related to the
rural development sector
approved and
disseminated
No. of legal
instruments
formulated ,
approved and
disseminated to
concerned units
Policy and Advocacy
Clusters established
and models
developed.
number of clusters established
Models, programs
on capacity
number of models
development for
constituents /field
implementers
developed
Agri-business/Agro- Enterprise /
Agro-forestry Cluster Development

Indicators
Joint interventions among the 3
agencies (training, enterprise
development projects, policy and
advocacy, Monitoring &
Evaluation, Knowledge
Management)at all levels
(national, regional, provincial,
municipal
Increased access to information
(technology, market info) or
decision making
Implementers at local level
demonstrate adequate skills on
strategic partnership, conflict
management, facilitation,
communication, Resource Mob
responsive participation and
involvement in the convergence
initiative
Innovative modalities on
convergence capacity
development
Capacity Development
Knowledge Management
Outputs
NCI unified
approach for
identifying
convergence areas
and projects /
interventions in
place
Indicators
Convergence areas
and projects are
identified jointly by
DA-DAR and DENR
according to the
agreed criteria
NCI programs,
projects and
initiatives are
implemented and
monitored in an
efficient and
effective manner
DA DAR-DENR
incorporate
Convergence
requirement in their
PPAs and reported
accordingly
Knowledge Management
98
Outputs
Advocated for the
passage of National Land
Use Act (NLUA), Land
Administration Reform
Act (LARA), Sustainable
Forest Ecosystem
Management Act
(SFEMA) by Congress
Indicators
No. of advocacyrelated
commitments of
support from the
government, civil
society organization,
lawmakers
Outputs
Tools and learning
implementation kits
developed and
institutionalized
Indicators
Number and types
of tools and learning
kits
Outputs
Capacity
development
network
(institutions,
academe, NGOs)
established
Indicators
 Implementers are able to engage
and involve strategic partners at
local level to manage the local
resources/solve local problems
and meet local needs
Approved Executive
Order (EO) for the
implementation of the
Greening Program
No. of EO approved
and disseminated
Functional
convergence network
and pool of champions
established and
sustained
number of networks
and pool of
champions
established
M and E
constituency
satisfaction
assessment
developed and
institutionalized
 increased participation of
beneficiaries/stakeholders in
community activities
 responsive participation and
involvement in the convergence
initiative
Implementing
Guidelines
formulated and
approved
Access facilitation of
cluster development
services
Services
accessedbyagrienterprise cluster
Operational M&E for
cluster development
and operations for
replication /
improvements
System generated
Monitoring and
Evaluation Reports
Outputs
NCI innovations,
best practices,
lessons
documented,
shared and
disseminated for
possible adoption,
expansion, scaling
up and funding
support.
Indicators
Convergence
experiences
translated in various
forms: publications,
web port and
funding proposals
99
ANNEX C
DA-DAR-DENR CONVERGENCE INITIATIVE STRUCTURE
100
ANNEX B
LIST OF WATERSHED SUPPORTING 141 RIVER IRRIGATION SYSTEMS OF NIA7
NO.
1
Name of Watershed
Grand Total
CAR
Chico River
NIS
Supported
Lower Chico River
Upper Chico River
2
3
Region I
Bolo River
Bonga River
4
Barbaquezo River
Cura RIS
5
Vintar River
6
Sta. Maria River
LaoagVintar River
WMC Pasuqui
Tagudin RIS
Sta Maria-Burgos
7
8
Sta. Lucia-Candon
Dipalo River
Sta. Lucia-Candon
Dipalo RIS
9
Ambayoan River
Ambayoan RIS
10
Dumoloc River
Dumoloc RIS
Bolo RIS
Bonga Pump
Dingras RIS
Location
(Province)
Mt. Province
Kalinga
Apayao
Mt. Province
Kalinga
Ifugao
IlocosNorte
IlocosNorte
Abra
Apayao
IlocosNorte
Apayao
IlocosNorte
Ilocos Sur
Ilocos Sur
Abra
Ilocos Sur
Pangasinan
Nueva Ecija
San Nicolas
Nueva Ecija
Pangasinan
Watershed Area
(Ha)
5,885,206
1,603,080
220,000
River Basin
Cagayan River Basin
110,000
918,680
147,800
17,200
55,700
14,000
7,900
29,000
24,000
25,600
16,400
16,800
4,200
Buhi RB
Laoag RB
Bacarra-Vintar RB
Silay-Sta. Maria RB
Agno River Basin
30,000
8,200
7
Data Source : Department of Environment and Natural Resources
101
NO.
Name of Watershed
11
Bued River
NIS
Supported
San Fabian RIS
12
Agno River
Lower Agno Toton
Agno RIS
Location
(Province)
Pangasinan
La Union
Pangasinan
Nueva Ecija
Ifugao
Benguet
Nueva Vizcaya
Pangasinan
Pangasinan
La Union
Benguet
Ilocos Sur
La Union
13
14
15
Sinucalan River
ADRIIS Extension
Amburayan River
Agno Sinucalan RIS
Pangasinan RIS
Amburayan RIS
16
Masalip RIS
17
Masalip River
Region II
Magat River
18
Mallig River
Mallig RIS
19
Gatto Creek
Pamplona RIS
20
Baua, Lacub and
Tuctucaras River
Abulog River
Pinacanauan River
Dummun River
Baua RIS
Nueva Vizcaya
Ifugao
Mt. Province
Kalinga
Cagayan
Apayao
Cagayan
Abulog-Apayao RIS
Pinacanauan RIS
Dummun RIS
21
22
23
24
25
26
Paranan,
Taguntungan&
Paned River
Zinundungan River,
Siculao and
Banurbur Creeks
Pinacanauan de
Magat RIS
Watershed Area
(Ha)
29,700
River Basin
228,380
Agno River Basin
152,350
152,350
5,900
99,300
Dagupan River Basin
Amburayan River Basin
27,300
776,850
412,300
Cagayan River Basin
45,580
SIFU Mallig Cagayan RB
1,920
5,000
Baua River Basin
Cagayan
Cagayan
Cagayan
205,000
12,920
20,600
Baggao RIS
Cagayan
20,950
Abulog River Basin
Cagayan River Basin
Cagayan and Dummun
RB
Cagayan RB
Zinundungan RIS
Cagayan
21,500
Cagayan RB and
Zinundungan RB
Tumauini RIS
Isabela
17,630
Cagayan RB
102
NO.
Name of Watershed
NIS
Supported
Location
(Province)
Watershed Area
(Ha)
River Basin
San Pablo-Cabagan
RIS
Isabela
13,450
Amburayan RB
Tarlac RIS
San Miguel Odonell
RIS
Camiling RIS
Tarlac
381,370
26,750
26,100
Agno/Odonell RB
Agno/Camiling RB
28
Tumauini River
Pinacanauan de San
Pablo River
Region III
Tarlac River
29
Camiling River
30
31
Talavera River
Talavera River, de
Babuyan Creek
Talavera Vasra
Creek, Murion Pas
Creek
Pampanga RiverTacalo Creek
Caulaman River
Caulaman RIS
32
33
Nayom River
Sto. Tomas River
Nayom RIS
Sto, Tomas RIS
34
Bucao River
Bucao RIS
35
Porac-Gumain River
PoracGumain RIS
36
37
38
Angat-Maasim River
Ipo River
Colo River
Region IVA
Balanac River
Mabacan River
Mayor River
ANgat-Maasim RIS
La Mesa Dam
Colo RIS
Zambales
Bataan
Zambales
Pangasinan
Zambales
Zambales
Tarlac, Capas
Pampanga
Zambales
Bulacan
Bulacan
Bataan
Balanac RIS
Mabacan RIS
Mayor RIS
Laguna
Laguna
Laguna
27
39
40
41
UPRIIS
UPRIIS I
Tarlac
Zambales
Pampanga
24,700
82,900
Pampanga River Basin
UPRIIS II
UPRIIS III
1,800
1,835
18,100
Nayom River Basin
Sto. Tomas River Basin
55,320
Bucao River Basin
22,500
Pampanga River Basin
61,300
6,600
8,850
242,636
6,660
4,900
3,300
Pampanga RB/Angat RB
Bulacan
Pasig-Laguna Bay RB
103
NO.
Name of Watershed
42
45
46
47
Sta Cruz Lapad
River
Sta Maria & Mata
River
NPC Tailrace &Lewin
Creek
Laguna FLIS
Cavite
Palico River
48
49
50
51
Laguas-Balakin River
Hanagdong River
Dumasca River
Agos River
Laguas RIS
Hanagdong RIS
Dumasca RIS
Agos RIS
52
Marikina River
Region IV B
Langkawan-Bansud
River
Bucayao-Langkawan
River
43
44
53
54
NIS
Supported
Sta Cruz RIS
Location
(Province)
Laguna
Watershed Area
(Ha)
8,000
Sta. Cruz River Basin
Sta Maria RIS
Laguna
1,150
Sta Maria River Basin
Luban RIS
Laguna
1,350
Laguna FLIS RIS
Laguna
Palico RIS
Wawa Dam
Batangas
Cavite
Quezon
Quezon
Quezon
Quezon
Rizal
Rizal
30,630
52,900
11,800
Bansud RIS
Mindoro Oriental
55
Pula River
Pula RIS
56
Mag-asawangTubigMapalo Rivers
Mag-asawangTubig
RIS
57
Pagbahan River
Pagbahan RIS
58
Patrick River
Amnay-Patrick RIS
Mindoro Oriental
Mindoro
Occidental
Mindoro Oriental
Mindoro
Occidental
Mindoro Oriental
Mindoro
Occidental
Mindoro
Occidental
Mindoro Oriental
Mindoro
Occidental
1,860
1,360
8,500
91,260
18,966
188,815
7,000
River Basin
Laguna
Bukal (Lalangan)
Agos River Basin
Pasig-Laguna de Bay
Bansud River Basin
26,000
12,970
Pula River Basin
19,565
Mag-asawangTubig River
Basin
23,380
20,750
Amnay River Basin
104
NO.
Name of Watershed
NIS
Supported
59
Mongpong River
Mongpong RIS
60
Caguray River
Caguray RIS
61
Lumuitao River
Lumiutao RIS
62
Malatgao RIS
63
Malatgao River
Region V
Quinale River
64
Barit river
Hibiga RIS
Mahaba RIS
Nasisi RIS
Ogsong RIS
Barit RIS
65
64
65
Daet River
Talisay river
BuhiLalo River
Daet RIS
Talisay RIS
BuhiLalo RIS
66
Libmanan River
Libmanan-Cabusao
RIS
67
68
69
70
71
Pili RIS
THI RIS
Bulan RIS
San Francisco RIS
Rida RIS
73
Pili River
THI river
Bulan River
San Francisco River
Rida River
Region VI
TipuluanSibalom
Rivers
Mambusao River
74
Aganan -Tigum
Aganan RIS
72
Sibalom-San Jose
RIS
Mambusao RIS
Location
(Province)
Mindoro Oriental
Mindoro
Occidental
Mindoro
Occidental
Mindoro
Occidental
Palawan
Albay
Albay
Camarines Sur
CamarinesNorte
CamarinesNorte
Camarines Sur
Albay
Camarines Sur
CamarinesNorte
Quezon
Sorsogon
Camarines Sur
Sorsogon
Sorsogon
Antique
Ilolilo
Capiz
Aklan
Iloilo
Watershed Area
(Ha)
River Basin
22,300
Mongpong River Basin
12,900
Caguray River Basin
38,600
Lumiutao River Basin
5,350
134,240
10,090
Malatgao River Basin
Bicol river Basin
19,500
6,320
2,820
21,850
Daet-Bansud River Basin
Bicol River Basin
54,200
Sipucot River Basin
2,680
8,990
6,200
1,590
363,390
61,600
Sibalom River Basin
31,630
11,300
Jaro-Aganan River Basin
105
NO.
Name of Watershed
75
Rivers
Barotac Viejo River
NIS
Supported
Location
(Province)
Watershed Area
(Ha)
Barotac Viejo RIS
IIoilo
9,150
Jalaur River
76
Jalaur-Suage River
77
78
79
Sibalom-Tigbanan
Rivers
Sta Barbara River
Bago River
Jalaur RIS
Suage RIS
Sibalom-Tigbanan
RIS
Sta Barbara RIS
Bago RIS
80
Pangiplan River
Pangiplan RIS
81
Panukayan river
Panukayan RIS
82
83
84
85
86
87
88
89
90
91
Region VIII
Balire River
BaoBaleonCabugaoMaasin Rivers
Binahaan-Candiis
Rivers
Bito River
Daguitan River
Gibuga River
Guinarona River
Mainit River
Ponggo River
Tibak-Maslog Rivers
Iloilo
Capiz
Iloilo
Iloilo
Iloilo
Negros
Occidental
Negros
Occidental
Negros Oriental
Aklan
Antique
107,700
17,480
11,400
River Basin
Jalaur River Basin
Jalaur RB
Sibalom River Basin
19,200
62,500
8,030
23,400
Balire North RIS
Bao RIS
Northern Leyte
Northern Leyte
71,460
4,500
5,800
Binahaan North RIS
Northern Leyte
10,540
Binahaan River Basin
Binahaan South RIS
Lower Binahaan RIS
Bito RIS
Daguitan RIS
Gibuga RIS
Guinarona RIS
Mainit RIS
Ponggo RIS
Suong-Tibak RIS
Leyte
5,670
5,700
11,380
4,300
5,400
1,450
3,150
4,020
2,350
Binahaan River Basin
Northern Leyte
Northern Leyte
Northern Leyte
Northern Leyte
Northern Leyte
Northern Leyte
Northern Leyte
Daguitan River Basin
106
NO.
Name of Watershed
92
100
101
Salog-PanipianBejirong-Magtagoy
Creeks
Region IX
Salug-Pako
Salog-Piit-Osugan
Rivers
Timonan-DumingagGuitran-Dipolog
Rivers
Libungan-PulusanLantian-Tiwagan
Rivers
Sibuguey-Dipili
Rivers
Region X
Manuplai River
Muleta-Kulaman
Rivers
Kuya River
Region XI
Batutu River
Libuganon River
102
Saug-Madgao Rivers
Saug RIS
103
Lasang River
Lasang RIS
104
Mal river
Mar RIS
105
Padada-Sakub-
Padada RIS
93
94
95
96
97
98
99
NIS
Supported
Hindang-Hilongos
Location
(Province)
Northern Leyte
Southern Leyte
Salug RIS
Zamboanga del
Sur
Dipolog RIS
Watershed Area
(Ha)
7,200
River Basin
132,360
30,900
Salug River Basin
Zamboanga del
Sur
36,300
Dipolog River Basin
Labangan RIS
Zamboanga del
Sur
43,360
Labangan River Basin
Sibuguey Valley RIS
Zamboanga del
Sur
21,800
Sibuguey River Basin
Manuplai RIS
Muleta RIS
Bukidnon
Bukidnon
RoxasKuya RIS
Bukidnon
Batutu RIS
Libuganon River
Davao del Norte
Davao del Norte
Agusan del Sur
Bukidnon
Davao del Norte
Compostela
Valley
Davao del Norte
Davao del Sur
Davao del Sur
Sultan Kudarat
Davao del Sur
44,600
13,850
21,450
9,300
507,625
10,500
74,730
Compostela Valley
Tagum-Libuganon River
Basin
41,100
Saug River Basin
39,450
Lasang River Basin
35,400
81,850
Padada-Malitiit
107
NO.
106
107
108
109
110
111
Name of Watershed
Odaka-Balutakay
Creeks
Sumlog River
Buayan-Tinagacan
Rivers
Allah-Lomon-Sepaka
Rivers
Banga River
NIS
Supported
Lupon RIS
Buayan RIS
Allah I RIS
Banga RIS
113
114
Siluay-Klinan Rivers
Marbel-Taplan
Rivers
Region XII
Cabayugan River
Kabakan River
115
Libungan River
Maranding RIS
KabakanPagalungan RIS
Libungan RIS
116
117
M’lang River
Malasila River
M’lang RIS
Malasila RIS
118
KapingkongDumaguil
River
Region XIII
Cabadbaran River
Taguibo River
Andanan River
Simulao River
Allah II Lambayong
RIS
119
120
121
122
Siluay RIS
Marbel RIS 1&2
Cabadbaran RIS
Taguibo RIS
Andanan RIS
Simulao RIS
Location
(Province)
Sultan Kudarat
North Cotabato
Davao Oriental
South Cotabato
Sarangani
Davao del Sur
South Cotabato
Watershed Area
(Ha)
River Basin
25,540
7,580
Sumlog River Basin
Buayan-Tinagacan River
Basin
88,700
Allah River Basin
South Cotabato
Sarangani
SuiltanKudarat
South Cotabato
South Cotabato
28,800
Mindanao River Basin
53,300
20,675
Mindanao River Basin
Mindanao River Basin
285,940
39,350
74,000
Maranding River Basin
Kabakan River Bsin
51,700
Libungan River Basin
20,100
31,200
M’lang River Basin
Malasila River Basin
3,131
Mindanao River Basin
Lanao del Norte
North Cotabato
North Cotabato
Maguindanao
North Cotabato
North Cotabato
Davao del Sur
Sultan Kudarat
Sultan Kudarat
South Cotabato
Agusan del Norte
Agusan del Sur
Agusan del Sur
Agusan del Sur
Davao del Norte
Davao Oriental
208,060
7,350
8,430
19,200
42,900
108
NO.
Name of Watershed
123
Camac-an River
NIS
Supported
Cantilan RIS
124
Tago River
Tago RIS
125
126
ARRM
Rugnan River
Alip River
Rugnan RIS
Alip RIS
Location
(Province)
Surigao del Sur
Agusan del Norte
Surigao del Sur
Agusan del Sur
Lanao del Sur
Sultan Kudarat
Watershed Area
(Ha)
12,180
River Basin
118,000
56,100
18,150
37,950
109
ANNEX C
LIST OF POOREST AND MOST FOOD POOR PROVINCES
Ranking of Provinces by Poverty Incidence8
Region
Province
ARMM
ARMM
REGION V
REGION XI
CARAGA
SULU
MAGUINDANAO
MASBATE
SARANGGANI
AGUSAN DEL
SUR
SULTAN
KUDARAT
LANAO DEL SUR
ORIENTAL
MINDORO
TAWI TAWI
COTABATO
MOUNTAIN
PROVINCE
PALAWAN
OCCIDENTAL
MINDORO
ZAMBOANGA
DEL NORTE
NORTHERN
SAMAR
IFUGAO
SURIGAO DEL
NORTE
SAMAR
DAVAO
REGION XII
ARMM
REGION IV
ARMM
REGION XII
CAR
REGION IV
REGION IV
REGION IX
REGION VIII
CAR
CARAGA
REGION VIII
REGION XI
Poverty
Incidence
0.6753
0.6687
0.6429
0.6328
0.5994
Rank
Probability in
(Poorest = 1) Poorest 40
1
1.0000
2
1.0000
3
1.0000
4
1.0000
5
1.0000
0.5986
6
1.0000
0.5923
0.5848
7
8
1.0000
1.0000
0.5596
0.5553
0.5460
9
10
11
1.0000
1.0000
1.0000
0.5422
0.5356
12
13
1.0000
1.0000
0.5274
14
1.0000
0.5264
15
1.0000
0.5262
0.5260
16
17
1.0000
1.0000
0.5190
0.5099
18
19
1.0000
1.0000
8
Source: Estimation of Local Poverty in the Philippines, November 2005, the World Bank
110
Region
REGION IV
CARAGA
REGION V
REGION VI
REGION VII
CAR
REGION XII
REGION IV
REGION IX
REGION V
REGION VI
REGION V
REGION X
REGION VI
REGION XI
REGION VII
REGION VIII
CAR
REGION IX
REGION V
REGION X
REGION VIII
REGION VI
CAR
REGION VI
Province
ORIENTAL
ROMBLON
SURIGAO DEL
SUR
SORSOGON
CAPIZ
NEGROS
ORIENTAL
KALINGA
LANAO DEL
NORTE
MARINDUQUE
BASILAN
ALBAY
ANTIQUE
CAMARINES
SUR
CAMIGUIN
AKLAN
COMPOSTELA
VALLEY
BOHOL
BILIRAN
APAYAO
ZAMBOANGA
DEL SUR
CATANDUANES
BUKIDNON
EASTERN
SAMAR
NEGROS
OCCIDENTAL
ABRA
GUIMARAS
Poverty
Incidence
Rank
Probability in
(Poorest = 1) Poorest 40
0.5075
0.5000
20
21
1.0000
1.0000
0.4953
0.4936
0.4902
22
23
24
1.0000
1.0000
1.0000
0.4830
0.4827
25
26
0.9800
1.0000
0.4777
0.4770
0.4741
0.4724
0.4723
27
28
29
30
31
1.0000
0.9400
1.0000
1.0000
1.0000
0.4695
0.4645
0.4644
32
33
34
0.9000
0.9900
0.9200
0.4536
0.4536
0.4485
0.4468
35
36
37
38
0.8500
0.8300
0.6600
0.7600
0.4399
0.4379
0.4370
39
40
41
0.6300
0.5200
0.5600
0.4321
42
0.3700
0.4270
0.4222
43
44
0.3200
0.3500
111
Region
Province
REGION V
CAMARINES
NORTE
QUEZON
LEYTE
ILOILO
AGUSAN DEL
NORTE
AURORA
CAGAYAN
MISAMIS
OCCIDENTAL
NUEVA ECIJA
SOUTHERN
LEYTE
ILOCOS SUR
ISABELA
SOUTH
COTABATO
CEBU
PANGASINAN
LA UNION
DAVAO
BATANGAS
QUIRINO
MISAMIS
ORIENTAL
SIQUIJOR
NUEVA
VIZCVAYA
ILOCOS NORTE
DAVAO DEL SUR
BENGUET
TARLAC
BATANES
REGION IV
REGION VIII
REGION VI
CARAGA
REGION IV
REGION II
REGION X
REGION III
REGION VIII
REGION I
REGION II
REGION XI
REGION VII
REGION I
REGION I
REGION XI
REGION IV
REGION II
REGION X
REGION VII
REGION II
REGION I
REGION XI
CAR
REGION III
REGION II
Poverty
Incidence
0.4206
Rank
Probability in
(Poorest = 1) Poorest 40
45
0.2200
0.4191
0.4077
0.4007
