This chapter provides instructions on how to administer and record responses to the CBMS Form 3 (Waiver and Consent Form). It also discusses the legal basis for administering the form. The field enumerator conducting the data collection shall ask the respondents of the CBMS Form 2 (Household Profile Questionnaire) whether they would like to make an explicit waiver to authorize the city or municipality and PSA to disclose their identities and other relevant information about their household to the government agencies which provide social protection programs for them through the CBMS Form 3. This chapter also talks about the procedure in closing the interview, modifying the responses following the error lists and submitting the CBMS Forms 2 and 3.
10.1 Objectives of the CBMS Form 3
The CBMS Form 3 aims to solicit consent of respondent for the CBMS Form 2 (Household Profile Questionnaire (HPQ)) for city/municipal local government unit (LGU) and the Philippine Statistics Authority (PSA) to be able to share to other NGAs data collected from the HPQ for social development programs.
10.2 Legal Basis for the Waiver and Consent Form
Section 10 (Confidentiality of Information), RA 11315 states that:
The right to privacy of every respondent remains inviolable. The citizen participating in the data collection shall be fully informed of the nature and extent of processing intended for his or her personal data. Participation in all data collection activities is purely voluntary.
This meant that respondents may refuse to answer any question or reveal any information at any point, or terminate data collection activities with no further action needed. It is also possible that the respondents may opt to share or not share the data they have provided in the CBMS to government agencies other than the PSA and the LGUs.
The law also mandates the person conducting the data collection, i.e., the PSA enumerator or “the person conducting the data collection to ask the respondents whether they would like to make an explicit waiver to authorize the city and municipality to disclose their identity and other relevant information about their household to the government agency which provides social protection programs for them.” It is in this context that the CBMS Form 3 was designed in order to organize solicitation of consent from household respondents from the HPQ.
Section 3 (Definition of Terms), RA 10173 refers to consent of a data subject as “to any freely given, specific, informed indication of will, whereby the data subject agrees to the collection and processing of personal information about and/or relating to him or her. Consent shall be evidenced by written, electronic or recorded means. It may also be given on behalf of the data subject by an agent specifically authorized by the data subject to do so.” In this regard, the CBMS Form 3 will be administered electronically by gathering the signature or fingerprint photo capture of the respondent. In cases, when use of tablet is not possible, the CBMS Form 3 can be administered using a printed form.
It is also important to emphasize that soliciting consent from a data subject or respondent will involve partly the need for the PSA enumerator to be able to explain well the objectives and uses of the CBMS data. Objectives and uses of CBMS data are presented in Chapter 1 of this manual. Allowing the respondent to know more about how he/she/his/her household can benefit from agreeing to sign the CBMS Form 3 can possibly encourage them to share their data.
It should also be emphasized that it is important that the respondent be a responsible member of the household to represent the household. The head of the household or his/her spouse is often the most qualified respondent. The enumerator is advised against soliciting the waiver/consent of the household helpers or boarders on behalf of the household.
In cases of outright refusal to participate in the CBMS, termination of interview or refusal to respond to some data items, please refer to Section 5.5 (How to Handle Enumeration Problems) of Chapter 5 of this document. In such cases, there is no need for the PSA enumerator to secure a written reason from the respondent, and there will be no need to mention that the PSA will undertake legal action against the respondent for refusing to answer the CBMS unlike other census operations of the PSA. Relatedly, the PSA will not take legal action to respondents who will not provide consent to share their data to other government entities via CBMS Form 3. However, the enumerator and the supervisor should exert all efforts to solicit or convince the respondent to share their data in order for the goals and objectives of the CBMS Act to be adequately met.
10.3 Procedure on How to Administer the Waiver and Consent Form
The CBMS Form 3 only applies to households which were interviewed, i.e., Result of Visit are 01 (Completed) and 03 (Terminated Interview). Callbacks (08 and 09 in the Result of Visit) will have to be categorized to category 01 or 03 in Result of Visit before the CBMS Form 2 can be administered.
Refusals (category 02) and special cases (categories 04 to 07, and 10) will not need a CBMS Form 3.
Case 1: Respondent accomplishes the CBMS Form 2 (Household Profile Questionnaire)
After recording the respondent’s answers in the CBMS Form 2, the CBMS Form 3 will appear in the CAPI application. Follow the procedure below for administering CBMS Form 2:
Thank the respondent for responding to the CBMS Form 2. Introduce the need for you to get his/her consent for the PSA and the LGU to share his/her data and his/her household’s data to government agencies with social development programs that might help them.
