Stakeholders Participation in time of Pandemic, Arnstein’s Level of Participation, and Realities on the Ground

Stakeholders participation is one of my favorite topics for several reasons. First is because I served as an elected Barangay Kagawad (Community/grassroot level government) when I was 18 years of age and served for almost 13 years. I relate and I was part of the lowest level of government representing my community. Second is Masters Degree is Public Management major in Local Government and Regional Administration wherein we were taught incessantly the importance of partnerships with stakeholders. Third is I learned about Arnstein’s Level of Participation when I took my Post-Graduate degree in Urban and Regional Planning. I understood why it is an integral part of the planning process. Fourth and last is I am somewhat guilty of setting aside stakeholders’ consultations now that I am a City Planner. This was also pointed out by one of my fellow planners in my one of my blog entries.

In my blog entry – Ten Tips on how to formulate your Comprehensive Development Plan (CDP) without hiring a Planning Consultant, I narrated how our team formulated our CDP without the help of a planning consultant. My objective in that article was to inspire other LGUs who have limited staff and resources that they too can start and finish their CDP without hiring costly consultants. I’m not against consultants – we hire consultants to help us in formulating very technical plans. But in this situation, we need to finish the plan fast for compliance. We tried to follow the guidelines steps using outputs from other plans as inputs. However, in our zeal to finish the plan on time, aside from doing away with outside consultants, we also limited the participation of stakeholders. I plan that this will not happen again in the future.

As planners we tend to sometimes take for granted the importance of public consultation – Soliciting inputs from our constituents. We focused on the technical and theoretical aspects we learned from schools. We want to apply all of them. We feel we know more than our clients. We are licensed urban planners. But to whom are we making all these plans? Who will be greatly affected by our plans? I think, it is fair and also practical to listen and take note of what they want and need and incorporate them in the plan or project.

Who are these stakeholders? This is a very tricky and controversial question. And we are all entitled to our opinions (so let us not argue). It all depends in your context. I’ll just enumerate some of the possible list of stakeholders based on my experience as follows: national and local elected officials, other government agencies, non-government organizations, professional and private organizations and institutions, religious and community groups, influential people in your neighborhood, indigents (poor communities), disadvantaged groups like persons with disabilities, senior citizens, women, youth, children, and the future generation (our future grandchildren) – they are also stakeholders, among others. The mix of your stakeholders depends on the plan or project. I cannot give you a guide on how to choose them because it is context based. Usually, I look for organized groups and ask their President or secretary to participate in a meeting / consultation. How about the children and future generation – who will represent them? As planner, I suggest you yourself should think of them and become their advocate when formulating plans and implementing projects.

Arnstein’s Eight Rungs on a Ladder of Citizen Participation 

What it is public participation? There are many templates but I’ll just discuss the basic level of participation of Arnstein. According to Arnstein, participation of the governed in their government is, in theory, the cornerstone of democracy. It is a revered idea that is vigorously applauded by virtually everyone. Citizen participation for her is citizen power. Citizen power is the redistribution of power that enables the have-not citizens, presently excluded from the socio-political process, to be deliberately included in the future. It is the strategy by which the powerless join in determining how information is shared, goals and policies are set, budgets are allocated, programs are operated, and benefits like contracts and patronage are parceled out. In summary, it is the means by which the powerless can induce significant social reform which enables them to share in the benefits of the affluent society.

Arnstein identified, enumerated and described the Eight Rungs on a Ladder of Citizen Participation from her observation from 1,000 Community Action programs involved in the 150 Model Cities programs in late 1960s.

The bottom rungs of the ladder are (1) Manipulation and (2) Therapy and aptly described as non-participation. The objective of Manipulation and Therapy is not to enable people to participate in planning or conducting programs, but to enable powerholders to “educate” or “cure” the participants.

(1) Manipulation are when in the guised of participation, people are placed on rubberstamp advisory committees or advisory boards for the sole purpose of “educating” them or engineering their support. It shows the distortion of participation into a public relations vehicle by powerholders. It is used to “prove” that “grassroots” people are involved in the program.

(2) Therapy is when the government administrators which are mental health experts (from social workers to psychiatrists) assume that powerless is synonymous with mental illness. Under a masquerade of involving citizens in planning, the experts subject the citizens to clinical group therapy. It is both dishonest and arrogant. The participants are brought together to help them “adjust their values and attitudes to those of the larger society.”

Rungs (3) Informing, (4) Consultation, and (5) Placation are in the level of “Tokenism”. In this level, the have-nots are allowed to be heard and have a voice. However, they still lack the power to insure their views will be heeded by the powerful. There is no followthrough, no “muscle”, hence no assurance of changing the status quo. It allowed have-nots to advise, but retain for the powerholders the continued right to decide.

(3) Informing emphasizes on a one-way flow of information (from officials to citizen) with no channel provided for feedback and no power for negotiation. The most frequent tools use for such one-way communication are the news media, pamphlets, posters, and responses to inquiries.

(4) Consultation is when the government invite citizens to air their opinions. However, if consulting them is not combined with other modes of participation, it is still a sham because it offers no assurance that citizen concerns and ideas will be considered. The most common methods are attitude surveys, neighborhood meetings, and public hearings.

(5) Placation allows citizens to advise but the powerholders retain the right to judge the legitimacy or feasibility of the advice. An example of a placation strategy is to place a few hand-picked “worthy” poor on committees or public bodies. The degree to which citizens are actually placated depends on two factors: (a) the quality of technical assistance they have in articulating their priorities; and (b) the extent to which the community has been organized to press for those priorities. In placation, people are being planned for and the major planning decision s are being made by the powerholders.

In the higher rung of the ladder is the Degrees of Citizen Power. (6) Partnership enables the have-nots to negotiate and engage in trade-offs with traditional powerholders. (7) Delegated Power and (8) Citizen Control are situations wherein have-nots obtain the majority of decision-making seats, or full managerial power.

(6) Partnership happens when the power is redistributed through negotiations between the citizens and powerholders. They agree to share planning and decision-making responsibilities through such structures as joint policy boards, planning committees and mechanisms for resolving impasses. Partnership can work most effectively when there is an organized power-base in the community to which the citizen leaders are accountable; when the citizens group has the financial resources to pay its leaders reasonable honoraria for the time-consuming efforts; and when the group has the resources to hire (and fire) its own technicians, lawyers, and community organizers.

(7) Delegated power is characterized when the citizens achieve the dominant decision-making authority over a particular plan or program. The citizens assure accountability of the program. To resolve differences, powerholders need to start the bargaining process rather than respond to pressure from the other end. Citizen may hire its own planning staff and consultants. Some uses citizen veto if difference of opinion cannot be resolved through negotiation. Examples of powers delegated are policy-making, hiring and firing, and issuing subcontracts for building, buying or leasing.

(8) Citizen Control is when the citizen governs a program or an institution, be in full charge of policy and managerial aspects, and be able to negotiate the conditions. One example is a neighborhood corporation with no intermediaries between it and the source of funds. There is no one in the nation who has absolute control.

Application of the Eight Rungs of Participation in Local Government Units

Republic Act 7160 or the Local Government Code of 1991 mandates Local Government Units to include civil society organizations (CSOs) in local special bodies (LSB) or committees. The Code states that the presence of CHOs should not be lower than 25% of the total membership of an LSB. This ensures that CSOs are represented in LSBs.

The Local Development Council is the planning council of an LGU. 25% of its members should come from the CSOs. But how do we choose which CSOs would become a member of the council?

Department of the Interior and Local Government (DILG) released Memorandum Circular No. 2019-72 on May 22, 2019 entitled Guidelines on Accreditation of Civils Society Organizations and Selection of Representatives to the Local Special Bodies. In the guidelines, all CSOs will be called to a meeting and would elect among themselves their representatives in various LSBs including the Local Development Council.

DILG MC No. 2019-72

In our city, our office assisted the DILG in inviting the CSOs and the conduct of the program. The CSO themselves voted and identified their representatives. The process is very transparent.

Based on the Eight Rungs of Participation, the membership of the CSOs on the LSBs fall in the Placation level. They have the power to advise but the majority and later the local sanggunian(council) retain the right to judge the legitimacy or feasibility of the advice.

There is an attempt and a past program of the national government that resembles the Delegated Power rung in the Eight Rungs of Participation. I believe the years were 2013-2016 when the national government implemented the Bottom-up Budgeting (BUB) program. In the program, the LGU organized the CSOs and the CSO elected their officers. A specific fund from the national government was downloaded to the LGU for the program. The CSOs chooses from a set of project menu the projects they want implemented given that the fund is already promised and available. A series of capacity building activities were conducted to the CSOs. The CSO chose their preferred projects.

The CSOs thought that the budget for the projects would be directly sent to their bank accounts, in effect most of them opened a bank account. They also thought that they themselves would conduct their own bidding process and chose the supplier or company that will supply/construct their projects. In the initial stages, I felt that the national government is also trying to figure out how it will be implemented. I also feel uncomfortable because of the accountability issue. Are CSOs accountable for the money that will be downloaded directly to them? What is the accountability of the LGU?  

A series of memoranda (DBM-DILG-DSWD-NAPC JMCs) from the national government finally cleared things out. The LGU is still accountable. The projects shall undergo government policies and accounting procedures. The BUB projects shall be implemented by the concerned department of the LGU. The role of the CSOs were reduced to choosing the projects, beneficiaries, and monitoring. However, the BUB program resembled Delegated Power rung wherein the citizens achieve the dominant decision-making authority over a particular plan or program.

People’s Participation during the Pandemic

Government programs and projects did not stop during this pandemic. Priorities changed but the implementation of the projects continued. Planning activities continued. The question is “how do we ensure people’s participation during the pandemic when most people are not allowed to go out due to lockdowns or quarantines?”

What we did is made use of technology. We conducted online meetings via Zoom or Google meet platforms. We conducted the annual investment planning (AIP) workshops via the same platform. However, it is my personal opinion that such online meetings are limited. It cannot replace the small talks related to work, and the ease of discussing related or other matters observed during physical meetings.

Following the thinking of Arnstein wherein the have-nots are at a disadvantage in citizen’s participation, it is obvious that the pandemic and the use of technology further alienated them from participating.

