Important Definitions

Philippine Definition of Urban Urban Varies per country No commonly-

NSO definition operational, not conceptual. agreed international definition.
Old definition:
a) Cities and municipalities in their (New - NSCB Board Reso No. 9, s 2003)
entirety with population density (i) If a barangay has a population size
of 1,000 persons/square kilometre of 5,000 or more, then a barangay is
b) Poblaciones or city/municipality central considered urban, or
districts have a population density of (ii) If a barangay has at least one
500 persons/square kilometre establishment with a minimum of
c) Poblaciones or central districts 100 employees, a barangay is
regardless of population size with: considered urban, or
1. Street pattern – parallel or right angles (iii) If a barangay has 5 or more
2. At least six (6) establishments – establishments with a minimum of
commercial, manufacturing, 10 employees, and 5 or more
recreational\ facilities within the two-kilometer
3. At least three (3) of the following: radius from the barangay hall, then
- Town hall, church or chapel (at least 1 a barangay is considered urban.
service/month)
- Public plaza, park or cemetery
Furthermore, all barangays in the
- Market / trading place (at least National Capital Region are
1 activity/month) automatically classified as urban
- Public building (school, hospital, etc.) and all highly urbanized cities
d) Barangays with at least 1,000 would be subjected to the urban-
inhabitants, meetings / conditions, rural criteria in order to determine
occupations are predominantly its urban-rural classification.
non-fishing
 “City” – concept defined by charter or Urbanization – how an area acquires
legal act after specific requirements an urban character
- “an important permanent settlement
possessing characteristics of size, Level of Urbanization – proportion of
density, heterogeneity, granted a people in urban vs. non-urban areas
substantial level of self-governance Urbanism – way of life associated with
by means of Statute or Charter” living in cities; “response to cities”

History of Cities

Hydraulic Civilization Theory Religious Model (Paul Wheatley 1973)

(Karl Wittfogel 1957) - Cities as religious, ceremonial centres
- Reliance on water source, irrigation became factor for urbanization
- Applicable in Asia, not Meso – America
Necropolis (City of the Dead)
Greek City-States - Burial complexes for ‘eternal’ god-kings
- Anti-thesis to totalitarian empires
Cathedral Cities (Middle Ages)
- Temples as centrepiece but valued
civic spaces - Town grew around cathedral, abbey,
monastery; radio-centric, retained
Roman ‘Imperial’ Cities protective walls
- Pre-occupied with defense, built as
“castra” Port / Mercantile Cities (Renaissance)
- Grid-iron design useful for military - Age of exploration; rise of merchant class.
movement Cities as commercial nodes

Fortress Cities (post-Roman Empire) Industrial / Manufacturing

- Central concern was survival, security - Industrial revolution; located near
- Theory: Urbanization was due to coal fields
population pressure - Massive rural migration, high pollution

Post-Industrial City
Socio-Cultural Theory of Urbanization (Information Revolution)
- Gideon Sjoberg “The Origin and - ICT’s impact on spatial organization of
Evolution of Cities” activities
- Urbanization is a cultural process; trade, - Pre-eminence of highly-skilled,
commerce fosters socio-cultural diversity intellectual, creative, imaginative labour
- Cities brought together specialists, force.
which resulted in innovation and - Dominant form: extended sprawling
technology, ideas. metro
 Planning Approaches

Master Plan / Blueprint Advocacy or Activist Planning

- ‘Top-down’; dominant vision of authority - Applying explicit principles of social
- Physical planning and design-oriented justice
- Planners should advocate for
Systems Planning disenfranchised
- “Cybernetics” – Norbert Wiener - Pluralism in Planning
- Planning like a computer that utilizes
information / feedback in an iterative, Communicative Planning
cyclical fashion - Frankfurt School of Social Critical
Brian McLoughlin – Cyclical Process Theory
George Chadwick – Systems Approach - Jürgen Habermas – ‘transactive’
Allan Wilson – Linear Planning - (To and fro)
- Group interest determined through
Rational – Comprehensive / Synoptic dialogue
- Patrick Geddes (Survey – Analysis – Plan)
- All sectors, aspects – overwhelming data Participatory Planning
- Long process, allows for participation - Actual involvement of citizenry in
planning
Mixed Scanning – Amitai Etzioni - Not mere consultation; plan with
- “Successive limited comparisons” people, not for people
- Strategic selection of goals, loose
framework

Incremental Planning / “Disjointed Incrementalism”

- “the science of muddling through” – Charles Lindblom
- Decision- making is a succession of approximations; “partisan mutual adjustment” -
Negotiation and political compromise
- No guiding overall theory or general principle – actions become un-integrated
- Deals with realities of delays, scarce resources, insufficient information

Urban Planning Models

Garden City (Ebenezer Howard) - Central City (58,000 pax) surrounded by

- “Three Magnets”; Garden Cities (30,000 pax) separated by
Town, Country, Town-Country greenbelts/farmland. Linked by rail,
- City: jobs but poor environment; road,
Country: vice-versa - In concentric rings, towns grow by
“cellular addition”
 Urban Planning Models
City Beautiful Movement
- Emphasis on aesthetics in urban design and planning: monumentality (drama), exuberance,
cohesiveness, grandeur, symmetry
- Public works designed with classical facades – beauty stood supreme
- Criticized for little concern for economic growth, zoning, housing, etc.

Radiant City (Le Corbusier) Brasilia, Brazil (1957) (Radiant City influenced)
- Decongest by increasing density at core - Authoritarian, inflexible, simplistic
- Uniform 60-storey apartment- - Standardization inhuman, socially-
towers with large open spaces in destructive
between meant for 3 million people - Combining activities key to success
- Influenced CBD Designs - Design good for temporary living,
not permanent residence

New Towns Movement

- Skyscraper City = over congestion, - “Neighbourhood Unit”- low-rise,
Garden City = “better communities” pedestrian-oriented residential quarter.
- Superblocks (Henry Wright) / 6,000 pax
Neighbourhood Clusters (Clarence - Schools, institutions around centre
Perry) around green spaces which are - Bounded by arterial streets
interconnected - Open green spaces 10% of total area
- Shops around circumference and
- “Superblock” – island of greens, junctions
surrounded by homes, bordered by - Internal street system
automobile roads. Rough Philippine discourages through-traffic
equivalent: subdivision

City Functional Movement

- City Beautiful/Garden City = urban design Linear City
- Focus on function over form, design (Don Arturo Soria y Mata)
aesthetics - Linear utility lines as basis of layout
- Land Use Zoning over master planning - May run parallel to a river; city
- Zoning as part of State police power: US would grow longer, not wider
Supreme Court (1926) Village of Euclid - 5 parallel sectors: railways,
vs. Amber Reality production zone, greenbelt,
- Excessive zoning = homogeneity, residential/institutional zone,
sterility agricultural zone
 Urban Planning Models (continued)
City Efficient Movement
- Rationalize urban planning in relation to decentralized economic production; transport planning
- “Ekistics” – science of human settlements integrates economics, physical design

New Urbanism / Neo-Traditionalism

- Reviving “lost art of place-making” Urban Renewal (US Federal Program)
- Opposes suburbs; rebuilding inner - Redevelop outworn, physically
city neighbourhoods around deteriorated areas
traditions, core values - Tax increment financing – urban renewal
- Fostering informal human bonds paid by future tax revenues
interaction revitalizes community; - Gentrification – up-scaling blighted areas
pedestrianization, mixed-use to attract business, elite occupants.
Tends to ‘yuppification’, social
Environmental Planning exclusion
- Ecology and environmental constraints
- Eco – Anarchism: Anti-big city return Slum demolitions gave rise to
to micro identities as spatial strategy advocacy planning
- Exurb (extra-urban); Suburbanization

Great Thinkers

Hippodamus of Miletus (407 B.C.) Thomas Adams

- “Father of Town Planning” in Europe. - Father of Urban Planning in Canada
Lawyer-architect; emphasized geometric - Formed Town Planning Institute of
designs Canada (1919)

Charles – Edouard Jeanneret Jane Jacobs (1916-2006)

(1887- 1965) “Le Corbusier” - Diversity in geographic concentration
- Swiss-French Architect-planner, spurs urban growth; mixed-use
focused on architectural style. neighbourhoods make vibrant urban
Criticized for “planning paradox” communities

Henry Wright (1878-1936) Daniel Hudson Burnham (1846-1912)

- Introduced “superblock” concept in US - Father of American City Planning;
“New Town” Prophet of City Beautiful Movement.
Chicago Plan (1909)
Sir Patrick Geddes (1854-1932)
- Scottish biologist, sociologist, city planner Frank Lloyd Wright (1867-1975)
- Father of Regional Planning - “Broadacre City” urban
- “Survey – Analysis – Plan”. Coined decentralization; low-density, car-
terms “city-region”, “Conurbation”. oriented, 1 acre per family
“Folk Work Place” framework
 Clarence S. Stein (1882-1975) Sir Leslie Patrick Abercrombie
- Co-founded Regional Planning - (1879-1957) Abercrombie Plan: London
Association of America (1923) with H. re-planning through dispersal of 1.25M
Wright and L. Mumford people to new towns, rural areas

Lewis Mumford (1895-1990) Ian L. McHarg (1920-2001)

- Father of Historical Sociological - First modern environmental planner;
Approach to Planning pioneered environmental impact
- Planning as multi-disciplinary; should statements, GIS use
emphasize organic relationship - “form… must also respect
between people and living spaces the natural environment…”
- Ecological planning through map overlay

Notable Names

William Penn / Thomas Holme

Pierre Charles L’Enfant (1784-1825)
- Designed Philadelphia: rectangular
grid system, central park, - French Architect, engineer, city planner
neighbourhood park per quadrant - Washington D.C. Plan (1791),
forerunner of City Beautiful
Baron Georges Eugene Haussmann
- (1809-1891) French Architect-theorist, Frederick Law Olmstead Sr. (1822-1903)
redesigned Paris with circular plazas, - “Conservation and Parks Movement”
long wide boulevards, pocket parks - Designed Central Park with Calvert Vaux

Benton MacKaye (1879-1975) Tony Garnier (1869-1948)

- American forester, conservationist, - Forerunner of Avant garde 20th
regional planner century French architects
- “Father of the Appalachian Trail” - Proposed “Une Cite
Industrielle” – linear industrial
Dr. Konstantinos A. Dioxiadis City
- (1913-1975) “Ekistics”, “Ecumenopolis”.
Dr. Francis Stuart Chapin Jr. (1888-1974)
- Designed Islamabad (1959)
- First to write comprehensive book on URP
- Became Town Planning Chief
of Greater Athens - Quantitative, statistical tools to
study social phenomenon
Robert Moses (1924-1968)
Paul Davidoff (1965)
- Park Commissioner, head of New York
- Father of “Advocacy Planning”
City Planning Commission. Responsible
for building virtually every parkway, - Obama’s idol during his
expressway, public housing in NY Region community development days
($27 Billion in Public Works) - Public interest is political, not scientific
Rachel Louise Carson
- American biologist, “eco-feminist” who sparked environmental movement in US
thru ‘Silent Spring’ (1962)
- Advocacies led to US Environmental Protection Agency, Environmental Impact
Assessment (EIA) system

Theories of Urban Growth

Human Ecology (Chicago School of Urban Sociology) – Robert Park

1. Invasion: activity / social group enters area
Concentration: distribution of activities,
5.
2. Succession: former use/social group population and manner which they have focused on
replaced city centre
3. Segregation: sorting out of population 6. Decentralization: locating away from
groups according to conscious preference, central city
bias, prejudice 7. Filtering: Neighbourhood declines
4. Assimilation / Accommodation: diverse 8. Survival of the fittest: powerful groups acquire
groups find peaceful co-existence best locations who can maximize, pay cost