Maraming salamat po sa kumpleto ninyong pagsagot sa aking mga katanungan! Gaya po ng aking nabanggit sa simula ng aking panayam sa inyo, ang Community Based Monitoring System (CBMS) ay naglalayon na malaman ang estado ng kahirapan sa inyong lungsod/munisipalidad at para matukoy ang mga posibleng benepisyaryo ng mga programa ng lokal na pamahalaan. Isa rin po sa mga nais ng CBMS ay makapagbigay impormasyon sa mga ahensya ng gobyerno na nangangailangan ng listahan ng mga posibleng benepisyaryo ng mga programa para sa kahir apan at kabuhayan na isasagawa sa buong bansa. Kami po ay magpapapirma sa inyo ngayon ng CBMS Form 3 (Waiver/Consent Form) na nagsasabing kayo po ay pumapayag na aming ibabahagi ang inyong impormasyon sa iba pang ahensya ng gobyerno na may mga programang makatutugon sa kahirapan at pangangailangang pangkabuhayan na maaari rin ninyong kabilangan kung papasa po kayo sa pamantayan ng mga ahensyang ito.
It is also highly encouraged that you read the full contents of the CBMS Form 3 so that the respondent understands what document he or she is signing.
There may be cases when the enumerator might need time read the contents of the consent form/waiver. You may hand a printed copy to him/her.
CASE 1A: If the respondent agrees to sign the waiver, record his/her name. Then you may do any of the following:
4.1 Hand the stylus of the tablet to the respondent for him/her to use for her electronic signature. Prepare a tissue with alcohol to clean the stylus after the respondent’s use. Then, record the date when the CBMS Form 3 was signed. Indicate ‘1’ for Yes in Q1 (Did the respondent sign the waiver?) at the lower portion of the CBMS Form 3.
4.2 Use the printed CBMS Form 3. Write his/her name in the space provided. Hand him/her the pen so he or she can affix his/her name and signature. As the enumerator, sign the form as well. Please indicate his line number and select ‘1’ for Yes in Q1 (Did the respondent sign the waiver?) at the lower portion of the CBMS Form 3. Capture a photograph of the signed document. Wipe the pen with tissue with alcohol to clean your pen.
In cases when the respondent is unable to provide his/her signature due to physical limitations or inability to write, he/she may also use a printed copy where he/she can affix her fingerprint. Otherwise, he/she may be represented by the household head who may either give his/her signature in the respondent’s behalf. Besides the line number of the respondent, record the line number of the signatory for documentation purposes.
CASE 1B: Write “REFUSED TO GIVE CONSENT” on the space provided for the signature and name of the respondent. Select ‘2’ for No in Q1, and then choose among the categories in Q2 (What is the main reason why respondent did not sign the waiver?) the main reason behind his/her refusal to sign the waiver. The following are the listed categories:
| Codes | Description |
|---|---|
| 1 | Concern on the use of CBMS against the respondent or his/her household members |
| 2 | Not interested in availing government social protection programs |
| 3 | Cannot understand the contents of the waiver |
| 4 | Terminated HPQ Interview |
| 9 | Others, specify ___________________ |
In CAPI format of the CBMS Form 3, you can automatically select “2 – No” in Q1 and then select among the choices the main reason behind his/her refusal to sign the waiver. There is no need for you to write again his/her name and the note “REFUSED TO GIVE CONSENT” on the space provided for signature.
If the CBMS Form 3 is administered electronically in CAPI format, the response to the CBMS Form 3 will be automatically fed to the CBMS Form 1 (Listing Form). If the CBMS Form 3 is accomplished in paper format, the enumerator shall capture a photo of the CBMS Form 3 and upload this as an attachment when he/she uploads the data from his/her tablet in lieu of the photo capture of the signature or response of the respondent. By doing this in CAPI, the CBMS Form 1 should also be updated to reflect the response of the respondent on CBMS Form 3. The accomplished CBMS Form 3 in paper format shall also be kept by the enumerator or may be given to the respondent if he or she requests for a copy.
