Philippines: KALAHI - CIDSS

P077012

Environmental and SocialSafeguards

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Environmental and Social SafeguardsPHILIPPINES: Kalahi - CIDSS

1. Presidential Decree No. 1151 (otherwise known as the "Philippine Environmental Policy") is the firstpolicy on Environmental Impact Statement (EIS) System in the Philippines. Effective since 1977, section4 thereof explicitly requires "all agencies and instrumentalities of the national government, includinggovernment-owned and controlled corporations, as well as private corporations, firms and entities toprepare an EIS for every action, project or undertaking which significantly affects the quality of theenvironment."

2. The Philippine EIS System was formally established in 1978 by virtue of PD No. 1586. Reiteratingthe policy statement under PD 1151, it declared environmentally critical projects (ECPs) and projectswithin environmentally critical areas (ECAs) as projects which require the submission of an EIS. Section4 thereof provides that "no person, partnership or corporation shall undertake or operate any in partsuch declared ECP or project within an ECA withoutfirst securing an Environmental ComplianceCertificate (ECC)."

3. The major categories of ECPs and ECAs were identified through Presidential Proclamation No. 2146,series of 1981. The categories were given technical definitions by EMB's predecessor agency, theNational Environmental Protection Council (NEPC), through NEPC Office Circular No. 3, series of 1983.

4. Since then, the EIS system has undergone several refinements to make it a more effective planning,management, and regulatory tool in addressing environmental problems in the country. The DENR hasconsistently endeavored to strengthen and tighten the system, by continuously introducing new featuresand requirements in response to changing economic realities and the growing environmentalconsciousness of the Philippine populace.

5. The latest of this effort is DENR Administrative Order (DAO) No. 37 series of 1996 or DAO 96-37,which expressly supersedes DAO 21 series of 1992. DAO 96-37 is an attempt to further streamline theEIS system and to strengthen the processes for its implementation.

6. DAO 96-37 is elaborated further in the Procedural Manual for DAO 96-37, which is intended toprovide a comprehensive guide for proponents and regulators alike. The Revised Second Edition is thelatest version of the manual.

Scope and Coverage under KALAHI-CIDSS

7. Environmental issues refer primarily to impacts caused by small scale infrastructure construction.The environmental impacts caused by such activities are not expected to be significant. The project hasdesigned a negative list of prohibited investments that includes activities with adverse environmentalimpacts. The project will use an environmental screening procedure that identifies prohibited projects(e.g. community roads into protected areas). Mitigation of negative impacts from sub-projects that are noton the negative list will be addressed through standard operating procedures, which are built into projectmanuals and training programs. The following matrix provides a reference point for screeningenvironmental impacts in accordance with the environmental clearance issued by DENR-EMB.

ACTIVITIES CRITERIA REQUIREMENTTraining and institutional none Not covered under the Philippine EISassistance SysiemLivelihood Activities - Backyard animal farms not exceeding - Not covered under the Philippine

5,000 heads of birds or 2 sows with 20 EIS System

(not applicable under pigs - CNC may be issued upon request ofKALAHI-CIDSS) - Sari-sari (or coop) store proponent

- Organic compost/fertilizer productionnot exceeding 10,000 (50 kg) bags perannum capacity- Cottage industriesLivelihood activities with capacities in Submission of duly accomplished lEEexcess of the threshold Checklist/s as application for ECC

Rehabilitation of roads & with effective expansion of less than Not covered under the Philippine EIS

bridges 50% SystemRehabilitation of irrigation - CNC may be issued upon request of

system service area expansion does not exceed proponentRehab of other support thresholdsystemsConstruction of roads Roads with length in excess of 5 km that Submission of EIS as application for

will traverse an area with critical slope ECC

(>50%)Roads with length in excess of 20 km ifnot traversing an area with critical slopeRoads with length in excess of 3 km but Submission of IEE as application for

less than or equal to 5 km that will ECCtraverse an area with critical slope(>50%)Roads with length in excess of 15 km

but less than or equal to 20 km if nottraversing an area with critical slope

Construction of roads Roads with length less than or equal to 3 Submission of duly accomplished IEE

(continuation) km that will traverse an area with Checklist as application for ECC

critical slope (>50%)Roads with length in excess of 10 kmbut less than or equal to 15 km if nottraversing an area with critical slopeRoads with length less than or equal to Not covered under the Philippine EIS10 km if not traversing an area with Systemcritical slope CNC may be issued upon request of

proponentConstruction of bridges 2 lanes with length in excess of 200 Submission of ElS as applicationfor

(Not applicable under meters ECC

KALAHI-CIDSS) 2 lanes with more than 10 spans2 lanes with length in excess of 100 Submission of lEE as application for

meters but less than or equal to 200 ECCmeters2 lanes with more than 6 but less than or

equal to 10 spans2 lanes with length in excess of 50 meters Submission of duly accomplished IEEbut less than or equal to 100 meters Checklist as application for ECC

2 lanes with more than 4 but less than orequal to 6 spans2 lanes with length of less than or equal to Not covered under the Philippine EIS

50 meters SystemCNC may be issued upon request ofproponent

Construction of Irrigation With service area in excess of 1,000 Submission of ElS as application for

System hectares ECCReservoir storage capacity in excess of25 million cubic metersReservoir area (flooded area) in excess

of 100 hectaresWith service area in excess of 700 Submission of IEE as application forhectares but less than or equal to 1,000 ECCReservoir area (flooded area) in excessof 50 hectares but less than or equal toI 00 hectares

With service area in excess of 350 hectares Submission of duly accomplished IEE

but less than or equal to 700 Checklist as application for ECC

Reservoir area (flooded area) in excess of25 hectares but less than or equal to 50hectares

With service area of less than or equal to Not covered under the Philippine EIS

300 SystemCNC may be issued upon request ofproponent

These criteria are indicative and will be complemented by an environmental screeningprocedure, which will take into account investments in water supply, buildings, and other

structures not included on this list.

COMMUNITY INFRASTRUCTURE MANUALKALAHI-CIDSS PROJECT

FINAL DRAFT

10 June 2002

DRAFT AS OF 7/17/02

TABLE OF CONTENTS

Panes

LIST OF ACRONYMS iv

I. INTRODUCTION 1

II. OVERVIEW OF THE COMMUNITY INFRASTRUCTURE COMPONENT

A. Description 2B. Indicative Menu and Costs 2C. Sub-Project Financing and Cost Sharing 3D. Sub-Project Implementing Principles 3E. Sub-Project Implementation Arrangements 5

E. l Community Force Account 6E.2 Community Contracting 6

F. Sub-Project Implementation Steps 7

F. 1 Sub-Project Preparatory Activities 8F.2 Community-level Sub-Project Implementation Steps

Pre-Implementation 8Construction 12Operation and Maintenance 14

III. ROLE OF PROJECT MANAGEMENT AND LOCAL TECHNICAL SUPPORTPROVIDERS

A. Project Management

A.1 Central Level 18A.2 Regional Project Management Offices (RPMO) 19A.3 Municipal Area Coordinators and Community Facilitators 20

B. Local-Technical Support Providers

B. 1 Municipal LGU 20B.2 Provincial LGU 2113.3 Partner National Agencies and other TA Providers 21

DRAFT AS OF 7/17/02

IV. GUIDELTNES ON SUB-PROJECT DEVELOPMENT AND PRE-

CONSTRUCTION PREPARATORY ACTIVITIES

A. Project Identification and Design Considerations 24

B. Preparation of Tripartite Sub-Project Agreement 25

C. Detailed Engineering Preparation 26

D. Community Organizational Preparation 27

E. RPMO Technical Screening Checklist 30

V. CONSTRUCTION ACTIVITIES GUIDELINES, SUB-PROJECT

COMPLETION AND TURN-OVER

A. Conduct of Pre-Construction Conference 32

B. Supervision Arrangements During Construction 33

C. Community Implementation of Construction Activities

C. I Organizing a Community Construction Job under Force Account 34

C.2 Outline of Community Local Contracting Process 36

D. Sub-Project Completion and Turn-over 36

E. Liability Period for Locally Contracted Sub-Projects 37

F. Tips for the Community in Accepting Completed Infra Projects 37

VI. SUB-PROJECTS REPORTING AND MONITORING

A. Community File Copy of Approved Plans, Cost Estimates and Bill of 38

MaterialsB. Reporting and Monitoring Tools

B .1 Sub-Project Signboard 38

B.2 Construction Materials/Activities Monitoring Forms 38

B.3 Physical and Financial Progress Reports 39

C. Progress Reports Validation by RPMO 40

D. Sub-Project Completion Report Form 40

VII. SUB-PROJECT OPERATION AND MAINTENANCE GUIDELINES

A. Definition of O&M 41

B. O&M Community Preparatory Activities 41

C. Operation and Maintenance Community Groups 41

D. Barangay LGU Maintenance of Roads, Bridges, School Classrooms and 42

Health CentersE. Operation and Maintenance Monitoring 42

F. Development of a Sub-Project Operation and Maintenance Checklist 42

DRAFT AS OF 7/17/02

VIII. GUIDELINES FOR ENVIRONMENTAL SCREENING

A. Environmental Screening Regulation 43

B. Environmental Clearance Process

B. 1 Non-ECP/Non-ECA Projects 44B.2 LEE Checklist 44

C. Environmental Compliance Measures of KALAHI-CIDSS Sub-Projects 45D. Measures to facilitate environmental clearance issuance and monitoring 45E. Role of RPMO Engineers, LGU Engineers and Area Coordinators on

Environmental Screening 46

ANNEXES

Annex 1. KALAHI-CIDSS Engineering Staffing Requirement and Job DescriptionsAnnex 2A. Sample Format of a Site Verification ChecklistAnnex 2B. Pakyaw Contract Guidelines and DocumentsAnnex 2C. Sample Letter-Invitation to BidAnnex 2D. Suggested Model Contract for community-contracted Civil WorksAnnex 3 : Pre-Construction Forms

Community Infrastructure Project Concept FormSample Sub-Project AgreementSample Program of Work

Annex 4: Construction Record FormsMaterials Canvass FormConstruction LogbookMaterials Usage Record

Annex 5A. Sample Quality Control Checklist for Civil WorksAnnex SB. Monthly Physical Progress Report Format

Visual Progress Report FormatMonthly Financial Progress Report Format

Annex 6A. Sub-Project Completion Report FormatAnnex 6B. Sub-Project Turn-over and Acceptance FormatAnnex 7. Sub-Project Signboard FormatAnnex 8 : Sample Environmental IEE Checklists and GuideAnnex 9. Sample designs and plans, materials and cost estimates, sketches and technical

drawings of road, water supply, bridge, post-harvest, school building,sanitation, health center and other sub-projects

DRAFT AS OF 7/17/02

LIST OF ACRONYMS

ARCDP - Agrarian Reform Communities Development ProjectBAWASA - Barangay Waterworks and Sanitation AssociationBMC - Barangay Management CommitteeBSWM - Bureau of Soils and Water ManagementCDA - Cooperative Development AuthorityCHB - Community Health BoardCIDSS - Comprehensive and Integrated Delivery of Social ServicesCIM - Community Infrastructure ManagerCIP - Communal Irrigation ProjectCIS - Communal Irrigation SystemCMDF - Center for Manpower and Development FoundationCNC - Certificate of Non- CoverageCO - Community OrganizingCOA - Commission on AuditCSB - Community School BoardDAO - DENR Administrative OrderDENR - Department of Environment and Natural ResourcesDENR-EMB - Department of Environment and Natural Resources-

Environmental Management BureauDILG - Department of the Interior and Local GovernmentDPWH - Department of Public Works and HighwaysDSWD - Department of Social Welfare and DevelopmentDTI - Department of Trade and IndustryECA - Environmentally Critical AreaECC - Environmental Compliance CertificateECP - Environmentally Critical ProjectEIS - Environmental Impact SystemGL - Group LeaderGOP - Government of the PhilippinesIA - Irrigators' AssociationIBF - Inter-Barangay ForumIBRD - International Bank for Reconstruction and DevelopmentIEE - Initial Environmental ExaminationIRA - Internal Revenue AllotmentKALAHI - Kapit Bisig Laban Sa KahirapanKKB - Kapangyarihan at Kaunlaran sa BarangayLGU - Local Government UnitLPRAO - Local Poverty Rural Action OfficerLWUA - Local Water Utilities AssociationME - Maintenance EngineerMEO - Municipal Engineer's OfficeMIAC - Municipal Inter-Agency Committee.MOA - Memorandum of AgreementMPDC - Municipal Planning and Development Council

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MPDO - Municipal Planning and Development OfficerMSWDO - Municipal Social Welfare and Development OfficerNGO - Non-Government OrganizationNIA - National Irrigation AdministrationNWRB - National Water Resources Board0 and M - Operation and MaintenancePBAC - Pre-qualification, Bidding and Awards CommitteePCAB - Philippine Contractors Accreditation BoardPE - Project EngineerPE/ME - Project/Maintenance EngineerPO - People's OrganizationPOW - Prograrn of WorkRCIS - Regional Community Infrastructure SpecialistRPMO - Regional Project Management OfficeSPA - Sub-Project AgreementSWIP - Small Water Impounding ProjectTA - Technical AssistanceTESDA - Technical Education and Skills Development AuthorityWB - World Bank

DRAFT AS OF 7/17/02

Kapit Bisig Laban sa Kahirapan - Comprehensive and Integrated Delivery of SocialServices: Kapangyarihan at Kaunlaran sa Barangay (KALAHI-CIDSS:KKB)

COMMUNITY INFRASTRUCTURE SUB-MANUAL

I. INTRODUCTION

Infrastructure building under KALAHI-CIDSS will provide unmet minimum basic needs andsupport poverty alleviation. Lessons from the CIDSS program of DSWD show thatinfrastructure rank high among the unmet basic needs of residents in poor communities.Infrastructure projects will be implemented with strong community participation, to befacilitated through community organizing and development.

This Community Infrastructure Implementation Manual is intended to help communitiesdevelop and implement small infrastructure projects with the assistance of local governmentunits, KALAHI project implementors, contracted local-based service providers and otherproject co-implementors. The Manual also provides project management with clearguidelines and tools for sub-project implementation and monitoring. The 7 chapters of theManual and their contents are as follows:

* Chapter II gives an overview of the community infrastructure component ofKALAHI-CIDSS, describing the component design, menu and implementationprinciples.

* The last part of Chapter II describes the process flow of community-levelactivities in infrastructure sub-project identification, planning, approval,implementation, monitoring, reporting, and operation and maintenance.

* Chapter III describes the sub-project implementation roles and responsibilities ofthe community, LGUs and other stakeholders.

* Chapters IV and V describe the guidelines and tools in sub-project development,pre-construction preparatory activities and construction.

* Chapter VI describes the community guidelines and tools for reporting, controland monitoring of ongoing sub-projects to ensure quality, economy and timelinessof implementation.

* Chapter VII provides guidelines for environmental screening of sub-projects.* The last part of the Manual are annexes consisting of standard community project

formats, sample designs and plans, materials and cost estimates, sketches andtechnical drawings of road, water supply, bridge, post-harvest, school building,sanitation, health center and other sub-projects.

This Manual may be updated continually based on actual conditions in assisted communitiesand lessons learned during implementation.

DRAFT AS OF 7/17/02

II. OVERVIEW OF THE COMMUNITY INFRASTRUCTURE COMPONENT

A. Description

KALAHI-CIDSS will provide grants for the construction, repair and improvement of small-scale infrastructure sub-projects identified by proponent communities, and communitygroups. Recipient communities will contribute partially-paid labor, local materials and otherin-kind contributions. Local govemment units and local-based private service providers willassist communities in technical plans preparation, construction supervision, equipment use,and provide other assistance needed. More complex civil works like reinforced concrete deckgirder bridge construction and communal irrigation projects, which communities mayidentify but local capability to implement them is lacking, will be implemented throughcommunity-contracted local private contractors. Technical guidance will be sought also fromspecialized national government infrastructure agencies, like the National IrrigationAdministration, and other private or government service providers.

B. Indicative Menu of Infra Sub-Projects and Costs

Communities will propose the actual type of infra projects to be funded based on the needsidentified in their community development plan. From the experience of the CIDSS and othercommunity-based projects, the sub-projects needed by communities will likely includeconstruction, rehabilitation, improvement or expansion of: (i) domestic water supply systems,(ii) barangay roads and bridges, (iii) multi-purpose buildings/post-harvest facilities, (iv)small-scale communal irrigation projects, (v) classrooms for basic education, (vi) sanitationfacilities, (vii) health centers, (viii) day care centers, (ix) flood control facilities, and (x) othersmall-scale physical infrastructure. These sub-projects will provide the community improvedaccess to basic social services, support their economic undertakings and contribute toimproved local environmental protection.

Community infrastructure sub-projects under KALAHI-CIDSS will involve very small civilworks. Costs of the individual sub-projects generally will be less than P 2 M (US $ 40,000),with the exception of barangay road2 rehabilitation sub-projects which are estimated to costP3 M (US $60,000) assuming an average road length of 3 kilometers. Communities mayadopt a phased implementation of barangay road sub-projects depending on the level ofcommunity organization, sufficiency of local contribution and technical capability. Costestimates per type of sub-project are shown in page 15 and the design specifications in pages16 and 17.

' Meaning the Barangay Assemblies. The 1991 Philippine local government code describes the barangayassembly as composed of residents of the barangay who are: (i) 15 years of age or over, (ii) with at least 6months residency, (iii) citizens of the Philippines, and (iv) duly registered in the list of barangay assemblymembers.2 Barangay roads are characterized by relatively short lengths, designed for maximum permissible trafficvolume of 20 vehicles per day and not exceeding axle loads of five tons.

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C. Sub-Project Financing and Cost Sharing

A specific amount of grant assistance shall be allotted by the Project to target municipalitiesand the barangays comprising them. The fund shall be made available to the inter-barangayforum. The funds shall be released after approval of the sub-project by the inter-barangayforum and documentary screening at the RPMO. Recipient communities may withdraw thefunds from the local branch of a bank. A statement of progress and an expense report willaccompany fund release requests from communities.

The general rule for release of the funds will be in 3 tranches, 40%-40%-20%. Proponentcommunities who will request for less than 3 tranches or request for bigger percentage in theinitial tranche should submit strong justification. The specific policy on this is explained inthe Finance Manual.

C.1 Non-Eligible Sub-Proiect Activities

Sub-projects and activities not eligible for funding under KALAHI-CIDSS include land;building or repair of government offices, meeting halls and places of worship;environmentally hazardous materials, such as, chainsaws, explosives, pesticides, herbicides,insecticides, asbestos and other potentially dangerous materials; intemational travel; andmaintenance and operation of infrastructure built from project funds.

C.2 Cost Sharing Scheme

All sub-projects shall require contributions from the communities and all other local sources.The amount of counterpart shall form part of the criteria for sub-project selection in themunicipal forum. Eligible equity in kind would include local materials, valued laborcontribution of proponent communities, wages of LGU personnel assisting the community,equipment use, and other forms of in-kind contributions.

D. Sub-Project Implementing Principles

Infrastructure implementation shall be guided by the LET-CIDSS3 guiding principles of theKALAHI-CIDSS project. Fulfillment of the principles will be through the followingmechanisms, procedures and tools:

Localized Decision-Making - Sub-projects of proponent communities are prioritized,verified and approved locally by the inter-barangay forum following a set of criteriaand mechanics to be adopted by the IBF members. The role of project managementbasically is to release the funds, monitor and advise communities to facilitateimplementation and sustainability of the project.

3LET-CIDSS stands for the 8 project principles of KALAHI-CIDSS: localized decision-making, empowering,transparent, competitive, inclusive and multi-stakeholder, demand-driven, simple and sustainable. The principlesare discussed in detail in the General Operations Manual.

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Empowering - Communities will drive the process of needs identification andapproval of sub-projects. As owners of the sub-project, they will have control over theexecution of sub-project implementation activities, such as, hiring of service providersfor technical assistance, procurement of labor and materials for construction andmonitoring and reporting implementation progress. Community members will learnand gain lessons from their experience in sub-project implementation that willcontribute to strengthening community organization and mobilization.

* Transparent - The processes and mechanics for sub-project identification, selection,prioritization, implementation, monitoring and operation will be discussed among andagreed upon by community members and representatives to the inter-barangay forum.During sub-project implementation, the approved project plans, cost estimates, bill ofmaterials, quality control checklist, construction timetable, status reports on sub-project resource usage (labor, materials and equipment), periodic sub-project physicaland financial reports prepared by the committees, and sub-project operation andmaintenance reports shall be posted in community bulletin boards and updatedregularly for understanding of the community and the general public. A sub-projectsignboard will also be installed. Sub-projects will be open to external monitoring byNGOs and media groups.

* Competitive - Eligibility to access project funds is open to all barangays within amunicipality but actual fund allocation as decided by the IBF will go to sub-projectproposals that will address priority needs of poverty groups, have high communitycash or in-kind contribution, technically feasible and environmentally sound, willinvolve direct community participation during implementation, and sustainable in thelong run.

I Inclusive and Multi-Stakeholder - All community members participate in sub-projectimplementation through their elected representatives in the sub-project preparation,implementation and management teams. Different teams in the barangay will beformed (Proposal Preparation Team, Barangay Representation and Oversight Team,Barangay Sub-Project Implementing Team, and Sub-Project Operation andMaintenance Group) who will take the lead in community decision-making atdifferent stages of sub-project implementation. During sub-project implementation,specialized committees will be formed for procurement, monitoring and inspection,and audit and inventory. Women shall be strongly encouraged to participate in thebarangay processes. Institutions working in the locality - LGUs, NGOs, media, POsand NGAs - shall also be involved in project implementation.

* Denmand-Driven - Since the project is open menu, communities can propose any sub-project, provided the amount involved is within the municipal allocation, the proposedsub-project activities are not in the negative list and there is a clear connectionbetween the sub-project and some broader goals of the community (e.g., improvedaccess to basic social services, improved economic opportunities and improvedenvironment).

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* Simple - All procedures and standard sub-project formats will be kept to theminimum, and a serious attempt is made to make them simple for communitymembers to understand. There will be a continuing effort on this. The process ofsimplifying formats will continue until project implementation start-up.

Specifically, the proposal is to develop user-friendly KALAHI-CIDSS resourcematerials on infra projects preparation, cost estimation, construction, quality control,and operation and maintenance. These will be called sub-project mini-manuals.Explanations in the project-specific mini-manuals will include description of designs,plans, cost estimates, construction methods, and quality control and monitoring tips ofsmall-scale community infrastructure projects like those in the KALAHI menu. Themini manuals will help community facilitators explain to the community the processand cost of infrastructure building, and provide community members a monitoringchecklist. Availability of the mini manuals will also accelerate proposal making, plansand estimates preparation by the communities and LGUs, and fast-track technicalreview by RPMO engineers. A joint team of community facilitators and engineerscould develop the mini-manuals during the first 6 months of year I projectimplementation (the social preparation stage).