Forces shaping a City

- Push Forces (Rural to city) - Wars and civil strife -
- Centripetal (Pull forces of a city)Natural calamities
- Clustering of certain functions -- Labor surplus due to farm mechanization
Maximum accessibility
- Price manipulation of agri inputs/outputs
- Proximity to range of entertainment
- Prestige of central address
- Centrifugal (Push forces from city) -
- Huge Urban-Rural wage differentials - Increasing bid rent
Better quality urban services/facilities -
- Conge
Possibility of subsidized goods/services
- Lure of “bright lights” - Restric
developments
- Lack of Space

Stages of Urban Growth (Stage of…)

1. Export Specialization 4. Regional Metropolis
- natural resource, tourism - serves as node to others
2. Export complex 5. National / International Metropolis
- broadens to other facets of focus 6. Technical / Professional Virtuosity
3. Economic maturation - National eminence in specialized skill
- local service sector puberty
- Import substitution
 Theories of Urban Growth / Land Use

Concentric Ring Theory (1925) Ernest W. Burgess (American Sociologist)

- Hypothetical land use pattern -Human Ecology
- Accessibility, rent and densities decrease
with distance from city centre;
commercial agents that can afford high
land values will concentrate at centre
- Outward pressure as those with higher
income pursue better environment

I. Downtown / CBD
AI. Industries / Transition Area
BI. Working Class Area
IV.Residential Area
V. Suburban Area

Concentric Zones
- Zone I – CBD. Only scattered residences remain
- Zone II – Zone in Transition. Early suburban fringe being taken over by industry,
hence run-down, declining residential
- Zone III – Independent Working Men’s Homes. Respectable working class with families that
escaped Zone II but need cheap housing close to work places. Zone focused on factories
- Zone IV – Better Residences. Middle-class private housing / good apartments
- Zone V- Commuter Belt. Suburban dormitory, single-family dwellings
- Possible additional zones – Agricultural district, Hinterland
- Expansion driven by economic ‘trade-off’, creates land-use pattern (accessibility and cost)

Critics: overemphasized residential patters; neglected factors like physical features,

industrial use, effects of radial routes.

Inverse Concentric Model

- Observed mostly in Less Developed Countries
- Opposite of Burgess’ model; poor moving away from city centre, rich retains control
- Social status declines with increasing distance from the centre
- Pattern exists in primarily administrative cities
- Lack of adequate, dependable transport system restricts elite close to work at city centre
- City functions (administrative, religious, cultural) controlled by elite, concentrated
at city centre
 Theories of Urban Growth / Land Use (cont.)

Sector or Radial Model (1939) Homer Hoyt

- High-rent districts shape city land use.

Expands according to four (4) factors:

- Established trade routes to high-rent
nucleus
- Towards high ground / along waterfronts
- Route of fastest transportation
- Towards open space

- Residential grow in wedge-shape

- Low – income housing near industry, railroads

Criticisms
- Few zones are socio-economically homogenous
- Transport routes today surrounded by low-rent

Multiple Nuclei Model (1945) Chancey Harris / Harry Ullman

- Related from US gridiron road patterns
- Nuclei acts as growth centres for particular land uses (industry, retail, etc.) that expand
and merge to form single urban area

4 Geographic Principles:

- Certain activities need highly

specialized facilities (transportation;
accessibility)
- Certain activities cluster for
profit from mutual association
(agglomeration)
- Certain activities repel each other
- Certain activities don’t profit from
high-rent of most desirable locations

Criticisms: Economic bias; doesn’t account

for cultural influences

ch paper or print back to back.

 Other Theories of Urban Growth / Land Use

Hybrid Model (Walter Isard 1955) Latin American Model

- Combines strengths of Concentric,
Sector, Zonal models
- Urban land use is overlay of different
transportation effects; some oriented
along transportation effects; some
oriented along transport axis, some in
nuclei to reach scale and agglomeration
economies

Concentric Zone Modification

(Peter Mann 1965)
- Typical British town model
- Main feature: commuter village
separated
- Considers prevailing wind from west;
best residential area upwind from
industrial

Galactic City (Peirce F. Lewis) 1. CBD – (original colonial city);

- result of leapfrog development Spine – CBD extension down major blvd.
- Edge cities form in suburbs 2. Zone of Maturity – Gradually improved
self-built housing
- ‘Doughnut shape’, low-density centre,
3. Zone of Accretion – Transition zone,
activity along ring roads resemble modest housing
galaxy 4. Zone of Peripheral Squatter settlements

‘Edge Cities’ (Joel Garreau 1991)

- Commercial spine surrounded by
- Fringe cities on alternate CBDs centered elite residential sector
on suburban malls, office/techno parks - Inner-city zone of maturity – area
- ‘more jobs than bedrooms’; functions of upward mobility
de-concentrated away from historical - Zone of peripheral squatter settlements
central cities - Most recent migrants
- Fringe contrasts with affluent
Fuentes on Historical Evolution of LA cities North American suburbs
- Establishment of border open - Refugee camp-like; bare of
opportunities of commerce, services vegetation for fuel, materials
- Surge of maquiladoras (industry)
reorganize urban structure, competes - ‘Periferia’= older, more permanent
with commerce/services in informal housing
- Transition from mono-centric to - ‘Favela’ = recent, poor quality
polycentric city informal housing
 Urban Form Stereotypes (Kevin Lynch)

Dispersed Sheet - Developments spread evenly over wide

tract; low densities, substantial open land
in reserve
- Transport network continuous grid; no
road hierarchy, major nodal points or
terminals
- Public service provision is expensive
- No Vivid or memorable image of city

Galaxy of Settlements - Developments clustered into relatively

small units, separated by a zone of low or
zero density
- Clusters equal in importance but can
specialize

- Related: Centric and Nodal Form

- Major centre provides specialized
services, nodes act as external linkage,
captive market, support

- Radial and Circumferential

- Nodes connected by
radial/circumferential roads

Core City - High density activities; increases

discomfort due to noise
- Housing limited to high-rise or compact
- Concentrates development into one dwelling
continuous body - Strong visual image for the whole town

Urban Star (Linear/strip development) The Ring – no single dominant center

- Dominant core with secondary - Low density center surrounded by high-

centers distributed along main radials. density
Very strong visual image - Strong visual image due to contrast
 Theories of Spatial Planning
Spatial Equilibrium
- European market economy just - Problematic assumptions; can’t
before / after Industrial Revolution; be applied universally
cities structured in a spatially - Uniform topography, climate, crop
balanced hierarchical system prices and yields
- Goods, services distributed evenly - Markets relatively isolated from other
in systematic pattern dominated - ‘Friction of Distance’ – Transportation
by central places cost proportional to distance,
- City is centralization, invariant to direction
convergence of central places - Farmers and businessmen are profit-
maximizers; perfect free market
competition

Agricultural Land Rent Theory (1842, 1896) - Johann Heinrich Von Thünen (1783-1850)

- Land nearest to market in Most actual agri land use deviates

greatest demand due to low significantly from model; not
transport cost – highest rent, concentric, follows natural features
value
- Production intensity, land Farmers are ‘satisficers’ –
use diminishes with distance content with a certain level of
from market centre productivity, considers other
- Concentric rings values
around market centre
No sole isolated centre, there
are secondary markets

Urban Bid Rent Theory (1964) - William Alonso

- Land value is maximum at city centre; - Assumes city is mono-centric; only

more accessible to centre has higher applies to cities with strong urban core
value, declining farther away from / CBD (e.g. Zurich)
transport, employment - Applies to commercial space (retail, offices)
- Rent diminishes to offset lower revenue, - Diseconomies of urbanization moves
higher transport and operating costs manufacturing from urban centres (ex.
traffic congestion)
- Different land uses would have
different rent gradients, rent with - Urban land value at core decreases as
highest gradient would prevail population moves away from city
centres; ex. Suburbanization, growth of
multiple nodes
 Theories of Spatial Planning (continued)

Central Place Theory - Walter Christaller (1893 – 1969)

- Village/town/city providing - Useful but imperfect model for

common location for l exchange of importance of recognizing local city’s
goods and services role in regional economy
- ‘Hinterland’ = market area served by - Theory assumes isotropic plain,
central place ignores variable topography
- Hierarchy of Settlements as - Assumes uniform transportation costs,
population increases; market range population distribution, per-capita
increases, higher order of services demand

- Systematic pattern of central places - Consumers expected to

evenly spread, surrounded by patronize nearest centres
hexagonally shaped market areas - Resource-base as central place,
- High ranked central place offers all not consumer market
goods and services of next lower - Real World deviations: Historical
ranked place + one or two more circumstance; Government interference;
- Low-order goods are expensive, Social stratification, income differences
frequently purchased
- High-order goods costly, infrequently
purchased; larger population required
to support (e.g. hospital, mall)

Range and Threshold of Goods and Services (1958) – BJL Berry and Garrison
- Threshold: minimum effective demand, market needed, population to support supply
- Market Range: distance willing to travel to obtain goods/services (Upper level –
competition from other central places)
- Range of Goods and Services: average maximum distance willing to travel to purchase at
market price

Rank-Size Rule (1941) George Zipf (1902-1950)

Pn = P1 Ex. If Population of largest town = X,
then population of 2nd largest town = X/2
nq
Pn = population of nth settlement - Applies when there is Urban Primacy
P1 = population of largest - In most countries largest city larger than rule
settlement n = settlement rank - Considers only service (commerce, trade),
q = exponent which usually approximates unity not natural resources localization
 Region - sub-national territory with known scale (size) and extent (scope)
- Refers to a city or central place plus its - Based on natural/physical, economic/political
functionally integrated outlying territories. relationships between urban and rural.
Economic Linkages Infrastructure Linkages
- Extent of urban influence on non-urban - Transport nodes, utility trunks
areas; dependence on resources, (water, power supply)
production/consumption. - Areas performing sink-functions (e.g. landfills)

Functional Region - Geographical area with a certain functional coherence, interdependence of

parts, defined by criteria:
- Economic Region – bound by - Natural Region – interdependence and
economic linkages, interflows of connectedness of:
factors, materials, in/outputs. - Bio-region: life flows and species
Interlinked industrial clusters, - Eco-region: ecosystems and
districts, zones, ports communities

Formal Region Geographical area uniform and homogenous in terms of related criteria;
variability absent
- Political-Administrative Region - common - Urban Region – cities/towns and socio-
political authority, administrative boundaries economically linked/dependent commuter
(national, local), electoral constituency villages or communities. Erroneously
treated as homogenous; actually physical,
socio-cultural mosaic, heterogeneous
Historical Region – common historical past “ecosystem

Virtual Region – network of functionally – related areas with high level of connectivity (ICT)
and economic inter-flows though not spatially proximate or contiguous.
(Ex. Network Economy – ICT enables firms to create dispersed economic networks)

History of Regional Planning Movement

- Early influences from Garden City (UK) and New Towns (US) movements
- US cities with ‘municipal planning commissions’ from 100 to 500 between 1920 – 1930
- Regional Planning Association of America founded 1923-1925
- “Survey” – published manifesto containing region concept; inter-disciplinary planning approach
- Town and Country Planning Act of 1947 (UK)
- Benton Mackaye published “The New Exploration: A Philosophy of Regional Planning”, 1928
- Thomas Adams and Lewis Mumford debated multi-volume Regional Plan of New York, 1928-1932
- Los Angeles County (1922), Appalachian Trail (1928), Tennessee Valley Authority (1933), Grand
Coulee Dam (1935), Colorado River-Hoover Dam (1936), St. Lawrence Seaway (1959), Delaware
River (1961), Miami (Ohio) Valley (1970); counties, river basins, dams, valleys
- Regional Planning dovetailed with Transport Planning
(Penn-Jersey, 1954; Chicago-Detroit, 1954)
 Regional Planning
- Cross-cutting, more encompassing concept, treats cities in relation to environs
- Regional divergence – inherently unequal due to geography, natural resources, history,
socio-economics