0.4000
46
47
48
49
0.1000
0.0300
0.0000
0.0400
0.3985
0.3899
0.3818
50
51
52
0.0300
0.0000
0.0000
0.3728
0.3696
53
54
0.0000
0.0000
0.3512
0.3493
0.3489
55
56
57
0.0000
0.0000
0.0000
0.3478
0.3462
0.3431
0.3378
0.3339
0.3277
0.3238
58
59
60
61
62
63
64
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.0000
0.3102
0.2991
65
66
0.0000
0.0000
0.2916
0.2647
0.2509
0.2482
0.2338
67
68
69
70
71
0.0000
0.0000
0.0000
0.0000
0.0000
112
Region
Province
REGION III
REGION III
REGION III
REGION III
REGION IV
REGION IV
REGION IV
NCR
NCR
NCR
NCR
PAMPANGA
ZAMBALES
BULACAN
BATAAN
RIZAL
LAGUNA
CAVITE
ST
1 DISTRICT
3RD DISTRICT
4TH DISTRICT
2ND DISTRICT
Poverty
Incidence
0.2204
0.2196
0.1622
0.1556
0.1532
0.1297
0.1287
0.1133
0.0999
0.0729
0.0655
Rank
Probability in
(Poorest = 1) Poorest 40
72
0.0000
73
0.0000
74
0.0000
75
0.0000
76
0.0000
77
0.0000
78
0.0000
79
0.0000
80
0.0000
81
0.0000
82
0.0000
113
ANNEX D
FORMAT FOR CONVERGENCE AREA EVALUATION
Name of Potential Convergence Area/Municipality:_________________________________________
Criteria
Weight %
Distributi
on
Rating Scale (Descriptor)
3
4
5
Rating/Sc
ore
--
--
√
--
--
--
√
5,000
to
10,000 ha
with at least 3
crops
10,000
to
15,000 ha
with at least
4 crops
15,000
t0
20,000 ha
with at least 5
crops
More
than
20,000 ha
with
more
than 6 crops
More
than
2,000
households
More than
3,000
households
majority of
whom
are
small
More
than
4,000
households
majority
of
whom
are
small farmers,
More
than
5,000
households
majority
of
whom
are
small farmers,
1
2
--
--
--
--
--
35%
2,000 to 5,000
ha
with at least 2
crops
25%
More
than
1,000
households
Selection
Criteria
(Must)
1.
2.
Completen
ess of the
ecosystem
zones
which cut
across
various
ecosystem
s or a
combinatio
n of at
least two
ecosystem
s.
Should be
located
within the
143 priority
watersheds
identified/pr
oclaimed
by DENR
(append list
c/o EDU)
Prioritization
Criteria
1.
2.
Presence
of key
production
zones with
connectivit
y for
increased
productivit
y and
income
Combinati
on of sites
across
major
poverty
groups
-114-
Criteria
3.
Presence
of
developme
nt oriented
local
governme
nt leaders
and LGU
alliances
Weight %
Distributi
on
20%
1
Rating Scale (Descriptor)
2
3
4
Site is
considered
non-poor nor
non food-poor
based on the
NSCB list
Site is either
one of the top
21 and above
poorest or
most foodpoor provinces
based on the
latest NSCB list
Willingness to
provide
counterpart of
at least 5% of
the
LGU’s
annual
development
fund,
Willingness to
provide
counterpart of
at least 10% of
the
LGU’s
annual
development
fund,
With sustained
linkage with
any
2
government
agencies
or
other external
partners.
Strongly
supports
programs/proj
ects of DA,
DAR and DENR
With sustained
linkage with
DA,
DAR
andDENR
Strongly
supports
programs/proj
ects of other
government
entities
operating in
the area.
5
farmers,
agrarian
reform
beneficiaries,
agriculture
workers,
fishers, IPs
and
rural
women
Site is either
one of the
top 20
poorest or
most foodpoor
provinces
based on the
latest NSCB
list
Willingness
to
provide
counterpart
of at least
15% of the
LGU’s annual
development
fund,
agrarian
reform
beneficiaries,
agriculture
workers,
fishers,
IPs
and
rural
women
agrarian
reform
beneficiaries,
agriculture
workers,
fishers,
IPs
and
rural
women olds
Site is part of
the 11th to
20th poorest
and most
food-poor
provinces
based on the
latest NSCB
list
Site is part of
the top 10
poorest and
food-poor
provinces
based on the
latest NSCB
list
Willingness to
provide
counterpart
of at least
20% of the
LGU’s annual
development
fund,
Willingness to
provide
counterpart
of at least
25% of the
LGU’s annual
development
fund,
Presence of
at least one
LGU initiated
program/pro
ject
Presence of at
least two LGU
initiated
program/proj
ects
Presence of at
least
three
LGU initiated
program/proj
ects
With
sustained
linkage with
DA,
DAR,
DENR or any
entity
operating in
the area in
the last 2
years..
With
sustained
linkage with
DA,,DAr,
DENR or amy
entity
operating in
the area in
the
last
3years.
With
sustained
linkage with
DA,
DAR,
DENR in the
last 4 years.
-115-
Presence of
Operations
and
Maintenance
Plan for ongoing or past
projects
as
embodied in
the
LGU’s
annual
Rating/Sc
ore
Criteria
Weight %
Distributi
on
1
Rating Scale (Descriptor)
2
3
4
5
investment
plan.
4.
Presence
of NGOs,
POs,
private
sector and
an
academic/r
esearch
commmuni
ty
Total Rating
20%
Presence of at
least 3 POs,
NGOs, private
sector
organizations
that are willing
to
support
convergence
initiative
Presence of at
least 4 POs,
NGOs, private
sector
organizations
that have start
up projects in
the area
100%
--
---
Presence of
at least 4
POs, NGOs,
private
sector
organizations
implementin
g programs
and projects
in the last 2
years.
--
Presence of at
least 5 POs,
NGOs, private
sector
organizations
implementing
programs and
projects
in
the
last
3years.
Presence of at
least 6 POs,
NGOs, private
sector
organizations
implementing
programs and
projects
in
the last 4
years.
--
--
Evaluated by: ____________________________________________
____________________________________________
____________________________________________
____________________________________________
____________________________________________
Date:
____________________________________________
-116-
Rating/Sc
ore
ANNEX E
Pro-Forma Letter re: Endorsement of the Evaluation Results for Site Selection
TO:
THE CHAIRPERSON
REGIONAL CONVERGENCE INITIATIVE
TECHNICAL WORKING GROUP
We respectfully endorse the evaluation results covering the following areas/sites for possible
inclusion in the DA-DAR-DENR Convergence Initiative of the Province of ___.
Based on the evaluation results, the following sites/areas are favourably recommended for inclusion
in the Provincial Convergence Initiative:
1.
2.
Attached are the pertinent documents for your review. Should you find them in order, may we
request the confirmation of the recommended sites so we can jump start the PCI activities in these
areas.
FROM: THE CHAIRPERSON
PROVINCIAL CONVERGENCE INITIATIVE
TECHNICAL WORKING GROUP
117
ANNEX F
PRO-FORMA LETTER RE: CONFIRMATION ON CONVERGENCE AREA SELECTION
___________________________
Date
The Chairperson
Provincial Convergence Initiative Technical Working Group
Dear ________________,
This is to confirm the selection of __________________________ as the site of the National
Convergence Initiative for the period ___________________ to _____________________ as per
result of the selection process undertaken by the PCITWG on _________________ to
___________________.
It is understood that the necessary steps will be taken at your end to commence the development
activities in your area and facilitate the achievement of the convergence initiative goals.
Very truly yours,
________________________
Chairperson, Regional Convergence Initiative Technical Working Group
118
ANNEX G
LIST OF ALL CONFIRMED CONVERGENCE AREA
Short List of Convergence Areas
Region:
____________________
Province:
__________________
Municipalities Covered
Barangays
Covered
Areas to be
developed
Target Beneficiaries
119
ANNEX H
CONVERGENCE AREA PROFILE FORMAT
EXISTING SOCIO-ECONOMIC DEVELOPMENT INFRASTRUCTURE
Coverage
Number
Kind
(ha./km./lm)
____________________ _________________________________________
____________________
____________________ _________________________________________
____________________
____________________ _________________________________________
____________________
____________________ _________________________________________
____________________
____________________ _________________________________________
____________________
ON-GOING DEVELOPMENT
DEVELOPMENT REQUIREMENTS
PROJECTS IN THE AREA
OF THE AREA
Agency
Name of Project
Responsible
Name of Project
Estimated Cost
___________________
___________________
___________________
___________________
___________________
___________________
___________________
___________________
___________________
___________________
___________________
___________________
___________________
___________________
___________________
___________________
EXISTING ORGANIZATIONS IN THE AREA
Name of Organizations
Organization Type (PO, NGO,
business, academic, etc.)
Services/Business
120
___________________________________
____________________
___________________
___________________________________
____________________
___________________
___________________________________
____________________
___________________
___________________________________
____________________
___________________
___________________________________
____________________
___________________
___________________________________
____________________
___________________
DEVELOPMENT POTENTIALS OF THE AREA
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
BASIC FEATURES OF THE AREA TO SUPPORT ITS POTENTIALS
(Characteristics of the area that leads toward its development to the potential type of Zone)
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
_____________________________________________________________________________________
121
SYNTHESIS MAP
OF THE CONVERGENCE AREA
MAP OF THE PROVINCE
122
ANNEX I
INVESTMENT PROPOSAL/BUSINESS PLAN TEMPLATE
* Cover Page
* Table of Contents
* Executive Summary - Answers the “what,” “who,” “when,” “where,”“how,” and “how
much” with respect to the company, management, business objectives, financing,
repayment strategies, etc.
a. Description of the Business – discuss what are the main activities of the
investment proposal, who is the proponent, what are the goal and objectives of your
proposed undertaking, what modality you are proposing (open investment, jointventure, partnership or just a loan financing)
b. Product/Service Summary - present here the products that your project will be
producing or the services that the project will be doing
c. Business Strategy – discuss here how you plan to run and manage your business,
where and how you source out your raw materials, what are your market and
promotion strategies
d. Financial Strategy – show in here the total financial requirement of the project
and the breakdown of the financing summary, how much is being proposed for
investment and how much is the equity of the proponent.
Chapter 1- Industry and Market Analysis - This portion describes the industry you are
getting into, your target market as well as your competitors. It looks at the nature and
trend of the industry that allows you to make the appropriate strategy foryour
product or service.
a. Product or Service – please back up with a picture
- Product/Service Description
- Product application/uses
- Product packaging
123
b. Market Research
- Market Trends(discuss here the market trend, the supply and demand gap of your
proposed and related products)
- External Research(if there are external research conducted to support that
is really a market potential of your proposed product)
there
- Market Estimates – discuss here how much of the current market you want to
serve.
c. Marketing Plan & Sales Strategy
- SWOT Analysis
- Competitive Analysis – discuss here the comparative advantage of the project
considering the capacity of the proponent/management team or the target
group or area that the project will be dealing, the presence of strong support
group, etc.
- Target Customer Groups – discuss here who are your target customers/markets. If
you already have a list of potential market and their volume requirement, discuss
and present it here.
- Customer Demographics
- Sales Strategy – discuss in here where your
- Pricing & Positioning
- In-depth Marketing Plan
- Advertising & Promotion
Chapter 2 - Company Summary or Business Structure - This section presents your
management team, business location, and business organization. This illustrates the
organizational structure and their functions.
a. Management team
b. Business Location
c. Business Organization
124
Chapter 3 - Company Positioning or Operational Plan
a. Goals & Objectives/Mission Statement
b. Strategy of Implementation or Action Plan
c. Technical Processes of the product or service
d. Resource Allocation
- Human Resource
- Raw Materials
e. Budget Allocation
Chapter 4 -Financial Plan - This section includes realistic financial points, forecasts and
system. It is important to visualize the worst case, expected case, and best-case financial
forecasts. The forecasts must be backed up by the marketing plan and industry trend
figures to ensure the reliability of your assumptions. Always include current data.
a. Staffing & Employees
b. Start-up Budget
c. Forecast Profit & Loss Account
d. Forecast Balance Sheet
e. Forecast Cash flow
f. Sales & Profit Forecasts
g. Sales Charts & Graphs
Attachments
a. Monthly Cash Flow Analysis
b. Monthly Profit & Loss Analysis
c. Monthly Sales by Product
d. Monthly Costs & Margins by Products
e. Monthly Balance Sheets
125
ANNEX J
COMMODITY PROFILE TEMPLATE
KAMAYO
INVESTMENT
PROPOSAL
126
TABLE OF CONTENTS
Chapter
Description
Executive Summary
Page
2
I
Industry and Market Analysis
12
II
Business Structure
18
III
Operations Plan
23
IV
Financial Plan
27
Attachments/Annexes
33
127
EXECUTIVE SUMMARY
A. Description of the Business
The proposed business undertaking will involve the production of export quality banana
chips using state-of-the-artprocessing equipment and its production technologies
compliant to international standards for processed foods.
This business undertaking was conceptualized to add value to the “cardaba,” a local
banana variety, which is abundant in Bislig City and other municipalities of the province of
Surigao del Sur.It is also positioned in order to take advantage of the increasing demand
of “banana chips” both local and abroad and to provide employment for the people of
BisligCity and in increasing income particularly to the banana farmers.
The proposed business will be established in Bislig City, specifically within the 500hectare designated Provincial Agro-Industrial Center (PAIC) at barangay San Vicente I
which is about eighteen (18) kilometers from the commercial districts Mangagoy.
The proposed modality is either a loan from a financial institution or a jointventure with interested investor/s.
For this presentation, a loan from a government financing institution is being
considered as a financing modality.
The loan fund is assumed to bear an interest rate of twelve percent (12%) per annum
and payable within a period of ten (10) years.
Other possible modalities considered will be a joint venture with foreign or local
investors. Under the joint venture agreement, interested investors can acquire not more
than seventy percent (70%) stake to the project.Twenty two percent (22%) will be
provided by the proponent organization as equity and the remaining eight percent (8%)
stake will be provided by the banana growers as theircapital contribution.
The proponent, FRIENDS OF BISLIG INCORPORATED (FOBI) is a duly
registered organization with the Securities and Exchange Commission with
Registration Number CN200831928. Its main office is located at 72C-Good
Shepherd Road, Banawa, Cebu City. The Mindanao Chapter based in Bislig
City will be the direct implementer of the project.
128
B. Product Summary
Product Description
 The main product of the project is banana chips.
 These are deep-fried and/or dried slices of banana, either plain or provided
with flavoringsuch as honey or caramel.
 Other variants of banana chips may be covered with chocolate instead.
 The chips are crispy and have a sweet taste.
Table 1.Banana chips - Nutritional Analysis (per serve):
Energy
Protein
Fat, Total
- Saturated
- Polyunsaturated
Monounsaturated
Cholesterol
Carbohydrate
Sugars
Dietary Fiber
Thiamin
Riboflavin
Niacin Equivalents
Vitamin C
Folate
Vitamin A
Sodium
Potassium
Magnesium
Calcium
Phosphorus
Iron
Zinc
Average Quantity
per Serving
392kJ (94Cal)
1.7g
0.1g
0.0g
0.0g
0.0g
0.0mg
19.9g
16.9g
2.2g
less than 0.1mg
0.1mg (7%RDI)
0.9mg (9%RDI)
12.1mg (30%RDI)
14.1ug (7%RDI)
13.1ug (2%RDI)
1mg
345mg
19.2mg (6%RDI)
5.1mg (1%RDI)
26.3mg (3%RDI)
0.5mg (4%RDI)
0.2mg (2%RDI)
Average Quantity per
100g
388kJ (93Cal)
1.7g
0.1g
0.0g
0.0g
0.0g
0.0mg
20.1g
17.1g
2.2g
less than 0.1mg
0.1mg
0.9mg
12.0mg
14.0ug
13.0ug
1mg
348mg
19.0mg
5.0mg
26.0mg
0.5mg
0.2mg
129
Product Application/Uses