Other resource materials to be developed to facilitate community organizational andtechnical preparation will include flip charts, modules and hand-outs to be used byfacilitators, area coordinators, LGUs and project co-implementors.

* Sustainable - Proponents of sub-projects will be required to present viable long-termplans for operation and maintenance. Presentation of the operation and maintenanceplan shall be done upfront during the proposal-making stage. Specifically, projectproponents will be required to show their resource generation and organizationalplans to operate and maintain the sub-project after completion. Feasibility of theO&M plan will be one criterion for sub-project selection by the inter-barangay forum.Project staff will also verify actual performance of the community on sub-projectoperation and maintenance. Community groups who will take over the actualoperation and maintenance of completed sub-projects will be provided a set oftrainings to improve their technical and organizational capabilities. At the municipallevel, local governments shall have strong participation in the project to ensure buy-inand eventual pick-up of the participatory and community-driven planning approaches.

E. Sub-Project Implementation Arrangements

Proponent communities and their technical assistance providers, the LGU engineer and/orcommunity-hired local-based private service provider, will be responsible for sub-projectimplementation. In case communities and LGU engineers need specialized advice, specialistsfrom government agencies like the National Irrigation Administration and Bureau of Soilsand Water Management will be engaged as advisers. For major civil works, communitiesmay contract the services of local-based small private contractors.

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E. 1 Community Force Account

E. 1.1 LGU engineer guidance

Community force account implementation of infrastructure sub-projects means thecommunity, under guidance of the LGU engineer, will execute the construction of the sub-project, including performing the following: (i) procure materials, tools and equipment, (ii)procure/supply labor, (iii) disburse funds, and (iv) prepare progress reports using standardproject forms. This scheme is currently followed under the CIDSS program. Most likelycommunities will adopt the community force account scheme as the dominant mode for sub-project implementation (with or without TA provider). Under this scheme, LGU engineerswill assist the community in engineering design preparation, construction supervision andreport preparation.

E. 1.2 Community-hired private service provider for plans preparation and constructionsupervision

The lone municipal LGU engineer would be unable to assist all barangays in technical planspreparation and construction supervision (average of 26 barangays per municipality and thereis only one municipal engineer). To assist the LGU engineer, communities may hire local-based private TA provider or private engineers for plans preparation and constructionsupervision. Payment for services of the contracted TA provider shall be taken from thecommunity grant or a plans preparation TA fund from KALAHI-CIDSS. The cost of hiringservices for engineering design, plans and estimates preparation would be about 2% ofproject cost and about 3.5% of project cost for construction supervision.

E. 1.3 Special government technical advisers

Due to limited technical capability of LGU engineers, technical assistance from specializedgovernment agencies have to be secured for implementation of certain ":specialized"community infrastructure sub-projects, e.g., small water impounding project or communalirrigation project. The TA agencies for these sub-projects would be the Bureau of Soils andWater Management (BSWM) of the Department of Agriculture and the National IrrigationAdministration (NIA). Technical assistance to be provided will be in the form of advice andsupervision over the LGU engineer and community representatives during sub-project design,plans preparation and construction. The RPMO and central-level project office willcoordinate with the BSWM and NIA to execute with these agencies a sub-projectmemorandum of agreement.

E.2 Community Contracting

Community contracting of the whole or part of the sub-project will be allowed only forcomplex civil works, which communities and LGU cannot directly implement due to lack oftechnical capability and equipment.

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The possibility for communities to propose complex civil works may arise when they submitjoint sub-project proposals to take advantage of higher sub-project allocation, in order toimplement more efficient and more sustainable infrastructure sub-projects. An examplewould be construction of a 30 linear meter concrete bridge costing about P3 million orUS$60,000. For this type of bridge, the benefits involved are greater in terms of the numberof users it can accommodate, longer serviceable life, and better safety protection for users ofthe project compared to low-technology bridges. However, due to lack of equipment andexperience at the LGU on this type of project, private contracting would be more economical.

The LGU engineer will help the community prepare the working plans and estimates that willform part of the contract documents. Community facilitators and the LGU engineer will alsoassist the community in contract management and technical supervision. The community willpay the progress claims of the contractor.

As in community force account, privately-contracted civil works will involve laborcontribution from the community, specifically 100% unskilled labor and at least 30% skilledlabor. Communities will require this in the contract agreement with the contractor. Thecontractor shall report compliance to this agreement during the regular meetings of theBarangay Assembly.

Communities shall select their contractor from a list of RPMO-prequalified local-based smallcontractors. Prior accreditation/pre-qualification of local contractors shall beaccomplished by the RPMO using a system to be developed by the central level KALAHI-CIDSS office. The purpose of the accreditation is to validate the contractor's legalpersonality, track record, and resource and technical capability. The first step would be tosecure from the Philippine Contractors Accreditation Board (PCAB) a list of licensed smallcontractors in the provinces whose license category match the KALAHI menu ofinfrastructure projects. The list would be validated locally and renewed yearly. Accreditedlocal contractors shall constitute the pool of contractors whose services the community canengage following the project procurement guidelines. The suggested simplified procurementprocess for community contracting is outlined in Chapter V (C.2). The cost of localcontracting would be 7% tolO% of project cost.

In addition to LGU engineer's TA assistance to the community, RPMO engineers shallclosely monitor contracted sub-projects to check on the progress and quality of the worksaccomplished. Quality control engineers from the central level KALAHI-CIDSS office shallalso inspect the project periodically.

F. Community-level Sub-Project Implementation Steps

Communities will undergo initial community organizing (expectedly for 6 months butduration could be shorter in communities with existing functioning structures and establishedplans) in which they will identify their strategic goals and need for sub-projects. Uponidentification of such need, (i) communities will prepare their infrastructure project proposalsand submit them to the inter-barangay forum; (ii) the IBF will rank the proposals based on aset of criteria; (iii) high-ranked proposals will proceed to detailed planning and engineeringdesign; (iv) the IBF will dispatch a site validation team to verify proposals' technical and

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environmental feasibility; (v) the IBF will make a final ranking of the proposals to decidewhich ones to fund; (yi) RPMO will process release of the first tranche; (vii) the proponentcommunity will implement construction of the sub-project, monitor and report physical andfinancial progress to the RPMO; (viii) RPMO will release subsequent tranches uponpresentation of progress reports and site inspection by the RPMO engineer, (ix) aftercompletion, the proponent community/community group will operate and maintain the sub-project and report O&M performance to the Barangay Assembly.

F. 1 Sub-Proiect Preparatory Activities

Proponent communities will probably start implementing sub-projects as they enter the"leadership development and organizational building" stage of community organizing. TheCO Manual gives a detailed discussion on this.

The community should have achieved progress on the following to indicate its readiness forsub-project implementation: (i) the KALAHI-CIDSS project as introduced have beenaccepted by the community and municipality, (ii) barangay representatives and core leadersselected by the community, (iii) community profile generated and validated, (iv) communitydevelopment plan formulated and validated, (v) community rules and mechanics for projectprioritization formulated and approved by community representatives, and (vi) communityorganizational structures formed or strengthened.

F.2 Community-level Sub-Project Implementation Steps

Communities that will implement sub-projects will go through the following sequence ofactivities:

Pre-Implementation

1. Sub-projects identification and project concept preparation. Based on results ofthe community needs assessment and development plan, the proposal preparation team willwrite down the proposed sub-projects using the sample project concept format in Annex 3.Chapter IV (A) of this Manual also gives a list of the minimum considerations thatcommunities have to take into account in identifying different community infrastructure sub-projects. Proposals to be prepared should pay special attention to needs identification andviability issues, value of community contribution, costings and operation and maintenanceplan. The barangay management committee will approve the proposal and submit it to theinter-barangay forum. A maximum of two (2) proposals per barangay will be submitted to theinter-barangay forum.

2. Ranking of project concepts. The IBF will rank project concepts received from thebarangays, according to a set of criteria that IBF members will decide on. The criteria to beconsidered will include: (i) number and sector of the beneficiary group targeted by theproposed sub-project, (ii) cost per beneficiary, (iii) level of community contribution, cash orin-kind, (iv) organizational readiness of the community to implement the proposed sub-project, and (v) organizational and resource mobilization plan for operation and maintenance

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after completion of the proposed sub-project. The mechanics for ranking is discussed in theCO Manual.

3. Engineering plans preparation. For high-ranked project concepts, the proponentcommunities shall request LGU engineer's assistance for plans preparation. If there is ashortage of technical support from the municipal LGU, proponent communities shall haveaccess to a TA fund4 to hire local-based private technical service providers for planspreparation. The LGU engineer shall supervise the work of the hired service provider. Thefollowing are the minimum set of plans and estimates to be prepared: engineering plans anddetails, materials quantity and quality specifications, cost estimates of labor, materials andequipment, and estimated construction timetable. Chapter IV (C) of this Manual explainsfurther the minimum requirements for detailed engineering plans preparation.

Based on the detailed plans and cost estimates, the costings in the original proposal may beupdated to reflect the new estimates. The new, updated project concept with the supportingengineering plans and estimates shall constitute the detailed project proposal. This detailedproposal shall be re-submitted to the IBF for field verification.

4. Community site verification. Prior to the final IBF ranking of detailed proposals,the 1BF shall organize an adhoc verification team whose task will be to conduct ocular siteinspections of all candidate proposals. Findings of the team shall be reflected in a checklist(shown in Annex 2A) to be submitted to the IBF. The IBF shall use the checklist as an inputto the final ranking of proposals.

During ocular inspections, IBF members and others who will join the verification team shallmake a visual appraisal of the proposed sub-projects. The verification team members shall,among other things:

(i) Verify the specific location/route of the sub-project, its service area, target users,and length or distance of the project from source;

(ii) For road/bridge project, determine what traffic volume is expected;(iii) Locate on the ground the proposed major structures like road culverts, retaining

walls, ditches, commnunal faucets, etc. based on plan view of the sub-project;(iv) Verify on-site if the sub-project has any pending right-of-way or lot acquisition

problem;(v) Verify if the project is located in an environmentally sensitive area, such as, soil

erosion-prone areas, forest reserves, etc.,(vi) Verify the availability of local materials and accessibility of the proposed site

from sources of materials;(vii) For water project, make a visual check of the volume of water flow, the clarity,

color and odor of the water, interview residents familiar with the volume of waterflow during dry season, and observe if there is a difference in elevation betweenwater source and location of prospective users; and

(yiii) Perform other activities relevant to the visual appraisal of the sub-projects.

4The cost for hiring private services for engineering plans preparation is about 3% of project cost. MunicipalTA funds should be maintained by the Area Coordinator for local access by communities.

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The mandatory members of the verification team are the following: (i) area coordinator, (ii)representatives from other barangays, (iii) invited local-based private engineer, (iv) LPRAO,and (v) invited NGO representative. Area coordinators will provide the IBF a list ofmunicipal-based private engineers prequalified/accredited by the RPMO, from which list theIBF shall invite private technical persons/civil engineers to join the verification team. Invitedprivate technical persons shall be paid minimal honorarium from a TA fund5 to be maintainedby the Area Coordinator. If capable private engineers are not available in the municipality,the IBF may engage experienced RPMO-accredited private engineers within the province.For sub-projects costing P300,000 or less, in lieu of inviting a civil engineer to theverification team, the IBF may invite a local-based skilled construction worker who can readand interpret engineering plans and experienced in the type of sub-project subject forverification.

Upon agreement of the IBF members, MPDO engineers who were not involved in any planspreparation may be invited also to join the verification team.

For sub-projects costing P1.5 million (US$ 30,000) and over, the IBF should invite theRPMO engineer to join the verification team. For sub-projects involving complexinfrastructure, the IBF shall invite a special technical advisers from a governmentinfrastructure agency to also join the team.

During the period for site verification, proponent barangays shall not be allowed to introduceany changes in the plans and estimates submitted to the IBF.

5. Final IBF ranking. The second and final IBF ranking of validated project proposalsshall be based on a set of criteria also to be decided upon by IBF members. The suggested setof criteria should include: (i) technical feasibility as reported in the verification teamchecklist, (ii) environmental soundness as reported in the verification team checklist, and (iii)implementation readiness as indicated by the following:

* Certification on the availability of counterpart contribution* Presentation of detailed community sub-project implementing structure, including

names of persons and functions of committees and sub-committees* Presentation of operation and maintenance plans, specifically resource generation

strategies and organizational arrangements for sub-project operation andmaintenance

* Presentation of community and municipal resolutions if applicable* Presentation of draft sub-project agreement among local implementers, clarifying

the roles and responsibilities of co-implementors (community, LGU and otherimplementers) and the cost sharing scheme. The format of a sample sub-projectagreement is found in the Finance Manual.

Chapter IV (B-E) of this Manual discusses the preparatory activities needed for communitiesto be declared ready to implement sub-projects.

The Area Coordinator will maintain this fund in addition to the TA fund for plans preparation.10

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6a. Finalization of sub-project agreement. Proponent communities whose proposalspass the final IBF ranking shall, with the help of the community facilitator, undertake thepreparation and signing of a sub-project execution memorandum of agreement with themunicipal LGU. The agreement shall be referred to as a sub-project agreement among thecommunity, the municipal LGU, other co-implementors (if any) and DSWD. On the part ofDSWD, the Regional Director shall sign the agreement at the RPMO. The agreement togetherwith other requirements shall be attached to the request for funds that the IBF will submit toRPMO.

6b. As finalization of sub-project agreement is ongoing, for sub-projects to becontracted, the community should start sending out letter-invitations to RPMO-accreditedlocal-based small private contractors. The sample letter-invitation is shown in Annex ----. Seerelated discussions on community contracting in Chapter II (---), Chapter --- and Chapter ---of this Manual.

7. IBF submission of fiund request to RPMO. Sub-projects that pass the IBF finalranking shall be submitted to the RPMO for funding. The LPRAO and Area Coordinatorshall countersign the IBF endorsement. Prior to submission of the IBF fund request, areacoordinators and community facilitators shall check the completeness of documents, accuracyand integrity of the information given. Chapter IV (E) of this Manual lists down thedocuments that RPMO should receive as precondition for screening.

8. RPMO documentary screening. Project proposals endorsed by the IBF to theRPMO shall be desk reviewed by RPMO engineers: (i) to check if sub-project designs,estimates and planned timetables conform with KALAHI-CIDSS standards and specificationsas provided in this Manual, (ii) to check the eligibility of expense items requested, (iii) toreview the organizational readiness of the community to undertake sub-projectimplementation, and (iv) to check the accuracy and completeness of supporting documentaryrequirements. Within 3 days from receipt of complete documents, the RPMO engineer shallrecommend to the Regional Project Manager either:

* Approval of fund release, in which case a letter will be signed by the RPMOmanager informing the community of the approval and scheduling the RPMOengineer's visit to the site to conduct a pre-construction orientation andconference among community representatives, LGU engineer, area coordinatorand community facilitator; or

* If the documents received at the RPMO are deficient, these shall be returnedimmediately to the IBF specifying the compliance needed.

1. Schedule of release of the first tranche. The finance unit of the RPMO shallfacilitate the scheduling of fund release to the community. As a general rule, the first tranchewill be 40%. The specific policy on this is discussed in the Finance Manual.

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10. Conduct of on-site pre-construction conference. Before release of the first

tranche, the RPMO engineer shall visit the sub-project site to discuss project policies,procurement guidelines, community roles and responsibilities, and reporting requirementswith community members and LGU engineer and other representatives. The RPMO engineershall also make an ocular inspection of the proposed project site. For sub-projects to becontracted, the local contractor selected by the community shall be required to attend theconference. Chapter V (A-B) of this Manual discusses further the purpose of the conferenceand matters to be discussed at the community.

Construction Phase

11. Operationalization of community suab-project implementing team. The sub-project

implementing committees and sub-committees earlier organized by the community shall now

be made fully operational. Chapter IV (D) of this Manual shows the organizational set-up and

functions of the committees.

12. Execution of construction activities. Chapter V (C) of this Manual enumerates the

different activities the community must perform during construction (under community forceaccount or local contracting). The major activities would include establishment of a

temporary sub-project field office, procurement of construction materials and tools, and

hiring of construction workers through pakyaw contract. For works to be locally contracted,

the process to be followed is discussed in Chapter V (C.2).

13. Community monitoring and preparation of accountability reports. During

construction, the sub-project implementing committee of the community will track the actual

usage of materials, labor and equipment vis-a-vis approved plans, cost estimates and bill of

materials. They will do this using a daily construction logbook and stockroom record sheet,

according to the format in Chapter VI (B.2) of this Manual.

Accountability reports to be prepared by the community will consist of the monthly

physical and financial progress reports, to be submitted to the RPMO and used to support

request for fund releases. The community will also install a sub-project signboard for public

dissemination of the sub-project and its implementation progress. The formats of the

signboard and the progress reports, and the persons who will prepare, review and approve

these, are discussed in Chapter VI (A-B) of this Manual.

* For transparency, the approved plans and estimates, the construction logbook,

stockroom record sheets, and monthly physical and financial reports will all be posted in the

community bulletin board, to make them accessible for verification by any member of the

community and the general public.

14. Requestfor release of second tranche. When the balance of the first tranche is

down to 10%, the community can request for release of the second tranche. The request

should be supported with a physical and financial accomplishment reports verified by the

audit and monitoring committees of the community. The suggested formrats of the physical

and financial reports are discussed in Chapter VI (B.3).

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15. RPMO project inspection and quality control. Upon receipt of the request forrelease of the second tranche, the RPMO engineer shall schedule an inspection of the sub-project. The purpose of the inspection will be to check the quantity, quality and timeliness ofthe work finished, and validate the physical accomplishment report submitted by thecommunity.

During the site inspection, the RPMO engineer shall issue site instructions to thecommunity and LGU engineer to correct flaws and gaps observed. Chapter VI (C) of thisManual gives some pointers on the things engineers will look for during project inspection.The community shall report its compliance to the instructions through an explanatory note inthe subsequent monthly physical accomplishment report. Non-compliance to the RPMOinstructions will be a ground for suspension of the sub-project and withholding of futuretranches.

16. Requestfor release of the last tranche. As in the second tranche, the communitycan request for release of the last tranche when the fund balance is down to 10%. The sameset of supporting documents will be required. The RPMO engineer will also conduct projectinspection prior to release of the last tranche.

17. Start of O&M organizational strengthening and training on7 sub-project operationand maintenance. During the RPMO engineer's inspection prior to release of the lasttranche, the community will be reminded to start the organizational strengthening andtechnical trainings for operation and maintenance. The community should refer to the agreedoperation and maintenance plan presented during the project preparation stage. The initialO&M trainings would include orientation on O&M policies, introductory technicalorientation on sub-project O&M, organizational preparation and initial skills trainings onbookkeeping, financial recording, etc. The RPMO would also provide the community with anO&M checklist identifying and describing (i) the component physical structures to bemaintained, (ii) the preventive maintenance tips, (iii) the activities involved and frequency ofpreventive and corrective maintenance, and (iv) estimated cost involved and person-daysrequired. See discussions below on operation and maintenance and Chapter VII of thisManual.

18. Preparation of sub-project completion report. When the sub-project is 100%completed, the community shall prepare a sub-project completion report. See Chapter V (D)and Chapter VI (D) of this Manual for discussions on the format. The completion report willbe submitted to RPMO. For locally contracted sub-project additional discussions are found inChapter V (E-F).

19. Ceremonial turn-over and comnmuinity groutp acceptance of completed sub-project.Upon 100% sub-project completion and after clearance from the RPMO, the AreaCoordinator shall schedule a ceremonial turn-over to and acceptance by the concernedcommunity group of the completed project. The chair of the Barangay Management Team,representing the Barangay Assembly, shall turn-over the completed project to the communitygroup who will assume the sub-project operation and maintenance (format of turn-over andacceptance certificate in Annex 6B). The municipal mayor and DSWD regional director shall

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witness the turn-over and acceptance ceremony. Chapter VII (C-D) of this Manual discussesthe functions and possible community groups who will assume sub-project operation andmaintenance.

Operation and Maintenance

20. Operationalization of O&M community groups. The community shall implementthe O&M plan agreed upon during the proposal preparation stage. The different O&Mcommunity user groups, Barangay Waterworks and Sanitation Association (BAWASA),Irrigators Association (IA), people's organizations, and community health and school boardsshould be fully functional at this point. The Barangay LGU shall maintain completedbarangay roads and bridges (see Chapter VII of this Manual).

21. Follow-up O&M trainings will be provided based on assessed needs ofcommunity residents during the operation and maintenance period.

22. O&M performance reporting and monitoring. The O&M community groups willreport the status of sub-project operation and maintenance during regular meetings of theBarangay Assembly and the Barangay Development Council. Community facilitators andarea coordinators shall verify and capture in their reports to the RPMO the O&Mperformance of community groups. In addition, engineers from the RPMO, DSWD and otherproject personnel shall conduct site inspections to check the operation and maintenance statusof sub-projects.

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COMPONENT COSTS PER COMMUNITY INFRASTRUCTURE SUB-PROJECT

KALAHI-CIDSS -

Sub-Project Physical Unit Cost (P) INDICATIVE PERCENTAGE COMPONENT COSTS (% of Total Unit Cost)Target Pre-Eng'g Materials & Labor Total Cost 1/

Eqpt Skilled Unskilled Direct 2/ Indirect 3/Road Rehabilitation 1 km 1,000,000 3% 80% 8% 4% 95% 5%

Road Regravelling 1 km 450,000 3% 80% 8% 4% 95% 5%

Bridge Construction (Single per In.m. 100,000 3% 57% 23% 12% 95% 5%Lane RCDG)Hanging Bridge per In. m. 20,000 3% 57% 17.5% 17.5% 95% 5%Hand Pump (Level I) 1 unit 125,000 3% 57% 17.5% 17.5% 95% 5%Level II Water System with 1 unit 2,600,000 3% 57% 17.5% 17.5% 95% 5%elevated water tank 4/

Production and Post-Harvest 8X15 m 1,200,000 3% 57% 23% 12% 95% 5%FacilitySchool Building, Learning 2 3% 57% 23% 12% 95% 5%Center and Day Care Center per m 5,500Toilet with Septic Tank per m 8,000 3% 57% 23% 12% 95% 5%Barangay Health Station per m' 6,500 3% 57% 23% 12% 95% 5%Communal Irrigation System Per ha. 60,000 3% 57% 17.5% 17.5% 95% 5%(Rehab) _ _ _ _ _ _ _ _ _ _ _

Communal Irrigation Project Per ha. 125,000 3% 57% 17.5% 17.5% 95% 5%(Construction) er a.1/ Excludes cost of acquisition of right of way2/ Direct costs include: cost of pre-construction engineering, labor & materials cost, tools & equipment cost3/ Indirect costs include: administrative overhead, materials testing cost & supervision cost4/ Less P600,000 without water tank

Note: Unit base costs of school buildings, learning center, day care center and barangay health station are only for the building structure and does not include furniture,facilities and equipment.

