GUIDELINES FOR SCHOOL-BASED MANAGEMENT (SBM) GRANTS
1.0 Purpose and Coverage
School-Based Management (SBM) Grant is a funding facility extended to
public elementary and secondary schools by the Department of Education
(DepEd) to help accelerate improvements in learning outcomes that will
redound to achievement of EFA and MDG targets by 2015. Improved learning
outcomes are measured in terms of student participation, completion,
1.2 The SBM Grant shall be
used to: (a) support activities that will lead towards the formulation
of a 3-year School Improvement Plan (SIP) that has been agreed upon
among school authorities, the community and the DepEd Division Office;
and/or b) implement the approved SIP translated into Annual
Implementation Plan (AIP).
1.3 All regions
and divisions are covered by the Grant. However, prioritization of
divisions is based on a set of criteria bearing considerations for
achieving greater results for universal access and quality education. To
qualify for the SBM Grant, the school's formulated SIP must demonstrate
the principles of effective school-based management as espoused by the
SBM Framework and Standards.
guidelines shall provide the rules for availment, release, utilization,
and liquidation of SBM Grants and shall form part of the Program
Implementation Plan (PIP) of the National Program Support for Basic
Education (NPSBE) and Support to Philippine Education Reforms (SPHERE)
2.0 Definition of Terms
For purposes of these guidelines, the following terms shall be construed to mean as follows:
2.1. Bank - refers to World Bank (WB), the lending agency for the NPSBE Project.
National Program Support to Basic Education (NPSBE) - US$200M program
support loan secured by the government from the World Bank to finance in
part the various key reforms thrusts outlined in the Basic Education
Sector Reform Agenda (BESRA).
to Philippine Basic Education Reforms (SPHERE) - A grant fund from the
Aus AID Trust Fund amounting to AUD 41,000,000.
2.4. School Based
Management (SBM) - the decentralization of decision-making authority
from central, regional and division levels to the individual schools,
with the intent of bringing together the school heads, teachers,
students as well as parents, the local government units, and the
community at large in bringing about improved learning outcomes through
2.5. Grant - the funding facility authorized
to be used by the schools in SBM operations, also known as the SBM
Support and Installation Fund or the SBM Grant.
Improvement Plan (SIP) - an education development plan that shows the
intent and design that the schools will undertake to introduce
improvements in learning outcomes within the context of SBM in a
prescribed period and at a given cost;
2.7. Annual Improvement
Plan (AIP) - Based on SIP, it identifies the problems and objectives for
one school year and the intervention programs that include strategies
and learning activities, time frame for implementing the activities,
persons responsible, and resources needed which are appropriate to
achieve the objectives set.
2.8. Qualified recipient schools -
are public elementary and secondary schools with Grant applications
submitted to their respective Division Offices and found to be eligible
under the terms and conditions of this set of guidelines.
Eligible Activities and Expenditure items - are activities and
expenditure items within the parameters set out in the NPSBE Loan
Agreement and which are recognized as reimbursable by the WB.
School Grant Proposal - A school program/project proposal that
primarily focuses on the development of ideal or educationally maximal
learning environment for children based on the accepted/approved SIP/AIP
submitted to the Division Office that outlines a proposed project and
shows budgetary requirements and requests monetary assistance in the
form of a grant.
2.11. Implementing Units (IUs) - refer to secondary schools that maintain separate books of accounts;
Non-Implementing Units (Non-IUs) - refer to public elementary and
secondary schools without separate books of accounts that are under the
direct supervision of the Division Offices.
2.13. High Priority
Divisions - refers to the 40 highly challenged DepEd divisions whose
performance indicators, namely Completion, Drop-out, Achievement, and
Participation Rates for the last three years (BEIS and NAT Data: SYs
2006-2007, 2007-2008 and 2008-2009) have been computed as way below
2.14. 4Ps Program - Pantawid Pamilyang Pilipino Program
(4Ps) is a poverty reduction measure of the Philippine government that
focuses on human capital investment in the poorest of the poor
households in the country.
2.15. 4Ps school - public elementary schools within the municipalities covered by the 4Ps Program managed by DSWD;
Income Classification - Average Annual Income actually realized during
the last four (4) calendar years of the Local Government Units (LGUs) as
classified through Department of Finance Order No 23-08; it serves as
basis for the determination of the financial capability of LGUs to
provide in full or in part the funding requirements of developmental
projects and other priority needs in their locality.