Banana chips are primarily used as snack food.
Other food preparations use banana chips as cake toppings, ice cream mix,
pastries and chocolate bars.
Product Packaging


Finished product will be packed in polyethylene plastic printed with the
business name and other pertinent information that should appear in the label.
Packaging will come in four (4) variants such as: 50 grams; 75 grams; 100
grams; 150 grams pack.
C. Business Strategy
The business is designed to process locally-produced cardaba bananas. Farmers shall
be provided with proper and regular training regarding the quality requirements or
specifications of fresh cardaba acceptable to the plant. Premium price will also be given
to fresh banana deliveries falling under the Extra Class and Class I.
Banana farmers will not be treated as raw material suppliers only but as partner farmerinvestors. As such, they will be allowed to subscribe and contribute a considerable stake
in the ownership of the business entity. One (1) seat in the Project Management Board or
Board of Director as soon as the business establishment will acquire a separate legal
personality will be allocated to them.
Farmer`s capital contribution will come in the form of retention from the total value of
fresh banana deliveries. Amount to be retained will depend on the subscribed capital of a
particular farmer and volume of deliveries in a given period.
To conform to the specifications of the export market, processing facility and its
equipment will be acquired from fabricators recognized by the industry. Following are the
equipment necessary for the operation of the processing plant:
Banana Slicing Machine -To slice the bananas into thin slices for making
bananachips as per required type and thickness. It is possible to make different styles
by simply changing the cutting knife of the machine..
BananaSlice Washing Machine -To wash the prepared slices and remove starch
form it.
Water De-hydrator Machine -To reduce the moisture content from the banana slices
so that they get easily fried in the frying machine.
Contunuous Frying Machine -To fry the banana slices in hot cooking oil.
130
Oil Extractor Machine -To extract the excess oil from the bananachips before
packing.
Automatic Seasoning Machine -To add oil and required seasoning to the fried
bananachips to give the different flavors to the bananachips.
Automatic Pouch Packing Machine -To pack the bananachips into attractive printed
pouches with gas flushing.
The Process Flow of the Project is shown in Figure 1.
The project plans to market its produce both local and abroad. Seventypercent (70%)
of its production will be designated for the export market and the balance for the local
market. Regional Chapters of the Friends of Bislig Incorporated (FOBI), both local and
foreign, will serve as the marketing arm of the project.
Figure. 1 Process Flow Chart
SORTING/
WEIGHING
WASHING
PEELING
WASHING
CHIPPING
WASHING/
FIRST
DEWATERING
FRYING
EXCESS OIL
EXTRACTION
SECOND
FRYING
PACKAGING
131
MARKETINGST
ORING/
D. Financial Summary
The total financial requirement for putting up the project into full operation amounts to
PhP55 Million. Twenty two percent (22%) will be provided by the proponent and eight
percent (8%) will be provided by the banana growers in terms of fresh banana deliveries
during the early part of the project implementation stage.
Table 2.BusinessFinancing Scheme
Particulars
LOAN/
Investment
FOBI
Farmers
Total
Land
0
500,000
0
500,000
Site development
0
500,000
0
500,000
Water system
0
500,000
0
500,000
8,950,000
1,050,000
0
10,000,000
Weighing scale
0
50,000
0
50,000
Cooling system
300,000
0
0
300,000
Overhead crane
500,000
0
0
500,000
Cooking oil tank
0
150,000
0
150,000
Input warehouse
0
500,000
0
500,000
2,000,000
0
0
2,000,000
750,000
0
0
750,000
20,000,000
0
0
20,000,000
500,000
0
0
500,000
5,000,000
0
0
5,000,000
Water de-hydrator machine
250,000
0
0
250,000
Oil extractor machine
250,000
0
0
250,000
0
2,000,000
0
2,000,000
Processing house
Water treatment facility
Banana slicing machine
Continuous frying machine
Automatic seasoning
machine
Automatic pouch packing
machine
Transport vehicle
132
Crates
0
170,000
0
170,000
Office equipments
0
100,000
0
100,000
Tools
0
24,000
0
24,000
Cooking oil
0
300,000
0
300,000
Supplies
0
520,000
0
520,000
Other ingredients
0
150,000
0
150,000
Utilities
0
150,000
0
150,000
Working capital
0
4,228,000
4,228,000
8,456,000
Labor
0
480,000
0
480,000
Training and development
0
126,000
174,000
300,000
Fees/Licenses
0
300,000
0
300,000
Promotion and
advertisement
0
300,000
0
300,000
38,500,000
12,098,000
4,402,000
55,000,000
70.00
22.00
8.00
100.00
Total
Percentage
The proponent equity will be equitably divided from the members of FOBI at the
minimum investment of PhP10,000.00 per member. This is equivalent to two (2)
shares valued at PhP5,000.00 per share. At present, the organization has more than
three hundred (300) members.
Each Farmer-Investor on the other hand, will be allowed to invest a minimum paid-up
capital of one (1) share. Converting their investment in terms of fresh bananas, it is
equivalent only to 715 kilos. It will be paid within a period of one (1) yearin twelve (12)
equal installments or at least 60 kilograms of fresh cardaba bananas per month.
The City Government of Bislig is already considered as an investor to this business
endeavor. Cost of land and land development of the proposed business is the
potential area where the LGU could come in as their support.
Other interested individuals, particularly those who are former PICOP employees now
residing in Bislig City, will also be allowedto invest.
133
Return on Investment (ROI)
Year
Operating Income
(Net Income before
Interest/Taxes) – OI
Total Assets - TA
ROI
(0I / TA)
%
1
18,415,700.00
55,390,821.68
33.25%
2
18,349,700.00
55,723,563.36
32.93%
3
18,280,400.00
55,995,321.04
32.65%
4
18,207,635.00
56,203,045.52
32.40%
5
18,131,231.75
56,343,535.14
32.18%
6
17,978,077.96
56,349,249.43
31.90%
7
17,809,973.45
56,207,031.74
31.69%
8
17,625,441.37
55,902,425.82
31.53%
9
17,422,858.11
55,419,546.64
31.44%
10
17,200,438.65
34,002,437.21
50.59%
340.54%
10
ROI =
34.05%
Payback Period
Cumulative
Year
Net Income
Net Income
Cumulative
Depreciation
(NI)
Depreciation
(Depn)
1
10,007,521.74
10,007,521.74
4,304,400.00
4,304,400.00
2
9,956,041.74
19,963,563.48
4,304,400.00
8,608,800.00
3
9,901,987.74
29,865,551.23
4,304,400.00
12,913,200.00
134
4
9,845,231.04
39,710,782.27
4,304,400.00
17,217,600.00
5
9,785,636.51
49,496,418.78
4,304,400.00
21,522,000.00
6
9,666,176.55
59,162,595.33
4,304,400.00
25,826,400.00
7
9,535,055.03
68,697,650.36
4,304,400.00
30,130,800.00
8
9,391,120.01
78,088,770.37
4,304,400.00
34,435,200.00
9
9,233,105.07
87,321,875.44
4,304,400.00
38,739,600.00
10
9,059,617.89
96,381,493.32
4,304,400.00
43,044,000.00
Average
9,813,950.05
Payback Period (PP) =
4,304,400.00
Total Investment Cost
NIAVE + DepAVE
55,000,000.00
PP=
14,118,350.05
PP=
3.90 years
As can be gleaned from the table above, the business will pay-off its investments within a
period of almost four (4) years from the start of its processing operations.
NET PRESENT VALUE
Present
Value
Year
Disc.
Revenue
Revenue
Revenue
Revenue
TOTAL
(n)
Factor
Source 1
Source 2
Source 3
Source N
SALES
0
1.0000
0
0
0
1
0.8929
58,708,800
58,708,800
52,418,571
2
0.7972
58,708,800
58,708,800
46,802,296
3
0.7118
58,708,800
58,708,800
41,787,764
(P)
135
4
0.6355
58,708,800
58,708,800
37,310,504
5
0.5674
58,708,800
58,708,800
33,312,950
6
0.5066
58,708,800
58,708,800
29,743,705
7
0.4523
58,708,800
58,708,800
26,556,880
8
0.4039
58,708,800
58,708,800
23,711,500
9
0.3606
58,708,800
58,708,800
21,170,982
10
0.3220
58,708,800
58,708,800
18,902,662
NET PRESENT BENEFITS (NPB)=
331,717,814
Project Costs
Present
Value
Year
Disc.
Investments/
Production/
Operating
Taxes &
TOTAL
(n)
Factor
Fixed
Manufacturing
(Admin/Mrktg)
Other
COSTS
0
1.0000
0
0
0
55,000,000
55,000,000
1
0.8929
37,260,760
3,032,340
4,029,310
44,322,410
39,573,580
2
0.7972
37,260,760
3,098,340
4,035,910
44,395,010
35,391,430
3
0.7118
37,260,760
3,167,640
4,042,840
44,471,240
31,653,750
4
0.6355
37,260,760
3,240,405
4,050,117
44,551,282
28,313,145
5
0.5674
37,260,760
3,316,808
4,057,757
44,635,325
25,327,282
6
0.5066
37,260,760
3,469,962
4,073,072
44,803,794
22,698,997
7
0.4523
37,260,760
3,638,067
4,089,883
44,988,709
20,350,607
8
0.4039
37,260,760
3,822,599
4,108,336
45,191,694
18,252,167
9
0.3606
37,260,760
4,025,182
4,128,594
45,414,536
16,376,937
10
0.3220
37,260,760
4,247,601
4,150,836
45,659,197
14,701,040
NET PRESENT COSTS (NPC)=
307,638,936
r =12.00%
55,000,000
(P)
where r = Discounting Rate
Disc. Factor =( 1 + r )-n
Present Value =
TotalSales x Disc.Factor
Net Present Value (NPV) =NPB - NPC:
331,717,814
136
TotalCosts x Disc.Factor
-307,638,936
NPV:
24,078,878
331,717,814
Benefit-Cost Ratio (BCR) =NPB / NPC:
307,638,936
Internal Rate of Return (IRR)* =
BCR :
1.08
IRR :
12.00%
*the discounting rate used when NPV = 0 or BCR = 1.0
SENSITIVITY ANALYSIS-BENEFITS
Year
Disc.
Revenue
Revenue
Revenue
Revenue
TOTAL
Present Value
(n)
Factor
Source 1
Source 2
Source 3
Source N
SALES
(P)
0
1.0000
0
0
0
0
0
0
1
0.8929
58,708,800
0
0
0
58,708,800
52,418,571
2
0.7972
58,708,800
0
0
0
58,708,800
46,802,296
3
0.7118
58,708,800
0
0
0
58,708,800
41,787,764
4
0.6355
58,708,800
0
0
0
58,708,800
37,310,504
5
0.5674
58,708,800
0
0
0
58,708,800
33,312,950
6
0.5066
58,708,800
58,708,800
29,743,705
7
0.4523
58,708,800
58,708,800
26,556,880
8
0.4039
58,708,800
58,708,800
23,711,500
9
0.3606
58,708,800
58,708,800
21,170,982
10
0.3220
58,708,800
58,708,800
18,902,662
NET PRESENT BENEFITS (NPB)=
331,717,814
Project Costs
137
Year
Disc.
Investments/
Production/
Operating
Taxes &
TOTAL
Present Value
(n)
Factor
Fixed
Manufacturing
(Admin/Mrktg)
Other
COSTS
(P)
0
1.0000
55,000,000
0
0
0
55,000,000
55,000,000
1
0.8929
0
37,260,760
3,032,340
4,029,310
48,546,755
43,345,317
2
0.7972
0
37,260,760
3,098,340
4,035,910
48,626,274
38,764,568
3
0.7118
0
37,260,760
3,167,640
4,042,840
48,709,769
34,670,652
4
0.6355
0
37,260,760
3,240,405
4,050,117
48,797,440
31,011,655
5
0.5674
0
37,260,760
3,316,808
4,057,757
48,889,493
27,741,212
6
0.5066
37,260,760
3,469,962
4,073,072
49,074,019
24,862,425
7
0.4523
37,260,760
3,638,067
4,089,883
49,276,558
22,290,213
8
0.4039
37,260,760
3,822,599
4,108,336
49,498,890
19,991,772
9
0.3606
37,260,760
4,025,182
4,128,594
49,742,971
17,937,814
10
0.3220
37,260,760
4,247,601
4,150,836
50,010,951
16,102,188
NET PRESENT COSTS (NPC)=
331,717,814
r =12.00%
where r = Discounting Rate
Disc. Factor =( 1 + r )-n
TotalSales x Disc.Factor
Present Value =
331,717,814
Net Present Value (NPV) = NPB - NPC
TotalCosts x Disc.Factor
Costs may increase by:9.5309%
-331,717,814
NPV:
0.00
331,717,814
Benefit-Cost Ratio (BCR) = NPB / NPC
331,717,814
BCR :
1.00
Internal Rate of Return (IRR)* =IRR :
12.00%
*the discounting rate used when NPV = 0 or BCR = 1.0
138
SENSITIVITY ANALYSIS-COSTS
Year
Disc.
Revenue
Revenue
Revenue
Revenue
TOTAL
(n)
Factor
Source 1
Source 2
Source 3
Source N
SALES
Present
Value
(P)
0
1.0000
0
0
0
0
0
0
1
0.8929
58,708,800
0
0
0
54,447,220
48,613,589
2
0.7972
58,708,800
0
0
0
54,447,220
43,404,990
3
0.7118
58,708,800
0
0
0
54,447,220
38,754,456
4
0.6355
58,708,800
0
0
0
54,447,220
34,602,193
5
0.5674
58,708,800
0
0
0
54,447,220
30,894,815
6
0.5066
58,708,800
54,447,220
27,584,656
7
0.4523
58,708,800
54,447,220
24,629,157
8
0.4039
58,708,800
54,447,220
21,990,319
9
0.3606
58,708,800
54,447,220
19,634,213
10
0.3220
58,708,800
54,447,220
17,530,548
NET PRESENT BENEFITS (NPB)=
307,638,936
Project Co
Year
Disc.
Investments/
Production/
Operating
Taxes &
TOTAL
(n)
Factor
Fixed
Manufacturing
(Admin/Mrktg)
Other
COSTS
Present
Value
(P)
0
1.0000
55,000,000
0
0
0
55,000,000
55,000,000
1
0.8929
0
37,260,760
3,032,340
4,029,310
44,322,410
39,573,580
2
0.7972
0
37,260,760
3,098,340
4,035,910
44,395,010
35,391,430
3
0.7118
0
37,260,760
3,167,640
4,042,840
44,471,240
31,653,750
4
0.6355
0
37,260,760
3,240,405
4,050,117
44,551,282
28,313,145
5
0.5674
0
37,260,760
3,316,808
4,057,757
44,635,325
25,327,282
6
0.5066
37,260,760
3,469,962
4,073,072
44,803,794
22,698,997
7
0.4523
37,260,760
3,638,067
4,089,883
44,988,709
20,350,607
139
8
0.4039
37,260,760
3,822,599
4,108,336
45,191,694
18,252,167
9
0.3606
37,260,760
4,025,182
4,128,594
45,414,536
16,376,937
10
0.3220
37,260,760
4,247,601
4,150,836
45,659,197
14,701,040
NET PRESENT COSTS (NPC)=
307,638,936
r =12.00%
where r = Discounting Rate
Disc. Factor =
( 1 + r )-n
307,638,936
TotalSales x Disc.Factor
Present Value =
Net Present Value (NPV) = NPB-NPC
TotalCosts x Disc.Factor
Revenues may decrease by:
7.2588%
NPV:
307,638,936
(0.00)
307,638,936
Benefit-Cost Ratio (BCR) =NPB / NPC:
307,638,936
BCR :
1.00
Internal Rate of Return (IRR)* =IRR :
12.00%
*the discounting rate used when NPV = 0 or BCR = 1.0
Chapter 1
INDUSTRY AND MARKET ANALYSIS
A. The Product