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HIGHLIGHTS OF DESIGN SPECIFICATIONS OF COMMUNITYINFRASTRUCTURE SUB-PROJECTS

KALAHI-CIDSS PROJECT

Sub-Projects Specifications Per Unit TypeBarangay and/or Farm to 4.00 m. wide carriageway with 1.00 m. shoulder and trapezoidal drainage ditch P1,000,000/km All weatherMarket Road on both sides; 15 cms. base course of Item 201 on top of Sub-base preparation Road

Of Item 105 and/or Embankment of Item 104Single Lane Concrete 4.00 m. wide of 3,000 psi concrete pavement on Reinforced Concrete Deck P100,000/ln.m. ConstructionBridge Girder (RCDG)Hanging Bridge 60 linear meters supported with deadman and parabolic high tensile cable P20,000/ln. m.Hand pumps To serve an average of 15 households per unit (P8300/HH) P125,000/unit Level I

Designed to deliver at least 20 liters per capita per day (Ipcd)Farthest user is not more than 25 m. from point sourceAdopt 100 mm 0 of steel casing with 50 mm 0 of G.l. intake pipe with suctionrod, 100 mm 0 of low carbon steel screen and 10 mm 0 gravel packingmaterials; all G.l. pipes shall have a minimum strength equivalent to schedule 40

Level II Spring Good for 250 HHs (P8000/HH). Communal faucet to serve an average of 4 to 6 P2,600,000/unit Level IIDevelopment households

Designed to deliver at least 50 liters per capita per dayFarthest house shall not be more than 25 m. from the nearest communal faucetCommunal faucets shall be of heavy duty brass type provided with concreteapronSpring box shall be made of 3000 psi reinforced concrete mixed with waterproofing compound adopting any of the five (5) types (A to E) recommended byLWUA for specific spring locationAll pipes shall be embedded at a minimum of 50 cms. below natural groundWith 10-gallon capacity steel elevated water tank

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Su b-Projects Specifications Per Unit TypeProduction and Post- All floors shall be 10 cms. thick of 3000 psi concrete provided with temperature P1,200,000/unit ConstructionHarvest Facility (8x1 5 m) bars of 10 mm 0 spaced at 40 cms. on center both ways

All walls shall be of 10 cms. thk. Concrete hollow blocksRoofing shall be of ga. # 26 corrugated G.l. sheets while gutters shall be of ga. #24 plain G.l sheetsWith 16x28 m solar dryer/multi-purpose pavement

CIS Rehab Works involve concrete lining of communal canals, rehab of diversion dams and P60,000/ha. Rehabilitationexpansion of service area

CIP/SWIP Construction Construction of diversion dams, line canals and service area P125,000/ha. Construction

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III. ROLE OF PROJECT MANAGEMENT AND LOCAL TECHNICALSUPPORT PROVIDERS

Project management functions in relation to infrastructure sub-projects development andimplementation will include technical screening of proposals from the inter-barangay forum,

review financing eligibility of proposed activities, assist communities in organizationalpreparation and capability building, facilitate fund releases to the community, monitor on-going sub-projects, and monitor the operation and maintenance and utilization level ofcompleted sub-projects. Project personnel at various levels, central, regional, municipal and

community, shall perform specific tasks to accomplish the different project managementfunctions.

Local technical support providers refer to the LGUs, private intermediaries, NGOs/POs,partner government agencies and other local-based organizations involved in sub-projectimplementation. The specific technical support they will provide will be in the form of cost

sharing, technical assistance, monitoring, support for operation and maintenance, and otherassistance needed by the community.

A. Project Management

A. 1 Central Level

At the DSWD Central level, a KALAHI-CIDSS engineering unit shall be established. Thefunctions of the unit shall focus on providing special technical assistance to regionalinfrastructure specialists and field implementors, development of infrastructureimplementation resource materials for community dissemination, development of standard

operating procedures and progress reporting tools, field monitoring, ex post review ofselected sub-projects, preparation of consolidated accomplishment reports, and coordinationat national level with technical agencies. The staffing requirement of the unit is discussed in

Annex 1.

Specifically, the central-based community infrastructure specialists to be hired underKALAHI-CIDSS shall:

1) Develop and implement in coordination with the central level training andcommunity development units a capability building and technical assistance programon infrastructure building for communities, project and LGU engineers, and otherfield implementors;

2) Update continually the implementing guidelines of the Manual based on lessonslearned during actual project implementation;

3) Develop mechanisms for close coordination and partnership with technical agenciesand organizations to facilitate technical assistance provision for communities andimplementors;

4) Develop a system for accreditation of local contractors who will constitute the poolof local-based service providers to be engaged by proponent communities for sub-project implementation;

5) Conduct progress monitoring of selected on-going sub-projects;

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6) Develop detailed operation and maintenance guidelines for completed sub-projects;7) Conduct ex-post reviews and operation and maintenance monitoring of selected

completed sub-projects; and8) Perform other tasks assigned to the Unit.

A.2 Regional Project Management Offices (RPMO)

At the DSWD regional level, an engineering unit shall be established within the RPMOs.

RPMO engineers shall:

1) Conduct technical desk review of sub-project plans, detailed estimates and program ofworks prepared by LGU engineers or comrnmunity-contracted engineers;

2) Screen proponent community's readiness to implement infrastructure sub-projects;

3) Conduct pre-construction conference and site validation, coordinated by communityfacilitators and attended by community representatives, LGU engineers and other sub-

project co-implementors;4) Assist the community and LGU engineers in local contracting activities;5) Conduct site inspection of all on-going sub-projects to identify problem areas and

provide advice/guidance to the community and the project engineer;6) Desk review all requests for fund release, claims of payment and periodic progress

reports submitted by proponent communities;7) Participate in final inspection of completed sub-projects with community

representatives, COA engineers, LGU engineers and other sub-project co-

implementors;8) Conduct ex-post review and monitor the utilization level of completed sub-projects;9) Provide technical advice to communities and municipal LGU engineers in the

preparation of engineering plans, detailed cost estimates, programs of work, and other

documents related to sub-project implementation;10) Disseminate annual invitations for accreditation of local contractors and conduct desk

review of their legal personality, track record, and resource and technical capability;1) Assist in sub-project cost and benefit analysis as the need arises;

12) Coordinate at the regional level with technical government agencies and organizations

involved in sub-project implementation, such as, the DENR-EMB to secureenvironmental clearances for sub-projects; and

13) Perform other tasks assigned by the Regional Project Manager.

The RPMO engineering staffing will depend on the number and geographical spread of the

sub-projects to be implemented. Initially, the RPMOs shall have one engineer each. As the

number of sub-projects increase, additional RPMO engineers will be hired6. This is discussed

with more details in Annex 1.

RPMO engineers shall have at least one administrative assistant, who will assist them on

clerical and administrative concerns, such as, encoding of reports, preparation of travel orders

and liquidation reports, and communications tracking.

6 The estimated monitoring capacity per regional engineer is 35 new sub-projects per year.19

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A.3 Municipal Area Coordinators and Community Facilitators

Social preparation and community facilitation shall precede and run simultaneously withinfra sub-projects implementation. The facilitation activities will be led by area coordinatorsand community facilitators. Aside from this Manual, area coordinators and communityfacilitators will be provided other tools to improve their understanding of community infraprojects implementation. As discussed earlier, a community infrastructure resource materialwill be developed jointly by engineers and community development officers at the start ofproject implementation.

Area coordinators and community facilitators, with guidance of the LGU engineer, will alsoassist the community in filling up the Initial Environmental Examination (IEE) checklist forcommunity sub-projects that need environmental ECC clearance.

The horizontal and vertical coordination among project personnel to support community infrasub-project implementation is shown in page 22.

B. Local Technical Support Providers

B. 1 Municipal LGU

LGU counterpart assistance to the communities shall be specified in a tripartite Sub-ProjectAgreement (SPA) to be signed by DSWD representatives, Municipal LGU and the proponentcommunity prior to sub-project implementation. A sample SPA is shown in Annex 3.

Specifically, the SPA will stipulate the following:

* Incorporation of the community sub-project in the Municipal Development Plan* Provision of counterpart contribution for sub-project implementation and

incorporation of LGU contribution in the local Budget* Secondment of LGU engineer and other technical support personnel for sub-project

implementation* Commitment to assist the community in operation and maintenance* Provision of other support needed by the community

LGU engineers to be engaged by the community shall assist in sub-project engineering planspreparation and cost estimation, construction supervision and other technical activities. LGUpersonnel who will be involved in KALAHI shall receive technical trainings to improve theircapability to deliver critical services not only to project recipient barangays but also to thoseoutside, even after the end of project life.

Limited LGUAbsorptive Capacity. Three factors limit LGU capacity in providingtechnical assistance to communities: (i) shortage of LGU engineers, (ii) LGU engineers' lackof experience7 , and (iii) lack of survey and construction equipment. The average 27barangays competing for the KALAHI project within a municipality will also compete for thetime of the lone municipal engineer and the limited LGU equipment available.

7 Poor municipalities have only one civil engineer. LGUs cannot attract experienced engineers due to low salary.20

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During sub-project implementation, should there be a lack of engineering and equipmentcapability within the LGU, communities will be allowed to contract the services of privateengineers to assist in engineering plans preparation and construction supervision and/or rentsurvey and construction equipment. Communities also have the option to engage KALAHI-accredited local private contractors for civil works construction in accordance with projectprocurement guidelines.

B.2 Provincial LGU

Provincial LGUs willing to participate in KALAHI-CIDSS may provide assistance tocommunities in the form of augmenting municipal LGU capability in plans preparation andpre-engineering activities, and providing equipment support before and during sub-projectimplementation. Provincial LGUs' assistance can also take the form of cost sharing andmonitoring. Communities with the assistance of their community facilitators and areacoordinators shall initiate the link-up with provincial LGUs..

B.3 Partner National Agencies and other TA providers

Special technical assistance from national government agencies may be required for specificinfra projects. For example, implementation of irrigation projects will be in collaborationwith the National Irrigation Administration (NIA) and Bureau of Soils and WaterManagement (BSWM) of the Department of Agriculture. DENR will provide technicalassistance on the environmental impact assessment system. Trainings on labor-intensiveconstruction method can be provided by the Labor-based Unit of the Department of PublicWorks and Highways. The Technical Education and Skills Development Authority (TESDA)and Construction Management and Development Foundation (CMDF) of the Department ofTrade and Industry (DTI) can provide skills trainings on construction. The Local WaterUtilities Administration (LWUA) can provide technical trainings on operation of watersystem projects.

Technical support from partner government agencies will be coordinated through the Inter-Agency Committees at the municipal, provincial and regional levels.

Communities will also be assisted to link up with local providers of social preparationtechnology from NGOs/POs and providers of infra implementation technology from privateintermediaries.

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Figure 2. Infra Implementation Coordination StructureKALAHI-CIDSS Project

Finance & raining Community Dev't Central LevelProcurement Officer Officer Engineers

Finance & Train ing ICommunity Dev't RPMOProcurement Officer Officer Engineers ~

I ~ ~~~~~~~~~~~~~ I

Area Inter-EBarangay lLGU Engineer

----------------- -------------- Coordinators Forum

Bar'amgay i

Commu nity Assembly TA providers/- ------------- Facil itators Accredited Local

]'Facilitators Community ContractorsGroups

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IV. GUIDELINES ON SUB-PROJECT DEVELOPMENT AND PRE-CONSTRUCTION PREPARATORY ACTIVITIES

A. Project ID and Design Considerations

Listed below are sub-projects to be included for funding under KALAHI-CIDSS.Communities are given some key pointers in identifying and selecting these sub-projects.

A. 1 Water and Sanitation Systems

1) Level I: Construction and improvement of hand-pump wells provided water table is wellconfirmed

2) Level II: Rehabilitation and construction of small gravity Spring Development System.Works will include spring protection, construction of storage reservoirs and pipeddistribution to communal faucets

3) Construction and improvement of deep welUspring water supply with elevated reservoir4) Communal and household sanitation facilities (toilets and latrine facilities)

Key pointers for community to consider

* Water supply from proposed sites must be free from any contamination and certified safeby the Department of Health or the local health officer through water sample analysis

* Proposed source must be officially cleared with NWRB* No rehabilitation shall be made on erroneously located wells* The farthest user shall not be more than 250 meters from the selected point source for

level I scheme• Proposed roads must not be currently covered under local or foreign funding source

A.2 Barangay Roads and Bridge Proiects

1) Construction of barangay roads (relatively short lengths, usually between 5 to 10 kmswith low traffic volumes of about 20 vehicles per day). Barangay roads link communitiesto the major road network or link farms to market or processing centers.

2) Rehabilitation of existing roads in poor condition (seasonally not passable). Works willinclude restoration of road formation and width, provision of gravel-surfacedcarriageway, drainage structures, slope protection and limited concreting of road sectionswith grade lines exceeding 12 % slope up to a maximum length of 250 l.m.

3) Rehabilitation and/or construction of critical roads connecting single lane bridges4) Rehabilitation and construction of critical single lane bridges and hanging bridge,

including low cost structures such as spillways and low level causeways

Key pointers for community to consider

* Critical main road links should have higher priority over internal road links* Sub-project sites must be free from social and environmental problems and issues;

otherwise, feasible mitigating measures shall be provided* Proposed roads must not be currently covered under local or foreign funding source

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A.3 Irrigation

1. Development of small/micro-scale irrigation systems, including pump irrigation and dripirrigation systems for high value crops

2. Rehabilitation, expansion and construction of small water impounding irrigation

Key pointers for community to consider

* There should be no quarrying within one km. upstream and downstream of the diversionpoints

* There should be no problems on salinity, mine tailings and other pollutants* Sub-project sites/area must be free from social and environmental problems and issues;

otherwise, feasible mitigating measures have to be provided* Proposed sub-projects must not be currently covered under local or foreign funding

sources

A.4 Production and Post-Harvest Facilities: Storage, Pavement/Solar Dryer

Establishment of facilities shall be based on projected development of key production areas.(c/o Livelihood component)

A.5 Centers: Health Center, Day Care, Senior Citizens

Construction, rehabilitation or expansion of Barangay Health Centers and other centers shallbe coordinated with the LGU and relevant line agencies for provision of LGU workers.

A.6 Primary and Elementary Classrooms

Construction, rehabilitation or expansion of Primary and Elementary School classrooms shallbe coordinated with the LGU and relevant line agencies for provision of teachers.

A.7 Shelter UnitsA.8 Electricity Facilities

B. Preparation of Tripartite DSWD-LGU-Community Sub-Project Agreement

Drafting of the Sub-Project Agreement (SPA) will start after the first IBF ranking of theproposals.

The proponent community shall execute a sub-project agreement with the LGU stipulatingthe roles and responsibilities of the LGU and the community. This will follow the pro-formaSPA shown in Annex 3. The SPA will stipulate the following duties of the LGU engineer:

* Conduct detailed engineering surveys including roads and bridge site surveys, andhydrologic surveys; prepare engineering plans, including details and section program

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of works, detailed cost estimates, and project schedule charts; and prepare otherrelated documents;

* Assist in filling in the sub-project environmental IEE checklist, if applicable;* Conduct regular inspections of on-going sub-projects and ensure that works are

carried out in accordance with approved project plans and specifications;* Advise the community on procurement of construction materials and labor;

Oversee the selection of labor groups who will be hired during construction;Countersign physical accomplishment reports, statement of works accomplished andother reports prepared by the Community;

* Be present on site during field inspections by the RPMO and other project officials;* Advise the community and review the preparation of physical progress reports;* Ensure the efficient implementation and timely completion of the sub-project in

accordance with approved plans and specifications; and* Perform other tasks needed by the community.

C. Detailed Engineering Preparation

The concerned proponent community will proceed to detailed engineering plans preparation,cost estimation and program of work preparation after the first IBF project ranking.

C. I Detailed Plans, Estimates and Program of Work Preparation

LGU engineers shall prepare, as technical assistance to the community, the engineering plans,cost estimates and program of work. Communities may also hire private technical serviceproviders to assist the LGU engineer in detailed engineering preparation.

Specifically, the engineer provided by the LGU or contracted by the community shall:

1. Conduct field survey, such as, road alignment, profiling and cross-sectioning;2. Coordinate with concerned government agencies, like NIA and DA BSWM, with regard

to standards to be adopted for development of communal irrigation schemes, and otheragencies for other sub-projects;

3. Gather other data needed;4. Prepare detailed engineering plans and drawings, programs of work and specifications,

and detailed estimates to include derivation of unit costs. Plans preparation should takeinto account the labor-based construction method; and

5. Explain to the proponent community and provide them a copy of the plans prepared,estimates and all related documents.

C.l.] Field Surveys. This will include topographic, sub-surface and other surveysdepending on the type of sub-project. Sub-surface exploration shall include foundationinvestigation for proposed bridge sites, determination of soil classification along the proposedroad alignment and investigation of materials available in the identified quarry sites. Theseinvestigations are necessary to carry out accurate design and estimates of proposed accessinfrastructure and minimize variation/change orders during construction.

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C.1.2 Technical Plans Preparation. The following plans shall be prepared: (i) plansand profile sheet, (ii) typical section and details, (iii) drainage details where applicable, (iv)structural plans and appropriate details, and (v) other details that may be required.

Together with the plans, the following should be submitted:

(i) General specifications(ii) Summary of volumes and quantities(iii) Earthworks computation sheets(iv) Overall POW identifying the source and amount of equity contribution(v) Detailed derivation of work item unit costs, showing the manual and equipment

capability used(vi) Gantt chart

C. 1.3 Program of Work. The program of work shall be prepared following the pro-forma program of work in Annex 3. Preparation of the program of work should considerlabor-based, equipment supported construction method. One hundred percent (100%) ofunskilled labor requirement should come from the proponent community under a partialpayment arrangement to be agreed upon among community residents. In principle, 100% ofskilled labor requirement should also come from the community. If this is not feasible due tolack of skilled construction workers in the community, at least 30% skilled labor should comefrom the community.

D. Community Organizational Preparation

Simultaneous with the engineering plans preparation, the proponent community should startorganizing the working committees preparatory to sub-project implementation.

D. 1 Formation of Community Sub-Proiect Implementing Team.

The organizational chart of the barangay sub-project implementing team and the oversightbarangay management committee is shown in the next page.

Barangay Management Committee (BMC). This is the oversight committee. Throughits chairperson, the Committee shall:

* Coordinate with the LGU and other agencies to ensure timely sub-projectimplementation and completion

* Approve contrac-ts for civil works* Approve all payments for materials, labor services, equipment and tools* Approve physical accomplishment reports, statement of works accomplished and

other reports for submission 'to the RPMO* Engage the services of local engineers when necessary to undertake detailed

engineering and construction supervision* Act as the Bids and Awards Committee of the community

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Figure 3. Barangay Sub-Project Irnplementing TeamKALAHI-CIDSS

Expanded BrgyDevt Council

Barangay Mngt PrectCommittee* ------ Engineer

Procurement Sub Accounts Sub- Monitoring &Committee Committee Inspection Sub-

Committee ,

|Storekeeper Bookkeeper

Sub-Project Sub-ProjectImplemnenting Coordinator** -Team -

Timekeeper/Assistant

l ~~Skilled Pakyaw Grp Workers Leaders|

| aywGrp|

*AJso known as the Barangay Representation and Oversight Team-'Cotid be the same person depending on availability of a skilled construction worker in the conTwity

In the performance of its oversight functions, the BMC shall be supported by thefollowing specialized sub-committees:

Accounts Sub-Committee. The accounts sub-committee shall be composed of theBarangay Treasurer and two other representatives elected by the Community. They will beresponsible for disbursements and preparation of periodic project financial reports using

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standard forms provided by the Project. They will also provide administrative support to theBMC on local bidding activities. Specifically, the Accounts sub-committee shall:

* Maintain the sub-project bank account* Record and monitor the inflow of grant funds and local counterpart funds* Responsible for payment of civil works accomplished, goods delivered and services

rendered to the sub-project* Reconcile all accounts related to the sub-project* Prepare financial reports for review of the Coordinator and joint approval of the

project engineer and BMC* Provide secretariat support to the BMC in local contracting/bidding activities

Procurement Sub-Commitee. The procurement sub-committee will be responsible forcanvassing construction materials and other sub-project procurements following the ProjectProcurement Guidelines. Specifically, the sub-committee shall:

* Identify local suppliers of materials* Coordinate the procurement requirements of the sub-project

Monitoring Sub-Committee. Members of this sub-committee shall: (i) spot checkactual deliveries and utilization of construction materials, and (ii) check entries made in theconstruction materials record, tools & equipment record, construction daily logbook andother records of the sub-project. This sub-committee may review project progress andcompletion reports prepared by the Sub-Project Coordinator and his crew, and recommend tothe BMC whether or not to accept the reports. Project reports accepted by the BMC shall besubmitted to the RPMO. Copies of the submitted progress reports shall be posted incommunity bulletins for wider information dissemination and transparency. Records of thesub-project will also be open to public access at the sub-project office in the community.

The technical team which will execute the construction of the sub-project will becomposed of the following:

Sub-Project Coordinator. The BMC shall designate a Sub-Project Coordinator from apool of community skilled/experienced construction workers to be identified and trained bythe Project. The Sub-Project Coordinator shall assist the Engineer in day-to-day coordinationand supervision of construction activities. Specifically, he/she shall:

* Assist the project engineer in undertaking pre-construction activities andaccomplishing sub-project documentary requirements

* Assist the project engineer in supervising sub-project implementation on a daily basisuntil completion of the sub-project

* Ensure that construction activities are executed in accordance with the instructions ofthe project engineer

* Assist the project engineer in the recruitment of construction workers* Review daily reports, logbooks, physical accomplishment reports, statement of works

accomplished and other reports before they are countersigned by the LGU engineerand submitted to the BMC for approval

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* Sign as recommending authority all payments and disbursements of sub-project funds* Sign as recommending authority all physical accomplishment reports of the sub-

project, statement of works accomplished and other reports* Responsible for requesting the needed materials to be used in project implementation

and ensure that materials delivered are of the correct quality in accordance with sub-project specifications

* Coordinate the day-to-day activities of the labor groups and the sub-projectprocurement and accounts group

* Perform other tasks assigned by the Engineer and the BMC

If there are no residents within the community with the required skill, outsiders may berecruited as Sub-Project Coordinator.

Storekeeper and Timekeeper. The BMC shall also recruit local residents who can actas storekeeper and timekeeper. Candidates should possess the required literacy. Thestorekeeper shall receive, examine, record and put in storage all deliveries of constructionmaterials, tools and other materials that belong to the project. He/she shall also enter in therecords the daily utilization of tools and materials. The timekeeper shall act as assistant of thesub-project coordinator and record the time of the working force.