Not all people have mobile phones and laptops nor resources to pay for internet services. Some are not adept in the zoom or google meet app. Others do not even have email addresses.

Government should conduct activities capacitating CSOs in the use of this technology. But how can government capacitate them when the mode of training is done via the platform that we want them to learn. This is quite tricky. I also do not have the answer on this issue. I just hope that the pandemic would end soon and we’ll all go back to normal or new normal wherein we can conduct meetings in person.

When I present in meetings, I always end my slides with the quote from Abraham Lincoln:

“government of the people, by the people, for the people”

I then partnered it with this quote:

“planning of the people, by the people, for the people”

If you have any comments, inputs, reactions or suggestions, feel free to comment in the comment section. I wish you and your family good health during this pandemic.

Reference: Arnstein, Sherry R.(1969) ‘A Ladder Of Citizen Participation’, Journal of the American Planning Association, 35: 4, 216 — 224

Mandanas-Garcia Ruling; Unconstitutionality of the Internal Revenue Allotment (IRA); and the National Government and Fiscal Autonomy of Local Government Units

LGUs should not celebrate too early by embarking on expensive projects that they cannot sustain. LGUs should always review Art. 17 of RA 7160 to both guide them in choosing projects to implement and manage the expectations of their stakeholders.

One of the key features of the Philippine 1987 Constitution is its push towards decentralization of government and local autonomy. Local autonomy has two facets, the administrative and the fiscal. Fiscal autonomy means that local governments have the power to create their own sources of revenue in addition to their equitable share in the national taxes released by the National Government, as well as the power to allocate their resources in accordance with their own priorities. Such autonomy is as indispensable to the viability of the policy of decentralization as the other.

Implementing the constitutional mandate for decentralization and local autonomy, Congress enacted Republic Act No. 7160 (RA 7160), otherwise known as the Local Government Code (LGC), in order to guarantee the fiscal autonomy of the LGUs by specifically have a share in the national internal revenue taxes. The internal revenue allotment (IRA) is determined on the basis of the actual collections of the National Internal Revenue Taxes (NIRTs) as certified by the Bureau of Internal Revenue (BIR).

Mandanas and his group as well as Garcia challenged the national government by filing a case in the Supreme Court to address whether or not the exclusion of certain national taxes from the base amount for the computation of the just share of the LGUs in the national taxes is constitutional. Mandanas’ group and Garcia filed a petitioned to release the additional and unpaid IRA, respectively to LGUs.

Mandanas et. al Petition – Following the Petitioned Base Amount of LGU Shares in FY 2012
Release of the additional amount of to the LGUs as their IRA for FY 2012P60,750,000,000.00
Release of the  total unpaid IRA for FY 1992 to FY 2011P438,103,906,675.73

To know more about the Mandanas-Garcia Ruling check out https://cityplanningcoordinator.blog/2021/07/09/mandanas-garcia-vs-executive-secretary-case-digest/

Let us simplify the story.

Imagine you are the head of your family. A person promised to pay you yearly a certain amount that you will use to provide for the needs of your family. Eventually, you realized that the amount being paid to you for almost two decades is not the agreed amount that should have been given to you and your family. You filed a case in court and it took several years before the court decided that the amount being paid to you is not the right amount.

You started to look back and imagined how your family should have benefitted from the withheld payment. You thought that with the said amount, you could have provided your children very good education and health care as well as widened possible opportunities (opportunity cost). But, all is well, you’ve won, you are right in asserting what is just.

However, the court ruled that this person would not pay anymore the two decades withheld amount and will just give the correct (just share) amount the following year. You cannot argue with the court because that is their final decision and must respect it. You are excited that you’ve won your case, proved you are right, and will have more resources for your family the following year.

But there’s more, the person realized that since you will be getting more, there is a need to give you more responsibilities that will entail additional expenditures on your part. This person is thinking of ways on how to give you more/additional tasks or responsibilities so that your just share (not additional) is spent according to what they want you to spend on your family.

In fairness, in the last two decades, the said person, aside from giving you your yearly agreed support, helps your family by providing casual assistance in different forms.

This is the current situation of the Local Government Units (LGUs) in the Philippines. The family is the LGU, the person is the national government, the children are the LGU constituents, and the support is the Internal Revenue Allotment (IRA) which is now called the National Tax Allocation (NTA).

Executive Order 138

The National Government enacted Executive Order No. 138 entitled “Full Devolution of Certain Functions of the Executive Branch to Local Governments, Creation of a Committee on Devolution, and for other purposes” on June 1, 2021 in response to the Mandanas-Garcia ruling.

To know more about EO 138 check out https://www.officialgazette.gov.ph/2021/06/01/executive-order-no-138-s-2021/

The recitals of EO No. 138 state that in the Constitution, LGUs shall have a just share, as determined by law, in the national taxes which shall be automatically released to them and that the President shall exercise general supervision over local governments; that RA 7160 devolved the delivery of certain basic services from national to LGUS (Section 17, RA 7160) in accordance with established national policies, guidelines and standards; and that the total shares of the LGUs from the national taxes is expected to significantly increase starting FY 2022 in line with the implementation of the Mandanas ruling; among others.

The general policy of EO 138 is that the National Government (NG) is fully committed to the policy of decentralization enshrined in the Constitution and relevant laws which are aimed at the following:

  1. Developing capabilities of local governments to deliver basic social services and critical facilities to their constituents, increase productivity and employment, and promote local economic growth.
  2. Ensuring accountability, competence, professionalism and transparency of local leaders through the development of institutional systems that uphold good governance and strengthen their capacities for managing public resources.

According to the EO the role of the NG is to set the national policy, development strategy, and service delivery standards, and to assist, oversee and supervise the LGUs, complementary to the stronger implementing role that the LGUs shall assume by reason of devolution; to determine functional assignments between and among different levels of government; to formulate and pursue an institutional development program in collaboration and to support the LGUs in order to strengthen their capacities and capabilities to fully assume the devolved functions based on RA 7160 and other relevant laws; and to resolve any ambiguity as to the interpretation of the power granted to an LGU in favor of devolution.

According to EO 138, the role of LGUs include the preparation of their Devolution Transition Plans (DTPs) in Close Coordination with the NGAs concerned, formulation of their Capacity Development Agenda based on the assessment framework and guidelines issued by the Department of Interior and Local Government – Local Government Academy (DILG-LGA), and the formulation of their respective Communications Plans and Strategies which are aligned and complementary to the communications plan formulated and approved by the Committee on Devolution.

The Mandanas-Garcia ruling prompted the national Government to enact EO 138 to ensure full devolution of certain functions. However, specific functions were already devolved to LGUS in 1992 via RA 7160. Did RA7160 only mandate partial devolution? Why is it called full devolution? Is there something new to devolve?

For me, EO 138 showed obvious realities at the LGU levels.

First is that the NG is aware that there are LGUs that cannot provide all the required devolved services to them as enumerated in Sec. 17 RA7160 due to inadequate financial resources. This is the reason NG provides Assistance to LGU programs and projects.

Second is that the Mandanas-Garcia ruling will help promote LGUs further pursue their desired development. Align with the concept of local autonomy and with the just share of the national taxes, LGUs can now fund their needed projects.

Third is that with the transfer of the remaining “just share” of the LGUs from the NG, wherein the NGs enjoyed the said share for almost two decades, the NG is worried that some of their programs will be affected by the decrease in their available fund, thus, the NG is clearly delineating projects that will be funded by them and by the LGUs and in part ensure that the LGUs perform their devolved services or add to those already devolved services.

Department of Budget and Management Local Budget Memorandum No. 82-2021

The DBM LBM No. 82 – 2021 entitled “Indicative FY 2022 National Tax Allotment (NTA) Shares of LGUs and Guidelines on the Preparation of the FY 2022 Annual Budgets of LGUs” was released on June 14, 2021.

To know more about DBM LBM No. 82 – 2021 check out https://www.dbm.gov.ph/index.php/279-latest-issuances/local-budget-memorandum/local-budget-memorandum-2021/1887-local-budget-memorandum-no-82

According to DBM LBM No. 82 – 2021, the NTA shares of LGUs significantly increased in FY 2022 as a result of the implementation of the SC decision on the Mandanas-Garcia Case. Consequently, starting FY 2022, there shall be scaling down of the financial subsidy of National Government Agencies (NGAs) for local programs and projects of LGU.

However the memorandum reminds LGUs to consider the expected down trend of NTA in the succeeding years, specifically in FYs 2023-2024. This is because of the lower revenue collections of the Government in FY 2020 and possibly in FY 2021 as a result of the continuous imposition of community quarantines and restrictions on the mobility of the general public due to the COVID-19 pandemic.

DBM LBM No. 82 – 2021 showed the NTA allotment of LGUs for fiscal year 2022. LGUs will have more resources to fund their preferred projects (if not negatively affected by the impact of EO 138). However, LGUs should be very careful in choosing projects that will require the same resources to maintain or sustain. The memorandum warned LGUs that their just share in 2023-2024 will be lower than in 2022.

What are its implications?

First is if the LGU embarks on big projects like building hospitals, hiring more personnel, etc., it may afford to implement it on 2022 but will have difficulty sustaining it in 2023-2024.

Second is that the LGUs are still recovering from their unplanned expenses brought about by the illegal drug war and the pandemic. 2022 is the time wherein hopefully they can resume their programs related to their desired local development with the help of its “just share” from the NG.

The Pandemic displayed how LGUs stepped-up to the global problem by taking care of its constituents. The NG and LGUs partnered in delivering support (food and health) to ensure the survival of the people. It may be enough or ideal but I believe they are doing their best specially the LGUs.

Just Share and Beyond

The “just share” is not an additional fund. It is the right fund that should have been given to LGUs to ensure to reach their self-determination via their political and fiscal autonomy. It is not correct to treat it as an additional fund. It is also not proper to add responsibilities to the LGUs because they will now get what they should have gotten yearly in the past two decades.

LGUs should not celebrate too early by embarking on expensive projects that they cannot sustain. LGUs should always review Art. 17 of RA 7160 to both guide them in choosing projects to implement and manage the expectations of their stakeholders.