The main product of the project is banana chips.
These are deep-fried and/or dried slices of banana, either plain or provided with
flavoringsuch as honey or caramel.
Other variants of banana chips may be covered with chocolate instead.
The chips are crispy and have a sweet taste.
140
Banana chips
B. Market Research
Industry data shows that traditional markets like the United States, the European
Union, Japan, Australia and South Korea have consistently expanded, although emerging
markets, particularly China and Russia and former Eastern Bloc countries have posted
exponential growth in the last four years. The most surprising market perhaps is Vietnam,
where the imports of banana chips from the Philippines has surged over the past three
years.
The annual value of banana chips exports from the Philippines is approximately $35
million, and 70-80% of the product comes from Mindanao, where cardaba bananas are
grown throughout the region. Although annual exports declined in 2005 due to traderelated issues in the China market, the market rebounded in 2006, with export volumes to
China recovering and growing by a robust 16% versus the previous year.
In 2006, Mindanao exported about $16.3 million of banana chips, or 45% of the
banana chip exports of the country. The value was 40% higher than the value in the
previous years.
During the past years, Growth for Equity in Mindanao (GEM) has helped six Mindanao
banana chip processors to join major trade fairs in China, which provided venues for the
processors to access the China market, the Philippines’ fastest-growing buyer of banana
chips.
These support efforts have been successful because banana chips have become an
important product for the export market. The production of banana chips has emerged as
one of Mindanao’s strategic industries. There are now more than twenty banana chip
141
processing plants in Mindanao compared to 15 factories five years ago. However, this
number remains inadequate to fill the increasing demand.
Thousands of small banana growers depend on the chip processors as primary markets
for their produce, as the raw material needs of the banana chip industry require the yield
of at least 30,000 hectares annually. Since cardaba production is dominated by smallholder growers, with average farm size of one hectare or less, the total number of
farmers involved ranges from 30,000 to 50,000.
In the local market scenario, in Davao Region, the Department of Trade and Industry
(DTI) launched the product as a substitute for junk foods in school canteens, in an effort
to help spur local demand. The agency commissioned a private company to formulate
new banana chips variants in an attempt to encourage students to try the product
because of its nutritional value. A dozen of new varieties were successfully launched last
year. Homegrown singer Joey Ayala was hired to compose a catchy jingle to promote the
product to school children.
With the farmers already having direct links with the processors and other markets, and
with demand increasing steadily, banana growing has become an attractive proposition.
Banana-chip exporters, 10 of whom are considered the main exporters, have a minimum
daily requirement of 400 tons of which only 60 percent are being satisfied without this
competition.
The domestic market for fresh cardababanana is captured by middlemen who pay very
low farm gate prices. The products are either disposed in the local market or shipped to
Manila and Cebu via the ports of Cagayan de Oro City, Davao City and General Santos
City. From Manila and Cebu, fresh bananas are distributed by consignees to wholesalers
in Luzon and Visayas. The wholesalers then sell the commodities to local retail markets in
Luzon and Visayas such as fruit stands, supermarkets, wet markets and mobile retailers.
C. Marketing and Sales Plan
C.1 SWOT Analysis
142
STRENGTHS:
WEAKNESSES:
Available production inputs:
Lack of good processing facilities.


Fresh cardaba bananas
Cooking oil
Inadequate knowledge on international
quality standards for processed foods.
Available processing technologies
Strong support of the government particularly
in organic farming and sustained re-tooling of
agricultural extension workers (AEWs).
Weak organization among cardaba banana
producers and processors.
Presence of tissue culture laboratories
OPPORTUNITIES:
THREATS:
High demand of banana chips in the export
market.
Worldwide economic recession will linger.
C.2 Comparative Advantage

There is an existing 500-hectare Provincial Agro-Industrial Center (PAIC) being
developed by the City of Bislig. At present, forty four (44) hectares has already been
acquired by the City Government.


Presence of international seaport.
Presence of banana production areas with existing road network.

Public utility transport to the cities of Butuan and Davao is available 24 hours.
C.3 Target Customers
For the foreign market, we will be establishing tie-up with consolidators or
repacking establishment in these particular countries. In the local market, on the other
hand, we will be dealing with distributors and supermarkets or big stores in the
locality.
143
C.4Sales Strategy
C.4.1 Procurement of Fresh Banana
Fresh bananas will be procured directly from the banana farmers. At present, there are
400 hectares of fruit-bearing banana plants in the province of Surigao del Sur. The
banana farmers will be clustered and a focal person will be designated in each
production cluster to act as coordinator and consolidator. Harvested fruits will be
delivered directly to the processing plant or will be picked-up by contracted haulers.
The standards set by the Bureau of Agriculture and Fishery Products (BAFPS) will be
followed in the quality control of banana for processing. According to the Philippine
National Standards/Bureau of Agriculture and Fishery Products Standards-PNS/BAFPS
8:2004, ICS 65.020.20), in all classes, subject to the special provisions in each class and
tolerances allowed, the fruits must meet the following requirements:


The fruits must be reasonably clean (fruit exhibits unavoidable dirt, latex stains
and other foreign materials incidental to proper harvesting), free from
diseases, insects, molds and other contaminants.
Pesticide residues shall meet the requirements of the Codex Alimentarius
Commission. Vol.2
Sizes classification:
Length (cm)
Diameter (cm)
More than 14
More than 4.5
Large
12 – 14
4.5
Medium
10 – 12
4.0
Not less than 8
3.5
Size
Extra Large
Small
Classification- Each size shall be classified according to its general appearance, quality
and conditions as follows:
Extra Class:
Bananas in this class must be of superior quality. Hands of one variety are
mature, clean, well-formed, well-trimmed and free from decay, split fingers,
loose fingers, bruises, blemishes and discoloration caused by diseases,
insects, latex burn, mechanical or other means.
144
Class I:
Bananas of this class must be of good quality. Hands of one variety are
mature, clean, well-formed, well-trimmed and free from decay, split fingers,
loose fingers, bruises, blemishes and discoloration caused by diseases,
insects, latex burn, mechanical or other means.
Class II:
Bananas of this class are those which do not qualify for inclusion in the
higher class classes but satisfy the minimum requirements.Hands of one
variety are mature, reasonably clean, fairly well-formed, well-trimmed and
relatively free from decay, split fingers, loose fingers, bruises, blemishes and
discoloration caused by scars, diseases, insects and mechanical or other
means.
Tolerances
Extra Class:
Not more than five percent (5%) by number or weight for the off-size and no
more than five percent (5%) by number or weight for other defects are allowed
in any lot, including not more than one percent (1%) by number or weight for
hands affected by decay, provided they conform with the requirements of the
next lower class.
Class I:
Not more than ten percent (10%) by number or weight for off-size and not
more than ten percent (10%) by number or weight for other defects are
allowed in any lot, including not more than one percent (1%) by number or
weight for hands affected by decay, provided they conform with the
requirements of the next lower grade.
Class II:
Not more than twenty percent (20%) by number or weight for off-size, not more
than fifteen percent (15%) by number or weight for other defects are allowed in
any lot, including not more than two percent (2%) for hands affected by decay.
145
C.4.2 Disposal of Finished Products
Marketing of finished products shall be undertaken by the regional chapters of the
FOBI particularly those that are based outside of the country. The Project
Management Board shall designate Marketing Officers in every regional cluster.
C.5 Advertising and Promotion
Print
Local newspapers will be tapped to promote the product and solicit support from the
populace to patronize the Kamayo Banana Chips as a nutritious snack food.
Broadcast
The FM and AM Radio Stations based in the locality will also be used to ensure better
penetration of the product among local consumers particularly school children.
Television
The local cable service providers will be tapped also to support massive information
campaign particularly during the initial stage of the business.
Farmers/barangay assemblies
A Project Management Staff will be required to attend during Barangay Assemblies in
order to promote the product. This is to ensure patronage to the local product and at
the same time create considerable awareness regarding the quality standards for
fresh cardaba bananas.
146
Chapter 2
BUSINESS STRUCTURE
A. Management Team
A.1 Management during the pre-operating and full-scale operating period
During the project implementation phase, major bulk of the activities will be undertaken
by the Project Management Board. It will also serve as the policy-making body by the
time the business will take full-scale operations. It will be composed of thefollowing:





FOBI President as the Chairman
Representative/s from the Investor/Creditoras the Vice Chairman
FOBI Regional Head for Bislig City a Member
FOBI Regional Finance Officer as Member
Representative from the Banana Farmers as Member
They will be responsible for the following:





Negotiation with other investors, financiers, consultants and other
stakeholders.
Acquisition of permits, clearances, and licenses.
Recruitment and organization of Project Management Team.
Formulation of operating policies, systems and procedures.
Establishment and institutionalization of marketing service centers in the
regional chapters.
147
A.2 Management of the business during its day to day operation
OPERATIONS
MANAGER
CONSULTANT




MACHINE
OPERATORS
MARKETING
OFFICERS
FINANCE OFFICER/CASHIER
CLERK/BOOKKEEPER
DRIVER/DELIVERYMAN
QC INSPECTOR
CONTRACTORS
COMBINATION
HELPER
A.2.1 Duties and Functions
Operations Manager – Responsible for managing the day to day operations of
the business particularly to ensure that production targets are met and
reasonably cost effective.
Consultant – Provide technical support to the business particularly its
compliance to established international standards for food items. Also undertake
product development activities.
148
Marketing Officer – Maintain a good market share of the product in both local
and foreign market. Also undertake development research activities.
Quality Control Inspectors – Ensure that raw materials, production inputs,
production process and production output follow established standards.
Finance Officer/Cashier – Custodian of the funds and other valuable resources
of the business.
Clerk/Bookkeeper – Record all transactions of thebusiness and provide office
support services particularly to the Operations Manager.
Machine Operators – Ensure optimum availability and production efficiency of
the assigned equipment. Prepare equipment operations report and perform
preventive maintenance services.
Driver/Deliveryman – Provide mobility support for the efficient movement of
both raw materials and timely distribution/delivery of finished products.
Combination Helper – Provide labor support at the receiving area of inputs and
raw materials, for the machine operators during machine servicing and
maintenance and housekeeping activities within the business establishment.
Contractors – Provide labor support in the entire production process from
washing/peeling to loading and delivery of finished products for distribution.
B. Business Location
The proposed business will be established in the City of Bislig within the designated
Provincial Agro-Industrial Center (PAIC). The processing facility will be located in San
Vicente I more or less 18 kilometers from Mangagoy, the central business district of Bislig
City.
149
C. Business Organization
150
The newly established Bislig City Integrated Coconut Processing Complex located at
the Provincial Agro-Industrial Center (PAIC), San Vicente I, Bislig City. This facility will
be one of the major supplier of cooking oil to the Banana Chips Processing Plant.
C. Business Organization
The proponent, FRIENDS OF BISLIG INCORPORATED (FOBI) is a duly registered
organization with the Securities and Exchange Commission with Registration Number
CN200831928. Its main office is located at 72C-Good Shepherd Road, Banawa, Cebu City.
The Mindanao Chapter based in Bislig City will be the direct implementer of the project.
151

Existing Officers of the organization are composed of socio-civic oriented
personalities and made exemplary performances and good tract records in
community organizing, mobilization and development.