Skilled construction workers. This refers to skilled workers like the carpenters,plumbers, masons, steel workers, et al. All of them shall work under the direct supervision ofthe sub-project coordinator.

Pakyaw-contracted8 Labor Groups. Following the practice of labor-intensiveconstruction method, the labor component of the sub-project shall be packaged into smalllabor-only pakyaw contracts. Invitation to pakyaw groups shall be posted in communitybulletins. Community facilitators will conduct community meetings to disseminateinformation about the sub-project and encourage interested residents to form their respectivePakyaw groups. Different pakyaw groups will chose their own group leaders. Selection ofpakyaw groups for employment during construction will be supervised by the projectengineer and the Sub-Project Coordinator.

E. Community Submission of Documents and RPMO Technical Screening

Preparatory activities accomplished and clearances and documents earlier secured by thecommunity shall be attached as supporting papers to the IBF request for fund release. TheIBF will submit these to the RPMO for screening.

The following documents should be received at the RPMO as precondition for screening: (i)proper endorsements of the community proposal; (ii) copy of the proposal indicating thename of the project, cost and cost sharing, proposed implementation scheme whether forceaccount or local contracting, and operation and maintenance plan; (iii) engineering plans and

The pakyaw contracting system is traditionally used in construction in which manual labor is a majorcomponent. Labor-only pakyaw contracts are packaged on piecework basis, i.e., fixed wage is given for a fixedquantity of work. Any pakyaw group who performs satisfactorily may be awarded another Pakyaw Contractafter completion of its previous contract.

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detailed cost estimates; (iv) certification/deed of lot donation; (iii) permits from theconcerned government regulatory agencies; (v) community project management organizationshowing the structure and names of community residents involved; (vi) certification ofavailability of community counterpart contribution in cash or kind; (vii) signed copy of thetripartite SPA; and (viii) filled-in environmental IEE checklist, if applicable.

RPMO engineers' technical screening prior to release of the first tranche will focus ontechnical viability, economy and community readiness to undertake sub-projectimplementation. Specifically, they shall:

(i) Check the accuracy and completeness of information in the Sub-Project Proposalsubmitted by the inter-barangay forum

(ii) Check if the following documents are attached to the Proposal:

- Proper endorsement of the Area Coordinator and other endorsements, if any- Detailed design, plans, POW, cost estimates and derivation of work item unit

costs. The engineering plans should be signed by the LGU engineer orcommunity-contracted engineer.

- Right of way certification or deed of donation/sale for road construction; andwater permit from NWRB for water supply system

- Sub-project implementation organizational structure and names of communitymembers involved

- Other attachments to be provided:(a) Copy of Sub-Project Agreement signed by community representatives and

LGU(b) LGU resolution providing counterpart contribution, if applicable(c) lEE checklist, if applicable

(iii) Check if sub-project design, plans and estimates conform with technical andoperational standards

(iv) Check if cost parameter assumptions and computations are reasonable or justifiable(v) Check if the cost items are eligible for KALAHI-CIDSS funding

In case of incompleteness of documents or other adverse findings, the RPMO shallimmediately communicate this to the area coordinator and proponent community.

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V. CONSTRUCTION ACTIVITIES GUIDELINES, SUB-PROJECT COMPLETIONAND TURN-OVER

A. Conduct of Pre-Construction Conference

Communities should not start any construction activity without a pre-construction conferenceconvened by an RPMO engineer. This will be conducted on-site and facilitated byCommunity Facilitators. Community representatives, project engineer and other co-implementors should be present in the conference.

During the pre-construction conference, the RPMO engineer shall undertake the following:

1. Provide the community a copy of the approved sub-project plans and estimates. Thecommunity shall use this as reference to track sub-project implementation progress,materials procurement and usage, etc.

2. Give an orientation on the roles and responsibilities of the community, the projectprocurement procedures, report submissions and use of project monitoring and reportingforms.

3. Remind the community and project engineer of the following:

o All construction work shall be executed in accordance with the program of workapproved by the RPMO.

o During construction, modification of drawings may be necessary due to change indesign based on actual site conditions and other unforeseen causes. Preparation ofsupplemental drawings will be necessary in these instances for a more accuratetracking of physical accomplishments. Plan modifications that will decrease actualproject cost by 10% or more should be reported to the RPMO. Plan modifications thatwill increase actual project cost should be reported also to the RPMO but additionalfunding will not be provided.

* Other revisions, such as, change in project location, should also be reported to theRPMO. The community should not do any construction activity until so advised bythe RPMO.

* Either through -community force account or contracting, civil works implementationshall adopt labor-based construction method. In portions of civil works requiringequipment-led construction, these shall utilize locally rented or LGU-providedequipment. The remaining works shall be undertaken through labor-basedconstruction.

* Procurement under Community Force Account. Sub-projects implemented throughthis scheme should follow the procedural and procurement guidelines on communityforce account.

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* Community-Contracted Sub-Projects. Sub-projects implemented through this schemeshould follow the community contracting guidelines.

* A sub-project signboard should be installed in the project area using the format inAnnex 7.

B. Supervision Arrangements in Infra Sub-Projects Implementation

1. Role of RPMO Engineers during construction

* Conduct periodic site inspections of on-going sub-projects* Issue site instructions to the Community/Project engineer regarding remedial

measures against problems identified during inspection* Receive project progress reports and review requests of fund release

2. Main Duties of LGU Engineer

2.1 Under Community Force Account

* Prepare engineering plans and estimates* On-site direct supervision of construction activities* Advise the community on materials and labor procurement* Countersign project physical and financial progress reports prepared by

community

1.2 Under Community Force Account with contracted private technical service provider

* Supervise preparation of detailed engineering plans and estimates bycommunity-contracted private technical service provider

* Periodic supervision of construction activities(construction will be supervised daily by community-contracted serviceprovider)

* Countersign project physical and financial progress reports prepared bycommunity

2.3 Under local contract

* Prepare detailed engineering, cost estimates and other supporting papers to beattached to the contract documents

* Periodic supervision of construction-activities* Countersign project physical and financial progress reports prepared by

community

3. Role of the BMC/Community

- Submit project progress reports and request fund releases from RPMO

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* Sign contracts* Approve all payments and disbursements to be countersigned by LGU

engineer and community facilitator* Approve hiring of labor with guidance of the engineer

C. Community Implementation of Construction Activities

Below are checklists of activities communities will do during construction with guidance ofthe LGU engineer or community-contracted engineer.

C. I Organizing a Community Construction Job under Force Account

1. Establish Sub-Project Field Office

This temporary office will serve as the base of operations of construction activities. Thisshould be located within the barangay nearest to the construction site. The temporaryoffice shall have minimum office supplies. It should also have a space for storage ofconstruction materials and tools. All project documents, including approved plans,designs, estimates, construction reports and documents should be kept in this office. Thesub-project field office should be identified by a signboard.

2. Procurement of Construction Materials and Tools

Purchases of materials shall be done through canvass using canvass forms in Annex 4.

Payments shall be made only for materials indicated in the approved detailed estimates.Materials paid not within the approved detailed estimate shall be consideredmisprocurement and payment incurred shall be charged to the community.

Receipts, vouchers, payrolls and other proofs of disbursements and expenses should bekept intact for audit purposes.

3. Hire Construction Workers through Pakyaw Contracts (labor only)

3.1 The community shall advertise pakyaw work in community bulletin boards for notless than 10 days, through posting in public and conspicuous places in the barangaywhere the project is located.

3.2 The "Pakyaw Work Application Form" shall be accomplished by all interestedPakyaw Groups in the community. The Community Facilitator shall assist labor groups infilling up the forms. The different Pakyaw groups will elect their own Group Leaders whowill act as representative and spokesman of the group. The Group Leader will also workin the construction as the rest of his group members.

3.3 Pakyaw contracts should be open to public bidding with at least 3 labor groups. Thepakyaw group offering the lowest bid will be given preference subject to the bid beingwithin the project estimate.

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3.4 Work will only commence after award of the pakyaw contract.

3.5 Any pakyaw group who performs satisfactorily may be awarded another pakyawcontract after completion of 80% of its previous contract. Commencement of the newpakyaw contract will be subject to satisfactory completion of the previous contract.

3.6 Biddings for pakyaw contracts shall be conducted in the barangay where the project islocated and done under the joint supervision of the LGU engineer and BMC.

3.7 The "Pakyaw Agreement" shall be signed by the Pakyaw Group Leader and theChairman of the BMC. The LGU engineer and Sub-Project coordinator shall act aswitnesses to the agreement.

The complete guidelines on pakyaw contracting is attached as Annex 2B.

As in the payment for materials, payments for services shall be made only for servicesindicated in the approved sub-project detailed estimates. Services paid not within theapproved detailed estimate shall be considered misprocurement and payment incurredshall be charged to the community.

4. Purchase of Handtools for Pakyaw Groups

4.1 Handtools for pakyaw groups will be supplied by the Community. Handtools shouldbe purchased according to specifications and quantity.

4.2 The Pakyaw Group Leader shall be responsible for keeping the tools in workingorder. The storekeeper shall have custody of the tools.

4.3 The value of handtools purchased may be up to 10% of the total project cost, but insucceeding projects, where there are inherited tools, the average value would be about5%.

4.4 Tools will be issued to the pakyaw workforce and the issuance will be documented inthe Pakyaw Contract Documents.

4.5 Worn-out tools should be returned to the storekeeper for replacement.

4.6 On completion of the Pakyaw agreement, all tools and implements, whetherserviceable or not, shall be returned to the storekeeper. This shall be made a conditionfor payment of the pakyaw agreement. Any loss must be deducted at replacementvalue from the contract sum and the amount recovered will be used for the purpose ofreplacing lost tools.

5. Testing of Material Samples where applicable. The project engineer will undertake thisactivity.

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6. Stake-out Survey. For access infrastructure sub-projects, part of the activities will be toidentify and locate cross drainage of road, limits of side drainage, blue topping at every20 m intervals indicating the limits of every earthwork, and vertical and horizontolcontrols for bridges. For water supply sub-project, it will include location of stand pipesand piping layout.

C.2 Outline of Community Local Contracting Process

1. Communities will engage local contractors after securing the RPMO go-signal for releaseof funds.

2. Area Coordinators will be provided by the RPMO a list of pre-qualified local contractorsfrom which community representatives will make their selection of the contractors. Thecommunity can also invite prequalified local contractors through informationdissemination at the municipal level.

3. Community representatives will invite at least 3 contractors through letter-invitations.Sample of this letter is shown in Annex 2C.

4. Community representatives will confer with the invited contractor on-site and conductinspection of the proposed project site. Community representatives must clarify in thisconference their expectations from the contractor.

5. Once an agreement is reached, the contractor and community will proceed to contractsigning; otherwise, the community shall invite another contractor.

6. Community representatives and contractor shall sign the contract, witnessed by the LGUengineer and area coordinator.

7. After contract signing, the contractor shall mobilize manpower, equipment and someconstruction materials. Contractor starts constructing temporary facilities, startspreliminary lay-outs, and commences actual construction activities.

8. Although civil works will be executed through local contract, pakyaw groups within thecommunity shall be given the opportunity to work in the sub-project under thesupervision of the contractor.

9. A model contract for locally-contracted civil works is shown in Annex 2D.

D. Sub-Project Completion and Turn-over

Upon completion, a sub-project completion report shall be prepared by the sub-projectcoordinator with guidance of the LGU engineer, using the sample form in Annex 6A.Preparation of completion report shall include pictorials taken before, during and afterconstruction on specific sections of the civil work. Upon receipt by RPMO of the sub-projectcompletion report and after desk review, the RPMO shall advise the Area Coordinator toschedule the ceremonial turn-over of the completed sub-project by the Barangay

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Management Committee represented by its chair to the concerned community group who willtake over the actual sub-project operation and maintenance. See related discussion in ChapterVII (C-D) regarding community O&M groups. To indicate the turn-over and acceptance ofthe project by the community group, a turn-over and acceptance certificate (Annex 6B) shallbe signed by representatives of the BMC and the community group. The certificate includes astatement from the BMC that the project was completed according to plans, program of workand specifications and a statement from the O&M community group of their agreement totake responsibility for sub-project operation and maintenance.

E. Liability Period for Locally Contracted Sub-Projects

If the completed sub-project was undertaken by contract, the contract should oblige thecontractor to be liable for any defect during the liability period. This period will varydepending on the type of sub-project:

1. Roads - 6 months from turn-over and conditional acceptance by the community2. Bridge - 12 months3. Water supply - 6 months4. Post-harvest facility - 6 months

The contractor shall correct structural flaws observed during the liability period. Upon lapseof the liability period, when the community is satisfied with the quality of the contractor'swork, the contractor may request for a final acceptance certificate from the community andrequest the release of his/her surety bond. The amount of surety bond to be imposed on thecontractor shall be 10% of the contract amount.

F. Tips for the Community in Accepting Completed Infra Projects

The community should be on the look for the following signs of possible structural flawsprior to final acceptance of completed infrastructure sub-projects:

I. For road sub-projects, the surface should be smooth and free from humps, surfaceirregularities or surface unevenness.

2. The road surface is free from any vegetation and rubbish materials.3. The wearing course of the road is in place.4. Drainage culverts (box culverts and RC pipes), side drainage are clean and free from

any obstruction of silts, debris, rubbish materials and other forms of obstruction thatwill impede the flow of water.

5. There are no visible cracks on concrete pavements.6. There is no structural defect such as hairline cracks, both structural and thermal,

found on bridge structures, buildings and concrete works.7. Road surface abutting the bridge does not show settlement or difference in elevation.8. There are no leaks in pipes along the piping system of the water supply project.9. Standpipes are in the same normal condition including its concrete basin base and

pedestal column.10. The structures and all the sections of the post-harvest facility are in proper condition.

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VI. SUB-PROJECTS REPORTlNG AND MONITORING

The community shall form specialized committees or sub-committees who will preparemonitoring reports during the construction period. Specifically, the following records andreports will be prepared:

(i) Internal records of the community to track and report to community residents andthe public the usage of materials, labor, equipment and tools;

(ii) Periodic physical and financial progress reports to be submitted to the RPMO tosupport the community's request for fund releases; and

(iii) A final sub-project completion and turn-over report at the end of the constructionperiod.

A. Community File Copy of Approved Plans, Cost Estimates and Bill of Materials

To facilitate community participation in sub-project reporting and monitoring, communitieswill be provided a copy of the approved plans and bill of materials. During the pre-construction conference, RPMO engineers shall provide this copy to the community andexplain its content to community residents. Copies of the plans provided to the communityshould be publicly posted in the community bulletin board.

B. Reporting and Monitoring Tools

B.1 Installation of Sub-Proiect Signboards for public information and transparency

The first community-based reporting tool for public information and transparency is theproject signboard. Individual sub-projects should be publicly identified through theinstallation of signboards in a conspicuous area within the project site. At the minimum, thesignboard should contain basic information about the project, project cost, timetable andimplementation progress. The suggested lay-out and information content of the signboard isshown in Annex 7.

B.2 Construction Materials/Activities Monitoring Forms

B.2.1 Daily Construction Logbook. A sample format of the logbook is shown inAnnex 4. The logbook captures the following information: (i) the sections where variousactivities during the day have been carried out, (ii) the materials, equipment and labor usagefor the day, (iii) names of critical project personnel (engineer, foreman, etc.) present on-siteduring the day, (iv) problems encountered during the day and remedial measures taken, (v)materials or field tests conducted if any, and (vi) events, such as, accidents and unusualhappenings. The community sub-project coordinator shall fill up this form everyday duringthe construction period.

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B.2.2 Stockroom Record Sheet. The community storekeeper shall keep a completerecord of the quantity of materials used in construction. This will enable checking of thequantity of works completed against the estimated quantities of component materialsindicated in the Bill of Materials and Programs of Work. The stockroom record sheet shallinclude the following information: (i) materials ordered, (ii) materials delivered and acceptedon site, (iii) specifications of materials ordered and delivered, and (iv) quantity of materialsconsumed and stock inventory at the time of reporting with the corresponding dates andlocation. Sample of a materials record sheet is shown in Annex 4.

B.2.3 Field Test Record. The project engineer/contractor should ensure the necessarysoils and materials tests are conducted and the test results kept in the office by the sub-projectcoordinator. The tests shall include: (i) for site investigations, boreholes, trial pits, auger holelogs, etc.; (ii) for materials tests, embankment materials, concrete aggregates, stones formasonry works; (iii) for soil tests, proctor density, in situ field density test; and (iv) forconcrete tests, cube or cylinder tests.

B.3 Community Quality Control/Monitoring Checklist. Community residents will beprovided a checklist which they can use to monitor the quality of civil works of on-going sub-projects. A sample checklist is found in Annex 5A. During project implementation, moredetailed, project-specific checklists shall be prepared for the guidance of communityresidents. The checklist will be part of the mini-manuals to be prepared during the start-upperiod of project implementation.

B.4 Physical and Financial Progress Reports

Communities will prepare and submit to the RPMO periodic physical and financial progressreports every request for fund release or every month, whichever comes first.

B.4.1 Progress Report Preparers, Concurring and Approving Persons. The physicalprogress reports shall be co-prepared by the sub-project coordinator and the monitoring sub-committee chair, to be concurred by the project engineer and approved by the BMC. Thefinancial progress reports shall be co-prepared by the barangay treasurer and sub-projectcoordinator, to be concurred by the audit sub-committee chair and the project engineer, andapproved by the BMC.

B.4.2 Role of KALAHI area coordinators and community facilitators. They shallreview the progress reports and officially transmit them to the RPMO.

B.4.3 Physical Progress Report Format. The physical report format is shown inAnnex 5B. This will be submitted to the RPMO with attached progress photos (before andafter) of the sections/structure being reported. To facilitate community understanding of thereport, the sub-project coordinator shall also prepare a visual progress chart shown as part ofAnnex 5B.

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B.4.4 Financial Progress Report Format. The financial report format is shown as lastpart of Annex 5B. This will be submitted to the RPMO along with the physical progressreport.

C. Progress Reports Validation by RPMO

RPMO engineers shall conduct on-site validation of the progress reports. During siteinspections, RPMO engineers should consider the following:

1. Always check if the task has been calculated and set out properly2. Has the correct quantity of work been finished?3. Is the quality of the work up to the standards of the program?4. Has the correct number of workers been engaged in the work?5. What is the reason, for any negative answer?6. If the quality of the work is below standard, it can be a sign that more instructions to

the community and the engineer are needed.

D. Sub-Project Completion Report Form

D. 1 Report Preparers

At the end of the construction period, the sub-project coordinator and barangay treasurer shallco-prepare the project completion report. Other community representatives who will sign thereport are: chairpersons of the audit sub-committee, the monitoring sub-committee, theproject engineer, and chairperson of the BMC.

D.2 Report Format

The sub-project completion report format is shown in Annex 6.

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VII. SUB-PROJECT OPERATION AND MAINTENANCE GUIDELINES (O&M)

A. Definition

Operation is defined as making use of the completed infrastructure that will turn it into aneconomically and socially productive community facility. The purpose of maintenance is tokeep the infrastructure in its original forn as far as possible to maintain its serviceability.

The community should refer to the O&M plan presented during the proposal-making stageand the tripartite LGU-Community-DSWD sub-project agreement signed during sub-projectpreparation regarding the organizational arrangements for operation and'maintenance of thesub-project.

The community should also review the concept of sub-project sustainability introduced bycommunity facilitators during the sub-project identification and proposal-making stage.

B. O&M Preparatory Activities

At the tail end of construction activities, prior to sub-project completion and turn-over to thecommunity, community facilitators shall coordinate/conduct the following activitiespreparatory to operation and maintenance: orientation on operation and maintenanceguidelines, community organizational preparation and skills training.

C. Operation and Maintenance Community Groups

All completed sub-projects shall be turned over by the KALAHI-CIDSS BarangayManagement Committee (BMC) to user groups within the community who will take over theactual operation and maintenance of the sub-project.

For different sub-projects, there will be different user groups, such as, (i) Barangay or RuralWaterworks and Sanitation Association for water supply projects, (ii) farmers' association orpeople's organization for production and post-harvest facilities, and (iii) irrigators'association for irrigation sub-projects. Through a set of trainings to be provided by theproject, these community groups will organize themselves and set up a system for internalresource generation to raise the funds for operation and maintenance, example charging userfees. Registration of the user groups with the proper government regulatory agencies ispreferred. It will enhance the opportunity for the group to access government support servicesfor operation and maintenance. Official registration will also facilitate business transactionsof the O&M group, such as, issuance of official receipts.

Community facilitators shall facilitate the organizational formation of user groups andprovide orientation and training for their officers and members. They will be trained on thetechnical, financial and organizational aspects of project operation and management. Conductof the trainings will be coordinated with technical agencies, such as, the Local Water andUtilities Administration (LWUA), the National Irrigation Administration (NIA) and Bureauof Soils and Water Management (BSWM) who can advise the community on operation andmaintenance.

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D. Maintenance of Roads, Bridges, School Classrooms and Health Centers

Sub-projects whose uses are more public in nature, such as, roads, bridges, school classrooms

and health centers, shall be turned over to the Barangay LGU. Maintenance plans of these

sub-projects shall be mainstreamed in the barangay LGU development plan. Operation and

maintenance of school classrooms and health centers shall be through the community school

boards and health boards to be created during project implementation.

Roads and bridge maintenance should be organized by the barangay LGU. The barangay may

consider the following schemes to facilitate road/bridge maintenance: (i) enactment of

barangay ordinance requiring residents living along the road/bridge to undertake self-help

spot improvement maintenance works; (ii) enactment of barangay ordinance regulating the

use of the road and bridge, including user fees regulation against heavy-duty trucks and other

vehicles whose heavy axle loads may damage the road surface; (iii) request municipal LGU

assistance and fund allocation for major maintenance work; and (iv) allocation of a portion of

the internal barangay funds for road/bridge maintenance.

E. Operation and Maintenance Monitoring

Engineers from the RPMO or DSWD personnel shall conduct random inspections to check

the operation and maintenance status of sub-projects turned over to the community groups.

The inspections to be conducted will assess the utilization level of the infrastructure, verify

the operation and maintenance performance of the community, and identify needs with regard

to follow-up trainings required by the community on the technical, financial and

organizational aspects of operation and maintenance. O&M community groups will also

report the status of sub-project operation and maintenance during regular meetings of the

Barangay Assembly and the Barangay Development Council.

F. Development of a Sub-Project Operation and Maintenance Checklist

During project implementation, RPMO engineers shall develop an O&M checklist that will:

(i) identify and describe the component physical structures to be maintained, (ii) provide

preventive maintenance tips, (iii) identify the activities needed in preventive and corrective

maintenance and their frequency, and (iv) give cost estimates and manpower requirement.

