UPSURGE : Urban Partnerships for Sustainable Upliftment, Renewal, Governance and Empowerment Project
1. PHILSSA-WB National Project Management Office (NPMO) Staff
- Project Coordinator: Silvida Reyes-Antiquera
- Senior Project Officer I: Abegyl Abe-Nolasco
- Senior Project Officer II: Candy Lachica-Hidalgo
- Junior Project Officer: Maribeth Molina-Añonuevo
- Finance Supervisor: Jennifer Cruz-Garay
- Senior Finance Officer: Bai Arlene Balono-Pangilinan
- Junior Finance Officer: Joseline Sekito-Bobis
TECHNICAL POOL OF CONSULTANTS
- Overall Technical Adviser Consultant: Ma. Anna de Rosas-Ignacio
- Local Governance & Participation Consultant: Anna Maria M. Gonzales
- Environment Management & Civil Works Consultant: Rommel R. Trinidad
- Bidding and Procurement Consultant: Arlene P. Puzon
2. Project Description
The Urban Partnerships for Sustainable Upliftment, Renewal, Governance And Empowerment (UPSURGE) Project builds on the success of the earlier Japan Social Development Fund (JSDF)-supported Upscaling Urban Poor Community Renewal Scheme (UUPCRS) Project which was completed in March 2006. The UUPCRS Project has demonstrated the effectiveness of a community-based and demand-driven approach in the implementation of slum upgrading projects. Communities that are fully involved in the identification, design, and implementation of projects proved to be effective project partners in slum upgrading work. Also, the experience of UUPCRS Project showed the that local government unit (LGU)-nongovernment organization (NGO)-community collaboration is a viable model of multisectoral partnership in that it can contribute to the immediate accomplishment of project requirements as well as in dealing with community concerns like cost recovery.
The UPSURGE design is similar to that of the UUPCRS, only with the institutionalization of this LGU-NGO-community partnership as its innovative feature. A major activity that the project intends to focus on is the creation of mechanisms in the local government to ensure that shelter concerns will be incorporated in the city development plan, program, budget, and government structure. The institutionalization of these mechanisms is expected to facilitate security of tenure, promote private and multisectoral participation in urban renewal, and encourage the interplay of resources available to the local housing board (LHB) or other parallel mechanisms. Mechanisms may vary from one city to another cognizant of the realities and capacities of the stakeholders but should uphold the principles of community-driven processes.
The project aims to benefit 4,000 households. As project managers, eight (8) NGOs and eight (8) community associations (CAs) will be provided training and capability building. Accordingly, the national government agencies will be provided with insights drawn from the project’s experience to inspire the formulation of national policies in housing and shelter provision.
The Project’s key result areas are as follows:
- Improvement in the physical and environmental well-being of the target community;
- Improvement in the social well-being of the community’s residents;
- Multistakeholder/counter-parting of all stakeholders;
- Institution building for the NGOs who will implement the project;
- Establishment of institutional mechanisms (LHB or other parallel structure in the local government) to facilitate collaboration between LGUs, civil society groups, and community associations; and
- Improvement in the capacity of local government’s, civil society groups, and community associations in planning, formulation, and implementation of slum upgrading projects.
The project objective is to institutionalize in LGUs a viable model of LGU-NGO-community partnership in addressing the shelter needs, improving the physical and environmental conditions, uplifting social well-being, and enhance economic opportunities of urban poor communities.
This project promotes the scaled-up implementation of slum upgrading projects by LGUs through the introduction and institutionalization of the LGU-NGO-community partnership model in more of LGUs. In addition, as this project requires counterpart funding from LGUs, it will encourage LGUs to mobilize resources for community renewal projects, specifically borrowing from LGU – financing programs including those offered by government financial institutions that are funded by the World Bank and other development partners.
This project will pursue the following principles:
- Partnership among LGUs, NGOs, and communities in the design and implementation of community upgrading projects;
- Cost recovery is possible, even in poor communities; and
- Competition in procurement even for small-scale community infrastructure can provide the best value for money.