Devolved Services (RA 7160 Sec. 17)
BarangayMunicipalityProvince
(i) Agricultural support services which include planting materials distribution system and operation of farm produce collection and buying stations;   (ii) Health and social welfare services which include maintenance of barangay health center and day-care center;   (iii) Services and facilities related to general hygiene and sanitation, beautification, and solid waste collection;   (iv) Maintenance of katarungang pambarangay;   (v) Maintenance of barangay roads and bridges and water supply systems;   (vi) Infrastructure facilities such as multi-purpose hall, multi-purpose pavement, plaza, sports center, and other similar facilities;   (vii) Information and reading center; and   (viii) Satellite or public market, where viable;    

     
Devolved Services to Municipalities + Provinces
= Devolved Services to Cities
(i) Extension and on-site research services and facilities related to agriculture and fishery activities which include dispersal of livestock and poultry, fingerlings, and other seeding materials for aquaculture; palay, corn, and vegetable seed farms; medicinal plant gardens; fruit tree, coconut, and other kinds of seedling nurseries; demonstration farms; quality control of copra and improvement and development of local distribution channels, preferably through cooperatives; interbarangay irrigation systems; water and soil resource utilization and conservation projects; and enforcement of fishery laws in municipal waters including the conservation of mangroves;   (ii) Pursuant to national policies and subject to supervision, control and review of the DENR, implementation of community-based forestry projects which include integrated social forestry programs and similar projects; management and control of communal forests with an area not exceeding fifty (50) square kilometers; establishment of tree parks, greenbelts, and similar forest development projects;   (iii) Subject to the provisions of Title Five, Book I of this Code, health services which include the implementation of programs and projects on primary health care, maternal and child care, and communicable and non-communicable disease control services; access to secondary and tertiary health services; purchase of medicines, medical supplies, and equipment needed to carry out the services herein enumerated;   (iv) Social welfare services which include programs and projects on child and youth welfare, family and community welfare, women’s welfare, welfare of the elderly and disabled persons;  community-based rehabilitation programs for vagrants, beggars, street children, scavengers, juvenile delinquents, and victims of drug abuse; livelihood and other pro-poor projects; nutrition services; and family planning services;   (v) Information services which include investments and job placement information systems, tax and marketing information systems, and maintenance of a public library;   (vi) Solid waste disposal system or environmental management system and services or facilities related to general hygiene and sanitation;   (vii) Municipal buildings, cultural centers, public parks including freedom parks, playgrounds, and other sports facilities and equipment, and other similar facilities;   (viii) Infrastructure facilities intended primarily to service the needs of the residents of the municipality and which are funded out of municipal funds including, but not limited to, municipal roads and bridges; school buildings and other facilities for public elementary and secondary schools; clinics, health centers and other health facilities necessary to carry out health services; communal irrigation, small water impounding projects and other similar projects; fish ports; artesian wells, spring development, rainwater collectors and water supply systems; seawalls, dikes, drainage and sewerage, and flood control; traffic signals and road signs; and similar facilities;   (ix) Public markets, slaughterhouses and other municipal enterprises;   (x) Public cemetery;   (xi) Tourism facilities and other tourist attractions, including the acquisition of equipment, regulation and supervision of business concessions, and security services for such facilities; and   (xii) Sites for police and fire stations and substations and municipal jail;(i) Agricultural extension and on-site research services and facilities which include the prevention and control of plant and animal pests and diseases; dairy farms, livestock markets, animal breeding stations, and artificial insemination centers; and assistance in the organization of farmers’ and fishermen’s cooperatives and other collective organizations, as well as the transfer of appropriate technology;   (ii) Industrial research and development services, as well as the transfer of appropriate technology;   (iii) Pursuant to national policies and subject to supervision, control and review of the DENR, enforcement of forestry laws limited to community-based forestry projects, pollution control law, small-scale mining law, and other laws on the protection of the environment; and mini-hydroelectric projects for local purposes;   (iv) Subject to the provisions of Title Five, Book I of this Code, health services which include hospitals and other tertiary health services;   (v) Social welfare services which include programs and projects on rebel returnees and evacuees; relief operations; and population development services;   (vi) Provincial buildings, provincial jails, freedom parks and other public assembly areas, and similar facilities;   (vii) Infrastructure facilities intended to service the needs of the residents of the province and which are funded out of provincial funds including, but not limited to, provincial roads and bridges; inter-municipal waterworks, drainage and sewerage, flood control, and irrigation systems; reclamation projects; and similar facilities;   (viii) Programs and projects for low-cost housing and other mass dwellings, except those funded by the Social Security System (SSS), Government Service Insurance System (GSIS), and the Home Development Mutual Fund (HDMF); Provided, That national funds for these programs and projects shall be equitably allocated among the regions in proportion to the ratio of the homeless to the population;   (ix) Investment support services, including access to credit financing;   (x) Upgrading and modernization of tax information and collection services through the use of computer hardware and software and other means;   (xi) Inter-municipal telecommunications services, subject to national policy guidelines; and   (xii) Tourism development and promotion programs;
Devolved Services to LGUs (RA 7160)

Mandanas-Garcia vs. Executive Secretary Case Digest

Mandanas, et. al vs. Executive Secretary et. al
G.R. No. 199802, July 03, 2018
Garcia vs. Executive Secretary et. al
G.R. No. 208488, July 3, 2018
En Banc
Ponente; BERSAMIN, J.:

Facts:

Mandanas et. al and Garcia both filed a case against Executive Secretary et. al challenging the manner in which the just share in the national taxes of the local government units (LGUs) has been computed.

The 1987 Constitution continued to push towards decentralization of government and local autonomy. Republic Act 7160 also known as the Local Government Code of 1991 further strengthened the local autonomy and fiscal capability of Local Government Units (LGUs).

Local autonomy has two facets, the administrative and the fiscal. Fiscal autonomy means that local governments have the power to create their own sources of revenue in addition to their equitable share in the national taxes released by the National Government, as well as the power to allocate their resources in accordance with their own priorities. Such autonomy is as indispensable to the viability of the policy of decentralization as the other.

The Internal Revenue Allotment (IRA) is the basis of the share of LGUs from the national taxes. The IRA is determined on the basis of the actual collections of the National Internal Revenue Taxes (NIRTs) as certified by the Bureau of Internal Revenue (BIR).

Below are details of the petitions of Mandanas, et. al and Garcia.

G.R. No. 199802 (Mandanas, et al.)G.R. No. 208488 (Congressman Enrique Garcia, Jr.)
a special civil action for certiorari, prohibition and mandamus assailing the manner the General Appropriations Act (GAA) for FY 2012 computed the IRA for the LGUsseeks the writ of mandamus to compel the respondents thereat to compute the just share of the LGUs on the basis of all national taxes
– allege herein that certain collections of NIRTs by the Bureau of Customs (BOC) – specifically: excise taxes, value added taxes (VATs) and documentary stamp taxes (DSTs) – have not been included in the base amounts for the computation of the IRA;
– that such taxes, albeit collected by the BOC, should form part of the base from which the IRA should be computed because they constituted NIRTs;
– that, consequently, the release of the additional amount of P60,750,000,000.00 to the LGUs as their IRA for FY 2012 should be ordered; and
– that for the same reason the LGUs should also be released their unpaid IRA for FY 1992 to FY 2011, inclusive, totaling P438,103,906,675.73.
– insists on a literal reading of Section 6, Article X of the 1987 Constitution.
– that the insertion by Congress of the words internal revenue in the phrase national taxes found in Section 284 of the LGC caused the diminution of the base for determining the just share of the LGUs, and should be declared unconstitutional;
– that, moreover, the exclusion of certain taxes and accounts pursuant to or in accordance with special laws was similarly constitutionally untenable;
– that the VATs and excise taxes collected by the BOC should be included in the computation of the IRA; and – that the respondents should compute the IRA on the basis of all national tax collections, and thereafter distribute any shortfall to the LGUs.
The cases were consolidated on October 22, 2013

In response to the petitions, the several respondents, represented by the Office of the Solicitor General (OSG), urged the dismissal of the petitions upon procedural and substantive considerations.

Below are the answers of the OSG.

Response of the Office of the Solicitor General (OSG)
urged the dismissal of the petitions upon procedural and substantive considerations
Procedural considerationsSubstantive considerations
1. mandamus does not lie in order to achieve the reliefs sought because Congress may not be compelled to appropriate the sums allegedly illegally withheld for to do so will violate the doctrine of separation of powers; and,
2. mandamus does not also lie to compel the DBM to release the amounts to the LGUs because such disbursements will be contrary to the purposes specified in the GAA;
– that Garcia has no clear legal right to sustain his suit for mandamus;
– that the filing of Garcia’s suit violates the doctrine of hierarchy of courts; and
– that Garcia’s petition seeks declaratory relief but the Court cannot grant such relief in the exercise of its original jurisdiction.
– Article 284 of the LGC is consistent with the mandate of Section 6, Article X of the 1987 Constitution to the effect that the LGUs shall have a just share in the national taxes;
– that the determination of the just share is within the discretion of Congress; that the limitation under the LGC of the basis for the just share in the NIRTs was within the powers granted to Congress by the 1987 Constitution;
– that the LGUs have been receiving their just share in the national taxes based on the correct base amount;
– that Congress has the authority to exclude certain taxes from the base amount in computing the IRA;
– that there is a distinction between the VATs, excise taxes and DSTs collected by the BIR, on one hand, and the VATs, excise taxes and DSTs collected by the BOC, on the other, thereby warranting their different treatment; and
– that Development Budget Coordination Committee (DBCC) Resolution No. 2003-02 dated September 4, 2003 has limited the base amount for the computation of the IRA to the “cash collections based on the BIR data as reconciled with the Bureau of Treasury;” and that the collection of such national taxes by the BOC should be excluded.