3.0 Prioritization, Selection and Allocation
Two-stage prioritization shall be done through the PPD-OPS in the
Central Office to determine the allocation per region and division. The
Division Office concerned shall determine the individual school
b. In general, the prioritization, allocation, and selection of recipients shall be guided by the following principles:
Convergence to Address Poverty. Divisions with highest number of
schools situated in 4th, 5th and 6th class municipalities and 4Ps areas
are given priority.
ii. Capacity of Local Government Units (LGUs)
to support schools. Priority are schools under 4th, 5th, and 6th Class
Municipalities whose LGUs have lesser financial capability to support
3.1 Prioritization, Selection and Allocation of Division
Under GAA, there shall be two sets of priorities: Priority I shall be
the 32 of 40 identified High Priority Divisions (HPDs) while Priority 2
shall be the remaining 157 divisions.
i. The two
priorities were identified based on division performance computed using
the average of Participation, Achievement (NAT), Completion and Drop-Out
Rates for SYs 2006-2007, 2007-2008 and 2008-2009.
allocation she between the two sets of priorities was computed using the
mean of the average performance indices of each priority computed in
iii. The allocation she of Priorities I and II shall be as follows:
1. 53% of the allocated school grants shall go to the 32 High Priority Divisions or Priority I; 2. 47% of the allocated school grants shall go to the remaining 157 Divisions or Priority II
iv. ARMM shall be governed by Special Guidelines to be covered by a Memorandum of Agreement.
Under SPHERE, the ten divisions from Priority II with the lowest scores
in performance indicators and highest number of schools in 4th, 5th,
6th class municipalities and 4Ps areas as computed in 3.1.a shall be the
c. The divisions within Priorities I and II &
SPHERE shall be ranked separately. The allocation by division in each
priority shall be determined using the 50-50 Formula: 50% weight on the
average of the division performance indicators, namely: Participation,
Completion, Achievement, and Drop-Out Rates (using SY 2009-2010 BEIS and
NAT data) and 50% to the total number of schools under 4th, 5th and 6th
class municipalities and 4Ps schools.
d. The divisions with
lowest scores in terms of performance indicators and highest number of
schools in poor and 4Ps municipalities will get the highest she of
allocation. Allocation for Priorities I and II (under GAA), and SPHERE
are shown in Annexes 1, 1a and 1b and 2 respectively.
3.2 Prioritization, Selection and Allocation of School Recipients
a. Under GAA:
All schools under Priority I divisions, within the 4th, 5th, 6th Income
Class Municipalities as well as 4Ps schools shall be given SBM Grants;
For Priority II divisions, schools within the 4th, 5th, 6th class
municipalities and 4Ps areas, with the highest number of drop outs for
the last three years shall be prioritized.
iii. For Priorities I and II, the recipients must be at least 80% elementary and 20% secondary schools respectively.
Under SPHERE, schools within the 4th, 5th and 6th class municipalities
and 4Ps areas in the ten lowest divisions in Priority II shall be ranked
giving priority to schools with the highest number of drop outs for the
last three years. The recipient schools must be elementary only.
The recipient schools may include those which previously availed of SBM
Grants under GAA-NPSBE, SPHERE, and STRIVE provided that they have
already liquidated the previous SBM grants.
4.0 Amount of School Grant
4.1 The amount shall range from P50,000 to P200,000.
The Division Office shall determine the amount that each qualified
school shall receive based on the following: 1) ranking to be computed
using the mean of the absolute number of drop-outs based on BEIS data
for the last 3 years, giving priority to schools with highest number of
drop outs; 2) approved School Grant Proposals as reflected in the
SIP/AIP, subject to criteria in 3.2 taking into account other fund
sources for schools (Nationally-Funded Programs, Foreign- Assisted
Projects, Special Education Fund, Congressional Allocation, Private
Sector Donations, NGO, etc.).
5.0 Eligible Activities and Expenses
5.1. Eligible activities under this Grant shall be those related to:
establishment and strengthening of school based management, such as SIP
review/ enhancement, AIP Preparation, strengthening of school
community organizations e.g. School Governing Council (SGC)/Parents
Teachers Association (PTA), etc.; and/or implementation of certain
innovation/improvement program which have direct link to the achievement
of EFA/MDG Goals as lifted from the approved/accepted SIP/AIP (e.g.
Alternative Delivery Modes, Drop Out Reduction Program, etc.);
All expenses incurred in support of 5.1 are eligible as long as the
expenses are classified under Maintenance and Operating Expenses (MOOE)
as prescribed in Annex A of COA Circular 2003-001 on Revised Chart of
Accounts under the New Government Accounting System (NGAS), existing
DepEd Orders (e.g. DOs No. 112 and 119, s. 2009 on Approved
Supplementary Materials), and subject to exclusions on 5.3 of this
5.3. Not eligible expenses items shall include:
hiring and payment of salaries of additional staff;
purchase of equipment;
payment of honorarium;
payment of utilities;
purchase and reproduction of NAT reviewers;
Activities funded by other special or national programs or subsidies
6.0 General Procedures on the Availment of the Grants
The Schools Division Superintendents shall call for the submission of
School Grant Proposals based on the accepted/approved SIP/AIP to
determine the eligible schools using the prioritization criteria
described in Item 3.2. Annex 3 shows a sample template of School Grant
Proposal which the division offices may adopt for the purpose.