The enumerator will have to indicate his/her name and affix his/her signature as well as the date of the acknowledgment of the response of the household respondent to the CBMS Form 3. The name and signature need not be entered to the CAPI system if the system allows a unique login ID for each PSA enumerator.
The enumerator shall also record the PSGC code, EA ID, BSN, HUSN and HSN. These details need not be entered if the HPQ and waiver are administered through the CAPI system.
The TS will check the completeness of each waiver/consent form, and alert the enumerator for any revision or incomplete fields in the CBMS Form 3.
The respondent may opt to get a duplicate photo capture of the CBMS Form 3 for his/her record.
Refrain from having erasures in the printed copy of the CBMS Form 3. Should there be revisions/corrections to be made on the printed copy, initials of the enumerator must be affixed in the erasures.
Please refer to Illustrations 10.1 and 10.2 for reference on how to fill out a printed copy of CBMS Form 3 under cases 1A and 1B, respectively.
Case 2: Respondent of the CBMS Form 2 refused to be interviewed.
There will be no CBMS Form 3 for those households labeled as Refusal (category 02) in Result of Visit.
Their refusal in CBMS Form 2 (Sections A to R) will mean that the household’s responses to the refusal questions (Section S) will also not be shared to the national government agencies (NGAs) with social protection programs.
Case 3: Respondent of the CBMS Form 2 terminated the interview.
In such case, follow the procedure as presented for Case 1. Partial responses to the HPQ may already be useful and can be used for targeting and poverty alleviation programs.
If the respondent refuses to give his/her consent due to termination of interview, indicate in Q2, ‘4’ for TERMINATED INTERVIEW. Refer to Illustration 10.3 for an example of an accomplished CBMS Form 3 with a terminated interview and the respondent does not want to share his/her household’s data.
ILLUSTRATION 10.1
Filled out CBMS Form 3 under Case 1-A (Completed Interview and Respondent gave consent)
ILLUSTRATION 10.2
Filled out CBMS Form 3 under Case 1-B (Completed Interview but Respondent did not give consent to share their data to NGAs)
ILLUSTRATION 10.3
Filled out CBMS Form 3 under Case 3 (Terminated HPQ Interview and Respondent does not like to share his/her household’s data)
10.4 Special Cases in Administering the CBMS Form 3
Case 4: Respondent is unable to read or write (physical restrictions or not literate).
Guidelines:
- Read aloud the Filipino translation of the waiver form.
- Request for thumbmark.
- With his/her consent, capture his/her photo with the CBMS Form 3 with his/her thumbprint.
Case 5: Household head/other responsible household member would like to sign in behalf of the respondent.
Guidelines:
- Use printed CBMS Form 3. Record name of signatory beside the name of respondent. Encircle the name of signatory.
- Indicate the line number of the respondent, and line number of signatory beside it. Encircle the line number of the signatory.
- Record in the REMARKS the reason why the respondent was unable to sign.
- Capture photo of accomplished CBMS Form 3 using the official tablet.
- Signatory should be a legal guardian of the respondent/participant, or any responsible member of the household (preferably the household head) assigned by the respondent.
Case 6: The enumerator forgot to have the respondent/participant sign the waiver.
Guidelines:
- Go back to the household.
- Request the respondent to fill out the waiver.
- Report to TS if you were unable to go back and secure the waiver from respondent. (TS to report through MIS.)
Signing the waiver should be done right after administering the CBMS Form 2 (HPQ).
Case 7: The enumerator misplaced the waiver.
Guidelines:
- Go back to the household.
- Request the respondent to fill out the waiver.
- Report to TS if you were unable to go back and secure the waiver from respondent.
The enumerator might be held liable for losing the waiver or any other questionnaires/data. Please handle respondent data with care. You might be held liable under RA 11315 and RA 10172 if such data are mishandled.
Case 8: The respondent has few questions in the CBMS Form 2 which he or she refused to answer.
Guidelines:
- There is a need for the enumerator to request the respondent to sign the waiver.
- Follow instructions based on Case 1.
ILLUSTRATION 10.4
Filled out CBMS Form 3 under Case 4 (Respondent is unable to write)
ILLUSTRATION 10.5
Filled out CBMS Form 3 under Case 5 (Authorized representative of respondent signed the CBMS Form 3)
10.5 Closing the interview
Below are instructions in closing the interview when implementing CAPI:
- Record time ended. Use 24-hour format, e.g., 10:00 to represent 10:00AM, or 13:40 to represent 1:40PM. Click Next button.