ISSUES

Issues
General Issue: Whether or not the exclusion of certain national taxes from the base amount for the computation of the just share of the LGUs in the national taxes is constitutional
I. Whether or not mandamus is the proper vehicle to assail the constitutionality of the relevant provisions of the GAA and the LGC;
II. Whether or not Section 284 of the LGC is unconstitutional for being repugnant to Section 6, Article X of the 1987 Constitution;
III. Whether or not the existing shares given to the LGUs by virtue of the GAA is consistent with the constitutional mandate to give LGUs a “just share” to national taxes following Article X, Section 6 of the 1987 Constitution;
IV. Whether or not the petitioners are entitled to the reliefs prayed for.

RULING / HELD

Ruling of the Court (Mandanas-Garcia Case)
1. Mandamus is an improper remedy– The writ of mandamus may not issue to compel an official to do anything that is not his duty to do, or that is his duty not to do, or to obtain for the petitioner anything to which he is not entitled by law.
– Congress cannot be compelled by writ of mandamus.
– The discretion of Congress thereon, being exclusive, is not subject to external direction; otherwise, the delicate balance underlying our system of government may be unduly disturbed
2. Municipal corporations and their relationship with Congress– Municipal governments are only agents of the national government.
– Municipal corporations owe their origin to, and derive their powers and rights wholly from the legislature.
– This basic relationship between the national legislature and the local government units has not been enfeebled by the new provisions in the Constitution strengthening the policy of local autonomy.
– The LGC provided a norm of interpretation in favor of the LGUs in its Section 5(a), to wit:  (a) Any provision on a power of a local government unit shall be liberally interpreted in its favor, and in case of doubt, any question thereon shall be resolved in favor of devolution of powers and of the local government unit. Any fair and reasonable doubt as to the existence of the power shall be interpreted in favor of the local government unit concerned; [Bold underscoring supplied for emphasis]
3. The extent of local autonomy in the Philippines– The 1987 Constitution limits Congress’ control over the LGUs by ordaining in Section 25 of its Article II that: “The State shall ensure the autonomy of local governments.”
– Certain limitations are and can be imposed by Congress in all the forms of decentralization, for local autonomy, whether as to power or as to administration, is not absolute. The LGUs remain to be the tenants of the will of Congress subject to the guarantees that the Constitution itself imposes.
4. Section 284 of the LGC deviates from the plain language of Section 6 of Article X of the 1987 Constitution– Section 6, Article X the 1987 Constitution textually commands the allocation to the LGUs of a just share in the national taxes
– Section 6, when parsed, embodies three mandates, namely: (1) the LGUs shall have a just share in the national taxes; (2) the just share shall be determined by law; and (3) the just share shall be automatically released to the LGUs.
– LGC Section 284. Allotment of Internal Revenue Taxes. – Local government units shall have a share in the national internal revenue taxes based on the collection of the third fiscal year preceding the current fiscal year
– Section 6 mentions national taxes as the source of the just share of the LGUs while Section 284 ordains that the share of the LGUs be taken from national internal revenue taxes instead.
– Garcia contends that Congress has exceeded its constitutional boundary by limiting to the NIRTs the base from which to compute the just share of the LGUs.
– The Court agree with Garcia’s contention.
– Section 284 has effectively deprived the LGUs from deriving their just share from other national taxes, like the customs duties.
– Strictly speaking, customs duties are also taxes because they are exactions whose proceeds become public funds.
– The exclusion of other national taxes like customs duties from the base for determining the just share of the LGUs contravened the express constitutional edict in Section 6, Article X the 1987 Constitution.
– To read Section 6 differently as requiring that the just share of LGUs in the national taxes shall be determined by law is tantamount to the unauthorized revision of the 1987 Constitution.
5. Congress can validly exclude taxes that will constitute the base amount for the computation of the IRA only if a Constitutional provision allows such exclusion– Section 284 does not authorize any exclusion or deduction from the collections of the NIRTs for purposes of the computation of the allocations to the LGUs.
– Anent the share of the affected LGUs in the proceeds of the sale and conversion of the former military bases pursuant to R.A. No. 7227, the exclusion is warranted for the reason that such proceeds do not come from a tax, fee or exaction imposed on the sale and conversion.
6. Entitlement to the reliefs sought– The petitioners’ prayer for the payment of the arrears of the LGUs’ just share on the theory that the computation of the base amount had been unconstitutional all along cannot be granted
– doctrine of operative fact
* recognizes the existence of the law or executive act prior to the determination of its unconstitutionality as an operative fact that produced consequences that cannot always be erased, ignored or disregarded. * nullifies the void law or executive act but sustains its effects. It provides an exception to the general rule that a void or unconstitutional law produces no effect
* applies only to cases where extraordinary circumstances exist, and only when the extraordinary circumstances have met the stringent conditions that will permit its application
* the effect is prospective
7. Automatic release of the LGUs’ just share in the National Taxes– Section 6, Article X of the 1987 Constitution commands that the just share of the LGUs in national taxes shall be automatically released to them.
– The term automatic connotes something mechanical, spontaneous and perfunctory
– The LGUs are not required to perform any act or thing in order to receive their just share in the national taxes
– Automatic release without need of appropriation
Decision
1. DECLARES the phrase “internal revenue” appearing in Section 284 of Republic Act No. 7160 (Local Government Code) UNCONSTITUTIONAL, and DELETES the phrase from Section 284.
2. ORDERS the SECRETARY OF THE DEPARTMENT OF FINANCE; the SECRETARY OF THE DEPARTMENT OF BUDGET AND MANAGEMENT; the COMMISSIONER OF INTERNAL REVENUE; the COMMISSIONER OF CUSTOMS; and the NATIONAL TREASURER to include ALL COLLECTIONS OF NATIONAL TAXES in the computation of the base of the just share of the Local Government Units according to the ratio provided in the now-modified Section 284 of Republic Act No. 7160 (Local Government Code) except those accruing to special purpose funds and special allotments for the utilization and development of the national wealth.
3. DECLARES that:
(a) The apportionment of the 25% of the franchise taxes collected from the Manila Jockey Club and Philippine Racing Club, Inc. – that is, five percent (5%) to the National Government; five percent (5%) to the host municipality or city; seven percent (7%) to the Philippine Charity Sweepstakes Office; six percent (6%) to the Anti-Tuberculosis Society; and two percent (2%) to the White Cross pursuant to Section 6 of Republic Act No. 6631 and Section 8 of Republic Act No. 6632 – is VALID;
(b) Section 8 and Section 12 of Republic Act No. 7227 are VALID; and, ACCORDINGLY, the proceeds from the sale of the former military bases converted to alienable lands thereunder are EXCLUDED from the computation of the national tax allocations of the Local Government Units; and
(c) Section 24(3) of Presidential Decree No. 1445, in relation to Section 284 of the National Internal Revenue Code, apportioning one-half of one percent (1/2 of 1%) of national tax collections as the auditing fee of the Commission on Audit is VALID;
4. DIRECTS the Bureau of Internal Revenue and the Bureau of Customs and their deputized collecting agents to certify all national tax collections, pursuant to Article 378 of the Implementing Rules and Regulations of R.A. No. 7160
5. DISMISSES the claims of the Local Government Units for the settlement by the National Government of arrears in the just share on the ground that this decision shall have PROSPECTIVE APPLICATION
6. COMMANDS the AUTOMATIC RELEASE WITHOUT NEED OF FURTHER ACTION

SEPARATE / DISSENTING OPINIONS

Separate Opinion – Velasco, Jr., J.
Voted to partially grant the petitions
Concur with the following dispositions:
1. The phrase “internal revenue” appearing in Section 284 of RA 7160 is declared UNCONSTITUTIONAL and is hereby DELETED.
2. Respondents are hereby DIRECTED to include all forms of national tax collections, other than those accruing to special purpose funds and special allotments for the utilization and development of national wealth, in the subsequent computations for the base amount of just share the Local Government Units are entitled to.
3. In addition, the Court further DECLARES that:
a. The apportionment of specified incremental taxes is VALID and shall be observed;
b. Sections 8 and 12 of RA 7227 are hereby declared VALID. The proceeds from the sale of military bases converted to alienable lands thereunder are EXCLUDED from the computation of the national tax allocations of the Local Government Units since these are sales proceeds, not tax collections;           
c. The one-half of one percent (1/2%) of national tax collections as the auditing fee of the Commission on Audit under Section 24(3) of Presidential Decree No. 1445 shall not be deducted prior to the computation of the forty percent (40%) share of the Local Government Units in the national taxes; and
d. Other special purpose funds are likewise EXCLUDED from the computation of the national tax allotment base.
4. The Bureau of Internal Revenue and Bureau of Customs are hereby ORDERED to certify to the Department of Budget and Management all their collections and remittances of National Taxes;
5. PROSPECTIVE APPLICATION from finality of this decision in view of the operative fact doctrine. Denied petitioners’ claims of arrears from the national government for the unlawful exclusions from the base amount.
6. The national tax allotments of the Local Government Units shall AUTOMATICALLY and DIRECTLY be released, without need of any further action
Dissenting Opinion – Leonen, J.
Voted to Dismiss the Petitions
1. There was no unlawful neglect on the part of public respondents, particularly the Commissioner of Internal Revenue, in the computation of the internal revenue allotment. Moreover, the act being requested of them is not their ministerial duty; hence, mandamus does not lie and the Petitions must be dismissed.
2. The deductions to the Bureau of Internal Revenue’s collections made pursuant to special laws were proper.
3. The Court should exercise deference to the interpretation of Congress and of the President of what constitutes the “just share” of the local government units.
4. Congress has full discretion to determine the “just share” of the local government units, in which authority necessarily includes the power to fix the revenue base, or to define what are included in this base, and the rate for the computation of the internal revenue allotment. Absent any clear and unequivocal breach of the Constitution, this Court should proceed with restraint when a legislative act is challenged in deference to a co-equal branch of the Government.
5. The “automatic release” in Section 286 of the Local Government Code as “without need for a yearly appropriation” is contrary to the Constitution. A statute cannot amend the Constitutional requirement.
6. The release of the local government units’ share without an appropriation substantially amends the Constitution. It also gives local governments a level of fiscal autonomy not enjoyed even by constitutional bodies like the Supreme Court, the Constitutional Commissions, and the Ombudsman. It bypasses Congress as mandated by the Constitution. “Without appropriation” also substantially alters the relationship of the President to local governments, effectively diminishing, if not removing, supervision as mandated by the Constitution.
Separate Opinion – Caguioa, J.
Voted to Dismiss the Petitions
Submit that J. Leonen’s liberal approach should be upheld.
1. Posits that if any reasonable basis may be conceived which supports the statute, it will be upheld, and the challenger must negate all possible bases; that the courts are not concerned with the wisdom, justice, policy, or expediency of a statute; and that a liberal interpretation of the constitution in favor of the constitutionality of legislation should be adopted. Before a law is declared unconstitutional, there must be a clear and unequivocal showing that what the Constitution prohibits, the statute permits. In other words, laws shall not be declared invalid unless the conflict with the Constitution is clear beyond reasonable doubt.
2. Constitution gave Congress the absolute authority and discretion to determine the LGUs’ “just share” — which include both the classes of national taxes and the percentages thereof.
3. Appropriation is not a judicial function, Congress, which holds the power of the purse, is in the best position to determine the “just share” of the LGUs based on their needs and circumstances
4. Agree with the ponencia’s position that the operative fact doctrine should apply to this case. The doctrine nullifies the effects of an unconstitutional law or an executive act by recognizing that the existence of a statute prior to a determination of unconstitutionality is an operative fact and may have consequences that cannot always be ignored. Petitioners cannot claim deficiency IRA from previous fiscal years as these funds may have already been used for government projects, the undoing of which would not only be physically impossible but also impractical and burdensome for the Government.  
Dissenting Opinion – Reyes, Jr. J.
Voted to Dismiss the petitions
1. The national legislature is still the principal of the local government units, which cannot defy its will or modify or violate it. despite the shift towards local autonomy, the National Government, through Congress, retains control over LGUs—albeit, in a lesser degree.
2. The plain text of Section 6, Article X of the 1987 Constitution requires Congress to provide LGUs with a just share in the national taxes, which should be automatically released to them. Nowhere in this provision does the Constitution specify the taxes that should be included in the just share of LGUs. Neither does the Constitution mandate the inclusion of all national taxes in the computation of the IRA or in any other share granted to LGUs.
3. Congress has the authority to determine the exact percentage share of the LGUs, Congress may likewise determine the basis of this share and include some or all of the national taxes for a given period of time. Congress possesses the power of the purse.
4. The determination of Congress as to the base amount for the computation of the IRA is a policy question of policy best left to its wisdom. The Court may neither bind the hands of Congress nor supplant its wisdom.