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VIII. GUIDELINES FOR ENVIRONMENTAL SCREENING

A. Environmental Screening Regulation

The implementing guidelines of the Philippine policy on Environmental Impact Assessment

is Department of Environment and Natural Resources Administrative Order No. 96-37 or

DAO 96-37. KALAHI-CIDSS shall adopt DAO 96-37 as guide in the environmental

screening of sub-projects. DAO 96-37 requires environmentally critical projects (ECPs) and

projects within environmentally critical areas (ECAs) to submit an environmental impact

statement (EIS), and declares that "no person, partnership or corporation shall undertake or

operate in any part such declared ECP or project within an ECA without first securing an

Environmental Compliance Certificate (ECC)."

Infrastructure projects defined as ECPs under DAO 96-37 are major dams, major roads and

bridges, major power plans, and major reclamation projects. Considered as environmental[y

critical areas (ECAs) are:

* Areas declared by law as national parks, watershed reserves, wildlife preserves and

sanctuaries* Areas set aside as potential tourist spots

* Areas which are the habitats of endangered or threatened species of indigenous

Philippine plans and animals* Areas of unique historic archaeological or scientific interest

* Areas which are traditionally occupied by indigenous people or cultural communities

* Areas frequently hit by natural calamities (geologic hazards, floods, typhoons,

volcanic activity, etc.)

* Areas with critical slopes

* Areas classified as prime agricultural lands

* Recharged areas of aquifers* Water bodies which are used for domestic supply, or support fisheries and wildlife

* Mangrove areas which have critical ecological functions or on which people depend

for livelihoode Coral reefs which have critical ecological functions

B. Environmental Clearance Process

Communities have to be advised if their proposed projects or project activities are

environmentally critical projects (ECPs) or located in environmentally critical areas (ECAs).

Non-ECP or non-ECA projects are exempted from the environmental clearance process. The

proof of the exemption is a certificate of non-coverage secured from the DENR Regional

Office, Environmental Management Bureau. Other projects have to go through the EE

checklist process which forms the basis for the DENR to either give the project the go signal

to start or require the project to undergo further environmental study.

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DRAFT AS OF 7/17/02

B. 1 Non-ECP/Non-ECA Projects

The following projects and project activities are considered non-ECPs or non-ECAs:

ACTIVIInES CRITERIARehabilitation of roads & bridges with effective expansion of less than 50%

Rehabilitation of irrigation service area expansion does not exceed thresholdsystem

Rehab of other support systemsConstruction of roads Roads with length less than or equal to 10 km if not

traversing an area with critical slopeConstruction of bridges 2 lanes with length of less than or equal to 50 metersConstruction of Irrigation System With service area of less than or equal to 300Construction of water systems Level I water systemsConstruction of infrastructure Farmers' Exchange CentersSupport Multi-purpose pavements

Health centersClassrooms/School buildings

(with lot area of less than 1.0 hectares in a rural area, or1,000 square meters in urban areas, and structure doesnot exceed 3 storeys in height)

B.2 IEE Checklist

Projects that do not pass the non-ECP/non-ECA criteria have to apply for ECC. The ECCapplication process starts with the project proponent's submission of an Initial EnvironmentalExamination (TEE) checklist to the regional DENR-EMB. Sample TEE checklists and guidesfor roads, bridge and level II water supply sub-projects are shown in Annex 8.

Projects and project activities to be screened through the TEE checklist are:

ACTIVITIES CRITERIAConstruction of roads Roads with length in excess of 3 km but less than or equal to

5 km that will traverse an area with critical slope (>50%)

Roads with length in excess of 15 km but less than or equal to20 km if not traversing an area with critical slope

Construction of roads Roads with length less than or equal to 3 km that will traversean area with critical slope (>50%)

Roads with length in excess of 10 km but less than or equal to15 km if not traversing an area with critical slope

Construction of bridges 2 lanes with length in excess of 100 meters but less than orequal to 200 meters

2 lanes with more than 6 but less than or equal to 10 spans

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DRAFT AS OF 7/17/02

2 lanes with length in excess of 50 meters but less than orequal to 100 meters

2 lanes with more than 4 but less than or equal to 6 spansConstruction of Irrigation With service area in excess of 350 hectares but less than orSystem equal to 700

Reservoir area (flooded area) in excess of 25 hectares butless than or equal to 50 hectares

Construction of water Level IlIl water systemssystems

Level II water systems

The DENR, after its evaluation of the filled-up LEE checklist, will decide if (i) the project canproceed to implementation or (ii) it needs to undergo a full-blown environmental study beforean ECC can be granted.

C. Environmental Compliance Measures of KALAHI-CIDSS Sub-Projects

1. KALAHI-CIDSS infra projects generally are not expected to have adverseenvironmental effects because of their small scale and location in non-sensitiveenvironmental areas. KALAHI-CIDSS also has a built-in environmental screeningmechanism through the negative list. Sub-projects that will involve environmentallyharmful technology and practices are at the outset not eligible for funding.

2. Most KALAHI-CIDSS sub-projects will qualify as non-ECP/non-ECA projects. Theywill fall under the non-coverage criteria of the environmental impact assessment(EIA) system. Other sub-projects that do not pass the non-ECPlECA criteria will bescreened through the LEE checklist.

3 Road projects of the KALAHI-CIDSS that include slope protection works anddrainage will improve environmental conditions.

4. All water supply and irrigation projects will observe water rights and secure permitsfrom regulatory agencies.

D. Measures to facilitate environmental clearance issuance and environmentalcompliance monitoring

Per regulation, DENR-EMB regional offices have a maximum 7-15 days to issue the CNCs;and about 2 months for review of the IEE and issuance of the ECC. The actual approvalprocess, however, could take much longer than what is stated in the regulation. To avoidthese, delays, the following measures are recommended:

1. Communities should avoid sub-projects located in environmentally critical areas and givehigher priority to sub-projects that satisfy the non-ECP/non-ECA criteria, which are:

* Location criteria - the activity must conform with approved land use plan of the area;

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DRAFT AS OF 7/17/02

* Technology criteria - the activity must employ technology that will not use toxic andhazardous materials; will not produce or dispose waste materials that can pose serioushealth hazards; and will not generate significant amount of organic or solid wastes;

* Size criteria - the activity must not occupy more than 0.5 hectares or will not involveconstruction of a building exceeding 3 storeys; and

* Emission and effluent criteria - the effluence or discharges of the activity mustconform with emission and effluent standards established by the DENR regardless ofquantity or volume.

2. During project implementation, DSWD central level should explore drafting a jointimplementing circular or MOA with the DENR to fast-track environmental clearanceissuance for KALAHI-CIDSS sub-projects. Since sub-projects of KALAHI-CIDSS aregenerally environmentally non-sensitive, a quick approval mechanism should bedeveloped for the sub-projects.

3. At the regional offices, RPMO engineers and DENR-EMB personnel shall conduct jointseminars and orientation to thresh out operational issues in ECC/CNC application andissuance, upgrade personnel skills in IEE checklist preparation, and share information oncurrent environmental regulations.

4. LGU engineers, area coordinators, community facilitators and other project co-implementors should be trained to equip them with the skill to prepare the IEE checklist.

5. Community representatives should be provided environmental trainings to ensure theirunderstanding of the CNC and ECC application process, and for them to monitorcompliance to CNC/ECC environmental conditionalities.

E. Role of RPMO Engineers, LGU Engineers and Area Coordinators onEnvironmental Screening

Part of the technical screening by RPMO engineers will be to check the environmentalcompliance of the proposed sub-projects. RPMO engineers shall coordinate with the DENR-EMB regional office to secure the necessary sub-project environmental clearances.Communities shall wait for the CNC/ECC environmental clearance before starting their sub-projects.

For sub-projects that have to secure ECC, area coordinators and LGU engineers should fill inthe EE checklist. This will be forwarded to the RPMO as part of the attachments of the IBFrequest for funds. Area coordinators shall be given, in coordination with the DENR-EMB,skills trainings on how to fill in the IEE checklist. Sample checklist and guide how to fill inthe checklist for road and water sub-projects are attached as Annex 8. Also included in theAnnex are the environmental mitigation measures for road sub-projects.

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DRAFT AS OF 7/17/02

ANNEXES

1. KALAHI-CIDSS Engineering Staffing Requirement and Job Descriptions2. Pakyaw Contract Guidelines3. Pre-Construction Forms: Sub-Project Agreement and Program of Work4. Construction Record Forms: Materials Canvass Form, Construction Logbook,

Materials Usage Record5. Physical and Financial Progress Report Formats6. Sub-Project Completion Report Format, Turn-over and Acceptance Formats7. Sub-Project Signboard Fornat8. Sample Environmental lEE Checklists and Guide9. Sample designs and plans, materials and cost estimates, sketches and technical

drawings of road, water supply, bridge, post-harvest, school building, sanitation,health center and other sub-projects

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Annex 1KALAHI-CIDSS Engineering Staff Requirement

A. Central Level

A national commnunity infrastructure specialist, 2 quality control infrastructure engineers, anengineering aide/computer operator, and one administrative assistant shall comprise the staffof the KALAHI-CIDSS central level engineering unit. During project implementation, theremight be a need also for one irrigation engineer-specialist at the central level depending onactual demand from the communities for imrgation projects. The irrigation specialist shallprovide technical assistance to field offices and coordinate at the national level with irrigationagencies, the preparation of technical plans and sub-project implementation.

Technical DSWD organic staff and externally-hired personnel shall man the central officeengineering unit.

B. Regional

RPMO engineering manpower complement will depend on the number and geographicalspread of the sub-projects to be implemented. During year 1 implementation, one engineerper RPMO would be able to handle technical review and monitoring of the sub-projects. Asthe project expand, additional sub-projects would be implemented from the batch 2 areas andsome more sub-projects would be implemented from the batch 3 areas. This implies that theRPMO engineering staffing have to increase as the number of sub-projects increase throughthe years. To maintain quality control in technical review and sub-projects monitoring duringconstruction, the preferable engineer-to-project ratio is 1: 35 new sub-projects per year.

The actual capacity of RPMO engineers to handle projects beyond or lower than the ideal1:35 ratio will depend on the following factors: (i) relative location of the actual sub-projects,(ii) accessibility of the sites, and (iii) capability of LGU engineers and effectiveness ofcommunity facilitation by area coordinators and community facilitators.

DRAFT AS OF 7/17/02

JOB DESCRIPTIONS

1. Job Title: CENTRAL OFFICE COMMUNITY INFRASTRUCTURE SPECIALIST

2. Job Objective or Overall Purpose

Involvement of communities in all phases of implementation will provide the properenvironment for achieving quality, timeliness and economy in infra project implementation.Project engineers will need guidelines and technical assistance to ensure they understand andpractice the enhancing value of community participation in infrastructure building.Communities on the other hand need tools and capability building to help them understandthe infrastructure building process, identify in which activities they can effectivelyparticipate, and monitor work quality and resource utilization.

3. Key Function and List of Tasks to be performed -

Key Function: To facilitate implementation of the infrastructure component of KALAHI-CIDSS by developing standards, mechanisms and tools to improve the project implementingcapability of project engineers and communities.

Level of Work: Manager with direct supervision over two technical staff and oneadministrative assistant

List of Tasks:

* Conducts jointly with community development and training units orientation,assessments, planning-workshops, and capability improvement trainings for regionalengineers, LGU engineers and project co-implementors

* Spearheads the infra project performance monitoring of regional offices throughanalysis of reports and field monitoring

* Provides technical inputs for the development and implementation of a specialtechnical assistance program and infra project implementation capabilityimprovement for communities

* Manages the development and dissemination of technical manuals on standard projectimplementation procedures

* Spearheads internal and external coordination to facilitate technical assistanceprovision and fund releases for community projects

* Spearheads the preparation of detailed infrastructure operation and maintenanceguidelines

* Develops and maintains partnership arrangements with technical agencies in relationto technical assistance provision for communities, LGUs and project implementors

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DRAFT AS OF 7/17/02

* Advises higher management on qualifications screening of engineers to be hired bythe project

4. Description of the Relationships and Roles

The position holder will report to the National KALAHI Project Director. The CIM willbe assisted by three technical and administrative subordinates, namely the quality controlengineer, the engineer aide/computer operator and one administrative assistant.

For development and implementation of capability building assistance for projectimplementors and communities, the CIM will coordinate closely with heads of theKALAHI community development and training units. The CIM will also coordinate withexternal technical assistance providers from national government agencies andorganizations.

To ensure timely provision of resources for civil works implementation, the CIM willcoordinate with the Finance and Procurement units.

Coordination with regional project management offices will be at two levels: (i) with theregional project manager for feedbacking the performance of the region on infrastructureimplementation, and (ii) with RPMO engineers for technical assistance and facilitatingimplementation of sub-projects.

The CIM will consult with communities during periodic field monitoring to validateRPMO performance levels and generate feedbacks from communities.

5. Job Distinctions

Differs from current DSWD engineer at central level and regional Community InfrastructureSpecialist to be hired under KALAHI by the wider scope of responsibility, which includesmanaging and developing tools and mechanisms for facilitating infrastructure implementation

Differs from the central level Quality Control engineer to be hired under KALAHI by themanagement responsibility and supervision over technical and administrative staff

6. Job Specifications, Standards and Requirements

* Licensed civil engineer with minimum 5 years experience in communitydevelopment-context infra project implementation

* Degree or background in management* Other desired qualifications and skills: with training in community development, good

writing and presentation abilities, and at least 2 years experience in foreign-assistedgovernment infra projects

7. Total Number of work days/hours/months per position and per item* Full time engagement, co-terminous with project

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DRAFT AS OF 7117/02

8. Number of items per position9 One

9. Job Location

DSWD Central Office. CIM will travel to the regional offices and project sites at leastone week per month for assessments, planning and conferences, and field monitoring.

10. Equipment to be used in the performance of the job. Computer and accessories

11. Salary Range:

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DRAFT AS OF 7/17/02

1. Job Title: QUALITY CONTROL IN:FRASTRUCTURE ENGINEER (QCIE)

2. Job Objective or Overall Purpose

To maintain quality standards in all sub-projects.

3. Key Function and List of Tasks to be performed -

Key Function: Field validation and quality control check of on-going and completedinfrastructure sub-projects reported by RPMOs

Level of Work: Technical Staff

List of Tasks:

* Conducts weekly field monitoring to check the quality of implementation andprogress of sub-projects reported by RPMOs

* Prepares consolidated findings from field monitoring and submits recommendationsfor the guidance/action of project management and other stakeholders

* Participates in final inspection of completed sub-projects with communityrepresentatives, COA engineers, LGU engineers and other sub-project co-implementors

* Prepares detailed technical manuals on design specifications, cost estimates andconstruction methods for the approval of management

• Acts as resource person during technical seminars for engineers on design preparationand construction methods

* Provides advice to RPMO engineers, LGU engineers and communities on design andconstruction methods

* Performs other functions assigned by the CIM

4. Description of the Relationships and Roles

The position holder will report to the Community Infrastructure Specialist.

In the course of his/her field monitoring, the MQCE shall regularly interact with RPMOengineers, LGU engineers, area coordinators, community facilitators and communities.

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DRAFT AS OF 7/17/02

5. Job lDistinctions

Differs from current DSWD engineer at central level by the responsibility for coveringKALAHI projects.

Differs from the RPMO engineers by the nationwide coverage of field monitoring and qualitycontrol

6. Job Specifications, Standards and Requirements

n Experienced in civil works design and construction of infrastructure projectsa Other desired qualifications and skills: Familiar with computer operation, at least 2

years experience in foreign-assisted government infra projects

7. Total Number of work days/hours/months per position and per item

D Full time engagement, co-terminous with project

8. Number of items per position

D Two (organic DSWD personnel)

9. Job Location

DSWD Central Office with extensive travels to the regional offices and project sites atleast three weeks per month to conduct field monitoring.

10. Equipment to be used in the performance of the job. Computer and accessories

11. Salary Range

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DRAFT AS OF 7/17/02

1. Job Title: REGIONAL COMMUNITY INFRASTRUCTURE SPECIALIST (RCIS)

2. Job Objective or Overall Purpose

Ensure technical viability, quality and timely implementation of sub-projects.

3. Key Function and List of Tasks to be performed -

Key Function: Technical screening of sub-projects and inspection of on-going and completedsub-projects

Level of Work: Staff

List of Tasks:

* Screens sub-project plans, detailed estimates and program of works prepared by LGUengineers or community-contracted engineers

e Conducts pre-construction conference and site validation attended by communityrepresentatives, LGU engineers and other sub-project co-implementors

e Inspects all on-going sub-projects to identify problem areas and provideadvice/guidance to the community and the project engineer

e Reviews all requests for fund release, claims of payment and periodic progress reportssubmitted by proponent communities

* Reviews the environmental EEE checklists for sub-projects requiring environmentalclearance and coordinates with the regional DENR-EMB to secure CNC/ECCclearance for the sub-project

e Participates in final inspection of completed sub-projects with communityrepresentatives, COA engineers, LGU engineers and other sub-project co-implementors

o Conducts ex-post reviews and monitors the operation and maintenance of completedsub-projects

* Gives technical advice to communities and municipal LGU engineers in thepreparation of engineering plans, detailed cost estimates, programs of work, and otherdocuments related to sub-project implementation

* Prepares annual invitations for accreditation of local contractors and conduct deskreview of their legal personality, track record, and resource and technical capability

o Coordinates at the regional level with government agencies and organizationsinvolved in sub-project implementation

* Prepares monthly consolidated accomplishment reports to be submitted to centraloffice

* Assists in the preparation of sub-project cost and benefit analysis as the need arises

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DRAFT AS OF 7/17/02

4. Description of the Relationships and Roles

The RCIS will report to the Regional Project Manager. For technical consultations, he/she

shall coordinate with the central level engineering unit. The RCIS will be assisted by one

administrative assistant.

To ensure timely provision of resources for civil works implementation in the

communities, the RCIS shall coordinate with the regional Finance and Procurement units.

The RCIS shall also recommend to the regional community development and training

units the project implementation training needs of LGU engineers and communities.

The RCIS shall coordinate his/her on-site field visits and community meetings with the

area coordinators and community facilitators.

RCIS shall also coordinate with regional-based government agencies for technicalassistance provision.

5. Job Distinctions

Differs from the central level Quality Control engineer by the responsibility for technical

review and inspection of all sub-projects in the region

6. Job Specifications, Standards and Requirements

* Licensed civil engineer with minimum 5 years experience in cornmunity deveLopmentinfra project implementation

* Other desired qualifications and skills: with training in community development and

at least 2 years experience in foreign-assisted government infra projects

7. Total Number of work days/hours/months per position and per item

* Full-time engagement for maximum 4 years duration

8. Number of items per position

* 14 items starting witlh batch 1, to increase progressively as the new batch of provinces

join the project. The number of items per region will vary depending on the number of

actual sub-projects during project implementation.

9. Job Location: DSWD Regional Offices with travel to project sites about three weeks

per month

10. Equipment to be used in the performance of the job. Computer and accessories

11. Salary Range

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DRAFTAS OF 7/17/02

1. Job Title: ENGINEER AIDE/COMPUTER OPERATOR

2. Job Objective or Overall Purpose

Presentable preparation of reports and technical resource materials

3. Key Function and List of Tasks to be performed -

Key Function: Computer operation in connection with preparation of technical reports, plans,drawings and presentations

Level of Work: Staff

Tasks:

o Encodes reports and technical drawings, and performs other functions as instructed bythe CIM

4. Description of the Relationships and Roles

The engineer aide/computer operator will report to and take instructions from the CIM

5. Job Distinctions

Differs from the administrative assistant by the responsibility for encoding technical-relatedreports

6. Job Specifications, Standards and Requirements

1i At least a civil engineering graduatea Knowledgeable in computer operation using autocad, excel, powerpoint and word

7. Total Number of work days/hours/months per position and per item

a Full-time engagement, co-terminous with project

8. Number of items per position

e one

9. Location: DSWD central office

10. Equipment to be used in the performance of the job. He/she will use the computerfacility of the CIM

11. Salary Range:

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DRAFT AS OF 7/17/02

1. Job Title: ADMINISTRATIVE ASSISTANT

2. Job Objective or Overall Purpose

Clerical support for engineers

3. Key Function and List of Tasks to be performed -

Key Function: Perforn clerical and administrative tasks for the engineers

Level of Work: Staff

List of Tasks:

* Performs clerical work* Maintains communication files* Assists in preparation of travel liquidation and reimbursement papers of project

engineers* Performs other duties to be assigned by the CIM/RPMO engineers

4. Description of the Relationships and Roles

The administrative assistant at DSWD Central Office will report to the CGM. Regionaladministrative assistants will report to RPMO engineers.

5. Job Distinctions

The position need not be hired by KALAHI if DSWD regular staff can be seconded to theproject.

6. Job Specifications, Standards and Requirements

* College graduate* Knowledgeable in computer operation using at least word and excel

7. Total Number of work days/hours/months per position and per item

* Full-time engagement, co-terminous with CIM/RPMO engineers

8. Number of items per position

* 14, one at the central office and one each in the 13 RPMOs

9. Location: 1 item DSWD central office, 13 items RPMOs

10. Salary Range:

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DRAFTAS OF 7/17/02

Annex 2ASAMPLE FORMAT OF A SITE VERIFICATION CHECKLIST

Sub-Project Title:Length/Physical Measurement:Location:Estimated Cost:Name of Proponent Community:

Yes No Remarks1. Based on the plan, can you locate on the ground thefollowing? State in the remarks if they conform toobserved conditions on site.

Location/route of the proposed projectTarget service areaTarget project beneficiariesLength or distance of the project from source

2. Based on the plan, can you locate on the ground thefollowing major structures of the proposed project? Statein the remarks if they conform to observed siteconditions.

Road culvertsRetaining wallsDitchesCommunal faucetsOthers, specify

3. Does the project have any right-of-way or lotacquisition problem? If yes, specify in the remarks. _

4. Is the site accessible for transportation of constructionmaterials? If yes, specify in remarks means oftransportation.5. Are local materials for construction available on site?If yes, specify in remarks what are these materials andtheir estimated cost.6. For road/bridge project, specify in remarks the typeand estimated minimum and maximum number ofvehicles per day expected to use the project.7. For water project, in your observation of the clarity,color and smell of the water is it clean? If yes or no,state comments in the remarks.

DRAFT AS OF 7/17/02

Annex 2ASAMPLE FORMAT OF A SITE VERIFICATION CHECKLIST

Sub-Project Title:Length/Physical Measurement:Location:Estimated Cost:Name of Proponent Community:

Yes No Remarks1. Based on the plan, can you locate on the ground thefollowing? State in the remarks if they conform toobserved conditions on site.

Location/route of the proposed projectTarget service areaTarget project beneficiaries .

Length or distance of the project from source2. Based on the plan, can you locate on the ground thefollowing major structures of the proposed project? Statein the remarks if they conform to observed siteconditions.