Component A: Design and Organization
- Selected eight (8) project cities
- Executed tripartite agreement between and among PHILSSA, IAs, and LGUs in eight (8) project cities
- Selected IAs in the eight (8) project cities
- Selected project communities in the eight (8) cities
- Trained IA organizers and counterpart LGU staffs on community mobilization
- Prepared and disseminated the Project Operations Manual
Component B: Community Planning, Mobilization, and Subproject Implementation
- Conducted participatory assessment sessions and identified priority subprojects
- Prepared detailed plans and proposals for priority subprojects, including an agreed-upon cost recovery scheme
- Released funds for priority subprojects
- Submitted and verified reports on the subprojects
- Approved subprojects completed on time and within the budget
Component C: Training and Capacity Building
- Conducted needs assessment and formulated training program for participating LGUs, IA, and community leaders and members
- Conducted training and capability-building activities on areas such as procurement, cost recovery schemes, financial management and resource mobilization, construction supervision and management, organizational development and management, and basic operation and maintenance of community infrastructure
Component D: Institutionalization
- Established a functional City Renewal Implementation Committee (CRIC) in eight (8) project cities
- Established and has operationalized a LHB or any parallel structure in the eight (8) project cities
- Developed fund raising schemes to support community-driven slum upgrading projects
- Documented meetings and other related activities of LHB and CRIC.
Component E: Learning and Dissemination
- Documented and disseminated lessons learned and best practices from community upgrading experiences
- Conducted annual learning meetings to brief LGU officials on project implementation
- Produces mid-term and end-of-project documentation of project lessons
- Prepared and disseminated audio visual media and policy notes outlining the structural and institutional constraints to urban renewal
Component F: Support to Project Implementation
- Established an NPMO within PHILSSA
- Established a National Project Steering Committee (NPSC)
- Conducted and documented coordination meetings at the national and local levels
- Conducted and prepared reports of monitoring visits
- Disseminated lessons learned and best practices
- Conducted financial audits on selected community subprojects
Component A: Design and Organization
The project will operate in eight (8) cities, five (5) of which will be undertaken in Quezon City, Iligan City, Naga City, Mandaue City, and City of San Fernando, La Union which were the settings of the 2004-06 JSDF/World Bank-PHILSSA UUPCRS Project. Moreover, three of these cities (Quezon City, Naga City, and Mandaue City) will have partner cities. The new three (3) cities are Valenzuela City, Legaspi City, and Talisay City. These cities were selected based on: (a) the size of the urban poor population in need of upgrading relative to the city’s total population; (b) proximity to one of the original three cities to facilitate the sharing of knowledge; (c) NGO presence; (d) willingness of the city government to participate in the project; and (e) potential of the city to influence other cities. Each of the additional cities will also have a new implementing agency.
Moreover, communities will be selected based on severity of conditions, technical feasibility, willingness to pay cost recovery, and the presence of a functional community organization. Selection will be done jointly by NPMO, the LGUs, and IAs.
PHILSSA, the IAs, and the LGUs will enter into a Memorandum of Agreement (MOA) which stipulates the latter’s main responsibilities. These will include designation of key staff; convening the CRIC – composed of the LGU, IA, PHILSSA, and the community representatives – who will be the local oversight and coordinating body, facilitating the entry of IAs into the selected communities, providing technical assistance in the preparation of proposals and engineering designs for the subprojects, monitoring the implementation of subprojects, providing counterpart funding for the implementation of subprojects, and supporting the establishment of a LHB or any parallel structure that lead LGU efforts in slum upgrading activities.
Component B: Community Planning, Mobilization and Subproject Implementation
This component has two sub-components: community planning and mobilization, and subproject implementation.
• Community Planning and Mobilization
The IAs will carry out the following: participatory assessments through community meetings and surveys to identify key slum upgrading needs; selection of subproject(s) to address priority needs; setting up of internal structures and mechanisms within the community to address the various requirements of subproject planning and implementation; preparation of technical design and detailed plans of community subprojects; formulation of cost recovery schemes that must be agreed upon by all parties concerned; and capacity building of the community association.
Cost recovery schemes will vary from city to city, depending on the outcome of consultations among the beneficiary communities, the LGUs (through the LHBs created), and the IAs. The schemes formulated in the UUPCRS may serve as a guide to the IAs.
• Subproject Implementation
The menu of subprojects may vary, although they are expected to fall under two broad categories, namely:
Physical and Environmental Development Subprojects such as:
a. micro-drainage systems
b. sanitation facilities
c. sewer lines and small-scale wastewater treatment plants
d. water supply systems
e. solid waste disposal management systems
g. geodetic works
i. provision of power supply
j. construction of rip-rap and retaining wall structures and dikes
Socioeconomic Development Subprojects such as:
a. health center
b. school building
c. child care and nutrition center
d. community center
e. housing construction
f. livelihood faciity
g. market stalls
This component of the project will also support civil work designs, geodetic surveys, and preparation of subdivision or reblocking plans.