Full Case Texts can be viewed at: https://www.chanrobles.com/cralaw/2018julydecisions.php?id=530

Planning a Walkable and Bicycle-Friendly City (Local Government Unit)

Imagine our parents, children, students, women, wheel-chair bound persons with disability (PWD), and the people of a city/municipality in general enjoying and safely using their sidewalks, walkways, and bicycle lanes in their neighborhood. Close your eyes and picture this – Students having fun walking or biking to schools or playgrounds, employees safely biking to work, people going to malls and markets in their bicycles, our senior citizens walking safely to parks, and persons in wheelchair greeting each other in an accessible and safe pedestrian space. As planners, what can we do to somehow come close to this ideal place?

The City Government of Santa Rosa formulated its Pedestrian and Bicycle Master Plan (PBMP). The aims of the PBMP is to improve safety and accessibility of other road users by strategically providing quality walkway and bikeway network spaces and infrastructure for the people in the City.

The City of Santa Rosa hired an expert consultant to assist in the formulation of the PBMP. The Mayor created a Technical Working Groups (TWG) composed of members from the government, private sectors, and non-government organizations to work together in the formulation of the master plan. The objective of the city in formulating the plan is to check if the PBMP is technically feasible, acceptable and sustainable in Santa Rosa.

The strategies identified in the plan are the identification and establishment of dedicated or segregated lanes, hybrid or shared lanes, and facilitating short cuts or secondary networks.

The study revealed that the PBMP is feasible, acceptable and sustainable to the city. National government policies are also aligned with the PBMP aims and objectives.

The PBMP is aligned with Department of Interior and Local Government (DILG) Memorandum Circular (MC) 2020-100 (July 17, 2020) Guidelines for the Establishment of a Network of Cycling Lanes and Walking Paths to Support People’s Mobility and the Department of Public Works and Highways Department Order No. 88 series of 2020 (September 29, 2020) Prescribing Guidelines on the Design of Bicycle Facilities along national Roads.

The plan also supports the achievement of the eleven (11) of the seventeen (17) Sustainable Development Goals (SDGs) as follows:

a. Goal No. 1: End Poverty in all its forms everywhere.

Biking and walking are affordable and simple modes of transport enabling access to education, jobs, markets, and community activities. Biking and walking for some are the only affordable technical means of transport for people and goods thus lowering the expenses of the household.

b. Goal No. 2: End hunger, achieve food security, and improve nutrition and promote sustainable agriculture.

Biking and walking, in particular for the poor, help ensure access to food supplies, increasing their nutrition options and ensuring the sustainable transportation of food products.

c. Goal No. 3: Ensure healthy lives and promote well-being for all ages.

Biking and walking generate healthy and non-air-polluting lifestyles.

d. Goal No. 5: Achieve Gender Equality and empower all women and girls.

Biking and walking encourage governments to provide safe spaces/access for women and girls to schools, markets, and jobs.

e. Goal No. 7: Ensure access to affordable, reliable, sustainable and modern energy for all.

Biking and walking improve the energy efficiency of transport systems as it uses renewable human power in the most efficient way to move people and goods.

f. Goal No. 8: Promote sustained, inclusive and sustainable economic growth, full and productive employment, and decent work for all.

Biking and walking will open up a culture which will provide a very high potential for biking tourism and other healthy leisure activities.

g. Goal No. 9: Build resilient infrastructure, promote inclusive and sustainable industrialization and foster innovation.

Biking and walking enable people to switch from the use of individual motorized transport to a combination of active mobility (walking and biking) and public transport. Biking and walking will make it easier for the government to build resilient infrastructure and sustainable transport systems for economic development and human well-being, with focus on affordable and equitable access for all.

h. Goal No. 11: Make cities and human settlements inclusive, safe, resilient and sustainable.

Biking and walking are affordable, safe, non-polluting, healthy, and promote a sustainable economy. Biking promotes a sustainable transport system.

i. Goal No. 12: Ensure sustainable consumption and production patterns.

Biking and walking offer people the opportunity to move around in a sustainable way. Some goods can be delivered using bicycles. Possible increase in biking tourism will create more options for people to choose sustainable tourism.

j. Goal No. 13: Take urgent action to combat climate change and its impacts.

Walking/biking facilities are strong symbols of decarbonizing transport and communities; it offers immediate climate action.

k. Goal No. 17: Strengthen the means of implementation and revitalize the global partnership for sustainable development.

Biking and walking advocacy may promote effective public, private and civil society partnerships.

As early as 2007, Mayor Arlene Arcillas together with the Rotary Club of Sta. Rosa and Toyota Autoparts Philippines, Inc. launched the “Road Safety Academy” which is the first in the Philippines. Its objective is to educate students, drivers, operators, homeowners, etc. on the importance of following traffic regulations through a series of traffic seminars/orientations. The PBMP is a document plan that promotes Road Safety of all road users.

The PBMP ensures that the responsible people of Santa Rosa have the infrastructure and policy support in terms of ensuring a safe and connected bicycle and pathway system in the City.

The identified strategies and initiatives in the Santa Rosa Pedestrian and Bicycle Master Plan addresses the Santa Rosa’s call to promulgate the use of bicycle and walking as an alternative forms of travel not only because of its health benefits, but also its effect on the environment such as environmental protection, and reduction of greenhouse gas emissions while connecting communities the natural way.

The City of Santa Rosa PBMP was approved and adopted by the City via Sangguniang Panlungsod Resolution No. 0025 on March 2, 2020. Mayor Danilo Fernandez (2016-2019) continued the objective of Mayor Arlene Arcillas (2007 – 2016) on making sure that all road users in the city (including pedestrians and cyclists) can safely access important public spaces such as roads and streets. Mayor Arlene Arcillas (2019 – present) is again the Mayor of the City. Through the strong leadership of the Mayor, the policies of the National Government, the commitment of the city to the SDGs, and the programs, projects, and activities identified in the PBMP; it will only be a matter of time to appreciate Santa Rosa as a walkable and bicycle-friendly LGU.

Bikelanes and green pedestrian spaces are now being incorporated in road projects. Pilot areas are identified for establishment of bikelanes. I can see that more people are using their bicycles in their daily activities such as going to work or the market and leisurely during weekends and holidays. A culture of people using alternative and sustainable modes of transport such as biking and walking is inevitable to develop in the City of Santa Rosa. The City should continue to be aggressive in providing accessible and safe spaces to match the demand/need of our bikers and pedestrians.

How walkable / bicycle-friendly is your city/municipality?

Related Topics:

Addressing Traffic Issues without Building New Roads (but through Urban Planning)

NYC and LA – A Tale of Two Cities – Le Corbusier and Frank Lloyd Wright

How to Formulate and Update the Comprehensive Development Plan (CDP)

One of the required plans from Local Government Units (LGUs) is the Comprehensive Development Plan (CDP). The CDP is a three to six year multi-sectoral plan of the LGU which has its Local Development Investment Program (LDIP) composed of various multi-year projects. The LDIP is the basis of the LGU’s Annual Investment Plan (AIP). AIP on the other hand is the basis of the annual budget. Programs, projects and activities not budgeted are seldom implemented. Hence, it is safe to say that projects in the CDP are likely to be budgeted and implemented and will greatly affect / benefit the people in the LGU. Thus, it is really important to LGUs to formulate a good CDP.

As a City Planner, formulating the CDP is both challenging and rewarding. All we need to know and do to formulate the CDP is available online. A complete and detailed guide is available on the Department of Interior and Local Government’s (DILG) website. It is downloadable in PDF form – Guide to CDP Preparation for LGU. The guide is so complete to the point that it is overwhelming even to a seasoned city planner. Hence, in this blog entry, I tried to (hopefully) simplify the steps and tweak the process. I hope that the changes I present will be practically useful for other LGU planners like me.