- Aspects of Regional Planning

-Physical: area’s physical structures; Focus of Regional Planning
land use, utilities, etc. Origin in - Decentralization policies
control of town development - Population distribution
-Economic: economic structure of area, - Reduction of economic
level of prosperity, reduction of disparities among regions vs.
regional disparities economic polarization
-Social: Migration, equity, redistribution - Inter-regional allocation / redistribution
-Cultural: Ethnic identity, common of resources (regional convergence)
identity - Institutional capacitation
-Environmental: ecosystems,
sustainability

Regional Planning Theories

Growth Pole Theory (Francis Perroux) Growth Center (Jacques R. Boudeville)

- Spatial agglomeration of related - Propulsive urban center of a region;

industries with a growing number of ‘growth pole’ in a specific place that is
propulsive firms which induce heterogeneous, not specialized, and
growth in surrounding hinterland continuous

- Propulsive firm/industry: dominant - Growth inducement mechanisms;

economic unit that induces growth changes spread over region:
in others when it grows or innovates. Polarization, spread effects.
Characteristics: fast growth, strong - Has growth rate of population or
linkages, innovative, large employment greater than region

- Both are set a of industries which induce development of economic activity;

Growth pole is an “economic space”, while Growth Center is a “geographic space”

- Agglomeration economies make - Less public expenditures of investment,

efficient way to generate development areas are concentrated in specific
- Spread effects help solve problems growth points
of depressed regions - Transport routes as channels of growth
- Useful to understand regional - Philippine strategy of “concentrated
structures, designate regional centers, decentralization”; alternate urban
prescribe solutions centers serve as counter magnets
Urban Development Theory (Albert Hirschmann) Center – Periphery Model

- Development starts in relative few - Growth necessarily an unbalanced process

dynamic sectors / geographic location, - “Chain of disequilibrium” created by
then expected to spread one firm to another

- Scarce resources can’t be invested - Polarization in early stage of

everywhere; certain sectors selected economic growth, then;
for growth potential, ability to induce - “Trickle Down Effect”: spontaneous,
forward/backward linkage effects inevitable development of backward
- Inevitable, gradual, uniform areas because of pulls in input
development through Trickle- demand from developed areas
Down effect

Cumulative Causation Theory (1957) - Gunnar Myrdal (Nobel Laureate)

- Market forces create economic disequilibrium, increase regional inequalities if left alone
- Increased demand from expanding economic activity, increasing demand and incomes,
spurring second cycle
- Forces work in circular, cumulative - Social systems not self-equilibrating
process to reinforce development / - “Backwash”: attention returns to core
underdevelopment; “Poor becomes region
poorer, rich becomes richer” - “Spread effects”: felt positive effects

Backwash circuits:
Capital / investment: Capital attracted to center Lack of investment, retarded growth in periphery
Services/Infrastructure: Reduced investment, jobs in smaller local market, purchasing power,
decline in local services
Migration/Employment: Young workers migrate to aging labor force in periphery decreased
attraction
 Linkages (Rationalized Local Planning System/Chapter 3/Local Economy/(c))
- Backward linkage Firm Forward linkage (downstream, customers)
Example: Sugar Farm Sugar soft drinks manufacturer
- Vertical: Firms produce components of a final output (ex. Parts of a car)
- Horizontal: Firms produce components of product that are complementary in
use (furniture)
- Diagonal: Service cuts across different types of firms (security, insurance)
- Residentiary: services for employees, staff provided by firms/households (housing, catering)

Theories of Industrial Location

Least Cost Approach (Alfred Weber 1909)

- Focus on reducing cost of production Profit Maximization Approach
through transportation; best location = (Isard & Green Hut)
lowest transport cost - Best location = least cost + revenue location
- Transport cost = assembling raw - Considers locational interdependence
materials + distribution between firms, assuming behavioral
factors neglected
Least Cost Variant by Edgar Hoover (1948)
- Considers competition, multiple markets, Theory of Manufacturing Production (David Smith)
institutional factors like local taxes
- Revision of Least Cost Approach
- Thus focuses computation on input side
- Manufacturing firms benefit from
Localization of Economies – declining
Behavioral Theory of Industrial Location average cost of firms resulting from
(Ruth Gasson & Allan Richard Pred) economic geographic concentration:
- Locational decisions deviate from ideal; - Developing industry-specific labor pool
based on intuition of managers, - Infrastructure (transportation, housing)
operative values - Clustering of sub/contractors
- ‘Psychic income’: self-satisfaction, - High-order services attracts low-order ones
industrial peace, cooperation
with community Theory of Competitive Firm (Michael Porter)
- Behavioral considerations of space, time, - Strategy is about structure and rivalry
human behavioral variables - Not size of market but quality of demand
- High importance of innovation
Market Area Analysis (August Losch 1940) playing a critical role
- Optimum location is function of aggregate
demand – where there is high profits Economies of Scale achieved through
- Assumes uniform population - Specialized Machinery
densities with constant tastes, no - Fixed Division of Labor,
locational interdependence - Spread of Fixed Costs over Greater
Output
 RA 7160 “Local Government Code of 1991” (Article X. 1987 Constitution)

Some Important Provisions related to Local Planning Structure and Processes

Section 2. Declaration of Policy: “subdivisions of the State shall enjoy genuine and meaningful
local autonomy… fullest development as self-reliant communities… effective partners in the
attainment of national goals.”
Section 6. Authority to Create Local Government Units
- Either by law enacted by Congress (province, city, municipality, other political
subdivision), or ordinance by Sangguniang Panlalawigan/Panglungsod (barangays)

Section 15. Political and Corporate Nature of Local Government

Units Section 16. General Welfare
Section 18. Power to Generate and Apply Resources: taxes, fees for development

Section 19. Eminent Domain: through an ordinance, for public use/welfare, upon payment of
just compensation, after a valid offer has been rejected
Section 20. Reclassification of Lands
(a) A city/municipality through an ordinance can authorize reclassification of Agriculture lands if:
1) Land ceases to be economically feasible and sound for agri purposes
2) Land shall have substantially greater economic value for residential, commercial,
or industrial purposes – limited to the following percentages:
- 15% | Highly Urbanized and Independent Component Cities
- 10% | Component cities, 1st-3rd class municipalities
- 5% | 4th – 6th class municipalities
(b) Agri lands under CARP/CARL (RA 6657) not affected
(c) LGU shall prepare Comprehensive Land Use plans enacted through zoning ordinance.

Section 25. National Supervision over LGUs: by the President - directly over Provinces, HUCs,
and Independent Component Cities; through Province for municipalities and component cities;
through Cities and municipalities for Barangays.
Section 26. Duty of National Government Agencies in the Maintenance of Ecological Balance:
to coordinate with LGUs regarding envi impact of projects/programs

Section 27. Prior Consultations Required: No project/programs implemented

unless consultations are complied with and approved by the Sanggunian
Section 48. Local Legislative Power / Section 49. Presiding Officer
- Sanggunian Panlalawigan – Vice Governor - Sangguniang Bayan – Municipal Mayor
- Sangguniang Panlungsod – City Vice Mayor
- Sangguniang Barangay – Punong Barangay
Section 106. Local Development Councils: Each LGU shall have a comprehensive multi-
sectoral development plan initiated by its development council, approved by the Sanggunian
Section 107. Composition / Section 108. Functions of Local Development Councils
Section 111. Executive Committee / Section. 112 Sectoral or Functional Committee
Section 113. Secretariat (see chart in next pages)
Section 114. Relation of LDC to the Sanggunian and the Regional Development Council:
Policies, programs, projects submitted to the Sanggunian. Approved plans may be
integrated with development plans of next higher LDC.

(b) Approved plans of Provinces, HUCs, and ICCs shall be submitted to the Regional DC,
integrated into Regional Development Plan for submission to NEDA

Section 118. Jurisdictional Responsibility for Settlement of Boundary Dispute (a-c) LGUs
in same city/municipality/province referred to Sanggunian of the ‘mother’ LGU (d)
Component city/Municipality/HUCs vs. HUCs referred jointly to respective Sanggunians
Section 119. Appeal. May elevate to Regional Trial Court with jurisdiction over area

Section 120. Local Initiative Defined: “legal process whereby the registered voters of an
LGU may directly propose, enact, or amend any ordinance.”

Section 126. Local Referendum Defined: “legal process whereby the registered voters of the
LGUs may approve, amend, or reject any ordinance enacted by the Sanggunian.”
Section 129. Power to Create Sources of Revenue: to levy taxes, fees, and charges
Section 132. Local Taxing Authority: exercised by the Sanggunian through an ordinance
Section 201. Appraisal of Real Property: at the current and fair market value
Section 215. Classes of Real Property for Assessment Purposes:
- Residential, Agricultural, Commercial, Industrial, Mineral, Timberland, Special
Section 216. Special Classes of Real Property: hospitals, cultural, scientific purposes; owned
by local water districts and GOCCs rendering supply/distribution of water/electricity

Section 232. Power to Levy Real Property Tax: A Province / City / Municipality
within Metropolitan Manila area may levy an annual ad valorem tax on real property
Section 233. Rates of Levy: (a) not exceeding 1% assessed value for provinces;
(d) not exceeding 2% of assessed value for city / municipality within Metro Manila Area
Section 235. Additional Levy on Real Property for the Special Education Fund:
- Additional 1% on assessed value to exclusively accrue to the SEF
Section 236. Additional Ad Valorem Tax on Idle Lands: not exceeding 5% over basic tax
Section 237. Idle Lands, Coverage:

a) Agricultural lands, more than 1 hectare, ½ of which remain uncultivated / unimproved by

owner. Permanent or perennial crops with at least 50 trees/ha, grazing land not idle

b) Other lands in city/municipality more than 1,000 sqm, ½ of which remain unutilized/
unimproved. Applies to residential lots in subdivisions regardless of area
Section 271. Distribution of Proceeds: Basic real property tax, not including SEF/Idle lands
a) Province 35% Province 40% Municipality 25% Barangay
where property is located where property is located

b) Cities 70% City 15% All Barangays 15% Barangay

Distributed equally where property is located

c) Municipality 35% Metro 30% Municipality - 15% All Barangays

in Metro Manila - 15% Barangay
where property is located
Manila Authority where property is located

Section 284. Allotment of Internal Revenue Taxes: 40% of collections from third fiscal
year preceding current year
Section 285. Allocation to Local Government Units
Each based on:
- 23% Provinces a) Population (50%)
- 23% Cities b) Land Area (25%)
- 34% Municipalities c) Equal Sharing (25%)
- 20% Barangays
“share of each Barangay with a population of not less than 100 inhabitants shall not be less than
P80,000 per annum chargeable against the 20% share of the Barangay from the IRA, and the
balance to be allocated according to following formula: Population (60%), Equal sharing (40%)
Section 287. Local Development Projects: LGU shall appropriate NO LESS than 20% of IRA

Section 290. Amount of share of Local Government Units: LGUs shall have 40% share of gross
collection derived by the national government from the preceding fiscal year from mining taxes,
royalties, forestry and fishery charges, and other income from its share in any co-production,
joint venture, or production sharing agreement in utilization and development of national
wealth in its area.
Section 450. Requisites for Creation (City) [As amended by RA 9009]
Municipality / Cluster of barangay to component city if at least:
Average annual income = P100,000,000 for last 2 consecutive years
Contiguous Territory = 100 sq. km | Inhabitants = 150,000