Road culvertsRetaining wallsDitchesCommunal faucetsOthers, specify

3. Does the project have any right-of-way or lotacquisition problem? If yes, specify in the remarks.4. Is the site accessible for transportation of constructionmaterials? If yes, specify in remarks means oftransportation.5. Are local materials for construction available on site?If yes, specify in remarks what are these materials andtheir estimated cost.6. For road/bridge project, specify in remarks the typeand estimated minimum and maximum number ofvehicles per day expected to use the project.7. For water project, in your observation of the clarity,color and smell of the water is it clean? If yes or no,state comments in the remarks.

DRAFT AS OF 7/17/02

Yes No Remarks8. From your interview of local residents, during dryseason can the water source provide enough water fortarget residents?9. Specify in remarks how long (maximum andminimum) it takes to fill a receptacle of known volume.Use at least 10 repeated measurements to control forvariability of measurement.10. Specify in remarks if water pump is needed?Estimate how far (difference in elevation) are the targetusers from the water source.11. Is the project located in an environmentallysensitive* area? If yes, specify in remarks the sensitivenature of the environment.12. For part/s of the project that will crossenvironmentally sensitive areas, does the plan providemitigation measures? State these measures in theremarks.

*Environmentally sensitive areas woud include disaster-prone areas, soil erosion-prone areas, areasdeclared as environmental reservation areas, and other areas mentioned in Chapter VIII of theCommunity Infra Manual.

Prepared by:

Verification Team Members

Name Position Signature

Date:

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Annex 2B

"Pakyaw"

Contract Documents

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DRAFT AS OF 7/17/02

GUIDELINES ON THE USE OF PAKYAW SYSTEM(For Construction and Maintenance of Rural Infrastructure Facilities)

1. Introduction

In the Philippines, the pakyaw system is widely used in the construction industry (andlikewise recommended for use in maintenance work) by both Government and privatesector to undertake jobs in which manual labor is a major component. The system shouldbe readily acceptable to a rural workforce with little or no experience in road constructionand maintenance or of working for DPWH, DILG-LGU and NIA or any otherimplementing agency. For labor-based construction and maintenance projects, the use ofpakyaw system seems to be ideal.

2. Organization of Pakyaw Groups

a. The formation of Pakyaw Groups should have the involvement of Barangay Leadersand the local community.

b. The construction or maintenance should be scheduled so as not to conflict withagricultural peak season activities.

c. The Community Facilitator convenes community meetings with assistance of theBarangay Captain and encourages attendance of unemployed and underemployedmembers of the barangay. The purpose is to provide accurate information about thesub-project.

d. The Community Facilitator also assists in forming the Pakyaw Groups.

e. The elected Pakyaw Leader shall be the signatory to the Pakyaw Contract and anyother documents pertaining to the work on behalf of the Pakyaw Group. The PakyawLeader may be replaced at any time by the group but this should not invalidate anyprevious agreements.

f. The Community Facilitator will also assist the Pakyaw Groups in preparing theirapplication for Pakyaw Agreements.

3. Workforce

a. Labor should be drawn from within the community or vicinity of the sub-project site.

b. Unskilled labor should be drawn from the barangay where the sub-project is located;semi-skilled labor shall be recruited also within the barangay or neighboring areas;

DRAFT AS OF 7/17/02

skilled labor shall be recruited within the municipality if there are no skilled workersin the community.

c. The workforce should be formed into groups of workers, the number of which shallbe based on the magnitude of work to be done.

d. Each Pakyaw Group will elect its own Group Leader who will also participate in theconstruction/maintenance work.

4. Award of Pakyaw Agreement

a. The maximum value of individual Pakyaw contract shall be Php 500,000.

b. A Pakyaw Group is expected to complete a contract within a specified period.

c. A Pakyaw contract will not be awarded to a regular licensed contractor nor to anygovernment official or employee.

d. The Agreement would normally be for labor supply only. Tools, equipment andmaterials will be supplied by the project.

e. A Sub-project may be subdivided into several Pakyaw Agreements with the objectiveof employing as many groups of workers as possible.

f. Pakyaw Contracts may be awarded through negotiation within the project estimate.

g. Where there is competition for the award of Pakyaw Agreement, they shall be open topublic bidding with at least three (3) labor groups, and the Pakyaw Group offering thelowest bid shall be given preference subject to the bid being within the projectestimate.

h. All contract awards shall be made and signed by the Pakyaw Leader and theCommunity Representative, witnessed by the project engineer and communityfacilitator. Work will only commence after the award has been formalized.

i. Any Pakyaw Group who performs satisfactorily may be awarded another PakyawContract after cornpletion of 80% of its previous contract. Commencement of the newPakyaw Contract will be subject to satisfactory completion of the previous contract.

j. The Pakyaw'Gfoup undertaking any work under the Agreement shall be exemptedfrom the 4% Contractor's Tax and other local taxes that are imposed on registeredcompanies or profit oriented organization.

k. Bidding for Pakyaw Contracts shall be conducted in the barangay where the sub-project is located. The bidding and the award shall be under the supervision of theSub-Project Management Committee of the barangay.

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5. Supervision

a. The project engineer and community facilitator will assist in the organization of thePakyaw Groups and in the preparation of Pakyaw Agreements. They should also helpresolve any disputes between the workforce and management. The project engineerwill also explain the standards and contract requirements to be achieved.

b. The project engineer and community sub-project coordinator will oversee theselection of the Pakyaw Groups.

c. The project engineer and sub-project coordinator will be responsible for overallconstruction and ensuring compliance with design standards and specifications. Theproject engineer and sub-project coordinator will direct the site supervisions and be aparty to the calculations of payments due to the workforce and a joint signatory to alldocuments relating to the accomplishment and payment for the work. They willclosely supervise the construction work seeing that it is in accordance withinstructions. They will also verify the daily attendance and will closely direct thePakyaw Groups through their Group Leader (GL). They will give clear instructions tothe GL, ensure that the handtools are adequate and the pakyaw group members areproperly informed, present and working.

d. The GL will assist in setting out the task and in distributing the handtools; ensure thatwork is undertaken as directed. He will also check that workers are properlyinformed, present and working.

6. Tools

a. The community sub-project management committee through the sub-projectcoordinator will supply the hand tools. The tools shall conform to requiredspecifications and of sufficient quantity.

b. The storekeeper on instruction by the sub-project coordinator shall ensure the toolsare kept in working order by sharpening/repairing them.

c. For pilot projects, the value of handtools purchased may be up to 10% of the totalproject cost but for follow-thru projects, where there are inherited tools, the averagevalue would be about 5%.

d. Tools will be issued to the workforce and the issuance will be documented in thePakyaw Contract Documents (See PC Form 5).

e. Worn out tools should be returned to the storekeeper for replacement.

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f. On completion of the Pakyaw Agreement, all tools and implements, whetherserviceable or not, shall be returned to the storekeeper. This shall be made a conditionfor payment of the Pakyaw Agreement. Any loss must be deducted at replacementvalue from the contract sum and the amount recovered will be used for the purpose ofreplacement for tools lost.

g. No tools shall be offered or sold to the worker.

7. Pakyaw Payments

a. The Pakyaw Agreement should be designed to ensure completion of work segmentwithin one (1) calendar month. Thus, the workers will be paid at least once a month.

b. In case more frequent payments will be requested, this should be agreed upon with thecommunity sub-project management committee, the sub-project coordinator and theproject engineer. Some retention, say 10%, should be withheld to ensure completionof work.

c. The Pakyaw Agreement estimate will assume normal productivity rates and prevailinglocal wage rate. The Pakyaw Group should be given the incentive of working harderor longer in order to be paid early on completion of the work.

8. Pakyaw Contract Documents

a. Invitation to Pakyaw Groups (Notice of Bidding), PC Form 1

b. Application to undertake Work by Pakyaw System, PC Form 2

c. Pakyaw Agreement, PC Form 3

d. Schedule of Works, PC Form 4

e. List of tools to be provided to the Pakyaw Group, PC Form 5

f. General Conditions of Pakyaw Agreement (labor only), PC Form 6

The project-engineer and sub-project coordinator shall prepare these annexes to theAgreement. The sub-project coordinator enters the quantity of tools to be issued to thePakyaw Group Leader who signs the receipts and receives the tools on the behalf of thePakyaw Group.

Once the work has-been completed and the tools returned, the sub-project coordinatorcertifies its return-by signing on the appropriate space. The replacement value of any toolsnot returned on completion of work shall be deducted from the agreed payment.

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PC Form 1

OFFICE OF THE BARANGAY MANAGEMENT COMMITTEE (BMC)Barangay of

Municipality ofProvince of , Region

KALAHI-CIDSS: KAPANGYARIHAN AT KAUNLARAN SA BARANGAY (KKB)

INVITATION TO PAKYAW GROUP

The Barangay Management Committee of Barangayis inviting Pakyaw Groups (labor only) to apply for the various items of work involved in theproposed construction of under the following contracts:

Name of Sub-Project Location Work Activities Quantity EstimatedCost

Total:

Application forms are available at the Office of the Barangay ManagementCommittee. The deadline for the submission of application forms will be on

. Qualified Pakyaw Groups will be notified of their employment on orbefore

The Committee reserves the right not to accept and/or process application formsreceived after the above deadline.

Chairperson, Barangay Management Committee

Date of Publication:

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PC Form 2

OFFICE OF THE BARANGAY MANAGEMENT COMMITTEE (BMC)Barangay of

Municipality ofProvince of , Region

KALAHI-CIDSS: KAPANGYARIHAN AT KAUNLARAN SA BARANGAY (KKB)

APPLICATION TO UNDERTAKE WORK BY PAKYAW SYSTEM

Date:

THE BMC CHAIRPERSON

Name of Sub-Project

Sir/Madam:

We the undersigned, all of legal age, Filipino and Residents of Barangayand Barangay Pakyaw Group No. - hereby apply to provide labor only

and undertake the work described in the "Invitation to Pakyaw Groups".

We are a team of workers willing to undertake the work jointly under the direction ofthe Project Engineer, the Sub-Project Coordinator or their duly authorized representative.

This will also authorize , who has been elected as PakyawGroup Leader to make representations, sign documents and receive payments for and onbehalf of the group.

Name of Worker Address of Residence Signature1.(Leader)2.3.4.

6.7.8.

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9.

12.13.14.15.16.17.18.19.20. _

11.. ________________________________ ___________________ 2

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PC Form 3

OFFICE OF THE BARANGAY MANAGEMENT COMMITTEE (BMC)Barangay of

Municipality ofProvince of , Region

KALAHI-CIDSS: KAPANGYARIHAN AT KAUNLARAN SA BARANGAY (KKB)

PAKYAW AGREEMENT(Labor Only)

This AGREEMENT, is made this day of 200_ by and betweenthe Barangay Management Committee of , represented herewith by

, hereinafter referred to as the BMC and theBarangay Pakyaw Group No. _ hereinafter referred to as the Pakyaw Group and hereinrepresented by their Pakyaw Group Leader,

WITNESSETH, that for and in consideration of the rates in the Schedule of Work,attached as PC Form 4 to this Agreement and made an integral part hereof, the Parties heretocovenant and agree as follows:

(1) That the Pakyaw Group shall provide labor only necessary for the proper andfaithful performance of the work described below at the total contract amount of

(P )

(2) That the Pakyaw Group shall complete the work in accordance with thecorresponding plans and specifications, under the supervision of the ProjectEngineer and the Sub-Project Coordinator appointed for the purpose by theBarangay Management Committee.

(3) That the Pakyaw Group shall comply with all the terms and conditions of thisAgreement more specifically those contained in the following documents:

PC Form 6 - General Conditions of Pakyaw AgreementPC Form 2 - Application to undertake work by Pakyaw SystemPC Form 5 - List of Tools to be provided by the LGU

(4) That the Pakyaw Group agrees to commence work within ten (10) days uponsigning of this Agreement and to complete the same within calendar days,Sunday and Legal holidays included.

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(5) That the Pakyaw Group shall submit to the BMC through the Sub-ProjectCoordinator the time records of the workers, the group accomplishment andcorresponding payments made thereof.

(6) That the slippage shall not go beyond 15%. If it exceeds 15%, the ProjectEngineer/Sub-Project Coordinator shall immediately tender a written report forappropriate action to the party of the Pakyaw Group.

Target Date of Completion:

Sub-Project TitleSub-Project Location

ITEMS OF WORK QTY. UNIT PRICE AMOUNT

TOTAL

IN WITNESS HEREOF, THE PARTIES HERETO SIGNED THIS AGREEMENT ONTHE DATE INDICATED ABOVE.

FUNDS AVAILABLE: APPROVED BY: WITNESSES:

Chair, Barangay Project EngineerBarangay Treasurer- Management Committee

Sub-Project Coordinator

CONFORME:

PAKYAW GROUP LEADER

Comm. Tax Cert. No.Issued atIssued on

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PC Form 4

OFFICE OF THE BARANGAY MANAGEMENT COMMITTEE (BMC)Barangay of

Municipality ofProvince of , Region

KALAHI-CIDSS: KAPANGYARIHAN AT KAUNLARAN SA BARANGAY (KKB)

SCHEDULE OF WORKS

Sub-Project TitleLocation

Activity No. Description Quantity Unit Cost Estimated Cost

.~~~~~~~~~~~~~~~~~~~~~~~

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PC Form 5OFFICE OF THE BARANGAY MANAGEMENT COMMITTEE (BMC)

Barangay ofMunicipality of

Province of , Region

KALAHI-CIDSS: KAPANGYARIHAN AT KAUNLARAN SA BARANGAY (KKB)

LIST OF TOOLS TO BE PROVIDED TO THE PAKYAW GROUPItem Quantity

Axe*Bolo (Multi-purpose)*Brush Hook*Grass Cutting Bolo*Grass Cutter*Crowbar*Shovel*Hoe*Forked Hoe*Pick Mattock*Pickaxe*Sledge Hammer*Rake Spreader*Hand Hammer*Wheel Borrow*Bow Saw*Cold Chisel (Bladed)*Cold Chisel (Pointed)*Log Tong*Stone Hammer*Steel Scraper (animal drawn)Cart (animal drawn)* including handles

I certify that the above tools have been received by me on behalf of the PakyawGroup.

Pakyaw Group Leader

I certify that the above tools have been returned by the Pakyaw Group in acceptablecondition.

Storekeeper

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PC Form 6GENERAL CONDITIONS UNDER WHICH THE WORK SHALL BE

UNDERTAKEN

(1) All works contemplated under the contract shall be performed in accordance with theplans and specifications, copies of which are on file in the barangay sub-project office.Any deviation from plans and specifications shall not be accepted and considered invalidunless the same has'prior written approval by the Project Engineer and the BMC.

(2) The work shall be carried out using labor based methods under the direction of the ProjectEngineer/Sub-Project Coordinator.

(3) The time of completion of work is calendar days from receipt of Notice to Proceed.All works must be finished before

(4) The Pakyaw Group shall employ unskilled, semi-skilled and skilled workers from thebarangay. Skilled workers within neighboring areas or within the municipality may behired if these are not available in the barangay.

(5) The BMC through recommendation of the Project Engineer/Sub-Project Coordinator maystop or suspend the work at any time he/she deems it to be necessary by informing thePakyaw Group in writing. In such cases payment shall be made based on the amount ofwork completed.

(6) The quantities and amounts entered in the Schedule of Work are estimates only. Paymentswill be based on the measured actual accomplishment upon completion of the works andacceptance by the BMC.

(7) Interim payments may be allowed and payment shall be based on partial accomplishment.Ten (10) percent of the amount shall be retained as retention money pending completionof the works and acceptance by the BMC.

(8) If in the opinion of the Project Engineer/Sub-Project Coordinator, the work is notperformed in accordance with plans and specifications and was unreasonably delayed,then the contract may be terminated and claims for partial payments shall be based oncompleted works acceptable to the BMC.

(9) The Pakyaw Group shall work at least 6 days a week excluding Public Holidays until.such time as the works are completed and accepted by the BMC.

(10) The Pakyaw Group shall take all reasonable precautions to prevent any disorderlyconduct by or among members. The BMC through recommendation of the ProjectEngineer/Sub-Project Coordinator may require the Pakyaw Group Leader to remove fromthe work any group member who in the opinion of the Project Engineer/Sub-ProjectCoordinator misconducts himself or is incompetent.

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(11) Upon completion of works, the Project Engineer/Sub-Project Coordinator shallproceed promptly to measure the works and prepare the estimate and the certificate ofacceptance. He/she shall prepare the necessary voucher for payment to the Pakyaw GroupLeader, deducting from there such sums as maybe lawfully retained.

(12) The BMC shall provide the Pakyaw Group with the necessary hand tools,wheelbarrows and steel scrapers for the duration of the works. The replacement cost ofany items misplaced by the Pakyaw Group shall be deducted from the contract payment.

(13) Under this Pakyaw Contract, the contractor shall ensure that at least 80% of therequired laborers and working tools and equipment specified for this sub-project areavailable at site at any stage of work.

(14) The BMC shall not be held liable for any obligation arising from injury, sickness,disability or death of the group members.

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Annex 2C

OFFICE OF THE BARANGAY MANAGEMENT COMMITTEE (BMC)Barangay of

Municipality ofProvince of , Region

LETTER-INVITATION TO BID

Date:

Dear Sir/Madam:

Our community is a recipient of assistance from the DSWD KALAHI-CIDSS project for the(name and physical target of sub-project) located in

our barangay. Please submit your offer price to construct and complete, on behalf of ourcommunity and according to the conditions of the contract document and addenda, the wholeof the work items for said project broken down as follows:

WorkItems Scope of Work Quantity Unit

We will accept office price that is firm and not subject to variation.

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The project being a community-owned infrastructure, the contract document shall require as acondition the employment of local labor. Labor force shall come from the barangay where theproject is located, specifically 100% of unskilled labor and at least 30% of skilled labor.

Copies of the sub-project plans and specifications are available in the office of theundersigned for purchase at a non-refundable amount of

You are invited to a pre-bidding/pre-construction conference, ocular inspection of theproposed project site and discussion with community representatives at (time),

(date), (location).

Should we accept your offer, you should undertake the following:

(i) Your offer must be accompanied by a bid security of 2.5% of your offered price in any ofthe following forms: cash, certified check, manager's check, bank draft, or its equivalent in afreely convertible currency;

(ii) Sign the contract within fifteen (15) calendar days upon receipt of the notice of award orforfeit the award;

(iii) Present a performance bond in the amount of 10% of contract price in the form ofunconditional bank guarantee callable on demand; and

(iv) Commence the works within ten (10) calendar days from receipt of notice to commencework and to complete and deliver the whole of the works in calendar days tobegin on the tenth (loth) day following the date of receipt of the notice to commence work.

Please ensure we will receive your reply to this letter-invitation, addressed to theundersigned, not later than . If we do not receive your reply on or beforethis date, we shall consider it an incapacity on your part to accommodate this letter-invitation.

The community reserves the right to reject any bid, waive any defect or formality, assume noobligation whatsoever to compensate indemnity to the contractor/bidder for any expenseincurred in the preparation of bid, and to accept the lowest evaluated, responsive andcomplying bid.

Thank you.(SGD.) G

Chair, Barangay Management CommitteeKALAHI-CIDSS-KKB

Noted by:

DSWD KALAHI-CIDSS Area Coordinator

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Annex 2DSuggested Model Contract for Community-Contracted Civil Works

Province:Acceptance letter _ _ day of 19_

Between:

The Barangay Management Committee of Barangay , Municipality of, Province of (hereinafter called "the Owner")

as represented by its Chairperson,

and,

The Company represented byhereinafter called the Contractor.

A. General

1. Definition

(a) Owner - refers to the KALAH1-CIDSS Recipient Community or Barangayacting through the Barangay Management Committee (BMC) as represented by thechairperson.

(b) BMC Chairperson - refers to the head of the BMC elected by communityresidents under the KALAFH-CIDSS project.

(c) Contractor - means the construction enterprise or organization.

(d) Contract - is the agreement entered between the Owner and the Contractor forthe execution of works.

(e) Works - comprises all those items that are to be constructed under the terms ofthe contract.

2. Object of the Contract

The object of the present contract is the implementation of(name of project) community infrastructure sub-project

funded under KALAHI-CIDSS.

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3. Location of Works

Works are located in the Barangay of , Municipality ofProvince of

4. Type of Contract

The present contract is for the whole Works based on a Fixed Lump Sum Price.

5. Documents Forming the Contract

The documents forming the contract shall be as follows:- The present Contract- The Invitation to Bid- The Specifications- The Site Visit Certificate- The Schedule of Construction- The Schedule of Key Supervisory Staff- Any addenda sent to the bidder- The engineering drawings

6. Supervision of Works

The supervision of works is under the LGU Municipal Engineer and Sub-ProjectCoordinator. The BMC shall give written and verbal orders to the Contractor through the LGUMunicipal Engineer and Sub-Project Coordinator.

The KALAHI-CIDSS RPMO and KALAHI-CIDSS Area Coordinator shall conductperiodic inspection of the project and shall advise the Contractor thru the BMC chairpersonof any defects found during project implementation.

7. Possession of the site

The Contractor shall be given possession of portions of the site to suit his program. If forany reason possession cannot be given in due time, this shall be taken into account by the BMCin considering any time extension to the contract period.

8. Contractor to Conform to Government Regulations

The contractor shall ascertain and conform in all respects with the provisions of anygeneral or local Act of Government and such Regulations and Laws, which may be applicable tothe Works. This shall in particular apply to the:

(a) Conditions of employment of local labor. Labor force shall come from thebarangay where the project is located, specifically 100% of unskilled labor and at least

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30% of skilled labor; The Contractor shall also comply with the following rules: hoursand conditions of works, general health regulations, and safety and health precautions.

(b) Traffic regulations, including provision of adequate warning sign, and trafficbarriers.

(c) Environmental protection. The Contractor shall carefully plan and conduct hisworks in a manner which will minimize their negative effect on the environment. Inparticular the Contractor shall take care not to interfere with or pollute in any wayirrigation channels or water courses. Borrow pits shall only be worked at the locationand, in particular, the pits shall be left in a condition that it is not a safety or a healthhazard due to stagnant water collection.

9. Responsibilities

The Contractor is responsible during the implementation of the works for the followingrisks:

(a) third party liability (including any member of the community working on site),and covering injuries to persons and damage to property, losses and any prejudice whichmight result from the execution of works; and

(b) work accidents and injuries which might befall his own staff.

10. Equipment/Machinery

The Contractor shall be fully responsible for the use of equipment.

11. Settlement of Dispute

(a) In the course of the execution of the works, if any conflict or difference of anykind whatsoever arises between the BMC and/or its authorized representative and theContractor, the latter shall submit a memorandum to the BMC that explains the reasonsfor the disagreement and, possibly the amount in dispute. It should be accompanied byany supporting documents needed to examine the case.