The DILG CDP guide is composed of 5 major steps as follows: Step 1 Organize and Mobilize the Planning Team; Step 2 Revisit Existing Plans and Review LGU Vision; Step 3 Prepare Ecological Profile and Structured List of PPAs; Step 4 Prepare the Local Development Investment Program (LDIP); and Step 5 Prepare Needed Implementation Instruments. 

It is my personal opinion that the said steps are ideal for LGUs that are formulating their CDPs for the first time. Its comprehensiveness will truly guide the LGU planner in formulating their first ever CDP. However, most LGUs already have their CDP and only need to update the plan to be relevant to changing needs and priorities of its leaders and constituents. Hence, I am introducing an 8-step Modified CDP Process based on the DILG CDP Guide.

8-Step Modified CDP Process based on the DILG CDP Guide

Instead of immediately starting with organizing and mobilizing the Planning Team, I started with Step 1 as Pre-Planning Activities – Prepare Draft Socio-Ecological and Physical Profile (SEPP). The reason is that it is mandated to the Provincial/City/Municipal Planning and Development Coordinators (P/C/MPDCs) to conduct continuing studies, researches, and training programs necessary to evolve plans and programs for implementation. These studies and researches become part of the LGUs SEPP. Thus, the P/C/MPDCs should not wait for the Executive Order (EO) of the Local Chief Executive (LCE) initiating the formulation of the CDP before they formulate the LGUs SEPP. SEPP formulation is Step 3 in the DILG CDP Guide while it is Step 1 in our Modified CDP Process.

Step 2 is Organize and Mobilize the Planning Team. In this step, the LCE formulates an EO initiating the formulation of the CDP. The EO is the document that gives authority to the local planner and the planning team to coordinate and demand cooperation from other sectors (departments, agencies) with regards to the CDP formulation.

Step 3 is Revisit Existing Plans and Review Vision, Goals, Objectives, Timetable and Strategies (VGOTS); and Validation of the SEPP. Together with the planning team, the local planner revisits the LGU’s VGOTS and validates the SEPP formulated in Step 1.

Step 4 is Prepare Structure List of Programs, Projects, and Activities (PPAs). This is a wish list of PPAs per sector.

Step 5 is Prepare the Local Development Investment Program (LDIP). The PPAs wish list in Step 4 is prioritized based on agreed criteria of the planning team. Step 4 and Step 5 in our 8-Step Modified CDP Process corresponds to Step 4 of the DILG CDP Guide.

Step 6 is Prepare Needed Implementation Instruments and Authority Levers and Formulation of the Draft CDP and LDIP. Step 6 in our 8-Step Modified CDP Process corresponds to Step 5 which is the last step of the DILG CDP Guide. I emphasized the importance of coming out with draft documents at this stage. The draft document will be the basis of the next and last two steps.

Step 7 is Conduct of Public Consultation and LDC meeting. One of the responsibilities of the P/C/MPDCs is to promote people participation in development planning within the LGU concerned. Hence, Step 7 validates the draft plan, develops local champions and advocates, and promotes transparency, accountability, and good governance of the LGU.

Step 8 is Adoption, Approval, Implementation, and Monitoring of the CDP and LDIP. This is considered the culmination of the plan formulation. A plan is only a piece of paper if not adopted, approved and implemented by the LGU. The CDP and LDIP is approved via a Sanggunian (Council) Resolution and implemented via a Sanggunian (Council) Annual Investment Plan Resolution and Budget Appropriation Ordinance. It is again another responsibility of the P/C/MPDCs to monitor and evaluate the implementation of the different development programs, projects, and activities in the local government unit concerned in accordance with the approved development plan.

I will further explain the required activities and outputs per stage in the 8-Step Modified CDP Process based on the DILG CDP Guide in my next blog entry.

If you want to learn more about the responsibilities of a P/C/MPDCs; How to Formulate a CDP without hiring a Planning consultant; and the different plans in the LGUs; check the links below.

Let me know your thoughts on the 8-Step Modified CDP Process based on the DILG CDP Guide.

Ten Tips on how to formulate your Comprehensive Development Plan (CDP) without hiring a Planning Consultant

Urban Planning from National to Local Governments: Alignment and Relationship of Plans

What it meant to be a Local Government Planner

Pyrolysis in Integrated Solid Waste Management in Local Government Units (LGUs)

As a City Planner, there are local projects that I am personally excited to see accomplished. Some of these projects are the City Community College, City eco-tourism Park, and the City Pyrolysis facility, among others.

For this blog, I’ll focus on our on-going City Pyrolysis facility project.

Santa Rosa is a medium sized progressive city in the Philippines. The population growth rate of the city is higher than the population growth rate of the Philippines, CALABARZON region, and the Province of Laguna. This means that more people are attracted to live, study, or work in the City. The continuous increase in population also increases the waste specifically solid wastes output of the city. The city does not have its own dumpsite. Even if the city would want to establish its dumpsite it is no longer feasible. Hence, the city brings its solid wastes to its neighbouring city’s private dumpsite which at present is almost at its maximum capacity. The Solid Waste Management Plan of the City identified strategies to reduce, reuse, and recycle our solid wastes. One of the identified strategies of the city is the establishment of a Pyrolysis facility.

Pyrolysis is the heating of both organic and non-organic materials using very high temperature, in the absence of oxygen.  Pyrolysis of organic materials produces three products: one liquid (bio-oil), one solid (bio-char) and one gaseous (syngas) while pyrolysis of non-organic materials also produces solid, liquid, and gaseous fuels. This means that the solid wastes of the city would not be dumped in dumpsites located in other local government units. It will be processed within the city in its pyrolysis facility. The products of the facility can be stored and used as recycled energy source. The city may also opt to promote the facility as one of its economic enterprises wherein solid wastes of other cities will be processed in the city for a fixed fee/payment. The earnings may be further used to fund its environmental programs.

I believe that one of the important events that influenced the City in establishing its own Pyrolysis facility was our Study Tour for the NEXUS Project “Waste Water Management and Energy Recovery of Biogenic Wastes” in Berlin, Germany on March 18 -23, 2014. The trip was sponsored by Deutsche Gesellschaft fűr Internationale Zusammenarbeit (GIZ) GmbH and the Federal Ministry for Economic Cooperation and Development (BMZ). The objective of the study trip is to promote institutional and personnel local capacities for Integrated Resource Management sustainably in selected Asian cities. Hon. Arlene B. Arcillas our City Mayor, Engr. Maria Amor A. Salandanan  from the City Environment and Natural Resources Office, Mr. Celso Catindig from the City General Services Office, and I participated in the study tour.

Nexus Project

The Integrated Resource Management in Asian Cities: the Urban NEXUS rationale is to prepare pilot cities (including Santa Rosa) in the growing demand for water, energy and food by more than 50% by 2050. The increase in demand is due to rapid urbanization in Asian cities, high migration rates, and increasing supply problems. The Nexus Approach is to introduce new technologies to increase water, energy and food production efficiency. It is an integrated holistic urban planning and management of resources that promotes cross-sectorial planning thus breaking down the said “silos”. The identified Metropolitan Solutions are the following: establishment of energy efficiency of buildings; adjustment of  tariffs (consumption oriented and cost covering); strengthening of building codes and energy labeling for increased transparency; application of subsidies and price signals to incentivize energy-efficient investments; use of integrated design approaches and innovations; development and application of advanced technology to enable energy-saving; strengthening of workforce capacity for energy saving; and  mobilization of a culture of energy-awareness.

2014 Study Tour for the NEXUS Project “Waste Water Management and Energy Recovery of Biogenic Wastes”

The itinerary of the study tour includes learning visit to three major waste facilities: a modern recycling sorting plant, a sewage treatment plant, and a biogas and waste incineration plant.

First is we visited the ALBA Sorting Plant at Alt-Mahlsdorf 123,12623 Berlin. The theme of the visit is “Recycling at the source and further processing”. The visit includes an introduction to the system and a guided walk tour of the sorting plant. The ALBA sorting was commissioned in 2005 and is – even on an international scale – the most modern of its kind. We saw in the facility how waste packaging and other items made of plastic composites, tinplate and aluminum are being sorted.

The second facility we visited was the Schonerlinde Sewage Treatment Plant at Muhlenbeckerstrasse, Berliner Wasserbetriebe, Neue Judenstrare 1, 10179 Berlin, 16348 Wandlitz. The visit deepened our understanding of sewage treatment thru concrete demonstration of methods for extracting energy from the sewage sludge and the use of fermented waste for farming in the sewage treatment plant.  Schonerlinde cleans 105,000m3 of wastewater daily. The tour included a theoretical introduction to the wastewater reclamation and biogas recovery and a walking tour around the sewage treatment plant.

Schonerlinde Sewage Treatment Plant in Berlin, Germany

The third and last facility we visited was the Biogas Plant and Waste Incineration Plant, Ruhleben at  Freiheit 24 – 25, 13597 Berlin. The topic of the visit is the recycling of biological solid wastes for energy production and the fermented waste for farming (fertilizers, composting). The 60,000 tons of organic waste from the Berlin households are processed into biogas per year. The system works on the principle of dry fermentation process. The micro-organisms liberate biogas from the organic waste. Biogas can be used for various purposes. Cleaned, processed and concentrated, it is 98 percent of methane and is therefore chemically identical to natural gas and can be fed into the city gas network.

The Waste Incineration Plant Thermal waste treatment is an important part of a functioning waste management of the waste incineration plant (MHKW) in Ruhleben and is the core of the safe disposal in Berlin. It combines efficiency with consistent environmental orientation. Theoretical introduction to thermal waste treatment and management over the waste to energy plant were also discussed during our visit.

I realized from the Study Tour that theWaste Management System of Berlin has been implemented through years of continuous improvement. The population of Berlin and the huge amount of its waste generated necessitate the establishment of these big and advance waste management plants. Its population is mainly composed of the middle class who can pay waste management services. It greatly differs from the Santa Rosa context.