Section 451. Cities, Classified: Component or Highly Urbanized. Independent Component

Cities’ charters prohibit their voters for voting for provincial officials
Section 452. Highly Urbanized Cities: classified as if:
a) 200,000 Minimum Population b) P50,000,000 latest annual income
b) Voters of HUCs don’t vote for provincial officials

Section 453. Duty to declare Highly Urbanized Status: By the President within 30 days of
meeting minimum requirements
Read also Sections on LGU officials and their functions, responsibilities.
 Components of the Local Planning Structure
(Rationalized Local Planning System/Chapter 1 Local Planning Structure)

Local Planning and Development Model

(Rationalized Local Planning System/Chapter 2/2.1 General Planning and Development Model)
 Local Planning Structure (Province, City/Municipality)

(Rationalized Local Planning System/Chapter 1 Local Planning Structure)

(RA 7160 Local Government Code/Sec. 106-114)

- Composition of Provincial, City, and

Municipal LDC, Execom, Secretariat

- Local Chief Executive (Gov / Mayor)

- LCEs of component LGUs (ex. mayors if province)
- Sanggunian Appropriations Committee Chair
- Congressman’s Representative
- NGO representative (1/4 of council)

- Local Chief Executive

- Mayor’s Representative (province only)
- Sanggunian Appropriations Committee Chair
- President of the LGU liga ng mga barangay
- NGO representative

- Local Planning and Development Coordinator

- (Any NGO, educational/research institution)

* If you must print, please use scratch paper or print back to back.
 Barangay Development Council (BDC) Functions:
- Punong Barangay
- Members of Sangguniang Barangay
- Congressman’s representative
- NGO representatives (1/4 of council)
- BDC ExeCom
- Punong Barangay, Sangguniang Barangay representative, NGO representative
- Secretariat: Barangay Secretary, assisted by LPDC

(RA 7160 Local Government Code/Sec. 107) (Rationalized Local Planning System/Chapter 1 Local Planning Structure)

Sector Concerns and Subsectors

Social Development Sector (General welfare goals 1, 2, 8)

- Social Characteristics -Social Justice: “a just distribution justly arrived at”
- Quality of Life - Access to social service
Sub-sectors (3
- Population (size, growth, distribution)
- Social services and status of well-being:
Health; Education, culture, recreation; Welfare; Housing; Protective Services
- Gender Equity Concerns

Economic Development Sector (General welfare goals 4, 6, 7)

- Full employment promotion - Food self-sufficiency or security
Sub-sectors (4)
- Primary Sector – Agricultural crops; Livestock; Fisheries (in-land, brackish, marine); Forestry
- Secondary – Mining and Quarrying; Manufacturing; Construction; Electricity, water, gas,
utilities
- Tertiary – Wholesale & retail trade; Transport and Communications; Finance; Insurance
and related activities; Real Estate; Personal and Community services; Tourism
- Informal Sector

Environment and Natural Resources (General welfare goal 3)

- Conserve & co-manage natural resources - Review of EIAs; enforce conditionalities of ECCs

Sub-sectors (7)
- Lands – Public Domain; Private, A&D; - Water resources – Freshwater (ground,
Ancestral Domain surface); marine
- Forest lands – Protection; Production - Air Quality
- Parks, wildlife & other reservations - Waste management – Solid; Liquid
- Mineral lands – metallic; non-metallic waste; Toxic & hazardous
 Infrastructure Development Sector (General welfare goal 2, 6, 9)
- Preferred spatial strategy / urban form - Upgrading quality of services, facilities
- Food self-sufficiency & production targets and desired standards
- Eliminating backlogs on social service - Reducing vulnerability to envi risks and
provision disasters
- Maintaining integrity of environment
Sub-sectors (3)
- Economic Support – Irrigation systems; Power Generation; Roads; Bridges, Ports;
Flood Control and drainage; Telecommunications
- Social Support – Hospitals; Schools; Waterworks and Sewerage; Public Socialized Housing;
Facilities for aged, infirm, disadvantaged
- Public Administrative Support – Government buildings; Jails; Freedom Parks; Public Assembly areas

Institutional Development Sector

- Structure and Functions of planning bodies -Public participation in planning and
- Local Fiscal Management governance

Sub-sectors (4)
- Organization and Management - LGU-NGO-People’s Organization
- Fiscal Management linkages
- Legislative Output
(Rationalized Local Planning System/Chapter 1 Box 1//Chapter 6 /6.2 the Sectors and their Concerns)

Vision to Goals

Vision – LGU’s desired end state/scenario, described as if already attained

- Goal – same but stated in infinitive form: “To do / be something”
(Workshops, technical/admin responsibility of LPDO)
Serves as: An End where all actions are directed
Criteria for evaluating strategies, approaches, and policies
A Standard against which success is measured

Components – Desired role of LGU: contribution to nation/region. “Outward-looking”

- Desired state of LGU: as a desired human habitat. “Inward-looking”
- “Vision Elements” - Using 5 Development sectors (Envi/Infra can be combined – “Built envi”)
- Descriptors: Adjectives to describe vision elements (usually 3; ex. Empowered, healthy)
- Success Indicators: “Ideal” condition per descriptor. Expressed in superlative/ max values
-
Vision Reality Gap Analysis: Success Indicator – assigned rating/current level of attainment
- Sample Matrix Descriptor Success Indicator Current rating Interpretation

- Healthy 0% Malnutrition rate 40% Needs more effort

0 Maternal mortality 5 50% reduction

Vision to Goals: using
Problem – Solution Finding
Analysis
- Restate policy options in
goal form:
“To + verb”

Simple Current Reality Scale

0 – Absolutely nothing 1-4 – Low attainment 6-9 – Short of full attainment
N – No Data 5 – Half achieved 10 – Goal attained

(Rationalized Local Planning System/Chapter 3 // Chapter 4 Goal Formulation Process)

Profiling and Analysis

Socio-Economic Profile Ecological Profile (LPDO/C responsibility)

- Basic reference about aspects of locality - source of data/information on LGU
- simple snapshot of area at a given point in time - periodic capture of same data sets
- distribution of data attributes not consistent - Data disaggregated to lowest level
- Cursory treatment of physical / envi sectors - due recognition for bio-physical/ecological
- Contains 5 Dev’t Sectors, subsectors
Helps LGU determine:
1. Services needed by constituents
2. Resources available
3. Environmental Factors

Local Development Indicator System (LDIS) Transforming Data into Useful Information
- Step 1: Indicators: Intermediate (input, output); Final (outcome, impact)
- Index – combination of Indicators designed to measure overall condition of object
- Indicators – standardized measures that ensure comparability across time /space
- Statistics – Organized data, usually in the form of tables, require analysis/interpretation
- Data – new information
- Step 2: Construct Statistical Compendium (3-Dimensional Database)
- Sectoral/Sub-sectoral: maintain 5 development sectors
- Geographical / Spatial: reflect at least 3 levels of spatial scale
- Temporal: show time-series data
- Step 3: Problem – Solution Finding Analysis
Observed Conditions – Explanations (Causes) – Implications when unresolved – Policy Options

(Rationalized Local Planning System/Chapter 3 Building and Maintaining an Information Base for Local Planning)
 Comprehensive Development Plan

Simplified Sectoral Planning Process

Process for Preparing CDP

- Sectoral goals, objectives & targets: a.) Vision-reality gap analysis; b) Attainment level rating
- Policies, programs, projects & services: a) Regulatory measures; b) Programs, projects; c) services
- Inter-sectoral Integration: (projects could be combined into a program for a multi-sector issue)
- CLUP – CDP Integration
- Executive – Legislative Agenda

General Sectoral Development Planning Process

- Sectoral development issues and concerns: (Eco Profile, Problem-solution finding analysis used)
- Detailed / further investigations: if information is inadequate
- Sectoral development objectives and targets: (can use vision-reality gap analysis)
- Sectoral strategies and policies
- Sectoral programs and projects
- Project ideas or project briefs (inputs for LDIP)
- New local legislation

(Rationalized Local Planning System/Chapter 6) (EnP Pack/Manuals/Local Planning Manuals/ CDP Guide)
 Local Development
Investment Program

Development Fund
- 20% IRA + non-office (capital outlay + MOOE

- Maintenance & Other Operating Expenses (MOOE)

Local Finance Committee (LFC)

– sets level of annual expenditures based on approved development plans
- LPDC, Budget Officer, Treasurer (+ Appropriations committee chair, Assessor, LGU Accountant,
Private sector representative, CSO representative)
(Rationalized Local Planning System/Chapter 8) (Manuals/Local Planning Manuals/ CDP Guide/Chapter III)
 Local Development Investment Program (LDIP) Process

1. Preparing Ranked List of Projects

- Initiate LDIP (by LCE at start of term)
- Solicit, compile project ideas (by LDPO from a) CDP; b) Sectoral Committee, c) others
- Initial Screening (LDPO consolidates repetitive/redundant proposals, screens out
impractical, undesirable, more appropriately implemented by other agencies, orgs)
OUTPUT: Initial List

- Screening for complementarity, compatibility, conflict (can be done simultaneously

with Initial Screening)
OUTPUT: Preliminary list screened on basis of technical, socio-political criteria (“Pre-LDIP”)

- Project Ranking (using Goal-Achievement Matrix / Urgent, Essential, Necessary,

Desirable, Acceptable, Deferrable)
- Estimating Project Costs
FINAL OUTPUT: Ranked list with Cost Estimates

2. Determining Investible Funds (by Local Finance Committee)

- Collect revenue data, determine historical trends: Recurring (a-e), non-recurring (f)
a) Real Property Taxes c) Other Taxes e) Internal Revenue Allotment
b) Business Fees d) Services and Operations f) All others
and
Licenses Income
- Collect operating expenditure data, existing debt service, determine historical trends
A) General Public Services C) Economic Services
B) Social Services D) All others
- Establish structural relationships of revenue, expenditure, to population &
economic development
- Project future recurring LGU revenue and operating expenditure levels
- Compute Financial Surplus (Projected revenues – OE – Debt Service = amount available)

3. Matching and Iteration

(LPDO prepares LDIP, submitted to LCE, endorsed to Sanggunian, LDIP gets adopted)
- First Round Matching (projects that cannot be funded from recurring sources sent to LFC)
- LDC approves ranked list of projects (through vote or resolution)
- LDC deliberates decides on financing approach (Conservative, Developmental, Pragmatic)

(Rationalized Local Planning System/Chapter 8 Local Development Investment Programming)

 CLUP Relationship with National Plans and Programs

Simplified Hierarchy and Linkage of Plans

National (N) N PFP MTPDP MT DIP

Regional (R)
R PFP R DP R DIP

Provincial (P)/ P DPFP P CDP/ P DIP/

City (C) C CDP C DIP

City (C)/ C/M C /M L DIP

Municipal (M) CLUP CDP

PFP = Physical Framework Plan MTPDP = Medium Term Philippine Development

DPFP = Development and Physical Framework Plan
Plan DP = Development Plan
DIP = Development Investment Program

Philippine Agenda 21: Policy framework for the country’s sustainable development strategy

The 5 Goal Elements

- Poverty Reduction (employment, - Peace and Solidarity
security) - Social Equity (distribution of resources)
- Empowerment and Good Governance - Ecological Integrity

National Framework for Physical Framework Principles (NFPP 2001 – 2030)

- Food Security - Market Orientation
- Regional Urban Development - Environmental Stability and
- Equitable Access to physical and Ecological Integrity
natural resources - Spatial Integration (linking
- Private – Public Sector Partnership consumption / production areas)
- Recognition of the rights of - People Empowerment
Indigenous People
 National Strategic Framework for Climate Change (NSFCC 2010-2022)
- Integrated Ecosystem – based Management