(b) If no settlement is reached in a dispute between the BMC and the Contractor, thelatter shall prepare a memorandum submitting the case to the KALAHI-CIDSS RPMOwho will then take action.

B. Time Control

1. Commencement of Works/ Implementation Period

Signing of the contract by the BMC will constitute a notice to commence the works.The implementation period is calendar days after contract signing.

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2. Planning of Works

(a) Within 15 days after contract signing, the Contractor will present to the BMC thedetailed implementation plan for the works including site organization. The plan shouldreflect on a weekly basis the location, type and volume of works that would beimplemented until project completion.

C. Quality Control

1. Drawings and Variations

Drawings and other engineering documentations are indicative of the scope of work.Field alterations may be decided by the BMC as actual conditions may warrant, provided noadditional cost is involved. The BMC shall communicate this to the Contractor. In case of planand drawing alterations involving additional cost, this should have prior clearance from theRPMO.

The BMC may authorize variations in quantities with request from the Contractorwithout modifying unit prices. Such variation does not allow the Contractor any additional claimor release him from any of his obligations.

The BMC may agree to extend accordingly the completion deadline subject to theconcurrence of the RPMO.

2. Quality of Works

Works shall comply with the technical specifications, which describe the particulartechnical requirements of the works to be performed under each activity.

D. Cost Control

1. Contract Price

The contract price is set at (amount in figures).

2. Procedure for Payment

(a) Monthly payments based on monthly statements presented by the Contractor andaccepted by the BMC shall be made to the Contractor. The monthly statements shallshow the value of the works implemented -during the considered month. The lastpayment, which corresponds to 10 % of the total contract price retention, shall bereleased after lapse-of the contractor's liability period.

(b) Monthly statement shali be supported by Measurement of Works showing foreach work item the location, and volumes implemented during the month.

3. Time for Payment

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Payments to the contractor shall be at the latest 30 days after approval by the BMC ofthe contractor's monthly statement.

4. Penalties

Failure by the contractor to complete the works within the implementation period, or anyextended period granted by the BMC, shall render the Contractor liable to forfeit 1/3 of1% of the value of the contract per calendar day of time overrun. The BMC mayrescind the contract after 45 days delay.

E. Finishing the Contract

1. Certificate of Completion

(a) When the Contractor shall consider that the whole of the Works has beensubstantially completed he shall give notice to that effect to the BMC.

(b) The notice must be accompanied by an undertaking to finish any outstandingwork as expeditiously as possible and to rectify any defects which might becomeapparent during the liability period.

(c) The BMC shall within 14 calendar days from receiving the Contractor's noticeissue a Completion Certificate or else give instructions to the Contractor stating allfurther work that need to be done before a Completion Certificate may be issued. TheCompletion Certificate shall not be issued until all defects are corrected to the BMC'ssatisfaction.

(d) Upon issuance of the Certificate of Completion, the final billing which shallcorrespond to the last monthly billing, shall be paid to the contractor within 30 calendardays. In making this payment, the BMC shall ensure retention of 10% of the TotalContract Amount until lapse of the contractor's liability period.

2. Defects Liability Period

(a) The Contractor shall be responsible for rectifying any defects in his works whichbecome apparent for a period of months following the issuance ofthe Certificate of Completion.

3. Final Certificate of Completion

(a) Upon expiration of the Defect liability Period and when all outstanding anddefective work has been completed or rectified, the BMC shall issue a Final Certificateof Completion.

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(b) The BMC shall inspect the works 14 calendar days before expiration of theDefect Liability Period and will issue at this time a list of any defects required to berectified prior to issuance of the Final Certificate.

4. Ternminafion of Contract

(a) The contract is terminated automatically and without compensation in thefollowing cases:

- death or legal incapacity of the Contractor;- bankruptcy or judicial liquidation of the Contractor's business;- subcontracting of part of the works (with the exception of hauling of material) to

another enterprise without the BMC's authorization; or- major delays in the execution of the works , i.e., when the contractor has exceededthe time for completion allowed for in the contract by 25% of the total time to carryout the works or when the maximum 45 days delay has been reached, whichever islower.

(b) If the Contractor does not comply either with the clauses of the Contract or thenotices received, the. Owner, shall issue a formal notice requesting compliance within 28calendar days or less in case of emergency. Beyond that period of time, if the Contractorhas not complied with the request, the Owner may declare the contract to be terminatedat the Contractor's expenses.

(c) In case of termination, the Owner shall, in the Contractor's presence, draw up alist of all works carried out, inspect the material supplied. The Contractor shall vacate thesite within the time indicated by the Owner. Payment shall be made for the workscompleted and material supplied by the Contractor. Deductions will be made foraccounts already settled, advances made, retention money paid, and for additionalexpenses to be incurred in preparing a new bid and awarding a new contract for theremaining works.

The parties hereto have caused this Contract to be executed the day and year first writtenin accordance with their respective law.

Date: .............. Date:.For the Owner: For the Contractor:

(Name & Signature) (Name & Signature)

Designation Designation

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ACKNOWLEDGEMENT

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Annex 3COMMUNITY INFRASTRUCTURE PROJECT CONCEPT FORM

|Barangay IMunicipality |Province

PPROJECT NAME, TYPE & PHYSICAL MEASUREMENT LOCATION/DESCRIPTION OF PROJECT SITE

NO./SECTOR OF SUB-PROJ BENEFICIARIES

WHAT NEEDS OF THE COMMUNITY WILL THE PROPOSED PROJECT ADDRESS?

3

IN WHAT WAYS WILL COMPLETION OF THE PROJECT MEET THE TARGET NEEDS OF THE COMMUNITY?

123

PROJECT IMPLEMENTATION COMMUNITY ORGANIZATIONAL STRUCTURE

1. Who will construct the project?

1 Community with LGU |Z |JCommunity-contracted privateassistance contractor

2. Attach in a separate sheet the community organizational structure responsible for coordinatingand implementing the construction of the project.

COMMUNITY STRUCTURE RESPONSIBLE FOR OPERATION AND MAINTENANCE (State which group in thecommunity will take over the operation and maintenance of the sub-project after its completion? Describe briefly the sub-project operation and maintenance plan? Use additional sheets if necessary.)

PROJECT COST AND COST SHARING (P)

Local mat'ls & other Total.Cash Labor in-kind (specify)

KALAHI-CIDSS GrantCommunity ContributionMunicipal LGU ContributionOther Local Contributions (specify)

Total

Prepared by: Approved for endorsement to the Inter-Barangay Forum:

Chair, Project Preparation Team Chair, Brgy Mngt Committee Date

Approved for endorsement to KALAHI-CIDSS:

Chair, Inter-Barangay Forum Date

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SAMPLE SUB-PROJECT AGREEMENT

KNOW ALL MEN BY THESE PRESENTS:

This agreement made and entered into this - day of 200_ atI by and among:

The BARANGAY ASSEMBLY. of BarangayMunicipality , a recipient community of the KALAHI-CIDSS project, through its BARANGAY MANAGEMENT COMMITTEE withaddress at , represented hereinby its Chairman, , hereinafter referred to as theBMC;

The MUNICIPAL LOCAL GOVERNMENT OFestablished and existing under the laws and regulations of the Republic of thePhilippines, with office at Municipal Hall, , dulyrepresented herein by the Municipal Mayor, the Hon.hereinafter referred to as the MIUNICIPALITY;

- and -

The DEPARTMENT OF SOCIAL WELFARE AND DEVELOPMENT, anational government agency, through its REGIONAL OFFICE for Regionwith office at , represented herein by theRegional Director, , hereinafter referred to as DSWD.

WITNESSETH, THAT

WHEREAS, the Department of Social Welfare and Development (DSWD) isimplementing the KALAHI-CIDSS project in selected poor municipalities within 40provinces nationwide;

WHEREAS, KALAHI-CIDSS provides grants for construction and improvement ofcommunity infrastructure with counterpart contribution from recipient communities and localgovernment units;

WHEREAS, the BMC is the project oversight committee of the barangay forcommunity infrastructure implementation under KALAHI-CIDSS;

WHEREAS, the participating Municipality shall assist the BMC in detailedengineering preparation, construction supervision, cost sharing and provide other assistanceneeded;

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WHEREAS, the DSWD and the MUNICIPALITY executed a Memorandum ofAgreement on for the specific arrangements, assistance andservices to be provided by the MUNICIPALITY to the community in the implementation ofKALAHI-CIDSS in the area;

NOW THEREFORE, for and in consideration of the foregoing premises, the Partieshave mutually agreed and by these presents do hereby agree as follows:

ARTICLE I - THE SUB-PROJECT

Section 1.1. The sub-project covered by this Agreement is described as follows:

(Description of the sub-project)

ARTICLE II - OBLIGATIONS OF THE BMC

Section 2.1. The BMC shall undertake to negotiate for the acquisition, by whatever mode,of private properties to be affected by the sub-project.

Section 2.2. The BMC, through the Barangay Treasurer and two other elected communitymembers, shall open and maintain a local Bank Account exclusively for thesub-project.

Section 2.3. The BMC shall provide community workers to implement the sub-project withthe guidance of the MUNICIPALITY and with the assistance of community-contracted technical service providers to augment local capacities.

Section 2.4 The BMC shall contribute, as its counterpart to the construction of the project,easements or right-of-way plus labor and materials for the sub-project the totalvalue of which shall.be at least _% of the total project cost.

Section 2.5. The BMC shall keep a record of the contribution/participation of its members.

Section 2.6 Upon completion of the sub-project, the BMC shall take full responsibility forthe management, operation and maintenance of the sub-project.

Section 2.7. The BMC shall make available for training all persons who shall have actualresponsibility for the implementation, management, operation andmaintenance of the sub-project.

Section 2.8. The BMC shall prepare and submit to the DSWD periodic monitoring andsub-project implementation progress reports.

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DRAFT AS OF 7/17/02

Section 2.9 The BMC shall allow and give access to DSWD and other KALAHI-CIDSSpersonnel in conducting regular field monitoring activities in the area.

ARTICLE III - OBLIGATIONS OF THE MUNICIPALITY

Section 3.1 The MUNICIPALITY shall assist the BMC in the form of cost sharing andtechnical assistance for implementation, operation and maintenance of the sub-project.

Section 3.2 The MUNICIPALITY shall incorporate the community implementation of thesub-project in the Municipal Development Plan and incorporate in the localbudget the cost to be shared by the MUNICIPALITY.

Section 3.3 The MUNICIPALITY shall assign the municipal engineer and other technicalmunicipal personnel to the sub-project to assist the BMC in detailedengineering plans preparation and cost estimation, construction supervisionand other sub-project implementation activities of the community.

Section 3.4 The MUNICIPALITY shall make available for capability improvementtrainings the municipal engineer and technical personnel involve in sub-project implementation.

Section 3.5 The MUNICIPALITY shall assist the community in cost sharing, training andtechnical assistance during operation and maintenance of the sub-project uponits completion and turnover.

Section 3.6 The MUNICIPALITY shall assist the DSWD in conducting monitoring andsupervision activities of the sub-project.

ARTICLE IV - OBLIGATIONS OF THE DSWD

Section 4.1. The DSWD, through the KALAHI-CIDSS Area Coordinators and CommunityFacilitators, shall assist the BMC in capability building training andorganization of community residents as well as the strengthening thereofbefore, during and after construction of the infrastructure sub-project.

Section 4.2. The DSWD shall provide technical assistance to the BMC as well as theMUNICIPALITY in the training of community residents and LGU personnelwho are selected to undertake the implementation, management, operation andmaintenance of the sub-project.

Section 4.3. The DSWD shall assist the BMC in the promulgation of its rules andregulations.

3

DRAFTAS OF 7/17/02

Section 4.4. The DSWD shall facilitate the release of funds to the community in threetranches, subject to the submission by the BMC of physical and financialprogress reports.

Section 4.5 The DSWD shall facilitate coordination with other government agenciesinvolve in sub-project implementation.

Section 4.6 The DSWD shall conduct regular field monitoring and inspections to verifythe quality, economy and timeliness of sub-project implementation, and verifythe status of operation and maintenance of the sub-project after its completionand turn-over.

ARTICLE V - OTHER COVENANTS

Section 5.1. The BMC shall submit itself to the supervision of the DSWD to ensure that theprovisions of this Agreement shall be faithfully observed and the interest ofcommunity members protected.

Section 5.2. In the exercise of its supervisory functions, the DSWD may audit the books ofaccounts and records of the BMC and may issue necessary guidelines, whichshall form part of this Agreement.

Section 5.3. The rules of the BMC shall contain a provision that the funds of the sub-project cannot be withdrawn without the signatures of both the Chair of theAudit Sub-Committee and the Barangay Treasurer.

Section 5.4. The BMC warrants that its Chair has been duly authorized by Resolution ofthe Barangay Assembly or the expanded Barangay Development Councildated to sign this Agreement and perform all actsnecessary to put this Agreement into full effect. A copy of the said Resolutionis hereto attached as Annex 1.

ARTICLE VI - AMENDMENT

Section 6.1. This Agreement may be amended, altered, modified or supplemented bywritten agreement of the Parties.

ARTICLE VII - EFFECTIVITY

Section 7.1. This Agreement shall take effect upon the signing hereof.

IN WITNESS WHEREOF, the Parties have hereunto affixed their signatures on thedate and at the place first above written.

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DRAFT AS OF 7/17/02

BARANGAY ASSEMBLY

By

Chair, KALAH-CIDSS Brgy Management Committee

MUNICIPALITY OF_

By

Municipal Mayor

DEPARTMENT OF SOCIAL WELFARE AND DEVELOPMENTREGIONAL OFFICE NO.

By

Regional Director

5

DRAFT AS OF 7/17/02

Signed in the presence of:

ACKNOWLEDGMENT

REPUBLIC OF THE PHILIPPINES))S.S.

BEFORE ME, a Notary Public for and in this - day of_ _ at personally appeared:Name CTC No. Issued On Issued At

known to me and to me known to be the same persons who executed the foregoinginstrument and acknowledged to be that the same is their free and voluntary act and deedand of the offices they represent.

This instrument consisting of - pages refers to a Sub-Project Agreement amongthe Barangay Assembly, the Municipality ofand the DSWD Regional Office of Region and has been signed by the parties andtheir witnesses on each and every page thereof.

IN WITNESS WHEREOF, I hereby affix my signature and notarial seal on the dateand at the place above written.

NOTARY PUBLIC

6

DRAFTAS OF 7/17/02

OFFICE OF THE BARANGAY MANAGEMENT COMMITTEE (BMC)Barangay ofMunicipality of

Province of , Region

SAMPLE SUB-PROJECT PROGRAM OF WORK

Sub-Project TitleCategoryPhysical TargetTotal Sub-Project Cost

Project Description:Sub-Project DurationEquipment NeededTechnical Personnel

Item Scope of Work % _No. (Direct Cost) Wt. Quantity Unit Unit Price TOTAL

Moving In

Moving OutTotal Direct Cost 100

Say

Breakdown of Estimated Source of FundProject Cost Grant Community LGU Total Cost

A. Direct CostMoving InMaterialsEquipmentLaborMoving Out

Sub-total AB. Indirect Cost

Pre and Dot. EngineeringEng'g. SupervisionMat'Is. Testing and QCTaxesContractors Profit

Sub-total BTOTAL (A + B)

%~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~ADD: Contingency

GRAND TOTAL

Prepared by: Reviewed* by:

Community-Contracted Service Provider* Municipal Engineer

Approved by:

Chair, Barangay Mngt Committee

'In case there is no service provider, POW preparer shall be the municipal engineer; signatory for "reviewed by' will be deleted.

DRAFT AS OF 7/17/02

Annex 4Materials Canvass Form

Name of Supplier:Address:Date:

Item Qty/Unit Materials Description Unit Price (P) Total Price (P)No.

1 3 bags Portland cement

Canvasser

DRAFT AS OF 7/17/02

Sample Page of Construction Logbook

Date:

Weather AMPM

1. Labor InputsActivities Station Unskilled Skilled

Tasks Accomplished Designation Tasks AccomplishedFrom To workers workers

2. Materials & Equipment UsagMaterials Usage Equipment HoursDescription of Materials Qty and Description of Liters of Hrs

.______________________ Unit used Equipment fuel used worked

DRAFT AS OF 7/17/02

3. Handtools UtilizationDescription of Tools Quantity

Used Returned Lost

4. Site Staff/Personnel and Visitors PresentProject Personnel Names of VisitorsName of Personnel Position

5. Problems encountered during the day and remedial measures taken

6. Remarks

Prepared by: Approved by:

Sub-Project Coordinator BMC Chair2

DRAFT AS OF 7/17/02

Materials Record Sheet

Description of Material:

Name of Project:Delivered and accepted on site Materials quantity Stock inventory

consumedDate Qty Uriit' Specs Date Qty Unit As of date Qty Unit

Total

Remarks:

Prepared by:

Sub-Project Coordinator

Approved by:

BMC Chair

DRAFT AS OF 7/17/02

Annex 5ASAMPLE QUALITY CONTROL CHECKLIST FOR CIVIL WORKS

1.FOUNDATION WORK

1.1 Is the depth of excavation as specified in the plan?1.2 Is the foundation supported by a rigid ground?1.3 Is the concrete cover for the reinforcements at least 75mm thick?1.4 Are the dimensions of foundations in accordance with the plans?1.5 Is the concrete mixture in the right proportions (as specified by the engineer)?

1 bag cement: 2 cu.ft. sand: 3-4 cu.ft. gravel

2. WALLS

2.1 Is the wall thickness used as specified in the plan?2.2 Is the distance between two adjoining openings in a wall not less 55cmor 30% of the average height of openings?2.3 Are the walls reinforced horizontally and vertically by steel bars inserted in theblocks?2.4 Are the cavities filled with mortar?2.5 Is the mortar mixture in the right proportions (as specified by the engineer)?

1 bag cement: 3-4 cu.ft. sand2.5 Is the top of the wall provided with a beam?2.6 Are all openings provided with lintel beams?2.7 Are the walls plumbed?

3. ROOF

3.1 Are the roof trusses anchored firmly to the column or collar beam?3.2 Is there at least 2-1/2 lapping on corrugated G.l. roofing sheets?3.3 Is the overlap on ridge roll, flashings and gutters at least 30cm?3.4 Is there at least four 4 roofing fasteners per line per sheet?3.5 Are all fasteners sealed with sealant?

4. FINISHES

4.1 Painting

4.1.1 Are the concrete and masonry surfaces applied with neutralizer beforeapplication of paint primer?

4.1.2 Are all surfaces primed using the right kind of paint?* Latex Paint for concrete and masonry surfaces* Enamel for wood and metal* Roof paint for G.l. roofing sheets

4.1.3 Are all surfaces prepared/ rectified (puttied, sanded where applicable) priorto final paint coating?

4.2 Cement Plaster

4.2.1 Are the cement plastered surfaces not rough?

DRAFT AS OF 7/17/02

5. PLUMBING AND SANITARY

5.1 Plumbing

5.1.1 Is the correct pipe being used (PVC blue or G.l. pipe)?5.1.2 Are water supply conduits clean?5.1.3 Are the connections leak tested before covered?5.1.4 Is there sufficient water pressure to supply the system?5.1.5 Are gate valves installed where specified?5.1.6 Are the fixtures (faucets, showers etc) properly installed and or of kind and

brand specified?5.1.7 Is water tested for quality (potable or not)?

5.2 Sanitary

5.2.1 Is the correct pipe being used (uPVC, PE, Cl pipes, etc)?5.2.2 Are waste pipe of correct slope?5.2.3 Is waste water running towards the septic tank location?5.2.4 Are the connections leak tested before covered?5.2.5 Are clean outs provided where specified?5.2.6 Are vent pipes provided?5.2.7 Are the fixtures (water closets, lavatories, sink, etc) properly installed or of

kind and brand specified?

6. ELECTRICAL

6.1 Are wires and cables installed of specified sizes and types ( stranded or solid) asindicated on the plans?

6.2 Are wires properly placed on correct sizes and kinds (emt, rsc, imc, etc) ofconduits as indicated on the plans?

6.3 Are wiring devices (convenience outlet, switches, etc) installed are asspecified?

6.4 Are the lighting fixtures of correct type and properly installed as indicated on theplans?

.6.5 Are breakers installed of correct ratings and specified brands?6.6 Are all insulation of wires intact without damage?

6.7 Is the electrical system properly grounded?

2

DRAFT AS OF 7/17/02

Annex SBMONTHLY PHYSICAL PROGRESS REPORT

For the Period: to

Name of Sub-Project: Total Project Cost:Physical Target: Date Started:Location: Target Completion Date:

Mode of Implementation:FA LC

I. Physical Accomplishment

Approved POW Acc mplishment (Qty)Item ~ ~ ~ ~ ~ ppoedPWPlan Actual

No. Description Qty Unit Rel to Prev. To dateUnit (1) Price Amount wt,date (3)

______ _______ ______ ~~~~~~~~~~~~(2)

Slippage** Sum [(3)/(1) - (2)/(l)]x rel. wt.

II. Problems and Issues Encountered

III. Recommendations

Prepared by: Concurred by:

Sub-Project Coordinator Chair, Monitoring Sub-Com Project Engineer

Approved by:

Chair, BMCNote: attached corresponding progress photos

3

DRAFT AS OF 7/17/02

VISUAL PHYSICAL PROGRESS CHARTAs of March 07, 2002

Name of Sub-Project: Road Rehab Jct Odiongan-Balocawey Total Project Cost: P 1,286,000Physical Target: 1.098 km Date Started: January 15, 2002Location: Abuyog, Leyte Target Completion Date: June 30, 2002Implementation Mode: _ FA _ LC Time Elapsed to Date: 51 days

[Month 1 |Month 2 | Month 3 [Month 4 |Month 5 |Month 6 IMonth 7Week Number

0 12 14 16 18 110 112 114 116. 118 120 122 124 26

jUSet up office and mobilization

_Excavation

i~ §=Embankment

i [ IAggregate sub-base course

cursor at wk 7 lAggregate base course(cut-off date)

RC pipes installation

= Grouted riprap

| ~J IStone masonry

Legend: E Demobilizationplannedwork done

Prepared by: Concurred by: Approved by:

1Sub-Project Coordinator Chair, Monitoring Sub-Committee Project Engineer Chair, Barangay Mngt Committee

DRAFTAS OF 7/17/02

MONTHLY FINANCIAL STATUSAs of

(PER SUB-PROJECT)

SUB-PROJECT TITLEPHYSICAL TARGETLOCATION

Approved P.O.W. Accomplishments Overrun (-)Major Work Items Unit Qty. U. Cost Prev. Month This Month To Date Underrun (+ Remarks

Qty. Qty. Qty. Value Act.Exp.-__ (5)+(6) _ _7)x(4) (8)-(9)

*( 1) (2) (3) (4) (5) (6) (7) | (8) (9) ( 10) ( 1 1 )A. Civil Works

I. Moving In - L.S. -

II.Ill.IV.V. Moving Out L.S.