In comparison with Berlin, the City of Santa Rosa is an infant city. Our population is only around 300,000 in 2014 (during the visit) compared to millions of people living in Berlin, Germany. It is not yet recommended for our city to put up similar plants that will entail huge capital investments in 2014. If pursued, budget for other services such as social services will be affected. However, just like in Berlin, our city should start small or pilot projects similar to the concepts learned from the visited plants.

During that time, I believe that a possible application of the knowledge learned from the study trip in 2014 was the establishment of a small space dedicated to biomass facility in the city. It would be similar to the Schonerlinde Sewage Treatment Plant which uses wind energy (if feasible) to power the plant. The small biomass facility can be promoted by providing power to support its own operation and lighting streetlights within its vicinity for people to quickly appreciate the benefits of converting waste to energy.

I thought of small or pilot project applications in 2014. I was wrong. After seven years, the application is not small nor a pilot project. It is bigger and better.

2021 City Pyrolysis Facility

I believe that the Study Trip influenced the decision and strategy of our City Mayor Arlene Arcillas to establish the City Pyrolysis Facility. This will address the impending solid waste management problem, hospital wastes, etc. in the City of Santa Rosa.

The population of the city grew from 300,000 in 2014 to around 500,000 in 2021. The establishment of the pyrolysis facility is now cost-effective as compared in 2014 in terms of economies of scale (solid waste production).

The city implemented the following steps to ensure the availability of resources for the project. First, the city allocated fund for the purchase of land and land development for the pyrolysis facility site. Second, the city applied and was approved for a loan (2021) from a national government bank to fund the machines needed for the facility. Third and last, the city also prepositioned manpower to take care of the day to day operation of the facility.

The Santa Rosa Pyrolysis Plant Facility will be one of the first local government-established and managed pyrolysis facilities in the country. We are fortunate in the City of Santa Rosa because we are being led by a progressive thinking Mayor (Arlene Arcillas).

I am grateful to GIZ for including Santa Rosa as one of its NEXUS pilot cities. Our eyes and minds were opened to exciting alternatives in dealing with solid waste problems (especially during the study tour). I firmly believe that the establishment of our city’s pyrolysis facility is an offshoot of the NEXUS project.

Exciting times in the City of Santa Rosa!!

How is the solid waste management system in your city?

Ten Tips on how to formulate your Comprehensive Development Plan (CDP) without hiring a Planning Consultant

How will you plan in a less than ideal situation? How will you manage without outside help of experts? How will you proceed if you do not have enough data, information, manpower, or resources? This is our story.

Four years ago (2017), our office, the Office of the City Planning and Development Coordinator (CPDO), decided to start the formulation of our City’s Comprehensive Development Plan (CDP) for three reasons. First is it is a mandated plan of the local government unit (LGU), second is we are excited to do it ourselves because we did not allocate resources to hire a consultant to assist us in the formulation of the CDP, and third is we badly want to update our CDP to qualify our city to the Seal of Good and Local Governance (SGLG) award.

Our city’s past CDP is part of a combined plan composed of the Comprehensive Land Use Plan (CLUP) and CDP. That plan is called the Comprehensive Land Use and Development Plan (CLUDP) which covered the years 2000 to 2015. The city hired a consultant in 1999 to help formulate the CLUDP. Hence, if you will look at it, this is the first time our city will formulate its separate CDP. That time, we are both anxious and excited to face this challenge.

Our team is composed of officers from the CPDO. We asked the Mayor if we can go outside our city for four days to focus, study, brainstorm, and formulate a Draft CDP and Local Development Investment Program (LDIP) since we do not have an outside help (consultant) to assist us. We looked for a CDP guide or roadmap. We found a complete guide in the Department of Interior and Local Government’s (DILG) website. It is downloadable in PDF form. There is the reference (longer) detailed version and the Illustrative version. I’ll be posting here the Illustrative Guide to CDP Preparation for LGU.

We found the guide very helpful but also very overwhelming. The guide is so complete that it seems that the data and information we had would not suffice to formulate a decent CDP. We had to re-think on how to actually start our planning process. I am sharing with you some of the things or steps we did as a small group to overcome the dreaded situation and formulate a draft CDP as follows:

  1. Draft the Table of Contents

We started first by listing the suggested Table of Contents of the CDP from the DILG guidebook. This served as a checklist to review our available data, assign topics to a member, and a guidepost of our daily accomplishment. The table of contents allowed us to see the big picture and the preferred final output of our activity.

2. Divide the Table of Contents by Chapter, sectors or sub-chapters and by person responsible

We are 6 in our team. We have (2) two urban planners, (1) geographic information system (GIS) expert, (1) expert in local finance, and two (2) jack of all trades, editors, and multi-sectoral planners. We divided the table of contents by chapter, sectors or sub-chapters whichever is applicable based on available data and information.

3. Conduct Population Projection (the most important and available data)

Population data is readily available in the national government’s Philippine Statistical Authority (PSA). Population data is conducted via household census by the PSA every 5 years. The data also provides the growth rate of the LGU. For me, population data is the most important data. By population alone, a planner can project the needed number of houses, schools, hospitals, etc. I personally computed the population projection of the city from 2015 to 2022 that served as the basis for the component sectoral plans of the CDP.

4. Review vertical and horizontal plan alignment as well as other plans related to the LGU

Know the Role of the LGU un relation to other plans. I have a separate blog entry on the vertical and horizontal plan alignment of the LGU. I’ll leave a link to the blog at the end of this entry.

5. Review political platform of elected officials from national down to the LGU level

Planning is more of an art than a science. Planners who think that they are more important than the elected officials should think otherwise. There are great plans that gather dust and moulds somewhere in the planner’s office and there are not so great plans that are supported by elected officials. These not so great plans are given resources and implemented. Planners should learn to work with elected officials. Review their political platform, aspirations, and goals. Most of the time they have great and practical ideas that planners tend to overlook. Remember that as planners we plan for the people and our elected officials being voted into their positions are considered as the voice of the people.

Have a checklist of their plans, programs, and projects. You will eventually see a pattern which sector is their priority.

6. Give time to the person responsible to finish his/her draft report

Each of us went to our independent spot to work on our assigned task. We took note of our available data, tried to research to fill in the gaps in the data, benchmarked CDPs of other LGUs available in the internet, and prepared tables, graphs, and write-ups.

7. Present the individual output to the group

This is the time where we brainstorm. Everybody was encouraged to give his/her inputs to the presentation. We discussed what are the data needed to be included in the report, what are missing, is there a chance we can still get the data, if the data is not available – can the profile still supports the recommendation, will it look good in tables or graphs, and which should come first from the sets of data, among others. We all decide what should be included in the chapters, sectors or sub-chapters. When we are done, we again assign a different topic to cover the other chapters, and so on.

8. Fill-out the required information to the Table of Contents

Remember how someone solves a jigsaw puzzle? This is how we keep progress by fitting-in one piece at a time in our Table of Contents puzzle. It gave us a feeling of accomplishment whenever we fill-out a chapter or a sub-chapter. It further motivates us. For us, this numerous small wins greatly contribute to our objective of formulating our city’s CDP.

9. Decide which part of the Table of Contents should remain and which should be deleted

Some of our puzzle pieces or data and information are not available. However, the data that we have already provided us a more than clear picture of the situation of our city, what needs to be done, how the other plans (national, other LGUs, other local plans and elected officials) align, and how plans should be implemented. We then decide to cut part of the table of contents that we do not have enough data or not in the priority areas. It is not practical to put a sub-sector which does not have any data or impact to the city.

10. Finalize the draft

For me, this is the fun part, putting all the things together. Finalizing the draft is not a one-time step. It is actually reiterative. However, it always felt good to check on what your team accomplished in a short span of time.

We managed to formulate a draft CDP when we went back to our office. We then presented the outputs to the concerned departments for their additional comments, inputs, recommended changes, and validation. It took us around 2 months in conducting series of coordination and editing with the departments to finally finalize the CDP.

The DILG guidebook served as our main reference in the formulation of the CDP. However, I suggest treating it only as a guide and not aiming for its strict adherence. You’ll be frustrated. It is your plan, it is your city’s plan, and your city knows best what should be included in your plan.

As a practicing city government planner, I am planning to make a blog entry in the future introducing modified steps in the CDP guidebook to make it simpler and practical without straying away from the said guidebook.

Yes, you can formulate your CDP with your team without hiring a planning consultant. It is hard, challenging and painstaking but it is not impossible. Yes, we got the CDP approved by our Mayor and City Development Council; and adopted by our city council. It got the support of our elected officials. Finally, yes, our city qualified and got the Seal of Good and Local Governance (SGLG) award.

How about you? What challenges did you overcome as planner?

Vertical and horizontal plan alignment https://cityplanningcoordinator.blog/2021/05/25/urban-planning-from-national-to-local-governments-alignment-and-relationship-of-plans/

You might also want to check my other Urban Planning Blog entries:

Urban Planning in Local Government Units (LGUs)

How to become an Urban (Environmental) Planner? – Qualifying for the Exam

What is Urban (Environmental) Planning?

What Does an Urban Planner Do?

Urban Planning from National to Local Governments: Alignment and Relationship of Plans

As a city planner, people often ask me about the plans of my city. Most of the time, I answer with a question “what do you want to know?” or “what are the plans that you are interested in?” It is important as a planner to have the ability to communicate to people the big picture, the different classification, and the level of plans in our government. Even if you are a private urban planner practitioner, you still need to check government plans to ensure that your plans are aligned, compatible or relevant with the government’s direction. How well do you know government plans?

As a student, researcher, person preparing for his/her urban/environmental planning exam, or a new urban planner; it is essential for you to learn, understand and appreciate the different levels of plans in the government and how these plans relate to each other. I am going to present the levels of government, classification of government plans and the vertical and horizontal relationships of the said plans in this blog entry. I hope this will give you the required basic understanding on how plans work.

The hierarchy of plans can be downloaded at https://dhsud.gov.ph/guidebooks/. However, I modified the chart to include the annual plan and the budget allocation. The budget though not a plan itself is a very important (if not the most important) document which ensures the implementation and success of plans.

Levels of Government

On the left column (from top to bottom / vertical) of the Chart, we can see the levels of Government from National, Regional, Provincial and the City/Municipal level.