Quality assurance of technical plans will be provided by the NPMO’s Project Engineer before final approval is made and funds are released. A technical staff from the city engineer’s office is expected to assist the communities and the IAs in the preparation of the detailed technical plan.
Component C: Training and Capacity Building
Training will be directed at three groups – LGU staff, IA staff, and CA leaders and members. Training for LGU staff will focus on: (a) community-driven development (CDD) principles; (b) community force account and labor-intensive construction methods; (c) cost recovery schemes; and (d) resource mobilization.
Training for NGO staff will include: (a) procurement; (b) construction supervision and management; (c) cost recovery schemes; and (d) financial management.
Training for community associations will involve: (a) organizational development and management; (b) fund management, including collection of fees for cost recovery; (c) procurement; (d) basic operations and maintenance of community infrastructure; and (e) resource mobilization.
The IA will be responsible for the formulation and conduct of training programs for LGU staff and community leaders and member with LGU support—e.g., in terms of venues, funding, resource persons – to be provided through the CRIC that will be organized in each participating city.
Component D: Institutionalization
Two aspects of the project are to be institutionalized: first, the multisectoral partnership between the LGU, civil society, and communities; and second, the mobilization of resources for slum upgrading. In each city, the project will organize a CRIC, which will coordinate project activities. The city government will serve as the convenor of the committee while the IA will act as its secretariat.
From the CRIC, the project hopes to create a body by way of a LHB or a parallel structure to focus on addressing the housing concerns of the city. The CRIC will be responsible for policy formulation and ensuring that the city government will appropriate funds from its annual budget for socialized housing and community upgrading. A separate structure may take on the project implementation. Also, a separate body may do the: (a) collection of amortization payments, which will then form part of the seed capital for rolling out an expanded slum upgrading program; and (b) generate and mobilize resources. Depending on the situation in each city, the CRIC may be composed of representatives from the community, IA, the private sector, and certain offices of the local government. It will be chaired by the city mayor.
The same body or structure will then be the mechanism for: (a) mainstreaming shelter concerns into the city development plans, program, budget, and government structure; (b) facilitating security of tenure; (c) ensuring the availability of funding for community renewal projects beyond the duration of the UPSURGE Project; and (d) ensuring a system that will encourage multisectoral interaction and private sector participation in urban renewal.
During project implementation, the NPMO will try to explore putting up a seed capital that will come from a portion of the funds recovered from the community infrastructure projects and utilize them to finance the operations and maintenance of completed facilities.
Component E: Learning and Dissemination
This component will draw relevant lessons from the innovative approaches undertaken to promote multisectoral collaboration in slum upgrading and share these to all stakeholders and other interested city governments and civil society groups. Moreover, an analytical component that will look into the urban poverty dynamics as well as structural and institutional constraints to urban renewal will be included as a subactivity of this component.
The learning process that will occur among the three stakeholders of the project will be undertaken at the community, city, and national levels. Sharing of experiences and lessons learned will be facilitated through the formation of learning networks among community leaders, IAs, CRICs, and city government officials.
The learning process at the national level will be done through sharing of experiences between and among representatives of communities, IAs, LGUs, and national government agencies. The learning workshops will be a venue for participating cities to synthesize findings and summarize key lessons, including successes and failures of various strategies, budget implications, and the general and specific applicability and limits of particular approaches. It will also be a venue for encouraging: (a) other LGUs to replicate similar activities in their jurisdiction; and (b) the national government agencies (e.g. the National Economic and Development Authority, National Housing Authority, Housing and Land Use Regulatory Board, among others) to refine the national framework for socialized housing and community upgrading and help upscale the implementation of this activity.
Apart from drawing lessons among the stakeholders, the project hopes to reach out to LGUs and civil society groups through the CDS Project. In addition, other specific target groups will be identified through the Department of Interior and Local Government (DILG), League of Cities, “Galing Pook” Awards Foundation, and national and regional NGO coalitions as channels. In addition to sharing of learnings through electronic mail/internet/web-based exchanges, project participants may be requested to present at various LGU and NGO fora about the project. Other LGU and NGO groups may also be invited to participate in the project’s milestones (e.g. annual national learning meetings such as formative, evaluative, and summative activities).
Component F: Support to Project Implementation
This component will support project management and coordination. At the national level, activities will include: (a) establishment of the NPMO within the PHILSSA Secretariat; (b) establishment of an NPSC; (c) initial orientation and conduct of training for IA staff and designated LGU personnel; (d) perform quality assurance on subproject proposals prior to approval and release of funds; (e) oversee the project budget and the provision of audit reports as required; (f) supervision of the NPMO and staff; (g) undertaking of contracts at the national level as required; (h) ensure adequate and timely monitoring and evaluation, including annual financial audits; and (i) provision of strategic focus in project implementation and the subsequent learning process.