The organization is headed by a President, Mr. Martin V.Santos who is based in
Canada.

Its operation is clustered into regions. Bislig City as the primary beneficiary
community, is considered as one region. It is headed by a Regional Head in the
person of Mr. Roberto A. Dormendo.

The Bislig City Region is given the responsibility to handle planning and
implementation while those operating outside Bislig City handles fund sourcing
activities.

At present, aside from expanding its membership and acquiring accreditation from the
Local Government Units, the organization is involved in sourcing funds for the
Christmas Gift-Giving and the Adopt-a-School Project. Both projects are intended to
support indigent families in the City of Bislig.
Following are the objectives of FOBI:
1. To support social and civic functions through sponsorships of community outreach
activities and/or programs;
2. To promote academic excellence by supporting scholars through the organization;
3. To conduct fund raising events through games, shows, lotteries, dinner dances and
other similar events of similar nature;
4. To solicit funds as a non-profit organization from public and private companies or
institutions;
5. To acquire reading or writing materials, toys, clothings and other items of similar
nature.
152
Chapter 3
OPERATIONS PLAN
A.
Project Objectives
Generally, the project aims to provide employment opportunity to at least 2,000
displaced workers of PICOP Resources Incorporated (PRI) and other unemployed
people of Bislig City.
Specifically, it aims to:

Establish 1 banana chip processing plant for the value-adding of the existing
banana product which is abundant in Bislig City;

Enhance the development of the banana industry in the province of Surigao
del Sur; and

Optimize the utilization of existing land resources particularly within the
expiring TLA areas.
B. Action Plan for the Next 12 Months
Period
August 2009
September 2009
October 2009
November 2009 to
February 2010
March
to
April 2010
May 2010
June October 2010
November 2010
Activities
Presentation and discussion of the proposal to the
Provincial Agriculture and Fishery Council (PAFC),
proponent and banana growers
Presentation of the proposal to the investors or
financiers
Organization of the Project Management Board
Fund sourcing, Formalizing project financing
agreements
Formalizing raw materials supply agreements,
Acquisition of permits, clearances and licenses
Project launching and groundbreaking ceremonies
for the plant site
Construction of the processing facility, acquisition of
the required machineries & equipment
Start of plant operation
153
C. Value-Adding Activities
The present practice of banana farmers is to sell their produce as fresh bananas to the local
buyers or traders. However, with the advent of the proposed business entity, no fresh
bananas will get out from Surigao del Sur. Instead, it will be traded in the form of chips.
Based on the computations made, every metric ton of fresh banana processed into chips can
generate an added value of PhP14,000.00
Figure 1 shows the Process Flow of banana processing. Figure 2 on the other hand shows
the proposed Plant Lay Out.
Fig. 1 Process Flow Chart
SORTING/
WEIGHING
WASHING
PEELING
WASHING
CHIPPING
WASHING/
FIRST
DEWATERING
FRYING
EXCESS OIL
EXTRACTION
SECOND
FRYING
PACKAGING
STORING/
MARKETING
154
Figure2. Plant and Machinery Lay-out
AUTOMATIC POUCH PACKING MACHINE
CONTINUOUS FRYER
BANANA CHIPPING MACHINE
155
D. Resource Allocation
For the smooth and sustainable implementation of the business, following resources are
necessary:
1. Human Resource

Ten (10) skilled workers as regular employees to include the Operations
Manager

Forty four (44) labor service providers contractual workers as peelers,
packers and others
2. Land Resource

1,000 hectares of small-scale banana plantations

At least one thousand (1,000) banana growers or suppliers to sustain the
production and supply of at least eight (8) tons of fresh cardaba banana
per day.
3. Budget Allocation
Loan/Investment – PhP38,500,000.00 representing cost of the processing house and
equipment.
Proponent Equity-PhP12,098,000.00 representing cost of land and site development,
water facility, ingredients, acquisition of delivery van, office equipments, cost of
training and working capital.
Banana Farmers` Equity-PhP4,402,000.00 representing share capital provided by the
banana farmers in the form of fresh cardaba bananas during the initial stage of
project operations.
156
Chapter 4
FINANCIAL PLAN
A. Staffing and Employees
Management
Monthly
Position/Designation
Salary (P)
Project Manager
No. of
Personnel
Annual Labor
Cost (P)
25,000
1
300,000
Monthly
Salary (P)
No. of
Personnel
Annual Labor
Cost (P)
Cashier
10,000
1
120,000
QC Inspector
15,000
1
180,000
Clerk/Bookkeeper
7,000
1
84,000
Driver/Deliveryman
9,000
1
108,000
Machine Operator
8,000
3
288,000
Combination Helper
5,000
2
120,000
Piece Rate
44
1,860,320*
Labor
Position/Designation
Contractors
*
Assumed that each contractual worker can render a total of 302 working days per
year with an average daily earning of P140.00.
157
Consultants
Monthly
Salary (P)
No. of
Personnel
Annual Labor
Cost (P)
10,000
1
120,000
Position/Designation
Consultant
Preferablythe consultant that will be hired is either a Registered Nutritionist or
Licensed Chemical Engineer that will beresponsible for the designing and monitoring
the processing systems.
This is necessary in order to ensure that the final product will substantially
conform to the nutritional analysis as prescribed by local authorities and international
accreditation bodies.
B. Start-up Budget
Amount
Purpose
Land acquisition and project site development broken
down as follows:
PhP1,000,000.00
Land acquisition
Site development
PhP300,000.00
PhP500,000.00
PhP500,000.00
Processing of permits and clearances. This includes
Business Permits and its relative requirements,
Environmental Clearance Certificate and others.
PhP500,000.00
Establishment of water system
PhP39,600,000.00