National Climate Change Action Plan (NCCAP)

- RA 9729 Section 14: Mandates LGUs to formulate Local Climate Change Action
Plans (LCCAP)

General Land Use Policy Areas

Protected Areas – Life-support systems; food source, clean air/water, waste receptor

- Environmentally Constrained: forestland (slope > 18%), escarpments and fault zones (40m
buffer zones) waterfalls, volcanoes, geohazard areas.
- Permanent Forest (virgin or old growth, primary broadleaf, areas with > 1000m elevation)
- National Parks; - Forest; - Critical river Watersheds; - Forestland buffer zone
- Integrated Social Forestry;
- Watershed/water catchment reserve: forestland section with area 100m-radius around
rivers, springs which serve as catchment for water sources

Settlement Areas – “for living”

- Urban (town center/s); - Rural (upland, coastal, lowland); - Indigenous People’s Settlements
- High/Low Density Residential (Building, structural, sanitary codes; clean air/water acts)
- Socialized Housing (BP 220); (Public) open spaces (local ordinances); temporary residences

Infrastructure Areas – connecting Settlements and Production Areas

- Transport Network, Social Infrastructure, Economic Infrastructure, Administrative Support

Production Areas – “for making a living”

- Agricultural: Croplands, fishery, livestock, forestry, estates, SAFDZ (AFMA, CARL),
Network of Protected Areas for Agricultural and Agro-Industrial Development
- Industrial: Estates, Special Economic Zone (PEZA)
- Commercial; Business District (local ordinance)
- Tourism;- Mining Areas (mining laws);

(Rationalized Local Planning System/Chapter 2/ Chapter 5) (EnP Pack/Manuals/CLUP Guides/eCLUP Vol.1)

2013 eCLUP 12 Step Process Diagram

 CLUP 12 Step Process (2006 CLUP Guide Vol. 1)

I. Getting Organized (LPDC prepares resources needed for planning activities)

1. Discuss need to prepare / update CLUP (with local officials; activities, rationale, framework)
2. Assess available resources (funds, personnel, equipment, supplies, materials)
3. Prepare proposal with work program, budget, teams
4. Present proposal to local officials (to LCE and Sanggunian for approval resolution)
5. Organize Planning Team (Executive Order designates members of Core team, TWG)
6. Brief Planning Team (on roles, responsibilities, and activities)
7. Disseminate information to general public (through barangay assemblies, IEC, etc.)

AI. Identify Stakeholders

1. Workshops to identify stakeholders (by planning team, LDC, other committees)
2. Develop, implement IEC plan to inform, solicit support/commitment of stakeholders

BI. Setting the Vision

1. Preparatory activities (Identifying participants, prepare workshop design)
2. Conduct Visioning Workshop
3. Disseminate Vision Statement (to Sanggunian, general public for feedback)
4. Validate, refine Vision Statement
5. Present to LDC to endorse to Sanggunian for adoption

IV. Analysing the Situation

1. Conduct sectoral studies (demography; social, economic, and infra sectors)
(See Volume 2, Guide/Manual to Sectoral Studies in CLUP Preparation)
2. Assessment of natural/physical/environmental features (including maps, land uses)
- Process, analyse data gathered
- Discuss existing situation of LGU (domains, natural/physical characteristics, envi)
- Establish historical land use trends
- Prepare map reflecting conservation, preservation, physical constraint areas
- Quantify, tabulate conservation/preservation/protection areas
- Determine available land supply for future development / expansion
- Estimate total land area required for urban development, special planning areas
3. Cross – sectoral analysis and integration (to derive problems and issues) SWOT
- Discuss LGU’s potentials and comparative advantages
- Rank priority issues and problems (by urgency, seriousness, magnitude, etc.)
- Determine possible interventions and parties concerned

V. Setting the Goals and Objectives

1. Review Vision Statement, result of situation analysis
2. Formulate goals LGU wishes to attain (broad statements, long-term)
3. Formulate objectives for each goal (SMART, short-range)
VI. Establishing Development Thrust and Spatial Strategies
1. Generate ideas/options on appropriate development thrusts (using results of III, IV, V)
2. Develop 3 development strategies / scenario for each thrust
3. Evaluate alternative strategies (GAM, SCBA, PBS), select preferred / most suitable
4. Reflect Spatial strategy for preferred thrust on a map
5. Prepare Structure Plan (map providing overall framework for CLUP)

VII. Preparing the Land Use Plan (detailing preferred development strategy)
1. Review quantified land requirements (identified from IV, VI)
2. Match lands available with requirements
3. Design basic land use scheme (mapping)
3.1 Quantify, tabulate proposed land uses (including water bodies)
4. Plot / delineate proposed uses to create LGU Land Use Maps
5. Formulate land use policies
6. Delineate transportation network, circulation pattern
7. Identify programs and projects to support plan implementation

VIII. Drafting the Zoning Ordinance

1. Define title and purpose (Art. I Title; Art. II Authority and Purpose)
2. Designate / classify specific zones (Art. IV Zone Classifications / Boundary Descriptions)
3. Identify zone use and regulations (Art. V Zone / Art. IV General District Regulations)
4. Determine innovative techniques, miscellaneous provisions and mitigating device
(Art. VII, VIII, IX titled similarly)
5. Identify / define provisions to administer, enforce ZO (zoning officer, LZBAA, LZRC)
(Art. X Administration and Enforcement)
6. List, define terms used in ZO (Art. III Definition of Terms)

IX. Public Hearing for the Draft CLUP and ZO

1. Prepare required documents for Public Exhibition and Information dissemination
2. Internal briefing prior to public hearing (to orient LCE, LDC, Sanggunian, departments)
3. Prepare information dissemination plan to general public
4. Constitute Public Hearing Board (LCE, LPDC; HLURB, Sanggunian, Sectoral reps)
5. Implement 3-stage process (Public exhibition, Public Hearing, Sanggu Committee hearings)
6. Consolidate, evaluate comments, suggestions and positions
7. Refine draft CLUP and ZO
8. Brief LDC, submit to Sanggunian for First / Second readings (prior to reviews)

X. Reviewing, Adopting, and Approving the CLUP and ZO

1. Sanggunian endorses / transmits final draft of CLUP/ZO to reviewing body
2. Review, approval, and ratification by the following: (EO 72)
- Provincial Land Use Committee (PLUC) for Component Cities and Municipalities
- HLURB, after Regional Land Use Committee (RLUC) for HUCs and ICCs, and
MMDA for Metro Manila LGUs
 3. LGU revises plan consistent with recommendations
4. Sanggunian conducts 3rd and final reading to adopt CLUP, enact ZO, then;
5. Submits to PLUC/HLURB for approval/ratification
6. Publish CLUP and ZO consistent with Section 59 of RA 7160

PLUC Composition (PPDC Chair) RLUC Composition – NEDA (Chair)

- Provincial Planning and Development - HLURB - DA - DAR
Coordinator; - NGOs - HUDCC - DOT
- Provincial Agriculturist; - DILG - DENR - DPWH
- HLURB - DOTC - DOST
- NGO Representatives in Provincial DC
- DENR - DPWH - DAR - HLURB Field Operations Support Group
- DTI - DILG - DOT (FOSG)

- MMDA Office of the Asst. Manager for

Planning (OAGMP)

XI. Implementing the CLUP and Zoning Ordinance

1. Strengthen existing institutional structure and mechanisms (offices, staff, committees)
2. Prioritize / access list of programs, projects from VII. Preparing Land Use Plan
3. Prepare IEC plan (to promote transparency, accountability
4. Review/revise budgetary requirements based on above steps to support implementation

XII. Monitoring, Reviewing, and Evaluating the CLUP and ZO

1. Organize monitoring, review and evaluation (MRE) teams
2. Develop monitoring systems and procedures (establish indicators)
3. Conduct actual monitoring
4. Evaluate results of monitoring (on-going / Periodic, Post)
5. Submit MRE Reports, findings and recommendations (to local officials for action)

LGU Authority Levers for CLUP Implementation

- Regulation: Zoning (locational clearance)
- Subdivision control (deeds of restrictions; paving requirements, provision of curbs, water lines)
- Building regulation (building permit, building code oversight)
- Environmental Law Enforcement Ordinances (for trees, signs, grading, air quality)
- Taxation: Basic Taxes, Idle Lands, Impact fees, Special Benefit Levy, SEF
- Acquisition: Fee Simple purchase, dedications, Eminent Domain, Exactions, Conservation easements
- Public Investments: Expenditure, LDIP / AIP
- Private Investment Incentives: Fiscal policies, Joint Ventures, BOT Schemes
- Co-management
 General Zoning Map Color Codes

Municipal Waters

(EnP Pack/Manuals/CLUP Guides/ (1996) CLUP Zoning Ordinance Model 1996_HLURB)

Color
Base Zones Regulations / Uses Codes
Forest (protection/production) PD 705, NIPAS, specific proclamations
Agri (protection/production) AFMA (NPAAAD, SAFDZ)
Residential – 1 (R-1) Low-rise, 20 dwellings/ha; 3 storeys
R-2 Medium-density, multi-family; 3-5 storeys
R-3 Medium-high density, 3-12 storeys
R-4 / R-5 Low-rise townhouses/ high-rise; 3-18 floors
Commercial – 1 (C-1) Neighbourhood-scale businesses; 3 storeys
C-2 Complementing/supplementing CBD; 6 storeys
C-3 High-density, might be CBD, 60 storeys
Industrial – 1 (I-1) Non-pollutive / (non)-hazardous
I-2 Pollutive / (non)-hazardous
I-3 (highly) pollutive / (extremely) hazardous
General Institutional (GI) Government offices. Hospitals, academics
Special Institutional (SI) Social welfare homes, military bases
Parks /Cemetery Recreation, internment of the dead
Utilities, Transportation Transport terminals, power/water lines, telecoms
Overlay Zones Ancestral Domain, Hazards, Ecotourism, etc.