The central government is the national government. Formulation of plans in the national level is led by the National Economic and Development Authority (NEDA). The formulated plan covers the entire territory of the Philippines.

Levels of Government and Corresponding Plans

The regional level is not actually a government level. It is not part of the national government or the local government unit. It is more of a coordinating body in the region represented by its Regional Development Council (RDCs). Section 14, Article X of the 1987 Constitution provides that the President shall create RDCs and other similar bodies composed of local government officials, regional heads of departments and government offices and representatives from non-governmental organizations within the regions. The RDC is the highest policy-making body in the region and serves as the counterpart of the NEDA Board at the subnational level. The RDC is the primary institution that coordinates and sets the direction of all economic and social development efforts in the region. The formulated plans cover its corresponding region in the Philippines along with its component provinces, cities, municipalities and barangays.

The third level is the Provincial level which is a local government unit. The provincial level is led by its Governor and Provincial Council. The Provincial Planning and Development Coordinator (PPDC) which is also an urban/environmental planner facilitates the formulation of plans in the provincial level. The formulated plans cover its corresponding province along with its component cities, municipalities and barangays.

The last local government unit level is the city and municipal level. The city/municipal level is led by its Mayor and Council. The City or Municipal Planning and Development Coordinator (C/MPDC) which is also an urban/environmental planner facilitates the formulation of plans at the city/municipal level. The formulated plans cover its corresponding city or municipality along with its component barangays.

There is still another level below the city/municipal level. It is not shown in the illustration. This level is the barangay level. The Barangay is led by its Barangay Chairperson and council. The barangay is not required to hire an urban planner. The City / Municipal Planning and Development Coordinator (C/MPDC) of the city/municipality where the barangay is located helps the barangay formulate its development and annual plans. The formulated plans cover only the concerned barangay.

The Planning process uses both the Top-Down and Bottom-up approaches. The national government when formulating its framework and development plans ask for inputs from the regions, provinces, and cities/municipalities. The inputs are usually gathered by the regional development councils and submitted to the national government. On the other hand, when local government units prepare their framework and development plans, they consult and check the alignment of their plans with the present national framework and development plan.

Classification of Government Plans

On the second top level of the chart, from left to right (horizontally), you can see the different plans except for the budget component. The plans are the Physical Framework Plans (PFP) and Comprehensive Land Use Plans (CLUP), Comprehensive Socio-Economic Development Plans (DPs), Development Investment Programs (DIPs), Sectoral / Departments Agency Plans and Programs, and Annual Investment Plans (AIPs).

The Physical Framework Plans (PFP) and Comprehensive Land Use Plans (CLUP) deal with the physical development of the different levels of planning institutions (National to local). Physical means land uses and allocation of land / spaces for different activities depending on the objectives of the government.

The Comprehensive Socio-Economic Development Plans (DPs) deal with the holistic sectoral plans of the government institution. It is comprehensive because the different sectors are represented in the DPs. The DPs should be aligned with the identified uses of spaces in the PFP and CLUP. If a land is identified in the PFP/CLUP for agricultural use, the DPs as much as possible should not make a conflicting plan that will change or alter the use of the said land. This is an example of (horizontal) alignment of plans.

The Development Investment Programs (DIPs) are the lists of programs, projects and activities in relation (aligned) with the Development Plans (DPs). It includes infrastructure projects, procurement of land and machineries, and establishment of a unit, department or organization, among others. The years covered by the DPs are usually from 3 years to 6 years.

The Comprehensive Socio-Economic Development Plans (DPs) and the Development Investment Programs (DIPs) always go hand in hand. DPs will not be implemented without its DIPs.

The Sectoral / Department / Agency Plans and Programs are the specific plans per sector or department. The main sectors are social, economic, environment, infrastructure and institutional. The main sectors are composed of several sub-sectors. There are various departments at different levels of the government. Examples in the national level are the Department of Public Works and Highways, Department of Finance, Department of Defense, Department of Tourism, Department of Environment and Natural Resources, Department of Health, Department of Education, etc. These are their individual sectoral / department plans. Examples of departments in the local government levels are the engineering, health offices, environment and natural resources, social welfare, treasurer, assessor, budget, disaster risk reduction management, etc.

The Sectoral / Department / Agency Plans and Programs are both inputs and outputs of the Framework Plans / Land Use Plans and Development Plans (DPs).  They are considered as important inputs in the preparation of the plan. They give contexts to the current situation and what is needed to be done to achieve the identified objectives. They are also considered as outputs because the identified plans in the Framework Plans / Land Use Plans and Development Plans (DPs) will be part of their individual plans. The departments and agencies are also responsible to implement the plans.

The National Priority Plan (NPP) and the local government Annual Investment Plans (AIPs) are one-year development plans based on the Development Investment Programs (DIPs). It is the annual slice of the 3-6 years coverage of the DIPs. It constitutes the total resource requirements for all the programs, projects and activities (PPAs) and consists of the annual expenditure and regular operating requirements of the of the government institution. The PPAs in the NPP /AIP are the basis or inputs in the formulation of the annual appropriation.

The Budget component

The General Appropriations Act (GAA) and the local government Annual Appropriation Ordinance provide the resources needed to implement the NPP and the AIP, respectively. The NPP and the AIP are based / aligned with its PFP and CLUP, DP and DIP.

A plan with no allocated resources will not be implemented. It is important that plans are budgeted to ensure its implementation and meet its objectives. A plan without allocated resources is just a piece of document.

A plan precedes the budget. The budget is dependent on the approved plan. Thus, it is really important that the approved plan reflects the needs and objectives of the government institution.

Vertical Alignment of Plans (top to bottom / bottom – up plans)

The Physical Framework Plans (PFP) should be aligned from the National level down to the city / municipal level. The National Physical Framework Plan (NPFP) should be the reference theme by which all other plans (in any level) are directly linked and aligned. This will also ensure that plans are contributing and supportive of the physical development objectives and goals of the adopted national, regional, and local physical plans. The period coverage of the present NPFP is from 2016 to 2045 (30 years). The NPFP is composed of several MTPDP representing the term of the President.

The Physical Framework Plans (PFP) at the level of the national government is called the National Physical Framework Plans (NPFP), at the level of the region is called the RPFP, and the level of the province is called the Provincial Development and Physical Framework Plan (PDPFP).

The Physical Framework Plans (PFP) at the city / municipal level is called the Comprehensive Land Use Plan (CLUP). Unlike the other PFPs, the CLUP has an implementing law which is the Zoning Ordinance. The Zoning Ordinance directly affects the land use in the city or municipality. A landowner cannot alter or build a structure in his land without a locational clearance or zoning permit. The zoning clearance / permit is the first of the requirements that a person needs to comply before he can apply for a building permit. This ensures that construction of the building follows the CLUP and Zoning Ordinance of the city / municipality.

Vertical Alignment of Plans: Physical Framework Plans

Comprehensive Socio-Economic Development Plans (DPs) from the National to the City and municipal levels are the following: Philippine DP, Medium-Term Philippine Development Plan (MTPDP), RDP, Provincial DP, and C/M CDP. The Philippine DP covers the years 2017-2022 (6 years) coinciding the term of the President. The Philippine DP is also called the MTPDP.  The RDP, Provincial DP and C/M CDP coverage is around 3-6 years.

The Development Investment Programs (DIPs) from the National to the City and municipal levels are the following: Medium-Term Philippine Investment Program, RDIP, PDIP, and C/M Local Development Investment Plan. The DIPs are part of the DPs. They enumerate the lists of projects needed to be implemented to achieve the goals and strategies identified in the DPs.

The Sectoral / Department / Agency Plans and Programs are specific plans from the National to the City and municipal levels. They differ in their time period. What is important is that the plans and programs identified in the national level are aligned with the plans and programs at the lower levels and vice-versa.

Annual Investment Plans (AIPs) from the National to the City and municipal levels are the following: National Priority Plan (NPP); RDIP is composed of multi-year component which is the basis for preparing the annual budget proposals of Regional line agencies (RLAs); state universities and colleges (SUCs), and government-owned and controlled corporations (GOCCs); Provincial AIP; and C/M AIP.

The annual budget or appropriation makes sure that the AIPs are implemented by providing its needed resources. The budget approval from National to the City and municipal levels are as follows: General Appropriations Act (GAA), Provincial Annual Appropriation Ordinance, and C/M Annual Appropriation Ordinance. The regional level does not have a separate budget. Their budget usually comes from the GAA.

Horizontal Alignment of Plans (Plans in the same government level)

Horizontal alignment means the consistency and alignment of plans in the same government level. The highest plan is the physical framework plan while the annual investment plan is composed of specific programs, projects, and activities. The budget makes sure that the PPAs have allocated resources for implementation.

We identified four (4) government levels: National, Regional, Provincial and City / municipality level. The presentation of horizontal alignment of plans is repetitive per level.  I’ll present it briefly. What is important is that you appreciate the horizontal relationships and pattern of plans in the same government level.

At the national level, we have the NPFP, Medium-Term Philippine Development Plan, Medium-Term Philippine Investment Program, National Agency / Department / Sectoral Plans and Programs and the (annual) National Priority Plan (NPP). The General Appropriations Act (GAA) provides resources for the implementation of the NPP.

At the regional level, we have the RPFP, RDP, RDIP, Regional Sectoral Plans and Programs, and the RDIP annual component. The RDIP is budgeted via the General Appropriations Act (GAA).

At the Provincial level, we have the Provincial Development and Physical Framework Plan, Provincial DP, PDIP, Provincial Department / Sectoral Plans and Programs, Provincial AIP, Provincial Annual Appropriation Ordinance.

Horizontal Plan Alignment at the Level of the City and Municipality

At the City / Municipality level, we have the C/M CLUP, Zoning Ordinance, C/M CDP, C/M  LDIP, City / Municipal Department / Sectoral Plans and Programs, C/M AIP. The AIP is budgeted via the C/M Annual Appropriation Ordinance.

Unlike the other levels, the frame work plan of the city (CLUP) has its own implementing law which is the zoning ordinance.

Planners always see the big picture. When you look at a plan, try to look at its vertical and horizontal related plans.

This is the whole picture.

Can you see the big picture in your city / municipality??

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