B. Cost of Material Inventory L.S.Sub-Total "A" and "B" i . _ N -A.

C. Indirect Cost U-..l- * ' ,' '-E -* lr;

Pre-Engineering d L.S. By: Co d B: A-Eng'g. Supervision L.S. t S Mat'r s Testing & QC Sb e L.S. a romeTaxes NMI, L.S. _ X _Contingencies .i'1 L.S. INS-M

Sub-Total "C" 4 L.S._ 511_Ji-ITotal amG5_1 8 8Prepared By: Concurred By: Approved by:

Barangay Treasurer Sub-Project Coordinator Chair, Audit Sub-Committee Project Engineer Chair, BMC

DRAFT AS OF 7/17/02

Annex 6ASUB-PROJECT COMPLETION REPORT

Date:

Regional DirectorDSWD Regional Office

Dear Sir/Madam:

This is to inform you of the completion according to plans and specifications of ourcommunity infra project funded under KALAHI-CIDSS. The details are as follows:

Name/Type of Project:Actual Physical Measurement:Total grant received from KALAHI-CIDSS: PTotal amount spent: PDate started:Date completed:Mode of implementation: Community Force Account

Community Force Account with Hired PrivateEngineer/Technical Service ProviderThrough Local Contractor

Summary of Project Cost and Cost SharingKALAHI- Community Contribution Other fund sourcesCIDSS Funds (P) (state source,(P) Cash In-kind amount, whether

cash or in-kind)Plans PreparationConstructionSupervisionMaterialsLabor (unskilled)

(skilled)EquipmentRental/POLHandtoolsMaterials TestingContractor's FeeOthers, specify_

Total

1

DRAFT AS OF 7/17/02

With completion of the sub-project, the following needs of our community members arebeing met:

Needs Met Number of beneficiaries1.2.3.

Operation and Maintenance Plan (Describe briefly the name, leader, number of membersand O&M trainings received by the community structure which will operate and maintain theproject)

Name of O&M group:Name of group leader:Number of Members:State the community training activities undertaken preparatory to O&M:

Attachments:

1. List of expenses incurred and supporting receipts (total amount should match the totalgrant received)

2. Xerox copy of bank account3. Pictures of project (before, during and after construction) using one vantage point

Prepared by:

Sub-Project Coordinator Barangay Treasurer

Concurred by:

Chair, Monitoring Sub-Committee Chair, Audit Sub-Committee

Approved by:

Chair, Brgy Mngt Committee

2

DRAFT AS OF 7/17/02

Certffication

Per our inspection dated , we hereby certify that the above-describedcommunity infra project funded under KALAHI-CIDSS has been completed according toplans and specifications.

Municipal LGU Engineer KALAHI-CIDSS Area Coordinator

3

DRAFT AS OF 7/17/02

Annex 6BRepublic of the Philippines

DEPARTMENT OF SOCLIL WELFARE AND DEVELOPMENTKapit Bisig Laban Sa Kahirapan-Comprehensive and Integrated Delivery of Social Services

(KALAHI-CIDSS)

PROJECT TURN-OVER AND ACCEPTANCE CERTIFICATE

Project Name:Physical Measurement:Location:Date of Completion:

On behalf of the Barangay Assembly of , Municipality of, I hereby turn-over to the (name of community group)

the above-captioned project, implemented by residents of this barangay according to plansand specifications, with technical assistance from the Municipal Local Government Unit andfund support from the KALAHI-CIDSS project of the Department of Social Welfare andDevelopment (DSWD).

Chair, Barangay Management Team

The (name of community group) hereby accept theabove-captioned completed project. We commit to immediately assume full responsibility foroperation and maintenance of the project, through continuing organizational strengthening,participation in skills improvement training, and mobilization of local resources to ensure thesustainable serviceability of the project.

,200_

Chair, ---------

Witnesses:

Municipal Mayor

DSWD Regional Director

4

DRAFT AS OF 7/17102

Annex 7Proposed Sub-Project Signboard Lay-out

Republic of the PhilippinesDepartment of Social Welfare and Development (DSWD)

Logo KALAHI-CIDSS: Kapangyarihan at Kaunlaran sa Barangay (KKB)

COMMUNITY INFRASTRUCTURE PROJECT

Barangay Lemery, Buenavista, Quezon

Basic InfoOther messages here

ProjectiTitle : Rehabilitation of 2-km Yugto-Tarpol RoadTotal Project Cost :zP 1,900,000

KALAHI-CIDSS grant :----%Community contribution %LGU contribution :%

Start date : February 08, 2003Project duration : 60 calendar daysTarget date of completion April 08, 2003

Progess Report (as of _ _ )

Physical accomplishment: %Financial: _%

100 x 180 cms.

1

DRAFT AS OF 7/17/02

Annex 8

LEVEL II WATER SUPPLY PROJECTInitial Environmental Examination (IEE)

Checklist and Guide

Below is the IEE Report checklist for proponents of level H water supply system. Readthe questions carefully before answering in the space provided (refer to Guide to Proponents formore details). Use additional sheets if necessary, and indicate this in the appropriate space.

Misleading or erroneous answers are basis for legal actions and/or denial of ECC.

SECTION 1. PROJECT DESCRIPTION

PROJECT NAME:

PROJECT LOCATION:

PROJECT DESCRIPTION:

NAME OF PROPONENT:

CONTACT PERSON:

ADDRESS:

(Complete Address: Street, Barangay, Municipality/City, Province)

Telephone:

Fax: e-mail:

IMPLEMENTATION SCHEME:

PROJECT COST (Philippine pesos):

2

DRAFT AS OF 7/17/02

FUNDING AGENCY/S:

SECTION 2. DESCRIPTION OF EXISTING ENVIRONMENT

PARAMETERS YES ER REMARKS (for YES answers)

Will the project cross, traverse or affectany bodies of water?Will the project affect any nationalparks, forested or watershed areas,sanctuaries or similar areas?Will the project affect any mangroveareas, swamps, wetlands or similarareas?Will the project cross or traverse primeagricultural lands?Will the project pass through trafficprone areas or intersections?Is the project located in a flood proneareas or areas vulnerable to stormsurges?Is the project located in an erosionprone area?Is the project site near an area withindigenous community/s?Is the project located in an area withcriticalUsteep slope?Will the project pass near any sites withcultural/historical significance?

(Attach recent photographs from all perspectives of the proposed project site)

SECTION 3. PROJECT IMPACTS IDENTIFICATION, ASSESSMENT ANDMITIGATION/ENHANCEMENT

CONSTRUCTION STAGET PARAMETERS ANSWER MITIGATION/ENHANCEMENT

YES NO MEASURES (for YES answers)Will there be land clearing?

Will there be vegetation clearing?

Will there be any trees that have to becut?Will there be topsoil removed duringthe construction phase?

3

DRAFT AS OF 7/17/02

PARAMETERS ANSWER MITIGATION/ENHANCEMENTPARAMETERS YES NO MEASURES (for YES answers)

Will there be any excavation or cut andfill activities?Will there be other earthmovingactivities?Will sand, gravel and/or other materialsbe stockpiled in the area?Will there be any drilling, boring andother noisy activities?Will there be any slope modification orground levelling?Will there be increased trafficmovement in the area?Will public/community access to orthrough the area be affected?Will there be increased economicactivity in the area?Will there be displacement or relocationof any person?Will local residents be employed by theproject?Will indigenous people be affected bythe project?Will women be affected by the project?Will any other vulnerable group/s beaffected by the project?

OPERATION AND MAINTENANCE STAGEANSWER MITIGATION/ENHANCEMENTPARAMETERS YES NO MEASURES (for YES answers)

Will the drainage or flooding patterns inthe area be affected?Will the project lead to increased trafficor traffic congestions?Will the project affect land values in thearea? .

Will the project bring about increasedeconomic activities? .

Will the project affect any wildlife ortheir habitat?Will the project affect any residential orbuilt-up areas?Will indigenous people be affected bythe project?Will women be affected by the project?

4

DRAFT AS OF 7/17/02

PARAMETERS ANSWER MITIGATION/ENHANCEMENTPARAMTERS YES NO MEASURES (for YES answers)

Will any other vulnerable group/s beaffected by the project?

SOCIO-ECONOMIC IMPACTSCategory/Description Number What will happen to them?

Total households affected

Infornal settlers

Indigenous People

Others, pis specify

SECTION 4. ENVIRONMENTAL COMMITMENTS

Are you committing yourself to ......... swerNo

Comply with existing environmental rules and regulations, guidelinesand criteria?Comply with all mitigating and enhancement measures as indicated inthis Report?Properly brief contractors, residents and other stakeholders about theconditions in the ECC and other commitment or agreements inconnection with the Project?Others, pis. Specify

5

DRAFT AS OF 7/17/02

ACCOUNTABILITY STATEMENT

This is to certify that all the information and commitments in this Initial EnvironmentalExamination (IEE) Report are true, accurate, and complete. Should I/we learn of anyinformation which would make the IEE inaccurate, I/we shall bring said infornation to theattention of the DENR Regional Office concerned

I/We hereby bind myself/ourselves jointly and solidarily for any penalties that may beimposed arising from any misrepresentations or failure to state material information in the LEE.

(Date)

(Project Proponent or Representative/Signature or printed name)

(Title/Designation)

6

DRAFT AS OF 7/17/02

ACKNOWLEDGMENT

BEFORE ME this - day of , 20_ at (place)

personally appeared (Name) with Community Tax

Certificate No. issued on at , in his/her

capacity as (position) of (name of

institution)

and acknowledged to me that this IEE is his voluntary act and deed, and the voluntary act and deed of the

entity he/she represents. This document, which consists of pages, including the page on

which this acknowledgment is written, is an Initial Environmental Examination Report Checklist.

Witness my hand and seal on the place and date above written.

Notary Public

Doc. No.Page No.Book No.Series of

7

DRAFT AS OF 7/17/02

LEVEL II WATER SUPPLY PROJECTInitial Environmental Examination (IEE) Report

GUIDE FOR PROPONENTS

GENERAL INSTRUCTIONS

The Project Proponent or his duly authorized representative/s shall accomplish this checklist.Three (3) copies shall be submitted to the PENRO in the area.

SECTION 1. PROJECT DESCRIPTION

PROJECT NAME refers to official name of project

PROJECT LOCATION refers to location of the project. Proponent should providecomplete description of the location of the project (e.g., source ofwater, water pipelines, deepwells, service areas, affectedbarangays/sitios, etc.)

PROJECT DESCRIPTION provide short description of the project (e.g., streamflow orcapacity of water source, dimensions of distribution pipelines,capacity and number of pumps, abstraction/withdrawal rates,number of HH to be serviced, material of construction, serviceareas, etc.)

NAME OF PROPONENT refers to the owner of the project (community)

CONTACT PERSON refers to person/s who is authorized to transact business withDENR on behalf of the Proponent (e.g., community facilitator,area coordinator, project engineer, municipal engineer, RPMOengineer)

ADDRESS refers to official address of proponent and contact person/s. Theaddress of contact person/s should also be given if different fromthat of the proponent.

IMPLEMLENTATION SCHEME description of how the project will be implemented (e.g., bycontractor, by proponent, etc.). If the project is to be implementedby entities other than the proponent, the name/identity of thatentity/s should be provided, if available. Otherwise, the mode ofselection should be described (e.g., by bidding, by negotiation,etc.)

PROJECT COST refers to TOTAL project costs expressed Philippine Pesos

8

DRAFT AS OF 7/17/02

FUNDING AGENCY/S refers to mode of financing or source of funds (e.g., KALAHI-CIDSS grant, LGU budget, etc.). If funding is provided by outsidesource, the name of the project or description of the source and thename of the funding agencies should be provided (e.g., KALAHI-CIDSS-WB)

SECTION 2. DESCRIPTION OF EXISTING ENVIRONMENT

Attach photographs shall include panoramic shots of the proposed service area orlocation of communal faucets, water bodies near the project site,residential or built-up areas, etc.

bodies of water refers to creeks, rivers, canals, lake, sea, etc.

national parks, watershed areas, sanctuaries or similar areas - refers to forested areas, protectedareas, areas where endangered/threatened species have beensighted, etc.

indigenous community/s refers to any indigenous community located within 10 km of theproject site

sites with cultural/historical significance (examples) archaeological sites, churches,cemetery, burial sites, monuments, sites of historical battles, etc.

SECTION 3. PROJECT IMPACTS IDENTIFICATION, ASSESSMENT ANDMITIGATION/ENHANCEMENT

Answers under the MITIGATION/ENHANCEMENT MEASURES shall describe ALL themitigation measures for negative impacts or the enhancement measures for positive impacts.

REQUIRED ATTACHMENTS

* Location map/scale map - a 1:25,000 topographic map indicating project site (service area,source of water, water pipelines, communal faucets, deepwells, etc.) and significantlandmarks

* Documents related to ownership or possession of project site (i.e., OCT, TCT, Deeds ofDonation, ROW Agreement)

* Technical design, plans and other related documents to describe fully the project including aninventory of all project components (e.g., water tanks, pumps, etc.)

* Proposed schedules of activities (construction stage, etc.)

* NWRB (Water) Permit

* Barangay Resolution endorsing the Project

* Municipal/City Council Resolution endorsing the Project

9

DRAFT AS OF 7/17/02

ROAD AND BRIDGES PROJECTInitial Environmental Examination (IEE)

Checklist and Guide

Below is the IEE Report checklist for proponents of roads and bridges. Read thequestions carefully before answering in the space provided (refer to Guide to Proponents formore details). Use additional sheets if necessary, and indicate this in the appropriate space.

Misleading or erroneous answers are basis for legal actions and/or denial of ECC.

SECTION 1. PROJECT DESCRIPTION

PROJECT NAME:

PROJECT LOCATION:

PROJECT DESCRIPTION:

NAME OF PROPONENT:

CONTACT PERSON:

ADDRESS:

(Complete Address: Street, Barangay, Municipality/City, Province)

Telephone:

Fax: e-mail:

IMPLEMENTATION SCHEME:

PROJECT COST (Philippine pesos):

FUNDING AGENCY/S:

10

DRAFT AS OF 7/17/02

SECTION 2. DESCRIPTION OF EXISTING ENVIRONMENT

PARAMETERS ANS NO REMARKS (for YES answers)

Will the project cross or traverse bodiesof water?Will the project cross or traversenational parks, watershed areas,sanctuaries or similar areas?Will the project cross or traversemangrove areas, swamps, wetlands orsimilar areas?Will the project pass through residentialor other built up areas?Will the project cross or traverse primeagricultural lands?Will the project pass through trafficprone areas or intersections?Is the project located in a flood proneareas or areas vulnerable to stormsurges?Is the project located in an erosionprone area?Is the project site near an area withindigenous community/s?Is the project located in-an-area withcritical/steep slope?Will the project pass near any sites withculturalUhistorical significanc-e?_

(Attach recent photographs from all perspectives of the proposed project site)

DRAFT AS OF 7/17/02

SECTION 3. PROJECT IMPACTS IDENTIFICATION, ASSESSMENT ANDMITIGATION/ENHANCEMENT

CONSTRUCTION STAGE

PARAMETERS ANSWER MITIGATION/ENHANCEMENTYES NO MEASURES (for YES answers)

Will there be land clearing?

Will there be vegetation clearing?

Will there be any trees that have to becut?Will there be topsoil removed duringthe construction phase?Will there be any excavation or cut andfill activities?Will there be other earthmovingactivities?Will sand, gravel and/or other materialsbe stockpiled in the area? _Will there be any drilling, boring andother noisy activities?Will there be any slope modification orground levelling?Will there be increased trafficmovement in the area?Will public/community access to orthrough the area be affected?Will there be increased economicactivity in the area?Will there be displacement or relocationof any person?Will local residents be employed by thepro ject?Will indigenous people be affected bythe proiect?Will women be affected by the project?Will any other vulnerable group/s beaffected by the project?

12

DRAFT AS OF 7/17/02

OPERATION AND MAINTENANCE STAGEPARAMETERS ANSWER MITIGATION/ENHANCEMENT

YES NO MEASURES (for YES answers)Will the drainage or flooding patterns inthe area be affected?Will the project lead to increased trafficor traffic congestions?Will the project affect land values in thearea?Will the project bring about increasedeconomic activities?Will the project affect any wildlife ortheir habitat?Will the project affect any residential orbuilt-up areas?Will indigenous people be affected bythe project?Will women be affected by the project?Will any other vulnerable group/s beaffected by the project?

SOCIO-ECONOMIC IMPACTSCategory/Description Number What will happen to them?

Total households affected

Informal settlers

Indigenous People

Others, pis specify

13

DRAFT AS OF 7/17/02

SECTION 4. ENVIRONMENTAL COMMITMENTS

AnswerAre you committing yourself to .........

Comply with existing environmental rules and regulations, guidelinesand criteria?Comply with all mitigating and enhancement measures as indicated inthis Report?Properly brief contractors, residents and other stakeholders about theconditions in the ECC and other commitment or agreements inconnection with the Project?Others, pls. specify

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ACCOUNTABILITY STATEMENT

This is to certify that all the information and commitments in this Initial EnvironmentalExamination (IEE) Report are true, accurate, and complete. Should I/we leam of anyinformation which would make the LEE inaccurate, I/we shall bring said information to theattention of the DENR Regional Office concemed

I/We hereby bind myself/ourselves jointly and solidarily for any penalties that may beimposed arising from any misrepresentations or failure to state material information in the EEE.

(Date)

(Project Proponent or Representative/Signature or printed name)

(Title/Designation)

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ACKNOWLEDGMENT

BEFORE ME this - day of , 20_ at (place)

personally appeared (Name) with Commnunity Tax

Certificate No. issued on at , in his/her

capacity as (position) of (name of

institution)

_ and acknowledged to me that this LEE is his voluntary act and deed, and the voluntary act and deed of the

entity he/she represents. This document, which consists of pages, including the page on

which this acknowledgment is written, is an Initial Environmental Examination Report Checklist.

Witness my hand and seal on the place and date above written.

Notary Public

Doc. No.Page No.Book No.Series of

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ROAD AND BRIDGES PROJECTInitial Environmental Examination (IEE) Report

GUIDE FOR PROPONENTS

GENERAL INSTRUCTIONS

The Project Proponent or his duly authorized representative/s shall accomplish this checklist.Three (3) copies shall be submitted to PENRO in the area.

SECTION 1. PROJECT DESCRIPTION

PROJECT NAME refers to official name of project

PROJECT LOCATION refers to location of the project. Proponent should providecomplete description of the location of the project (e.g.,terminal points, proposed alignments, barangay/sitios traversed,etc.)

PROJECT DESCRIPTION provide short description of the project (e.g., width of roadalignment/ROW, length, material of construction,general/predominant use, etc.)

NAME OF PROPONENT refers to the owner of the project (e.g., name of community)

CONTACT PERSON refers to person/s who is authorized to transact business withDENR on behalf of the Proponent (e.g., head of thecommunity, municipal engineer, project engineer, etc.)

ADDRESS refers to official address of proponent and contact person/s.The address of contact person/s should also be given if differentfrom that of the proponent.

IMPLEMENTATION SCHEME description of how the project will be implemented(e.g., by contractor, by proponent, etc.). If the project is to beimplemented by entities other than the proponent, thename/identity of that entity/s should be provided, if available.Otherwise, the mode of selection should be described (e.g., bybidding, by negotiation, etc.)

PROJECT COST refers to TOTAL project costs expressed Philippine Pesos

FUNDING AGENCY/S refers to mode of financing or source of funds (e.g., grant,community equity, LGU). If funding is provided by outsidesource, the name of the project or description of the source andthe name of the funding agencies should be provided (e.g.,WB)

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SECTION 2. DESCRIPTION OF EXISTING ENVIRONMENT

Attach photographs shall include panoramic shots of the proposed road alignmentsevery 500 meters, water bodies near the project site, residentialor built-up areas, etc.

bodies of water refers to creeks, rivers, canals, lake, sea, etc.

national parks, watershed areas, sanctuaries or similar areas - refers to forested areas,protected areas, areas where endangered/threatened specieshave been sighted, etc.

indigenous community/s refers to any indigenous community located within 10 km ofthe project site

sites with cultural/historical significance (examples) archaeological sites, churches,cemetery, burial sites, monuments, sites of historical battles,etc.

SECTION J. PROJECT IMPACTS IDENTIFICATION, ASSESSMENT ANDMITIGATION/ENHANCEMENT

Answers under the MITIGATION/ENHANCEMENT MEASURES shall describe ALL themitigation measures for negative impacts or the enhancement measures for positive impacts.

REQUIRED ATTACHMENTS

* Location map/scale map - a 1:25,000 topographic map indicating project site (roadalignment, location of bridge/s, etc.) and significant landmarks

* Documents related to ownership or possession of project site (i.e., OCT, TCT, Deeds ofDonation)

* Technical design, plans and other related documents to describe fully the project

* Proposed schedules of activities (construction stage, etc.)

* Barangay Resolution endorsing the Project

* Municipal/City Council Resolution endorsing the Project

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ROADS/BRIDGE CONSTRUCTION ENVIRONMENTALMITIGATION MEASURES

Design Considerations and Mitigation Measures for Roads/Bridge Construction

During design stage include analysis of soil conditions, slopes and grades, waterdrainage characteristics and adequacy, and neighboring ecosystems. Engineeringdesign should include measures for erosion control and reduction of soil disturbanceamong others.Consider potential impairment in the hydrology of the area due to inadequate culvertcapacity or blockage of natural drainage channel/s. Impacts may range from localizedflooding to slow recession of floodwater.Assess the amount of silt runoffs during construction and after construction of roads.Inasmuch as most of the roads are not cemented, soil erosion is a major concern.

• For construction of new roads requiring land clearing, ensure that land productivitywill not be affected through employment of proper clearing methods used.

* Assess the potential of the new road to facilitate encroachment into sensitiveecosystems (e.g., forestland, swamp, marsh, etc.) must also be carefully assessed.

* To reduce soil erosion, schedule earthwork activities as much as possible during dryseason.Areas adjacent to the road must be immediately re-vegetated after construction.Careful planning of cut-and-fill activities, provisions of silt traps (dike or ponds) toallow settling of solid particles in runoffs.

* Drainage measures (e.g., bridges and culverts) must be appropriately and adequatelyspaced.

• During actual construction, appropriate safety measures must be undertaken to insuresafety of workers from accident. This should be inculcated among communityresidents whose partial equity is the supply of labor.

* Disease vectors which are common in construction projects (e.g., laborers' housing)can be adequately managed by provisions for decent housing facilities, adequate watersupply and proper excreta/solid waste management.

* Inconveniences, such as, noise and dust can be mitigated through proper constructionactivity scheduling, regular watering and appropriate stockpiling schemes forconstruction materials and spoils.

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