CLUP Guide Vol.3 Model Zoning Ordinance

CLUP Legal Mandates and Enabling Policy Environment

1987 Constitution
-Article XIII, Section 1: “…the State shall regulate the acquisition, ownership,
use and disposition of property and its increments (to equitably diffuse wealth
and power)
-Article XII, Section 6: “…duty of the State to promote distributive justice and
to intervene when the common good so demands.”
 EO 72 – For the preparation and implementation of CLUPs (Pres. Ramos, 1993)

-Section 1: (a) Cities and municipalities, (b) Metro Manila LGUs shall prepare, update
their CLUPs in conformity with planning standards and guidelines of HLURB
-Section 2: (d) power of HLURB to approve/review CLUPs of component cities
and municipalities devolved to province;
(e) Pursuant to LOI 729 S. of 1987, EO 648, RA 7279, CLUPs of Provinces, HUCs, and
ICCs reviewed and ratified by HLURB;
(f) By EO 362 S. of 1990, CLUPs of Metro Manila LGUs shall be reviewed by HLURB
EO 648 – Reorganizing the HSRC (mandating HLURB) (a) To promulgate zoning and other
land use control standards and guidelines that shall govern CLUPs / ZO

RA 7169: Section 16 General Welfare Goal

- Section 20 (c): Prepare CLUPs/ZO
- Section 447 (Municipality)/ Section 458 (City): CLUPs in coordination with PLUP, ZO,
prescribe limits, restraints on property
- Section 444 (Municipality)/455 (City): Adopt measures to safeguard/conserve natural resources
- Section 468 (Province): Review CLUPs of component LGUs, adopt PLUP

RA 7279 Section 39 Role of Local Government Units – to prepare LUPs

RA 9729 – Formulate CCA plans - RA 10121 – Mainstream DRR in Planning
eCLUP Vol.1)

Perspectives (Definitions) on Land

- Common sense: solid portion of the Earth’s surface
- Legal sense: ground, soil or earth that is subject of ownership and everything annexed to it
- Economic sense: as a natural resource
- As consumption good – enjoyed with no further production or processing (e.g.
ecotourism areas)
- As Factor of Production – physical base for production (factory or office location | as
“site”) or direct input resource extraction (farming, grazing, mining | as “soil”)
-Ecological Sense: natural environment, surface of the Earth and all its attributes

Broad Concepts on Land

- As a Natural Resource: provides intrinsic environmental value. Loses that but
gains economic value if developed
- As Property: Ownership rights, limited by overall interests of society as administered by
the State
- As Territory: absolute rights of the State over sovereign territory. The claim of a group of
people to have space to live and work in a manner consistent with their shared values
and accepted norms

Land Use Conversion – Reversible (soil to soil or site to site) or Irreversible (soil to site)
Land Use Capacity: practical limits to which land can be put to productive use

- Economic use Capacity: ability to produce net return above production costs of its use
- Highest and Best Use: Use of land provides optimum return to operator or society
- Carrying Capacity: Intensity of use that land can be put without causing significant damage
- Sustainable Development: Highest and best use without exceeding carrying capacity

Land Use Planning: Proper management of land resources to promote the public interest
(E.M Serote/Property, Patrimony and Territory/Chapter 1 Essential Concepts Related to Land Use Planning)

Physical Determinants of Land Use

Topography – affects cost of development and production

- Slope: gradient or inclination of a surface; ratio of vertical rise to horizontal run
0 - 3%- Flat / level (3% minimum for natural drainage flow)
3 – 8% - Very gently to moderately sloping (undulating) (7% road construction limit)
8 – 18% - Moderately sloping to strongly rolling
18 – 30% - Strongly rolling to hilly (18% above FMB recommended permanent forest)
30 – 50% - Hilly to mountainous (30% limit for urban/agri, set by KSAs)
50% - above – Very Steep

- Relief: differences in altitudes and slopes. Levelling or grading may be necessary

- Position: Location, elevation, -Cover: vegetation or rock outcrops
accessibility -Size and Shape: of a lot or parcel

Geology – rock and mineral structure of the Earth’s crust

- Geomorphology: landforms (mountains, plains, coastal areas, swampland)
Mountains - height no less than 300m / 1,000ft, affects microclimate
Coastal areas - 1 km landward from high tide to 200m seaward isobaths

- Soils: mixture of rock fragments and organic matter. Soil characteristics:

Fertility - amount of organic matter, presence of organisms
Structure - Form and shape of particles (granular to platy). Affects root, water
penetration Texture - Size of fragments. Determines water holding capacity

Less than 0.002mm – Clay 0.06 – 2.0mm - Sand 0.002 –

0.06mm – Silt > 2.0mm - Gravel

- Soil Erosion: Searing away of land surface by running water, wind, ice, etc. Erosivity -
potential ability of rain to cause erosion (intensity, force of rainfall) Erodibility -
vulnerability of soil to erosion (physical characteristics, land cover) Tolerable soil loss –
max rate of annual erosion that permits sustained crop productivity

- Hydrogeology: subsurface water or aquifer. Meters below ground surface (mbgs).

Determines potential groundwater and drainage capabilities
Transmissivity: rate of lateral flow Permeability: vertical flow, recharge
 Climate – Macro / Microclimate affected by ventilation, elevation, solar radiation, vegetation

Land Capability Classes

- Class A: 0-3% slope. Very good agri land – deep soil, well-drained, fertile
- Class B: 3-8% slope. Safely cultivated with conservation practices
- Class C: 8-18% slope. Moderately good lands – cultivation with extensive conservation
- Class D: 18-30% slope. Fairly good lands, requires complex conservation, best for tree crops
- Class L: 0-3% slope. Too stony/wet for cultivation. Limited to pasture or forest use
- Class M: 30-50% slope. Severely eroded, too shallow
- Class N: >50% slope. Too shallow/rough/dry. Best for forest use
- Class X: Mangrove swamps, marshes, wetlands. Best for fishponds, recreational or conserved
- Class Y: Very hilly, mountainous, barren, rugged. Badlands and sand dunes. Reforested if able

Suitability Classes: Crop Specific (S1-3, N)

Pedo-Ecological Zones
Warm Pedo-Ecological Zone: > 100masl, 0-18% slope, > 25oC daytime (low-lying areas)
Warm-Cool (Upland) Zone: < 500masl, 0-18% slope; If > 18% slope, “Hilly and mountain” PEZ
Cool Pedo-Ecological Zone: >500masl, < 15oC daytime, varying topography

Economic Determinants of Land Use

Land Use Benefits
– Value of crops/minerals; increase in land value; non-monetary value (amenity)
Land Development Costs – direct outlays, recurrent costs, social costs
-Ripening cost: cost of holding in present state when it is ripe for higher use

Land Value – in terms of appraisal, the present worth of future benefits from property
- Utility: capacity to satisfy needs, desires - Scarcity: demand greater than supply
- Effective demand: need/desire backed - Transferability: ease of transfer of
by financial means ownership

Some Economic Principles of Valuation of Property

- Highest and best use - Balance: Max market value if:
- Change: market value estimate valid only on Land, labor, capital in equilibrium
day made Complementary land uses in equilibrium
- Progression/Regression: value affected by - Conformity: max value if
association economically/socially homogenous
- Consistent Use: must be valued with single use - Substitution: max cost set at value of equal
- Laws of Increasing and Decreasing returns substitute
- Contribution: value of any component of property is what it adds to the value of the whole
- Supply and Demand: affected by demographics change, function, accessibility, etc.
- Competition: excess profits attract competition, the same often destroys profit.
(E.M Serote/Property, Patrimony and Territory/Chapter 2 Determinants of Land Use Decisions)
Urban Land Value (Eugene F. Brigham) – function of:
- Accessibility value - Historical Factors: Succession of past
- Amenity value: subjectively perceived as land uses of site. Indicates
“pleasantness” of the environment appropriateness of current use
- Utilization: Existing and desired use of - Topography
area, as per land use and zoning maps

Social Determinants of Land Use

Social Values, Customs, Traditions – dietary habits, family ties, “hiya”, religion
Patterns of Land Ownership – size of land holdings, communal ownership, ancestral domains
Government and Political Influence: - to protect rights, regulate its exercise
- Surface right: to enjoy current use of land (within limits of CLUP)
- Productivity right: to make profit from land (controlled through taxation)
- Development right: to improve land (limited by land use planning/zoning)
- Pecuniary right: to benefit from development value (subject to special assessments)
- Restrictive right: to not develop land (subject to idle lands tax)
- Disposal right: to sell or will to others (donor’s tax, capital gains tax)

Article XII. National Economy and Patrimony, 1987 Constitution

Section 2: All lands of the public domain, waters, mineral, coal, petroleum, and other mineral
oils, all forces of potential energy, fisheries, forests or timber, wildlife, flora and fauna, and
other natural resources are owned by the State. With exception of agri lands, all other natural
resources shall not be alienated. The exploration, development, and utilization of natural
resources shall be under the full control and supervision of the State.

Section 3: Lands of the public domain are classified into agricultural, forest or timber, mineral
lands, and national parks. Alienable land of the public domain is limited to agri lands
Section 4: The Congress shall determine by law the specific limits of forest lands and national parks.
Thereafter, these shall be conserved and may not be increased or diminished except by law.
(E.M Serote/Property, Patrimony and Territory/Chapter 2 Determinants of Land Use Decisions)

National Urban Planning Commission (NUPC) 1946

- First physical planning body in the country. Created by EO 98 by Pres. Sergio Osmeña
- Primary function to prepare plans for reconstruction of urban areas destroyed by WWII
- LGUs could reject its plans

RA 333 – Quezon City established as seat of National Government (July 17, 1948).
- Created Capital City Planning Commission (CCPC). Functions like NUPC but area-specific.

National Planning Commission (NPC) – Created by Pres. Elpidio Quirino to consolidate

duplication of functions of planning bodies. Abolished 1972, declaration of Martial Law
 Task Force on Human Settlements (TFHS) created by EO 419 on Sept. 19, 1973
- Evolved into Human Settlements Commission (HSC) through PD 933 on May 13, 1976.
- National planning body created to institutionalize Human Settlements movement
Ministry of Human Settlements (MHS) created by PD 1396 after Habitat I (June 11, 1978) as
“Mother agency” to consolidate efforts of HSC and 30 gov’t entities. HSC
gained “Regulatory” (HSRC)

Human Settlements Regulatory Commission (HSRC) given quasi-judicial powers on Feb 8,

1981 through EO 648, giving 3 programs; Town Planning and Zoning, Real Estate
Management, Urban Land Reform

Housing and Urban Development Coordinating Council (HUDCC) replaced MHS

which was abolished 1986 after Marcos Regime
Housing and Land Use Regulatory Board (HLURB) is HRC renamed by EO 90 (1986)
(E.M Serote/Property, Patrimony and Territory/Chapter 4 Institutional Framework for Land Use Planning)

Executive – Legislative Agenda

- An integrated plan containing the major development thrusts and priorities of both branches
- Proposed ordinances, legislative measures to support priority projects

RA 7160 mandates LCES to: “present the program of government and propose
- Sec 444(municipality), Policies for the consideration of the
- 445 (city), 465 (province) Sanggunian… initiate and propose legislative
measures to the Sanggunian”
12– Step ELA Planning Process
I. Planning to Plan – preparation of work plan, budget, team orientation, securing EO
- ELA Team (Executive) LCE, LPDC, Dept. Heads; (Legislative) Vice LCE,
Sanggunian Secretary, Appropriations Committee Chair
AI. Prioritizing Issues – “shortlisting” issue to be addressed during elected officials’ terms
BI. Consulting with Stakeholders

V. Formulating Goals and Objectives

- Plan for development of Competencies, Structure, Systems and Procedures, Logistics VII.
Determining Legislative Requirements – identifying policy gaps, priority Legislation &
when needed
VIII. Budgeting Commitment – Pledges, naming ELA to create sense of ownership
IX. Securing Endorsement and Approval – LDC endorses ELA and AIP to Sanggunian;
adopts former through resolution, latter through Appropriations Ordinance
X. Moving ELA to Action – Annual Operation/Work & Financial Plan, resource mobilization
XI. Popularizing the ELA – for support, transparency, accountability, through IEC, for a
XII. Managing and Sustaining ELA Implementation
[Local Planning Manuals/ELA Manual_DILG]
 Population
Projection:

Geometric Method: Pt = P0 (1+r)t r = ln (Pt /P0)

t
Pt = projected pop. for a certain year r = rate of growth
P0= base year t = time interval between the base and projected years

Exponential Method: Pt = P0 ert r = [log (Pt /P0)]

t log e
e = constant (the e of 1 is 2.71828)

- Crude Birth Rate (CBR) = no. of births x 1000

Midyear total population

- Crude Death Rate (CDR) = no. of deaths x 1000

Midyear total population

- Infant Mortality Rate = no. of deaths x 1000

no. of live births

- Rate of Natural Increase (RNI) = Crude Birth Rate (CBR) –(CDR) Crude Death Rate
As percent / per 100 population = RNI
10
- Doubling Time = 69.3 - Sex Ratio = _M_ x 100
% Growth Rate F

Three profiles of Population Pyramid if “Ratio”, x 100

- Expansive | Constrictive | Stationary if “Rate”, x 1000

Dependency Ratios
Po-14 + 65+
P15-64

0 – 14 Young Dependent
15 – 64 Productive Working
65 + Old Dependent
 Sectoral Standards
Education