- Check the duration of the interview in minutes. Then, click the Next button.
- Check household head details. Then, click the Next button.
- Check details of the household’s address. Then, click the Next button.
- Check details in the Summary of Visit.
- Number of visits made
- Number of household members
- Number of males
- Number of females
- Number of nuclear families
- Write Remarks if deemed necessary. Then, click the Next button.
- Select Yes, when asked to “Accept this case?”
- Click OK, when this window appears: “CSEntry will exit”.
- Check if the interview is recorded in the Completed tab in the CBMS Mobile Application.
- Check completeness of tablet paraphernalia (e.g., stylus, etc.).
- Thank the respondent.
- Post the sticker (CBMS Form 8) in a conspicuous place (front gate, door, etc.). Follow the Instructions in Filling Out CBMS Form 8A.
- Record the interview in the printed CBMS Form 1.
If PAPI is being implemented, follow these instructions.
- Record Result of Visit and Summary of Visit.
Certify by writing the following:
- EN code
- Signature and printed name
Check if you have the copies of the CBMS Form 2 (all booklets) and CBMS Form 3.
Thank the respondent.
Post the sticker (CBMS Form 8).
Record the interview in the CBMS Form 1.
10.6 Reviewing and Submitting the CBMS Form 2 and CBMS Form 3
Below are instructions in reviewing the CBMS Form 2 responses and CBMS Form 3 before submission to the server, i.e., the CBMS Form 2 case is still in the Completed tab:
On the Completed tab, run Error List in the CBMS Mobile Application. Consult with TS/CAS as necessary.
To view the waiver of a particular case, click Waiver in the case in the Completed tab in the CBMS Mobile Application. Check if the image is clear and satisfies the standard.
To modify entries within the HPQ, click Modify in the Completed tab in the CBMS Mobile Application.
a. Refer to EN Manual.
b. For TS/CAS, refer to instructions on how to scrutinize CBMS Form 2.
c. You can also opt to view the error list, and from there go directly to the data item or response with issue.
d. Save before closing the HPQ CSEntry application.
e. Run again the Error List.
f. Modify again as necessary. Prioritize edits that need to be made pertaining to demographics, education, economic characteristics, health, health insurance, WaSH, housing, “others, specify” and “FOR FURTHER VERIFICATION” that are for recoding, etc.
To submit the CBMS Forms 2 and 3 via the CBMS Mobile Application or when CAPI is implemented, the following is the procedure:
To upload a single case/an HPQ, make sure you are connected to the internet. Then, click Upload in the CBMS Mobile Application.
Check if the interview/HPQ is recorded in the Uploaded tab in the CBMS Mobile Application. Check also if the update was reflected in the CBMS Form 1 in the CBMS Mobile Application.
To submit all complete HPQs, click Batch Upload in the CBMS Mobile Application. Check also if the update was reflected in the CBMS Form 1 in the CBMS Mobile Application.
Check also CBMS Form 11 (Daily Accomplishment Report of EN).
When using the PAPI method, please follow these instructions in reviewing and submitting the accomplished CBMS Forms 2 and 3:
Refer to the EN Manual/CBMS Resources app to check inconsistencies and in completing the codes in the questionnaire.
Record daily outputs in the CBMS Form 11 (Daily Accomplishment Report of EN).
Consult with TS/CAS as necessary. Some reviewed HPQs will be returned to EN if needs revisiting/ reinterview of household.
Submit all accomplished paper questionnaires and forms to TS every week during the meeting. Use the CBMS Transmittal Form.
After connecting to the internet and syncing your application, view the For Updating tab in your CBMS Mobile Application > CBMS Form 2. CBMS Form 2s in this tab need to be updated based on the instructions from the TS/CAS.
View the TS/CAS instructions.
Revise as instructed or reinterview with household. Refer to EN Manual. You may also talk with your supervisor to be clarified with his/her instructions.
Save before closing the HPQ CSEntry application.
Run the Error List.
Add Remarks or justifications as may be necessary.
Submit or upload the revised accomplished CBMS Form 2. Note that the TS/CAS will return the CBMS Form 2 until such time passes their review and scrutiny. They will do this in order to improve quality of data collected from the CBMS Form 2.