PhP5,144,000.00



PhP8,456,000.00
Construction of the processing house
Acquisition of processing equipment
Purchase of cooking oil and other ingredients
Acquisition of delivery van, office equipment and
supplies
Cost of training
Promotion and advertisement
Other organizational and pre-operating expenses
Purchase of fresh cardaba bananas pegged at
PhP6.00 to PhP7.00 per kilo, depending on the class
or quality, delivered at plant site.
158
C.Projected Income Statement
Particulars
Year 1
Year 2
Year 3
Year 10
CASH SALES/REVENUES (CSR)
Less: Cost of Goods Sold (MPC)
(All Manufacturing/
Production Costs)
58,708,800.00
58,708,800.00
58,708,800.00
58,708,800.00
10,056,000.00
10,056,000.00
10,056,000.00
10,056,000.00
Total Cost of Goods Sold (MPC)
GROSS PROFIT
(GF = CSR - MPC)
37,260,760.00
37,260,760.00
37,260,760.00
37,260,760.00
21,448,040.00
21,448,040.00
21,448,040.00
21,448,040.00
Total Administrative Expenses (Ad)
o All Marketing Costs
1,809,240.00
1,875,240.00
1,944,540.00
3,024,501.35
Total Marketing Expenses (Mk)
TOTAL OPERATING EXPENSES (OP
= Ad + Mk)
OPERATING INCOME
(OI = GF - OP)
1,223,100.00
1,223,100.00
1,223,100.00
1,223,100.00
3,032,340.00
3,098,340.00
3,167,640.00
4,247,601.35
18,415,700.00
18,349,700.00
18,280,400.00
17,200,438.65
1,226,500.26
1,226,500.26
1,226,500.26
1,226,500.26
17,189,199.74
17,123,199.74
17,053,899.74
15,973,938.39
Less: Income Taxes/VAT (Tx)
2,877,278.00
2,862,758.00
2,847,512.00
2,609,920.50
Depreciation
NET INCOME
(NI = IncBT - Tx)
4,304,400.00
4,304,400.00
4,304,400.00
4,304,400.00
10,007,521.74
9,956,041.74
9,901,987.74
9,059,617.89
4,003,008.70
3,982,416.70
3,960,795.10
3,623,847.16
6,004,513.05
5,973,625.05
5,941,192.65
5,435,770.73
OPERATING EXPENSES
o All Administrative Costs
Less: Interest & Bank Charges (IB)
INCOME BEFORE TAXES (IncBT =
OI - IB)
Less: Withdrawals/Dividends (Wd)
RETAINED EARNINGS
(RE = NI - Wd)
159
D.Projected Cash Flow
Cash Inflow/
Outflow Items
Pre-Imp
Year 1
Year 2
Year 3
Year 10
INFLOWS
Cash Sales/Revenues
0
58,708,800
58,708,800
58,708,800
58,708,800
Loan/Investment
38,500,000
0
0
0
0
FOBI
12,098,000
0
0
0
0
4,402,000
0
0
0
0
55,000,000
58,708,800
58,708,800
58,708,800
58,708,800
44,044,000
0
0
0
0
0
0
0
0
0
300,000
0
0
0
0
10,056,000
37,260,760
37,260,760
37,260,760
37,260,760
Operating/Administrative/Marketing
300,000
3,032,340
3,098,340
3,167,640
4,247,601
Contingencies/Miscellaneous
300,000
4,029,310
4,035,910
4,042,840
4,150,836
0
0
0
0
0
55,000,000
44,322,410
44,395,010
44,471,240
45,659,197
NET CASH INFLOW
0
14,386,390
14,313,790
14,237,560
13,049,603
Less: Loan Repayments
0
6,813,890
6,813,890
6,813,890
6,813,890
Less: Income (Corporate)
Taxes/VAT
0
2,877,278
2,862,758
2,847,512
2,609,921
0
4,695,222
4,637,142
4,576,158
3,625,792
Add: Cash Balance Beginning
0
0
4,695,222
9,332,363
18,420,646
CASH BALANCE ENDING
0
4,695,222
9,332,363
13,908,521
22,046,437
Farmers
Total Inflows
OUTFLOWS
Fixed Investments
Venture Initiation
Permits/Licenses/Clearances
Manufacturing/Production
Other Costs
Total Outflows
Sub-Total
160
E. FUNDING REQUIREMENTS
Investment Summary
Particulars
Unit of
Issue
Unit
Cost
Usage
Amount
Land
hectare
500,000
1
500,000
Site development
hectare
500,000
1
500,000
Water system
unit
500,000
1
500,000
Processing house
unit
10,000,000
1
10,000,000
Weighing scale
unit
25,000
2
50,000
Cooling system
unit
75,000
4
300,000
Overhead crane
unit
250,000
2
500,000
Cooking oil tank
unit
150,000
1
150,000
Input warehouse
unit
500,000
1
500,000
Water treatment facility
unit
2,000,000
1
2,000,000
Banana slicing machine
unit
250,000
3
750,000
Continuous frying machine
unit
10,000,000
2
20,000,000
Automatic seasoning machine
unit
250,000
2
500,000
Automatic pouch packing machine
unit
5,000,000
1
5,000,000
Water de-hydrator machine
unit
250,000
1
250,000
Oil extractor machine
unit
250,000
1
250,000
Delivery van
unit
1,000,000
2
2,000,000
850
200
170,000
Crates
piece
Office equipments
set
100,000
1
100,000
Tools
set
6,000
4
24,000
barrel
15,000
20
300,000
Supplies
rolls
5,000
104
520,000
Other ingredients
liter
300
500
150,000
Cooking oil
161
Utilities
month
25,000
6
150,000
tons
7,000
1,208
8,456,000
month
80,000
6
480,000
session
15,000
20
300,000
document
100,000
3
300,000
month
50,000
6
300,000
Working capital
Labor
Training and development
Fees/Licenses
Provision for Contingencies
Total
55,000,000
F. Financing Scheme
LOAN/
Particulars
FOBI
Farmers
Total
Investment
Land
0
500,000
0
500,000
Site development
0
500,000
0
500,000
Water system
0
500,000
0
500,000
8,950,000
1,050,000
0
10,000,000
Weighing scale
0
50,000
0
50,000
Cooling system
300,000
0
0
300,000
Overhead crane
500,000
0
0
500,000
Cooking oil tank
0
150,000
0
150,000
Input warehouse
0
500,000
0
500,000
2,000,000
0
0
2,000,000
750,000
0
0
750,000
20,000,000
0
0
20,000,000
500,000
0
0
500,000
5,000,000
0
0
5,000,000
Processing house
Water treatment facility
Banana slicing machine
Continuous frying machine
Automatic seasoning machine
Automatic pouch packing
machine
162
Water de-hydrator machine
250,000
0
0
250,000
Oil extractor machine
250,000
0
0
250,000
Transport vehicle
0
2,000,000
0
2,000,000
Crates
0
170,000
0
170,000
Office equipments
0
100,000
0
100,000
Tools
0
24,000
0
24,000
Cooking oil
0
300,000
0
300,000
Supplies
0
520,000
0
520,000
Other ingredients
0
150,000
0
150,000
Utilities
0
150,000
0
150,000
Working capital
0
4,228,000
4,228,000
8,456,000
Labor
0
480,000
0
480,000
Training and development
0
126,000
174,000
300,000
Fees/Licenses
0
300,000
0
300,000
Promotion and advertisement
0
300,000
0
300,000
38,500,000
12,098,000
4,402,000
55,000,000
70.00
22.00
8.00
100.00
Total
Percentage
163
ATTACHMENTS
164
Schedules
Schedule of Processing-Volume in MT
Sorting/
Year
Washing
Peeling
Slicing
First fry
Second
fry
Recovery
pegged at
45% based
on procured
fresh bananas
by volume or
weight
Recovery
pegged at
90% based
on peeled
bananas by
volume or
weight
Recovery
pegged at
50% based
on sliced
bananas
by volume
or weight
Assumed
that no
shrinkage
due to
added
ingredients
1
2,416
1,087
978
489
489
2
2,416
1,087
978
489
489
3
2,416
1,087
978
489
489
4
2,416
1,087
978
489
489
5
2,416
1,087
978
489
489
6
2,416
1,087
978
489
489
7
2,416
1,087
978
489
489
8
2,416
1,087
978
489
489
9
2,416
1,087
978
489
489
10
2,416
1,087
978
489
489
Total
24,160
10,872
9,785
4,892
4,892
165
Schedule of Production
1
50 grams
pack
30 percent
2,935,440
75 grams
pack
30 percent
1,956,960
100 grams
pack
20 percent
978,480
125 grams
pack
20 percent
782,784
2
2,935,440
1,956,960
978,480
782,784
3
2,935,440
1,956,960
978,480
782,784
4
2,935,440
1,956,960
978,480
782,784
5
2,935,440
1,956,960
978,480
782,784
6
2,935,440
1,956,960
978,480
782,784
7
2,935,440
1,956,960
978,480
782,784
8
2,935,440
1,956,960
978,480
782,784
9
2,935,440
1,956,960
978,480
782,784
10
2,935,440
1,956,960
978,480
782,784
Total
29,354,400
19,569,600
9,784,800
7,827,840
Year
Schedule of Sales - PhP
Year
50 grams
PhP6/pack
75 grams
PhP9/pack
100 grams
PhP12/pack
125 grams
PhP15/pack
Total
1
17,612,640
17,612,640
11,741,760
11,741,760
58,708,800
2
17,612,640
17,612,640
11,741,760
11,741,760
58,708,800
3
17,612,640
17,612,640
11,741,760
11,741,760
58,708,800
4
17,612,640
17,612,640
11,741,760
11,741,760
58,708,800
5
17,612,640
17,612,640
11,741,760
11,741,760
58,708,800
6
17,612,640
17,612,640
11,741,760
11,741,760
58,708,800
7
17,612,640
17,612,640
11,741,760
11,741,760
58,708,800
166
8
17,612,640
17,612,640
11,741,760
11,741,760
58,708,800
9
17,612,640
17,612,640
11,741,760
11,741,760
58,708,800
10
17,612,640
17,612,640
11,741,760
11,741,760
58,708,800
Total
176,126,400
176,126,400
117,417,600
117,417,600
587,088,000
Schedule of Depreciation
Acquisition
Cost
500,000
No. of
Units
1
10,000,000
1
10,000,000
10
1,000,000
Weighing scale
25,000
2
50,000
10
5,000
Cooling system
75,000
4
300,000
10
30,000
Overhead crane
250,000
2
500,000
10
50,000
Cooking oil tank
150,000
1
150,000
10
15,000
Input warehouse
500,000
1
500,000
10
50,000
2,000,000
1
2,000,000
10
200,000
250,000
3
750,000
10
75,000
10,000,000
2
20,000,000
10
2,000,000
250,000
2
500,000
10
50,000
5,000,000
1
5,000,000
10
500,000
Water de-hydrator
machine
250,000
1
250,000
10
25,000
Oil extractor machine
250,000
1
250,000
10
25,000
Description
Water system
Processing house
Water treatment facility
Banana slicing machine
Continuous frying
machine
Automatic seasoning
machine
Automatic pouch packing
machine
Amount
500,000
Estimated
Annual
Life - years Depreciation
10
50,000
167
Delivery van
1,000,000
2
2,000,000
10
200,000
850
200
170,000
10
17,000
100,000
1
100,000
10
10,000
6,000
4
24,000
10
2,400
Crates
Office equipments
Tools
Total
30,606,850
43,044,000
4,304,400
Schedule of Loan Amortization
Principal
PhP38,500,000.00
Interest
12 percent per annum
Maturity
10 years
Amortization
PhP6,813,890.00 per year
Period
Principal
Interest
Amt Due
Balance
1
2,193,890
4,620,000
6,813,890
36,306,110
2
2,457,157
4,356,733
6,813,890
33,848,953
3
2,752,016
4,061,874
6,813,890
31,096,937
4
3,082,258
3,731,632
6,813,890
28,014,679
5
3,452,129
3,361,761
6,813,890
24,562,550
6
3,866,384
2,947,506
6,813,890
20,696,165
7
4,330,350
2,483,540
6,813,890
16,365,815
8
4,849,993
1,963,898
6,813,890
11,515,822
9
5,431,992
1,381,899
6,813,890
6,083,831
10
6,083,831
730,060
6,813,890
0
Total
38,500,000
29,638,903
68,138,903
168
Labor employed and taxes paid
Year
Regular
Employee
Contractors/
Farmers
Annual
Payroll
Withholding
Tax
Business
Tax
1
10
644
3,322,260
332,226
2,877,278
2
10
744
3,322,260
332,226
2,862,758
3
10
844
3,322,260
332,226
2,847,512
4
10
944
3,322,260
332,226
2,831,504
5
10
1,044
3,322,260
332,226
2,814,695
6
10
1,044
3,322,260
332,226
2,781,001
7
10
1,044
3,322,260
332,226
2,744,018
8
10
1,044
3,322,260
332,226
2,703,421
9
10
1,044
3,322,260
332,226
2,658,853
10
10
1,044
3,322,260
332,226
2,609,921
33,222,600
3,322,260
27,730,961
Total
169
ANNEX K
POLICY DEVELOPMENT PROCESS MATRIX9
ACTIVITIES
OBJECTIVE
STEPS
PERSONS/BODY
RESPONSIBLE
1. Motuproprio or
collaborative review of
policy issues related to
the component’s or
agency’s convergence
programs or activities
-To Identify policy issues
that need to be resolved
or which must be
addressed by a new or
amended policy
instrument or Resolution
under the NCI
-To collect pertinent data
and information as inputs
to policy development/
formulation
-Armchair review of issues
using empirical inputs from
the field or discussions of
the NCI component/agency
2.1 Formulation or
amendment of the
proposed policy
instrument
-Prepare working draft of
policy instrument
-Drafting/formulation of
policy instrument
-Draft explanatory notes on
the policy instrument
-NCI Proponent
Component /WG
-NCI Proponent
Agency /OGA
-Draft NCI Joint
Administrative
Order (AO) or
Memorandum
Circular (MC)
4 to 6 weeks
2.2 Crafting of Policy
Issue Fact Sheet
detailing the policy
issue and other
attendant facts
-Prepare Policy Issue Fact
Sheet for resolution
-Research/data gathering on
the policy issue
-Drafting of policy issue fact
sheet which should include
recommendations
-Prepare CSW memorandum
to NCI National Focal Person
(NCI-NFP) and
-NCI Proponent
Component /WG
-NCI Proponent
Agency/OGA
-Fact Sheet of
Policy Issue for
Resolution
4 to 6 weeks
-NCI Proponent
Component/WG
-NCI Proponent
Agency/OGA
INSTRUMENT/
FORMS
NEEDED
Data inputs
TIME FRAME
2 weeks
depending on
the scope of
policy to be
covered
-Field visits to conduct FGDs
with key informants to
obtain additional
information or clarify the
policy issues or bottlenecks
9
Source: Prepared by the Policy and Advocacy Working Group
170
3.Endorsement of draft
policy instrument or
policy issue fact sheet
to Policy and Advocacy
Component/Working
Group (PAG)
4.Conduct initial
discussions, refinement
of the draft instrument
or the preparation of
recommendations on
the resolution of a
policy issue
-For information and
initial review of draft
instrument /policy issue
fact sheet by the NCI-NFP
-Official recording of
submission of draft policy
instrument or policy fact
sheet and endorsement/
transmittal of the same to
the Policy and Advocacy
Working Group (PAG)
Chair for processing
under the NCI
institutionalized Policy
Development process
To assist the NCI
proponent
component/WG/agency in
ensuring the correctness
of facts supporting the
draft policy instrument or
policy issue fact sheet and
recommendations prior to
submission of the same to
submit policy instrument or
policy issue fact sheet to
NCI-NFP together with a list
of OGAs/NCI agency
officials and other
individuals or institutions/
stakeholders who may serve
as resource persons in the
deliberations, concomitant
forms if any, process flow
chart
- As stated
NCI National Focal
Person (NCI-NFP)
-As stated
NCI Secretariat
-Upon receipt of a proposed
policy instrument or policy
issue Fact Sheet from the
NCI-NFP, the PAG
shall coordinate with the
Proponent for initial
discussions, refinement of
the draft instrument or the
preparation of
PAG and
Proponent
-Within 3 days
from receipt of
draft policy
instrument or
policy issue fact
sheet from
proponent NCI
component/W
G or NCI
agency
-PAG CSW
memorandum to
the NCI-PDC
endorsing the
draft policy
instrument or
policy issue fact
sheet and
recommend-
Within 3 weeks
from receipt of
transmittal
from the NCINFP
171
the NCI-Policy
Development Committee
(NCI-PDC)
recommendationson the
resolution of a policy issue
-Revision of draft policy
instrument or policy issue
fact sheet or further
research if necessary
-Review of the Proponent’s
revised draft by the PAG
dations for
consideration
-Proponent
-PAG
5.Deliberation and
consideration of the
draft NCI policy
instrument or policy
issue fact sheet by the
NCI Policy
Development
Committee (NCI PDC)
To consider and pass upon
the attendant details of
the draft policy
instrument or policy issue
for resolution based on
the fact sheet and the
recommendations of the
proponent and the PAG,
and to provide inputs,
-Calendarthe draft policy
instrument or policy issue
for deliberation and
consideration by the NCI
Policy Development
Committee (NCI PDC)
-Coordinate the technical
and administrative
requirements for the NCI-
-PAG
-PAG
-Revised draft
policy instrument
or policy issue
fact sheet
-Revised draft
to be resubmitted by
the proponent
to the PAG
within 2 to 4
weeks
depending on
the extent of
revision or
further
research to be
undertaken
-Within 1 week
from resubmission of
revised policy
instrument/fact
sheet
Immediately
after
submission of
CSW to the
NCI-PDC
Within 7 days
from the
submission of
172
recommendations, and
suggestions for the
refinement of the draft
issuance, further
research/study of related
issues, or the conduct of
consultative fora with
stakeholders/OGAs when
deemed necessary
6.Conduct of
consultative fora
To obtain comments,
recommendations and
perspectives of
stakeholders, the NCI
PDC meetings such as
ensuring the correctness of
the subject document based
on initial consideration of
the same with the
Proponent , preparation of
briefers, provision of
documentation and
reproduction requirements
and provision of cost sharing
arrangements for the
meeting/s
the CSW to the
NCI-PDC
-Conduct by the NCI-PDC of
deliberations
-NCI-PDC
-Sponsorship and defense of
draft policy instrument or
policy issue fact sheet/
recommendations before
the NCI-PDC during
deliberations
-If deemed necessary, the
NCI-PDC shall call for the
conduct of consultative
fora with stakeholders/
institutions/fieldmen/ OGAs
-Calendar and coordinate
the conduct of the
consultative fora
-Conduct of consultative
fora
-Proponent and
PAG
-NCI-PDC
-PAG in
coordination with
the Proponent
-NCIPDC/PAG/Propone
nt
-Within 10 days
from
transmittal of
CSW by the
PAG
-During the
NCI-PDF
meeting
During the NCIPDF meeting
Within two
weeks from the
NCI-PDF
meeting
173
7. Endorsement of
policy instruments and
Resolutions to policy
issues for
consideration by the
NCI National Steering
Committee (NCI-NSC)
8.Consideration and
passage by the NCINational Steering
Committee (NCI-NSC)
of policy instruments or
Regional (RCI)/Provincial
(PCI)/Municipal (MCI)
Technical Working
Groups, concerned
institutions, and
expertson proposed
policies or amendments to
policy with the end view
of ensuring an eclectic
approach to resolving
contentious or critical
policy issues
Passage of policy
instruments or
Resolutions necessary to
the operationalization and
implementation of
programs under the
National Convergence
Initiative
Passage of Administrative
Orders/Memorandum
Circulars/Policy
Resolutions required in
the operationalizaton and
-Revision of policy
instruments or preparation
of recommendation on
policy issues for resolution
-Further meetings on the
revised policy instruments
or recommendations to
policy issues subject of
resolution
-Proponent/PAG
-Upon its approval of a
policy instrument or Draft
Resolution on a policy issue,
the NCI-Policy Development
Committee (NCI-PDC),
headed by the NCI National
Focal Person (NCI-NFP), shall
endorse the same for
consideration by the NCI
National Steering
Committee through a CSW
memorandum.
-the PAG Chair shall
calendar and cause the NCINSC to convene for
deliberation of the subject
policy instrument or draft
Resolution.
-Conduct of deliberations to
be sponsored primarily by
the members of the NCIPDC and the Proponent,
with technical support of
-NSC-NFP
Two to three
days from
passage by the
NCI-PDC
-PAG Chair
One week from
endorsement
of the policy
instrument/res
olution by the
NCI-PDC
-NCI-PDC
-NCI National
Steering
Committee
174
Policy Resolutions
implementation of
programs and projects
under the National
Convergence Initiative
the PAG
-Finalization of policy
instrument /resolution
based on NCI NSC inputs,
agreements, suggested
revisions
-NCI –
PDC/Proponent/
PAG
-If approved, signing by the
three NCI Secretaries
(DA,DAR,DENR)
NCI-NFP/NCI
Secretariat
Ten days from
NCI-NSC
approval
-PAG/Proponent
Three days
from
submission by
PAG and
Proponent of
finalized policy
instrument/res
olution
175
ANNEX L
PROCESS FLOW FOR CAPABILITY DEVELOMENT COMPONENT
Phase 1: Strengthen partnership and/or establish new networks with relevant stakeholders in CI sites
ACTIVITY
Conduct consultation
meetings to establish
partnership and refine
the process of
capability development
activities in CI sites
a. RCI TWG
b. PCI TWG
c. MCI TWG
IMPLEMENTATION
STEPS
Prepare communications
(set date, venue, agenda,
participants)
TIMEFRAME
3rdQtr2011onwards
(continuing)
RESOURCES
NEEDED
Food, supplies
and other
incidentals
Conduct coordination
meetings
Identify activities that will
necessitate capabilitybuilding interventions