A. Pre-school (Kindergarten)
- Min 500 sqm lot = 4 classes - Classroom size = 1.5 sqm/child
- Space for playground (140sqm) or open space within 200m walking distance
B. Elementary
- Barrio school 0.5 ha = 2 classes (no Grade above Grade 4)
- Central School 1 ha = 6 classes 3 ha = 10-12 classes
2 ha = 7 – 9 classes 4 ha = > 12 classes
- Non-Central school 1 ha = 3-4 classes
- Special Cases
Rural Central Barrio
0.5 ha 6 classes 3 – 4 classes
1.5 ha 7-10 classes
2 ha > 10 classes
Urban 0.5 ha 6 classes 7 – 10 classes
0.75 ha 11-20 classes > 21 classes
- Classroom = 1.4sqm /pupil - Medical /Guidance office = 28sqm gross
C. Secondary Schools - School buildings / structures = < 40% of school site (60% open space)
Classroom = 1.4sqm / place Trades (wood/metal), Practical Arts = 5sqm /
Science lab = 2.1sqm / place place Tech/Home Ec = 7sqm / place
Medical/Dental = 28sqm gross Homemaking = 4sqm / place
Admin = 5sqm/ place Library 2.4sqm/place

D. College / Universities - Site area = 0.5 ha / 500 students (ex. 2,000 pupils = 2 ha)
School Age Population
- Sprague multiplier = NSO age groupings vs. school age brackets
- Interpolation Technique

Hospitals
Standard Areas - Municipal (6 – 24 beds) / Provincial (100-199 beds) = 1.5 ha
-Regional (200-300 beds) = 2.5 ha
-Medical Center (>300 beds) = 3.5 ha
City/Main health center = municipal level - Any RHU Personnel:

- 1 per 50,000 population 1 per 20,000 population

Criteria for new Government Hospitals

- 35 km from existing Government Hospital

- Referral facility for 3 RHU / main health center
 - Permanent catchment population 75,000 / 25,000 for remote areas, 3 hours away
- Municipal Hospital = 30 km service zone

Protective Services
A. Ideal police ratio = 1 per 500 population | Minimum ratio = 1per 1,000 population
Police Station Area Population (Component City) (Municipal)
“A” 2,500 sqm > 100,000 > 75,000
“B” 600 sqm 75,000 - 100,000 30,000 – 75,000
“C” 400 sqm 0 – 75,000 0 – 30,000

B. Fireman = 1: 2,000 population| Fire truck = 1:28,000 pop | Fire truck = 1:14 Firemen
C. Ideal - jail guard 1 : 5 inmates | Minimum - jail guard 1: 7 inmates

Sports and Recreation

Minimum 500sqm / 1,000 population – city / municipal park
Minimum 0.05 ha / 1,000 population – playfield / athletic field
Industrial
Classification Scale Capitalization Employment
Micro-industry < Php150,000 - -
Cottage Industry Php150,000 – 1,500,000 < 10 workers
Small Scale Php1,500,000 – 15,000,000 10 – 99 workers
Medium Scale Php15,000,000 – 60,000,000 100 – 199 workers
Large Scale > Php60,000,000 > 200 workers
Light Industry (I1) – non-pollutive / non-hazardous | non-pollutive / Hazardous
Medium Industry (I2) – Pollutive / non-hazardous | Pollutive / Hazardous
Heavy Industry (I3) – Highly Pollutive/ Non-hazardous; Hazardous; extremely hazardous -
Pollutive; non-pollutive / Extremely hazardous

Commercial = 1.5% - 3% of total built-up area Health Facilities = 0.4 ha / 1,000 population
Industrial = 2.5 ha /1,000 population Gov’t/Admin = 0.5 ha / 1,000 population
Schools = 0.8 ha / 1,000 population

Burial Grounds – minimum = 1m x 2.44m | 20m away from dwellings, 50m from rivers

Sanitary Landfill requirements: Total area x 1.5 to allow for roads, cover, etc.
Area = Waste generated (kg/year) x Residence time (year)
330 kg / m3 (DENR standard) 10m landfill depth

- Target service life of landfill 5 years | 75m away from faults, 50m away from waters

(Guide on Sectoral Standards_HLURB)

National Economic Development Authority (NEDA) – through PD 107
- 1987 Constitution Article XII, Section 9 (Independent Economic Planning Agency)
- EO 230 1987 Reorganizes - NEDA

NEDA Project Development Cycle

Pre – Investment Phase - Project Identification

- Project Preparation (pre and feasibility studies)
- Project Appraisal and Financing
Investment Phase - Detailed Engineering and Design
- Project Implementation
Post – Investment Phase - Project Operation
- Ex-post Evaluation

Project Decision Analysis

Discounting: conversion of future values to present using discount

factors Discount Rates / Factors

Net Present Value (NPV) – compares cost and benefit streams discounted to present
- if NPV is positive / greater than 1, project viable and can be accepted
- Budget constraint: choose project which maximizes NPV
- Mutually Exclusive Projects: no budget constraint, chosen from mutually
exclusive projects, choose highest NPV
- Different Project Lives: mutually exclusive, adjust lives, highest positive NPV

Internal Rate of Return (IRR) – present value of benefits equals cost / NPV = 0
- If IRR > cost of funds, implement, choose highest
- Favors budgets with short lives

Benefit-Cost Ratio (BCR) – ratio of present value (benefits to costs)

- If BCR > 1, accept, select highest

Payback Period – years before discounted cumulative benefits repays cost

- Bias towards quick-returning projects

Economic Evaluation

Social Discount Rate (SDR) – discount stream of economic cost and benefits to present values,
rate of social value declines over time (at 15%)
 1987 Constitution

Article I. National Territory – archipelago; terrestrial, fluvial, aerial domains

II. Declaration of Principles and State Policies – democratic, renounces war, separate from
Church; (5) promotion of general welfare, (10) social justice, (14) role of women, (16) balanced
ecology, (21) rural development / agrarian reform, (22) IP rights, (25) autonomy of LGUs.

III. Bill of Rights – (9) Private property cannot be taken without just compensation; rights
related to criminal prosecution.
IV. Citizenship - qualifications
V.. Suffrage – right to vote
Legislative Department – composition, government appropriations, passing of laws
VII.. Executive Department – the Presidency, powers and responsibilities
Judicial Department – composition, powers and mechanisms
Constitutional Commissions – Civil Service, Elections, Audit; responsibilities

Local Government – (2) local autonomy, (3) LGC, (5) creating revenue sources, (6) share in IRA and
(7) development of national wealth, (12) HUC, ICC Independence, (14) Regional Development councils
Accountability of Public Officers – (1) public trust; impeachment, powers of Ombudsman

XII. National Economy and Patrimony – (1) General Welfare 6/7, and (2) 4, natural resources belong
to the State, allow small-scale use, (3) public domain classification, can only be leased, (4) conservation of
forestlands, natural parks, (6) right to private property, (9) NEDA, 60% Filipino ownership

XIII. Social Justice and Human Rights – (1) regulation of property, (4) agrarian reform, (7)
fisherfolk rights, (9) urban land reform, (10) resettlement, (14) women’s working rights
XIV. Education, Science and Technology, Arts, Culture, and Sports – (5) right to select a course
XV. Family – foundation of the nation

PD 1151 “Philippine Environmental Policy”

Section 1. Policy – continuing policy of the State to create conditions where man and nature
can live in harmony, fulfill requirements of present and future generations.

Section 2. Goal – recognize responsibility of each generation as guardians of the environment,

preserving cultural / historic heritage, national resource use while preserving environment

Section 3. Right to a Healthy Environment – and everyone’s duty and responsibility

to contribute
Section 4. Environmental Impact Statements – basis for EIA system, directed to NEPC
 DENR Administrative Order (DAO) 37 S. of 1996
- Revising DAO 21 S. of 1992; Strengthening EIS System
Section 2. Objectives – ensure maximum public participation in EIA process for social
acceptability validation
Section 3. Definition of Terms
(g) Environmentally Critical Area (ECA) – environmentally sensitive and listed in
Presidential Proclamation 2146 S. of 1981 / PD 1586 (Sec. 4)
(h) Environmentally Critical Project (ECP) – high potential for negative impact listed in Pres.
Proc. 2146 S. of 1981 / PD 1586
(e) Environmental Management and Protect Areas Sector (EMPAS) of DENR
(k) Environmental Impact Assessment (EIA) – process of predicting likely consequences of
implementing projects / undertakings and designing preventive/mitigating measures
(l) EIA Review Committee (EIARC) – EMD / RED organized to review EIS
(m) EIS – studies on direct/indirect consequences on human welfare, ecological integrity
(o) Environmental Management Plan – section in EIS detailing impacts and mitigating measures
(q) Environmental Risk Assessment – use of scientific methods/information to
define probability/magnitude of adverse effects which result from exposure to
hazard materials/situations.
(r) Initial Environmental Examination (IEE) – document required from proponents
describing impacts/mitigations in undertakings in ECA
(aa) Scoping – stage in EIS where info/assessment requirements established for scope of work

II. Scope of EIS

1. Coverage of EIS System (See Presidential Proclamation 2146 S. of 1981)
- No ECP in ECA without ECC
2. Non-Coverage – ECPs in ECAs before 1982 (except if expanded)
c. Country-side business and barangay entities (CBBEs) created RA 6810
- Magna Carta for CBBEs (Kalakalan 20)
3. If project an ECP = do EIS; If project within an ECA, submit IEE (and/or EIS)

III. Procedural Flow of EIS

A. ECPs
1. Scoping – DENR, proponent, stakeholders link, agree on what issues, constraints, if EIA
required, issues of social acceptability. Identify EIARC
9. Contents of EIS
- Project Description - Envi Risk Assessment - Accountability Statements
- Scoping Report - Envi Management Plan - Supporting docs
- Baseline Envi - Proposals for Envi (participation, econ data)
Conditions monitoring/Guarantee - Chapters on IP, women,
- Impact Assessments Funds socio-econ impacts

10. Initial Review – by EMB 13. EIARC report on evaluation to EMB

12. Substantive Review – by EIARC
 14. EMB director’s recommendation to 15. DENR Secretary grants/denies ECC
DENR OSEC

B. Projects within ECAs

17. Submission of IEE – to EMPAS, PENRO, CENRO, LCEs
19. Contents of IEE
- Description of envi setting, - Description of impacts - Relationship of population/
impact areas (envi/socio eco) development/envi
- Description of project/ - Matrix of mitigation/ - Accountability Statements
undertaking enhancement measures (preparer/proponent)
- Consultation process undertaken
20-21. Review by EMPAS
22. EMPAS Report – to Regional Executive Director recommend issuance or not of ECC or prepare EIS
23. Regional Executive Director decides if ECC or EIS
26. Convene Regional EIARC for review / EMB support
IV. 10 Compliance Monitoring – multi-partite monitoring team (MMT) after ECC
VII. 4. Roles and Responsibilities of EMB

PD 1586 “Establishing an EIS System”

Section 2. EIS System pursuant to Sec 4 of PD 1151

Section 3. Ministry of Human Settlements (MHS) as lead

agency Section 4. Presidential Proclamation of ECA/ECP

Presidential Proclamation 2146 “Proclaiming Environmentally Critical Projects”

a. ECP – Heavy Industries, Resource Extractive Industries, Fishery Projects (dikes, fishponds),
Major Infras (dams, power plants, reclamation, roads/bridges), Golf courses
b. ECA - national parks, preserves, tourist spots, habitats, archaeological/scientific interest,
ancestral domain, frequently disastered, critical slopes
- Prime agri lands, aquifer recharge, water bodies (domestic use, protected, fisheries)
- Mangroves, coral reefs

RA 7586 “National Integrated Protected Areas System Act (NIPAS) of 1992”

Section 2. Declaration of Policy – to secure the existence of all native plants and animals
through protected areas within the ‘National Park’ classification, encompassing outstanding
remarkable areas and biologically important lands, habitats and ecosystems
 RA 7586 “National Integrated Protected Areas System Act (NIPAS) of
1992” Section 3. Categories (and definitions provided in Section 4)

(a) Strict Nature Reserve – an area with an outstanding ecosystem, scientifically important species,
maintained undisturbed for study, environmental monitoring, and genetic resources
(b) Natural Park – relatively large area, maintained to protect inter- and nationally
significant areas of outstanding nature, scenery, for scientific, educational,
recreational use
(c) Natural Monument – relatively small area, to preserve nationally significant
natural features with special interest or unique characteristics
(d) Wildlife Sanctuary – area which assures natural conditions to protect species,
biotic communities or physical features. May require human manipulation
(e) Protect land/seascapes – harmonious interaction of man/land, opportunities
for public enjoyment, recreation and tourism within areas’ normal lifestyle and
economic activity
(f) Resource Reserve – extensive, isolated and uninhabited area, with natural
resources protected pending development based on knowledge and planning
(g) Natural Biotic Area – set aside for societies in harmony with nature to modernize at their
own pace
(h) Other categories established by law, conventions or international agreements

Section 8. Buffer Zones – established for each protected area, outside boundaries but
immediately adjacent. Needs special development control to minimize harm to
protected area.