The NPMO established within the PHILSSA Secretariat will be responsible for project activities at the national level. The national staff will assist IAs, LGUs, and communities in determining the viability of proposed subprojects, monitor activities and its scheduling provide technical advice, ensure institutional sustainability, and analyze and disseminate the lessons learned.
The IAs will be responsible for activities at the local level. At the community and city level, activities will include: (a) recruitment of project staff by the IA; (b) establishment of the city CRIC; (c) community planning, mobilization, and implementation; (d) monitoring and reporting on the status of subproject implementation and operations and maintenance; (e) undertaking sub-contracts at the city and community levels as required; (f) facilitation of the formation of the mechanisms for institutional collaboration and resource mobilization; and (g) provision of a strategic focus in the design and implementation of the project activities and the subsequent learning process at the local level.
Roles & Responsibilities
- The World Bank finances the “Urban Partnerships for Sustainable Upliftment, Renewal, Governance and Empowerment” Project in the form of a grant, with PHILSSA as the Grant Recipient.
- The World Bank shall have no direct hand in the actual project implementation, but shall take part in collective evaluation processes that would generate and consolidate comments and recommendations related to the program implementation.
- The World Bank conducts prior review on the selection process of Subgrantees (IAs), Terms of Reference (TOR) of consultants, short listing of consultants/contractors, evaluation of proposals/bids, and other procurement activities. The Bank shall also conduct prior review of any resettlement activities that the project plans to carry out. It shall also review subgrant appraisal reports, and the completion report.
- The World Bank in coordination with the NPMO, may conduct its own monitoring activities in the project sites.
- Serves as the Grant Recipient and shall be legally accountable for the utilization of funds received from the World Bank.
National Project Steering Committee (NPSC)
- Sets policies for planning and operations of the project consistent with the World Bank Grant Agreement.
- Approves the selection criteria for site beneficiaries as well as the IA in the eight (8) cities.
- Approves Grant agreement for subprojects.
National Project Management Office (NPMO)
- Provides overall management of the project; monitors project implementation and ensures appropriate intervention to execute the conditions and schedules agreed upon in the Grant Agreement.
- Provides regular update, reports to the NPSC regarding project implementation, monitoring results, fund utilization and other relevant concerns.
- Submits status report to the World Bank Task Team Leader regularly.
- Takes the lead in organizing proactive/major project activities such as project capability building and evaluation.
- Develops fund disbursement procedures and financial management system that facilitates the operation and financial monitoring of activities of the Subgrantee.
- Organizes regular meetings of the NPSC.
- Oversees the selection process for Subgrantees and prepares Subgrant Agreements;
- Accepts, conducts prior appraisal, and endorses project proposals to the Technical Pool of Consultants for final project appraisal.
- Facilitates communication between and among different stakeholders.
NGO Implementing Agency (IA)
- The IA serves as the Subgrantee of the project.
- Assists in the project development cycle of the subprojects.
- Monitors the implementation of subprojects and provides appropriate intervention to effect the conditions and schedules agreed upon in the contract.
- Supervises and monitors financial management of subproject activities.
- Facilitates coordination and partnership among the local NGOs, CAs, and other stakeholders within the given site.
- Organizes capability building and evaluation activities.
- Assist Process Documentation Research (PDR) Consultants and participate in all activities related to the formulation of the PDR report and the conduct of process documentation of the entire project implementation
- Submits consolidated narrative and financial reports of social mobilization activities to the NPMO based on the agreed format and schedule.
Local Government Unit (LGU)
- Facilitates the work of the IAs in project site selection and provision of land if required.
- Assists in the preparation of subproject proposals and engineering designs.
- Provides technical inputs and logistical support to the IA to ensure efficient flow of the project implementation.
- Provides counterpart fund for the subproject.
- Facilitates the formation of a CRIC for oversight and coordination of the subproject.
- Participates in the subproject monitoring and implementation.
- Establishes the creation of an LHB or other parallel structure to lead LGU efforts in slum upgrading activities.
Community Associations (CA)
- The primary Beneficiary of the project.
- Conceptualizes the subproject proposal needing financial assistance following the requirements set forth by the project.
- Participates in the planning, implementation, monitoring, and evaluation of the subproject.
- Adopts a viable savings and loan collection scheme for the sustainability of the subproject.