Determine presence
and/or extent of
capdev assistance
extended
August, 2011
onwards
(continuing)
supplies and
other incidentals
RESPONSIBLE
PERSON
OUTPUT
Coordination
meetings established/
commenced
Draft list of areas of
cooperation on
capacity development
identified/ prepared
Coordination with
LGUs and other
stakeholders
commenced by RCI
Focal Persons
Focal persons/HR
coordinator from
LGUs identified and
roles defined
176
Phase 2:Conduct training needs /capability building needs of stakeholders and partners
ACTIVITY
IMPLEMENTATION STEPS
TIME-FRAME
RESOURCES
NEEDED
RESPONSIBLE
PERSON
OUTPUT
TNA
Conduct rapid appraisal of
training needs/felt needs of
partners and stakeholders
in CI sites
Conduct of FGDs and/or
administer survey forms
July, 2011
onwards
Document result of FGDs
and/or survey, collate and
summarize information;
review related literature
Transpo and other
incidentals for
staff
Rapid appraisal of
training needs
conducted
Food and
accommodation
Per diems
Package rapid appraisal/TNA
result, collate and summarize
info.
1. Prepare list of
training programs
based from the
rapid
appraisal/TNA
result of
stakeholders
2. Coordinate
arrangements with
RCI/PCI/MCI focal
persons
regardingidentified
/ proposed training
programs
TRAINING DESIGN
Prepare course
August, 2011
onwards
Conduct consultation on the
result of the rapid appraisal
for inputs and suggestions
Write rationale and
-do-
Proposed list of
training programs
prepared
Food, transpo
Supplies and
other incidentals
September,
2011 onwards
Agreed upon /
final course design for
training program to be
implemented
Course design /
training proposal
177
design/training proposal
objectives, determine
contents/ and or curriculum,
target participants
prepared
Research on appropriate
methods, SLEs, and RPs to
be tapped
PRE-IMPLEMENTATION
Finalization of training
program
Finalization of all
administrative arrangements
(budget, venue, participants,
presentations of RPs, etc.)
Preparation of necessary
communications (resource
persons, admin
arrangements, etc.)
Preparation of handouts,
forms, etc.
September,
2011 onwards
Supplies and
other incidentals
Final program
prepared
Administrative
arrangements finalized
Needed
communications and
invitation letters
farmed-out
Training forms
prepared
(participant’s profile,
resource person’s
profile, evaluation
forms
178
ACTUAL TRAINING IMPLEMENTATION
Implementation of training
Actual conduct of training
programs and other
capability building activities
Documentation of
proceedings; issues and
concerns
TRAINING EVALUATION
Administer and score
Document feedback and
recommendations
training evaluation forms
October, 2011
onwards
(refer to list of
budgetary
requirements)
Training program
conducted
Supplies and
other incidentals
Training report prepared/
submitted
Summarize information
gathered
Preparation of training report
Closure of financial
transactions and other
administrative concerns
179
MAJOR ACTIVITIES OF DA-DAR-DENR NATIONAL CONVERGENCE INITIATIVE
TECHNICAL WORKING GROUP ON CAPACITY DEVELOPMENT
MAJOR ACTIVITIES
MILESTONES/INDICA
TORS
RESPONSIBLE
BODY
COOPERATING
BODIES
2011
1st
Qtr.
Convergence Capacity
Development Framework
Documentation of best
innovative practices
available
Competency Resource
Profile of each agency
List or Inventory of
Expertise for RPs
-do-
Curriculum development/
training cycle
(TNA, module
development. etc.)
Toolkits, manuals
-do-
Conduct of training,
coaching, advisory
services, convergence
interventions at the local
level
Partnership development
at national, regional, local
level
(partnership mapping,
stakeholder analysis with
local partners)
Note:
Customized learning
packages
E-learning and Distance
Learning Courses
Documentation of
partnership experiences
NCI Secretariat
DA ATI
DAR BARIE
2ndQtr
3rdQt
r
4thQtr
DENR-FMB
HRD-DA
BARIE/BARBD
DENR-HRDS
-do-
180
ANNEX M
INDICATIVE LIST OF PROPOSED TRAINING PROGRAMS
TITLE
1. Business Proposal Writing
Market Demand Identification
Financial Management
Financial and Economic Analysis for LGUs
Training on Upland Agroforestry
Orientation on Sustainable Upland
Development
7. Integrated Ecosystem Management (IEM)
“The Ridge to Reef Approach”
8. Climate Change
9. Integrated Ecosystem Management
10. Training on Eco-Tourism for Protected
Area Superintendents (PASUs) and
Protected Area (PA) Staff
11. Strengthening Organic Farming
12. Commodity Marketing/Trading
13. Community Organizing and Networking
14. Resource Mobilization and Enterprise
Development
15. Re-orientation on the Local Government
Code for LGUs and POs (RA 7160)
OBJECTIVE
TARGET PAX
DURATION
How to access financing
objective is or are
2.
3.
4.
5.
6.
16. Training on Tenure Instrument Issued by
DENR, DAR and NCIP in CI sites
RA 7160 requires all LGUs to use
all their powers…enhance the
right of the people to a balanced
ecology
LGUs shall share
To determine whether the
farmers or …… were adequately
informed of available land tenure
options/instruments
**Inventory of issues raised on
181
land tenure options/instruments
***List of tenurial cases existing
in CI sites
***Planned activities to address
the tenurial problems
17. Orientation on the Devolved ENR
Functions
18. Orientation on Public-Private Partnerships
and its Application on NCI Sites
19. Training on Environmental Users Fee for
LGUs
PPP as joint venture and comanagement scheme
Promote or enhance investment
atmosphere
Translate into monetary value the
likely effects or environmental
stresses due to the presence of
economic activities in CI sites
For LGUs to have financial
source to protect the environment
brought about by the possible
reactions of the environment to
economic undertakings in the
form of agri-business activities.
These undertakings could range
from resource extraction, product
or materials processing, etc.
Ascertain the role of the LGU as
a key actor in environmental
protection
182
ANNEX N
TRAINING CYCLE
The cycle has four distinct stages: training needs analysis, training design, training implementation,
and training evaluation. These stages have to be viewed in their entirety, not as a series of isolated
activities. The outcome of one stage provides the inputs for the next stage, and the absence of any
stage would undermine the validity of the whole process.
The cycle starts with a needs analysis and returns back to another needs analysis in its attempt to
respond to the dynamic demands of the organization as shown in below.
The Training Cycle

Training needs analysis Training needs analysis (TNA) is conducted to determine
competency gaps of the employees/staff of the departments/divisions/units in the
organization. The identified competency gap/s will be the basis of the formulation of training
and non-training recommendations. This phase aims to identify what training is needed, and
ensure that the training is based on reliable and identified training requirements. The process
involves job and task analysis, performance review, position holder analysis,gap analysis and
formulation of recommendations.
183

Training design. This includes the following activities: formulation of training title, objectives,
designing the training module, development of training materials and session guides and
arrangement for training delivery.
For a TNA-based course design to be meaningful, learning activities should be given more
emphasis that will ultimately lead the participants into mastering the concepts and skills
defined in the course learning outcomes. Such learning activities should also prepare the
participants for subsequent assessments. The learning activities should be interactive and
provide the participants with opportunities to deepen their understanding; explicitly teach
participants on how each learning activity relates to a specific learning outcome to help them
recognize the rationale for the activity consistent with the course design.

Training Implementation This involves the effective delivery of the formulated training plan.
This is the stage when the trainer should be able to manage the dynamics of the group, and
see to it that training content is communicated to and shared clearly with the participants. In
this stage, all arrangements and preparations prior to the conduct of the training,
requirements during the training, and after the completion of the training are attended to.
The best interventions mirror the learning activities that the participants have participated in
throughout the training course. It should offer participants the opportunity to demonstrate,
and further develop their knowledge and skills. Informative assessments should present
valuable feedback to improve, and align each component of the course designs.

Training Evaluation. Evaluation is the systematic way of determining the strengths,
weaknesses and effects of the training. It involves the analysis of the value of the training in
terms of narrowing the competency gaps, and instilling among the participants the desired
knowledge and skills and changes or re-orientation in attitudes. In addition, during the actual
training, the trainer monitors the progress and response of participants to the daily training
activities to evaluate the effectiveness of the design and delivery as the training unfolds,
making adjustments or changes during the session as needed.
Training results lead to course design improvement when HR practitioners continually
evaluate the course learning outcomes, learning activities, and assessments in order to make
the necessary changes that will further improve these.
184
Annex N1:
DEVELOPING A TRAINING PROGRAM
Phase I: Conceptualization
-
Answering why, what and whom do we train
Determining the rationale and objectives of the program, content and participants
Phase II: Operationalization
-
Preparing the training design. A training design is the detailed outline of the program
objectives, training curriculum, evaluation scheme and other administrative concerns in
implementing a training program. This include (a) selection and/or recruitment of participants;
(b) curriculum development stating the objectives, methodologies and content; and (c) setting
up the mechanics for organizing the training
-
With the curriculum as point of reference, determine the following:
o
o
o
o
o
o
Duration – how long will the training be, time devoted for each topic, workshop, etc.
Venue – where the training sessions be held, accessibility to participants, availability
of seminar facilities (whiteboard, chairs, tables, workshop areas, sound system,
ventilation, lighting, etc.
Funding – or the financial arrangements
Administrative arrangements – who will act as the secretariat, in-charge of board and
lodging if live-in, transportation, coordination with agencies regarding field visits, if
any, communications and other related correspondences, supplies and materials,
training forms, handouts, etc.
Documentation and evaluation scheme – how it will be carried out
Resource speakers
Phase III: Implementation
-
This involves the actual conduct of the training including its pre and post training activities
a. Pre-training
1) Finalization of training program, venue, invitation of participants and resource
speakers, board and lodging, transpo, etc.
2) Preparation of needed handouts, forms, etc.
b. Actual implementation
1) Training facilitator to ensure that curriculum is adapted to the training situation
2) Managing and controlling the use of time, facilities, resources
3) Ensuring training objectives are met
185
4) Cliniquing sessions or informal evaluations may be conducted from to time after the
training sessions
5) Documentation of proceedings
c. Post-Training Activities
1) Preparation/finalization of training documentation
2) Closure of financial transactions and other administrative concerns
Phase IV: Program Evaluation
1) Preparation/submission of training evaluation report.
2) Documentation of feedback and recommendations
186
Annex N.2:
TYPE
WORKSHOP
LECTUREDISCUSSION
LECTURESYNTHESIS
CASE STUDIES
SIMULATION
GROUP DYNAMICS
DIFFERENT TRAINING METHODS
DESCRIPTION
ADVANTAGES
The group is divided Participants are
into several subgiven the opportunity
groups to accomplish to contribute their
a certain task.
ideas.
A moderator and
secretary are chosen Provides a way of
per sub-group from
teaching them how
among the
to handle group
participants to
discussions
systematize
discussions
Discussion between
Trainees participate
the participants and
in the discussion
resource person is
interspersed in the
Boredom can be
lecture session.
minimized
Usually done through
leading questions
Discussion is based
The trainees’
on the results of a
experiences are
preceeding
incorporated into the
workshop.
lecture to make it
At the same time,
more relevant to
previously presented their perceived
ideas are
needs and individual
summarized, the
perspectives.
session is used to
relate theories and
topics to one
another.
Actual/hypothetical
Group members
conditions are
develop problempresented in written
solving ability
or oral form. This
then become the
Gives opportunity to
springboard for
test own ideas in a
further study.
simulated situation
Based on a case
It strengthens
study, participants
understanding and
are asked to assume assimilation of ideas.
certain roles and act The situation is
them out.
discussed and acted
out at the same time
Structured exercises Participants become
meant to evoke
more involved in the
certain group
learning situation
DISADVANTAGES
Time consuming if
moderator cannot
effectively handle the
group
May also be timeconsuming
Varied ideas may be
brought up which are
irrelevant to the main
topic
Workshop results are
not always suited to
the objectives and
expected content of
the session.
Requires intensive
preparation prior to
training
Suitable case
materials are not
always available
Close supervision
and careful study are
required. Simulation
exercises have to be
developed to suit
target groups.
The exercises have
to be suited to the
course objectives
187
processes are
interspersed in the
discussions to stress
some points .
These are also used
for team-building
sessions
PANEL
Speakers from
DISCUSSION
different
sectors/groups are
asked to give their
opinion on certain
topics which the
trainees can react
afterwards
INDIVIDUAL/GROUP The trainees are
PROJECTS
asked to make
certain projects
related to particular
skills either as
individuals or as a
group (e.g. project
proposals, collage,
etc.)
FIELD VISITS
The trainees are
divided into groups
and fielded to
different areas to
observe according to
certain guidelines
AUDIO-VISUAL
Slides, films, posters
TEACHING
or other forms of
creative literature
relevant to the
content are
presented
PLENARY
Conclusions,
SESSIONS
recommendations
and questions are
generated regarding
ideas presented
within a specified
period of time. (i.e.
modules
DEMONSTRATION
Actual presentation
of a technique by the
resource person or
the participants.
since it calls for
analyzing their own
experiences and
relating these to
certain concepts
and the trainees’
characteristics. It
should also be
pertinent to a
particular situation
Varied views on
certain topics are
discussed to as to
give the participants
a wider perspective
on the subject
matter.
Speakers have to be
properly briefed on
the objective and
expected content of
their session.
It allows the trainees
to practice certain
skills being taught
them and to use their
creativity
It requires adequate
and clear guidelines
and supervision by
the staff
The trainees are
able to relate
concepts/skills
discussed during the
training to real life
conditions
It provides variety to
the discussion
Ideas are presented
in less time and in a
more interesting
manner
Ideas are
summarized.
It provides continuity
to the training in
terms of connecting
one topic/part to
another.
Field arrangements
have to be wellcoordinated. The
observation
guidelines should be
clear to the trainees
The materials have
to be selected in
advanced.
Experiential; the
participants actually
sees the method
Requires more time
and materials
Adequate time
should be provided.
Repetitions should
be avoided unless
called for.
188
Annex N. 3
CHECKLIST IN IMPLEMENTING TRAINING PROGRAMS / ACTIVITIES
Title of Training:
_________________________________________________________________________
Date of Implementation: ______________________________________________________
I. PRE-IMPLEMENTATION
ACTIVITY
REMARKS
Meeting with organizing office to discuss the training program
(title, objectives, topics, participants, funding, etc.)
(identify criteria in the selection of participants)
Package training proposal for approval
Identify speakers to be invited. Invite/send out letters.
Get conforme
Invite participants. Send needed communications
Conduct dry-run for the venue. Determine the number of
hours of travel, check training facilities, training hall,
ventilation, sleeping quarters, etc.
Prepare facilitator’s control copies of communications
Prepare list of supplies needed. Purchase supplies
Prepare travel documents of resource persons, training staff,
and others
Prepare training kits, manuals, handouts, IDs, name plates,
flash signs, mood barometer, freedom wall, training forms,
opening/closing program, etc.
Invite guests/officials for the opening/closing program.
189
Get their confirmation.
Prepare room assignments of RPs, participants, training staff
Check/coordinate “Welcome” streamers and / or tarpaulins of
the training activity
Prepare Certificates of Completion/Attendance/Appreciation
II. IMPLEMENTATION
ACTIVITY
REMARKS
Advance party/training staff to check training hall, sound
system, computer, LCD, equipment operator, etc. a day
before start of training activity
Supervise registration/billeting of participants, training staff,
resource persons
Supervise signing of attendance sheets
Do Opening Program and Training Overview. Discuss
administrative arrangements, forms to be accomplished,
house rules, host teams, etc.
Document proceedings (issues raised, how it was resolved)
Administer Program Evaluation Questionnaire
(Resource Person and Training Evaluation Forms)
Do Closing Program . Distribute Certificates of
Participation/Attendance
III. POST-IMPLEMENTATION
ACTIVITY
REMARKS
Tabulate/analyze results of evaluation form
Conduct post assessment meeting with the training staff
Prepare training report
190
Annex N. 4
CHECKLIST OF TRAINING FORMS / SUPPLIES / MATERIALS
No.
Particulars
Status
FORMS
Participants’ Profile
Resource Person’s Profile
Post Course Evaluation
Resource Person’s Evaluation
Attendance Sheets
Directory (hard and electronic copy)
Cue cards / Time Mgt. Cards
Mood Barometer
Expectations Check cards
House Rules
SUPPLIES
Expanding Envelopes / Training Kits
Bond Paper – A4
Staples ( heavy duty stapler - for manuals)
Xerox powder (for repro. of handouts)
White board marker (12) black, blue, red
Pentel pens ( 1 box)
Board eraser
Ballpens
Manila paper
Cartolina (assorted) / meta cards
ID holder
Masking Tape (wide)
Tape Dispenser
Stapler and staple wire
Staple remover
Scissors
Cutter
Pencils
Computer ink (B & W, colored)
Board Paper (Certificates)
Sharpener
Paper clips
Yellow pads
CDs recordable (e-copy of
presentations/handouts)
Batteries AA
191
OTHERS
First Aid Kit
EQUIPMENT
Notebook/Laptop
Computer Cables
Printer(if needed)
Printer cables(if needed)
Computer ink
LCD
Flash disk
Extension wires
Digicam. and charger
Video Camera and charger
Laser pointer
192
Annex N.5
SAMPLE BUDGET ESTIMATE
TITLE:
______________________________________________________
DURATION:
______________________________________________________
VENUE:
______________________________________________________
NO. OF PAX:
______________________________________________________
NO. OF RESOURCE ______________________________________________________
PERSONS:
NO. OF TRAINING
______________________________________________________
STAFF:
I.
TRAVELLING EXPENSES
Pax
:
Way
x
Pax
x
Trip = __________
RP
:
Way
x
RP
x
Trip = __________
Staff
:
Way
x
Staff
x
Trip = __________
Sub Total
II.
= __________
ACCOMODATION (Board and Lodging)
Pax
:
/Day/Person
x
x Days
Staff
:
/Day/Person
= ________________
x
x Days
RP
:
/Day/Person
x Days
Pax
Persons
= ________________
x
Persons
= ________________
193
Sub Total
III.
= ________________
PER DIEM
Pax
:
/Day/Person
x
Persons
x Days
Staff
:
= __________
/Day/Person
x
Persons
x Days
RP
:
= ___________
/Day/Person
x
Persons
x days
= ___________
Sub Total =
IV.
____________
HONORARIUM
RP
:
/ Hour
x
Hour
= _________________
Sub Total
V.
SUPPLIES and MATERIALS