Section 10. – NIPAS administered by DENR, creates Protected Areas and Wildlife
Division under Regional Technical Directors per region. (PAWB headed by Director)

Section 11. Protected Area Management Board - for each site a PAMB, composed of:
DENR Regional Executive Director, Province PDO, LGUs representatives, NGO, IP
reps Section 20. Prohibited Acts – hunting, destroying, possession of species without
permit; dumping or leaving exposed refuse; damaging objects of natural beauty or
cultural interest; occupying land or building structures without permits

DAO 25 S. of 1992 (NIPAS IRR)

Section 10. Protected Area Management Zoning
(a) Strict Protection Zone – high biodiversity, only for scientific study, ceremonies
(b) Sustainable Use Zone – allowed natural resource use through traditional,
sustainable methods; research and park visitation. Conserved for biodiversity
(c) Restoration Zone – degraded habitats for rehabilitation, later stricter zoning
(d) Habitat Management Zone – habitats required by rare, threatened, endangered species
(e) Multiple – Use Zone – settlement, agriculture, forestry, or livelihood activities
allowed by management plan. Land tenure may be granted to IPs or migrants
(f) Buffer Zone – effectively multiple-use zones that act as ‘social fences’
(g) Cultural Zone – areas with significant cultural values, and/or where practices occur
(h) Recreational Zone – allowed sustainable eco-tourism, recreational, educational activities
(i) Special Use Zone – existing installations: telecoms, irrigation, power lines
 RA 7916 “Special Economic Zone Act of 1995” (PEZA LAW)

Section 2 Accelerate industrial/economic/social development to provide jobs to then

improve level / quality of living
Section 3 Purposes, Intents and Objectives
(a) Legal framework, mechanisms for planning, monitoring SEZs, IE/parks, EPZ, EZs
(b) Transform areas into highly developed industrial, commercial, etc. centers
(c) Promote foreign/local investors, establish linkages
(d) Stimulate repatriation of Filipino capital
(e) Cooperation between PH and industrialized countries, modernize industrial sector
(f) SEZs as separate customs territory within Constitutional framework, territory of PH
Section 4 Definition of Terms
(a) Special Economic Zone (SEZ) – “ECOZONES”. Potential/highly developed areas with
agro industrial, industrial, tourist/recreational, commercial, banking, investment,
finance centers.
May have any/all of the following: IEs, EPZs, FTZs, Tourist centers
(b) Industrial Estate (IE) – land subdivided/developed according to comprehensive plan,
under management, basic infra and utilities for community of industries
(c) Export Processing Zone – specialized IE, physically or administratively outside customs
territory, oriented to export production. Capital equipment imports and raw materials free
from taxes / restrictions
(d) Free Trade Zone – Isolated policed area adjacent to port of entry where goods
are manipulated without import duties. Firms within zone have preferential tax
treatment, lenient immigration laws.
Section 5 Establishment of ECOZONES - (a-kk) designated areas of provinces/cities
(am) any private IE which applies voluntarily, developed through Private, LGU, or
National Government initiative
- Borders delineated, proclaimed by President with PEZA, Sanggu, HLURB, RLUC,
NLUC Section 6 Criteria for Establishment - Can through LGU/PPP thru BOT law
without National Government help, secured against smuggling
Section 7 – ECOZONES to be decentralized community – self-reliant, self-sustaining,
administer itself (Sec. 15 ECOZONE Executive Committee – PEZA appointed admin)
Section 8 ECOZONE operated/managed as separate customs territory – by PEZA
Section 11 PEZA Board - attached to DTI (chair). Director General (Usec) appointed
by President
Section 12 Functions and Powers of PEZA Board
Section 23 Fiscal Incentives – PD 66, Book IV EO 226 (Omnibus Investment Code),
Export Development act of 1994
Section 24 Exemption from National/Local Taxes – No taxes (except for RPT) for businesses
| 5% of gross income of firms within goes to: 3% to National Government, 2% to LGU
Section 25 Applicable Taxes – all taxes for persons, service firms under Internal Revenue Code,
LGC Section 30 Leases of Lands/Buildings – to foreign investors for 50 years, renewable for
25 Section 40 Percentage of Foreign Nationals in supervisory roles not > 5% of workforce
 RA 9184 “Government Procurement Reform Act”

Section 3 Governing Principles on Government Reform

(a) Transparency (c) Streamlined Procurement (e) Public Monitoring
(b) Competitiveness (d) System of Accountability
Section 5 Definition of Terms
(e). Competitive Bidding – Advertisement, Pre-Bid Conference, Eligibility Screening of
Prospective Bidders, Receipt and Opening of Bids, Evaluation
of Bid,
Post Qualification, Award of Contract
(g) Goods – Equipment; Trucking, Hauling (non-personal); Materials,
Supplies, Furniture; Janitorial, Security (contractual services)
(j) Head of Procuring Entity (HOPE)
- National Government Agency: Head/authorized official
- GOCC: Governing Board/ authorized official
- LGU: Local Chief Executive
Section 7 Procurement Planning and Budget Linkage
- All procurement within Approved Budget; no procurement without Annual Procurement Plan
Section 10 Competitive Bidding – for all procurement
Section 11 BAC Composition
- 5-7 Members chaired by at least 3rd ranking permanent official (other than head)
- Fixed 1 year term, renewable by HOPE (legal/admin rep, finance rep (both 5th ranking))
Section 12 Functions - (See Sec. 5), recommend Alternative Methods

Section 13 Observers – 1 COA rep, 1 private sector rep, and 1 NGO rep duly SEC
registered Section 24 Shortlisting for Consulting Services – for bidders
Section 25 Submission and Receipts of Bids
- technical/financial envelopes submitted simultaneously

Section 26 Modification and Withdrawal of Bids – modify before deadline,

if withdrawn no longer allowed to submit for same contract
Section 27 Bid Security – guarantee that bidder will enter into contract after Notice of Award

Section 30 Preliminary Examination of Bids – “Pass/fail” criteria. Financial component

only opened after technical passes

Section 32 Bid for Procurement of Goods and Infra Projects – preliminary exam
passers will be ranked financially, lowest referred to as “Lowest Calculated Bid”
Section 33 Bid Evaluation of Shortlisted bidders for Consulting Services
- Numerical ranks for criteria such as experience, performance, etc. = “Highest
Rated Bid”
- HRB negotiation/clarification on financial proposal, terms of reference, etc.
- If negotiation fails, next ranking bidder. Ceiling is amount in financial envelope/ABC

Section 34 Post-Qualification
- verification/validation if requirements/conditions met in Bidding docs
- If passed, Lowest Calculated Bid = “Lowest Calculated Responsive Bid”;
- Highest Rated Bid = “Highest Rated Responsive Bid”
- If failed, becomes “post-disqualified”. Then next LCB/HBR becomes LCRB/HRRB
Section 35 Failure of Bidding – if:
(a) No bids received (c) when bidder with Lowest/Highest Rated refuses to
accept
(b) None qualifies for Lowest/Highest Responsive Bid
- Rebidding same process. If 2nd Failed bidding, may resort to Negotiated Procurement (sec.
53)
Section 36 Single Calculated/Rated and Responsive Bid Submission – considered if
(a) Only one bidder submits Letter of Intent, applies for eligibility check, passes, then bids
(b) More than one bidder but only one passes eligibility
(c) If more pass eligibility, but only one bids
Section 37 Notice and Execution of Award
- 15 days after Lowest/Highest Responsive bid, issue Notice of Award
- 10 days after Notice of Award, bidder enters contract – 20 days for approval (30
for GOCCs)
- 7 days after approval of contract, Notice to Proceed
Section 38 Procurement Process shall not exceed 3
months Section 39 Performance Security – before
signing of contract
Section 40 Disqualified if unable to enter contract or post Performance Security. Post-
qualification for next ranked bidder
Section 46 Lease Contracts – for equipment, subject to same bidding
process Section 48 Alternative Methods – by approval of HOPE /rep, if
justified
(a) Limited Source Bidding/Selective Bidding – direct invitation to
pre-selected suppliers/consultants
(b) Direct Contracting/Single Source Procurement – supplier asked to submit
price quotation or pro-forma invoice with conditions of sale – may be accepted
or negotiated with
(c) Repeat Order – direct procurement of goods from previous winning bidder
of competitive bidding
(d) Shopping – request for submission of price quotations for off-the-shelf goods
or ordinary/regular equipment from suppliers of known qualification
(e) Negotiated Procurement – extraordinary circumstances (sec. 53) or
Failed Bidding – negotiates contract with supplier, contractor or
consultant
Section 49 Limited Source/Selective Bidding – only if:
(a) Highly specialized goods/consulting obtainable from limited sources
(b) Major plant components to maintain uniform quality
Section 50 Direct Contracting – only if:
(a) Proprietary goods/source – copyright, patent, trade secrets
(b) Critical components from specific supplier
(c) Exclusive dealer/manufacturer
Section 51 Repeat Order – if in Annual Procurement Plan
(a) Same/lower price; (b) no splitting of requisitions/purchase orders;
(c) Valid only 6 months after Notice to Proceed from last order
(d) Not >25% quantity of original contract
Section 52 Shopping
(a) Unforeseen contingency <Php50,000
(b) Ordinary office supplies/equipment not available from Procurement Service, <Php250,000,
not Split contracts, 3 price quotations/suppliers
Section 53 Negotiated Procurement – (a) After 2 Failed Biddings (sec. 35)
(b). necessary immediate action (emergencies, calamities)
(c) Take-over of contracts if for necessary immediate action (emergencies, calamities)
(d) Contract contiguous/adjacent to on-going infra project resulting from
competitive bidding. Covers consultancy contracts
(e) Purchases of Goods from other Government Agencies (like DBM Procurement Service)
Section 55 Protests on BAC Decisions – letter, protest fee (1% of ABC)
Section 63 Government Procurement Policy Board (GPPB)
Section 64 Membership
- DBM Sec (Chair); NEDA Director-General (Alt Chair)
- Private Sector Rep (Presidential Appointment)
- DPWH, DOF, DTI, DOH, DND, DepEd, DILG, DOST, DOTC, DOE Secretaries/reps