Training kits (ballpens, bond papers, cartolina,
IDs, whiteboard markers, pentelpensetc.)
:
/Day/Person
x
Pax
x Days
VI.
= _________________
= __________________
Sub Total
= __________________
Sub Total
= __________________
MISCELLANEOUS
TOTAL:
__________________________________________________
194
Annex N.6
TRAINING FORMS
PARTICIPANT’S PROFILE
Last Name
Date of Birth
First Name
Place of Birth
Present Position
Sex
M.I.
Nickname
Age
Civil Status
Designation
Total No. of Years in Gov’t. Service
Place of Assignment
Office Tel. No.
Telefax:
Mobile No.
Bachelor’s Degree
Name of School
Year Graduated
Masters
Name of School
Year Graduated
Diploma course, others, etc.
Name of School
Year Graduated
Doctorate
Name of School
Year Graduated
Educational Attainment
Duties and
Responsibilities
1.
2.
3.
195
Related Training
Programs Attended for the
last three (3) years
1.
2.
3.
Signature: ______________________________ Date: _________________________
196
RESOURCE PERSON’S PROFILE
Last Name
Date of Birth
First Name
Place of Birth
Present Position
Sex
M.I.
Nickname
Age
Civil Status
Designation
Total No. of Years in Gov’t. Service
Place of Assignment
Office Tel. No.
Telefax:
Mobile No.
Educational Attainment
Bachelor’s Degree
Name of School
Year Graduated
Masters
Name of School
Year Graduated
Doctorate
Name of School
Year Graduated
Others (Diploma course, etc.)
Name of School
Year Graduated
Areas of Specialization
No. of Yrs. Subject Has
Been Handled
1.
2.
3.
4.
5.
Other related information
1.
2.
Signature: ______________________________ Date: _________________________
197
RESOURCE PERSON’S EVALUATION
RESOURCE PERSON: ________________________________ DATE:
________________________
TOPIC:_______________________________________________TIME:
________________________
A. Please check on the space which
appropriately describes the speaker
EXCELLENT
VERY
SATISFACTORY
SATISFACTORY
CAN BE
IMPROVED
POOR
1. Mastery of the subject matter
2. Method of Presentation
a. Presented in a logical
sequence
b. Use of illustration, visual aids
3. Poise and personality (voice,
diction, articulation, ability to hold
the participants’ interest)
4. Ability to elicit group involvement
(encourage questions, comments
and suggestions)
5. Effective use of time (spaced
his/her time effectively by giving
more time and emphasis on more
important topics)
B. Comment on the relevance and value of the subject matter to your position.
1. [ ] Very relevant and valuable
2. [ ] Slightly relevant and valuable
3. [ ] Less relevant and valuable
The subject matter would have been more relevant and valuable to me if:
________________________________________________________________________________
________________________________________________________________________________
______
C. In general, what are the weaknesses in the presentation/discussion of the subject matter?
198
________________________________________________________________________________
___
D. Comments/recommendations. How would you like the topic to be discussed/presented in the
future?
________________________________________________________________________________
________________________________________________________________________________
______
___________________________________
NAME OFPARTICIPANT
(optional)
199
POST COURSE EVALUATION QUESTIONNAIRE
To the Participants:
We would like to seek you opinion about the course’s sessions/activities. The data that you
will provide will serve as basis in the continuous improvement of this training as well as determine
the possible application of knowledge/skills acquired.
Please be candid and open in accomplishing this form. Thank you.
1. How would you rate the quality of this training in terms of:
Excellent
a. Content and Organization
____________
Above Ave.
Average
Below Ave.
Poor
____________ ____________ _____________
b. Process (Methodologies,
____________ ____________ _____________
____________
Procedures)
c. Duration and Schedule
____________ ____________ _____________
____________
of the Course
Comments:
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_________
2. Topics/Activities you like best:
_____________________________________________________________________________
_____________________________________________________________________________
______
3. Topics/Activities you like least:
_____________________________________________________________________________
_____________________________________________________________________________
______
Comments:
How useful were the following methodologies/aids in providing knowledge skills?
200
Learning Methodology/Aid
Usefulness
Very
Useful
a. Lecture
Useful
UsefulUseful
Somewhat
Not
Applicable
___________ ___________ _________ __________
b. Class discussion/participation
___________ ___________ _________ __________
c. Structured Learning Exercise ___________ ___________ __________________
d. Case Analysis
___________ ___________ ________ __________
e. Practicum
___________ ___________ ________ __________
f. Workshop
___________ ___________ ________ __________
g. Visual Aids
___________ ___________ ________ __________
h. Hand Outs
___________ ___________ ________ __________
i. Others (pls. specify)
___________ ___________ ________ __________
4. How did you find the time allocated for each topic?
Sufficient ___________
______________
Too Much ___________
Insufficient
5. How would you rate the training environment in terms of:
Rating
Very Good
Good
Poor
a. Seating arrangement
___________ ___________ ___________
b. Lighting
___________ ___________ ___________
c. Sound System
___________ ___________ ___________
d. Ventilation/air-conditioning
___________ ___________ ___________
e. Food
___________ ___________ ___________
Needs Improvement? Please specify:
201
_____________________________________________________________________________
_____________________________________________________________________________
______
6. How would you rate the training staff in managing the training?
Excellent ______
Poor
Very Satisfactory ______
Satisfactory ________
Fair ______
7. Comments:
_____________________________________________________________________________
_____________________________________________________________________________
_____________________________________________________________________________
_________
Name: _______________________________
Date:
202
Annex N. 7
TRAINING DESIGN FORMAT
1. Rationale
2. Objectives
a. General
b. Specific
3. Participants
4. Course Outline / Topics
5. Methodology
6. Participants
7. Resource Persons
8. Date and Venue
9. Budgetary Requirements
203
ANNEX N. 8
TRAINING REPORT FORMAT
1. Executive Summary
2. Introduction (cite rationale and objectives)
3. Participants
4. Highlights
a. Opening Program
b. Training Proper
c. Presentations
d. Field Visit / Practicum, if any
e. Closing Program
5. Issues Raised / How it was resolved / Clarifications
6. Result of Evaluation
7. Findings
8. Recommendations
9. Conclusion
10.
Photo Documentation
204
ANNEX O
KNOWLEDGE MANAGEMENT COMPONENT MATRIX
Knowledge Management Component
Function: To ensure the NCI programs, projects and initiatives are implemented and monitored in an efficient and effective manner. It will likewise
ensure that innovations are documented, shared and disseminated for possible adoption, expansion and scaling-up.
Step by Step Process Matrix
ACTIVITIES
Manage NCI
Database
OBJECTIVES
To facilitate the
development and
management of
NCI Database
System
STEPS
1. Identify Data /Information
Needed
2. Data Gathering Methods
 Identify methods for
data gathering
 Prepare plan for
data gathering
Design
questionnaires/form
s
Interview/D
isseminate
survey and
report
forms
 Collect/consolidate
Processed data
3. Design and develop
Database Management
System
 Design input and
output forms
 Design Database
structure
 Identify resource
requirements
 Development of
Data Entry,
Inquiries and
Report Generation
programs.
PERSON
RESPONSIBLE
KM Group in
coordination with
Other NCI TWG and
other relevant
agencies
TOOLS/FORMS
NEEDED
List of NCI’s Programs/
Projects and Locations
Questions,
Survey Forms
TIME
FRAME (SPECIFY)
1 month
3 months
Any RDBMS (Oracle, My
SQL…)
6months
205
4. Database Build-up
 Training/Orientation and
Encode information from
the Survey forms
3months
(depending on the
volume of data)
 Verify data for accuracy
Monthly/as need
arises
5.
Report Generation
Quarterly/as need
arises
6. Database Maintenance
 Updating/Modification
Information
Dissemination
To ensure the
sharing and
circulation of
information.
1. Prepare Dissemination Plan
 Packaging Information
Materials
(Content
, Target Audience)
 Identify Dissemination
Methods
KM in Coordination
with DENR –PAO,
DAR-PAS
DAR-BARIE
DA-AFIS
NCI Secretariat












Monitoring and
Evaluation
To improve
performance and
determine the
relevance,
effectiveness and
impact of the
1. Develop Results Based
Monitoring System
- Clarify project aims,
objectives and values and
activities
- Clarify the target groups
KM Group in
coordination with
Other NCI TWG and
other relevant
agencies
Newsletter
Website
Press Release
(Tri Media)
Flyers/Brochures
Cluster Meeting
Conference
Presentation
Posters
Workshops
Demonstrations
On-line
discussion
Journal Articles
Reports and
other Documents
M& E Forms
SWOT Analysis Tool
SMART Tool
Logframe
3 months
6months to 1 year
206
project.
Documentation
of Innovations
and best
practices
To identify the
innovations and
best practices for
adoption,
expansion and
development of the
projects/programs.
- Identify outputs and
outcomes
- Set performance
indicators
- Set Frequency of
Monitoring
- Design M&E Forms
2. Training/Orientation on
M&E System
- Preparation of training
needs/materials
- Identification of
participants
- Actual training
3. Implementation of M&E
System
1. Gather best practices,
innovations achieved for
each project/program
2. Store in the NCI database
3. Package/ Disseminate
Information thru Fora,
Trainings, Presentations
KM/CAPDEV
KM Group in
coordination with
Policy and
Advocacy.
component
3months
Forms
Annual
207
ANNEX P
MONITORING AND EVALUATION TEMPLATE
Proposed M&E Template
Project Name
:
__________________________
Implementing Agency: __________________________
Project Description :
__________________________
Budget Allocation:
__________________________
Goal/General Objective :_____________________________________________________________________________
Input
Output
Targets
Budget
Accomplishments
Budget External Factors
Objectives/Activities Indicators Indicators
(P’000)
(P’000) / Remarks
1stQt
r
2ndQ
tr
3rd
Qtr
4thQt
r
1stQ
tr
2ndQ
tr
3rdQt
r
4thQ
tr
Objective 1
Activity 1.1
Activity 1.2
Activity 1.3
Objective 2
Activity 2.1
Activity 2.2
Activity 2.3
208
Fill-up Instructions
(Proposed M&E template)
Heading:
1.
Write down the Name of the Project, Project Description, Goal of the Project, Implementing Agency and the Budget Allocated
or Requested for the Project.
M & E Template
A. Setting up the Target
1.
2.
3.
4.
List down the specific objectives and the activities that correspond to it. (Column 1)
Set the input indicators needed. (Column 2)
Set the output indicators for each activity. (Column 3)
Indicate the Budget allocated for each activity. (Column 4)
B. Filling up the Accomplishment
1.
Write down the actual figure of the given output indicator per activity.
C. External Factors/Remarks
External factors are the important events, conditions or decisions which are necessarily outside the control of the
project, but which must remain favorable for the project objective to be attained. Remarks are comments, observations or
explanations that hinder in the accomplishment of the project.
209
Annex Q
GUIDE IN FORMULATING THE LOGICAL FRAMEWORK
Project Title:
Implementing Agency:
Sponsor:
Budget Allocated/Requested:
Narrative Summary
Project Targets – Objectively
Verifiable Indicators (OVIs)
Means of Verification
(MOV)
Assumptions
Goal:
Purpose:
Project Outputs:
Activities:
Inputs:
210
Fill-up Instructions:
Goal:
The goal statement is the context of the project intervention. Your project will contribute to the achievement of this Goal.
Purpose:
The purpose is the statement of the end objective of the project. This is stated in terms of what the target group (the primary
beneficiary) can do after the project. This statement is the guiding post of your project interventions.
Project Outputs:
The output is the statement of the deliverables of the project. This is stated in terms of what the implementer will be delivering during
the project. This statement is the project intervention to achieve the project purpose.
Inputs:
The input is the statement of the resources that will be provided for the project in order to produce the project output. This is stated in
terms of what the implementer will be given during the project.
Objectively Verifiable Indicators (OVIs)
These metrics are for:

Measuring the contribution of your project to the goal statement
211



Measuring the achievement of your purpose statement and measure of the project's effectiveness.
Measuring the achievement of your output statement and project's efficiency.
Measuring the input statement and measures the resource allocation.
Means of Verification (MOV)
These are the authoritative source of :




the goal statement metrics.
the purpose statement metrics.
the output statement metrics.
the input statement metrics.
Assumptions
The statement of risks that may have a bearing on the:




achievement of the goal statement.
achievement of the purpose statement.
achievement of the output.
allocation of the input.
212
REFERENCES:

Joint Memorandum Circular No. 01, Series of 2010 on Policy Framework for
the Enhanced National convergence Initiatives among DA-DAR-DENR

Joint Memorandum Circular No. 01, Series of 2006 Adopting the Guide for
Implementation in DA-DAR-DENR Convergence Initiatives Towards
Sustainable Rural Development

Policy Framework and Implementing Strategy for the Enhanced DA-DARDENR Convergence Initiative for Sustainable Rural Development

NCI Strategic Planning Workshop Report, Tagaytay, 4-5 January, 2011-06-22

DENR MC 2008-05 Guidelines in the Preparation of Integrated Watershed
Management Plans

EO No. 533 Adopting Integrated Coastal Management as a National Strategy
to Ensure the Sustainable Development of the Country’s coastal and Marine
Environment and Resources and Establishing Supporting Mechanisms for its
Implementation

DAR MC No. 04 series 2003 Operationalizing the Development of Kapit-Bisig
Laban saKahirapan Agrarian Reform Zones (KALAHI ARZones)

DAR Memorandum Circular No. 03 series 2006 Intensified Rural Development
Through Agrarian Reform Communities (ARCs) Connectivity

DAR Memorandum Circular No. 13 Series 2009 Operational Directives for the
Development of ARC Clusters

Estimation of Local Poverty in the Philippines, The World Bank, November
2005

List of Critical Watersheds Supporting the National Irrigation Systems and
Domestic Water Supply Facitlities, DENR

Integrated Ecosystem Management (IEM) Framework, DENR, EcoGov 2
Project

Four (4) Field Reports of the Field Validation Teams composed of
representatives from the NCI Technical Working Groups and selected
213
Regional and Provincial Converegence Initiative Working Groups from
Regions 5, 6 ,8 and 10

Report on Mount Balatukan Range Convergence Zone, Misamis Oriental,
Region 10

Business Plan of Socorro Empowered People’s Cooperative (SOEMCO),
Surigao del Norte

Bito Watershed Presentation, Javier, Leyte

Local Convergence Agro-Enterprise Cluster Development, Central Antique
Experience, Region 6

Northern Samar Provincial Convergence Initiative: a Proposal

Forest Land Use Planning (FLUP)

Sustainable Agriculture and Fisheries Development Zones (AFMA)

Reports on Coastal Resource Management, Bureau of Fishersies and Aquatic
Resources, Department of Agriculture

DENR-Human Resource Development Service Training Forms

Notes on the Training Cycle, Draft DENR-HRDS Medium Term Development
Plan, 2011

Notes on Participatory Training Administration conducted by Research and
Extension Development Office-College of Social Work and Community
Development, UP Diliman.
214