The Division Office shall evaluate the School Grant Proposals in
accordance with established needs and priorities of schools and based on
the eligible activities and expenditures as contained in these
6.3 The Division Office shall endorse the list of
qualified schools to the Regional Office, on or before July 30 of the
current year using the template on List of SBM Grants Recipient Schools
as shown in Annex 4 with the ranking/prioritization discussed in Item
6.4 The Regional Office shall then evaluate the submission
of the Division Office as to whether the grants were awarded in
accordance with the guidelines and consolidate the lists of qualified
schools for submission to PPD-OPS, 2nd Flr., Rizal II Bldg., DepEd
Complex, Meralco Avenue, Pasig City, or send it to email address:
sbmgrants(ayahoo.com on or before August 15 of the current year. Copies
of approved School Grant Proposals shall be retained at the Division
Office and shall be made accessible/available to monitoring teams from
central and regional levels.
6.5 The Regional lists of qualified
schools shall be consolidated by PPD-OPS for endorsement to Budget
Division-FMS, Central Office to effect the transfer of funds.
7.0 Releases of Funds
7.1 The Department of Budget and Management Central Office (DBM-CO) shall release the Special Allotment Release Order (SARO) to the DepED-CO.
Upon receipt of the SARO and based on the listing of recipient schools
submitted by PPD-OPS, the FMS-Budget Division shall immediately effect
the transfer of the allotment received from DBM to the respective units
thru the issuance of Sub-Allotment Release Order (Sub-ARO), as follows:
a. Division Offices (DOs) for non-implementing units (Non-lUs); and b. Implementing Units (IUs)
For newly created divisions, the SBM grants shall be released to their
mother divisions. The Regional Office is authorized to decide on the
distribution of the funds between the mother and the newly created
division/s using the 50-50 formula described in Item 3.1.c. A copy of
said decision by the Regional Office must be sent to OPS within a month
the distribution was made.
7.4 Upon receipt of the Sub-ARO, the
Division Offices and/or the IUs shall record such receipt and obligation
of allotment in the Registry of allotments and Obligations for MOOE
(RAOMO) being maintained by the respective units.
7.5 For GAA
(Priorities I & II), the Division Office and/or IUs shall request
the concerned DBM Regional Offices for the release of Notice of Cash
Allocations (NCAs), supported by copies of Sub-AROs corresponding to the
allotment released by the Central Office.
7.6 For SPHERE, the
Accounting Division-Financial Management Service (FMS) at the Central
Office will issue the funding check to Division upon endorsement by
PPD-OPS of the list of recipient schools.
7.7 Prior to release of SBM Grants to recipient schools, the Division Office shall undertake the following:
Prepare a School Grant Award Agreement (Annex 5)
that spells out the rules and conditions that will govern the use of
the grant to be signed by the SDS, School Head, PTA/ SGC and community
Instruct the heads of recipient schools to apply
for fidelity bonds; said bonds shall be sourced from the regular MOOE
of the recipient schools.
Conduct training of school heads
and/or finance staff on simplified accounting procedures in coordination
with DepEd Central and Regional Offices.
complying with the pre-requisites mentioned in Item 7.7, the Division
Office shall effect the transfer of the amount of SBM Grant to the heads
of the Non-IUs in the form of cash advance. The cash advance shall
specify the name of the school to which the SBM Grant is allocated and
the purposes for which the SBM Grant is to be applied.
Implementing Units, the funds shall be disbursed in accordance with the
schedule as indicated in the approved School Proposal.
succeeding releases shall be made unless previous releases of SBM Grants
have been fully liquidated and accounted for. Subsequent cash
advance(s) may be given, provided that at least 75% of the previous cash
advances have been liquidated. The remaining amount must be fully
liquidated immediately or not later than December 31 of each year as
stated in the Manual of. Simplified Accounting Procedures.
In cases where school heads could not draw cash advance due to legal and
administrative impediments, the Schools Division Superintendent shall
take immediate appropriate action to ensure that such schools will not
be deprived of the grant.
7.12 All grants received by the recipient schools shall be spent in accordance with Item 5.
8.0 Liquidation of SBM Grants
8.1 For purposes of reimbursement to World Bank.
Immediately upon release of the checks to the schools, the Division
shall prepare the SOE which shall include reports from the Implementing
Units (Annex 6). The Division will submit this to Region for
consolidation and final submission to Accounting Division-FMS, Central
Office Attn. Ms. Molyn L. Dionela at telefax (02) 633-7201 or at email
8.2 For purposes of booking up and liquidating the cash advance:
10th day of the month, after the conduct of an activity, the Non-IUs
shall submit their utilization and/or liquidation reports to their
respective DOS using disbursement report form for proper reporting,
monitoring and consolidation.
The supporting documents needed for liquidation are the following: 2.1 Official Receipts/Cash Invoice;
2.2 Reimbursement Expense Receipts (RERs); 2.3 Petty Cash Register (PCR); 2.4 Other supporting documents to vouch for related transactions
documents of IUs regarding the utilization and/or liquidation reports
shall be retained in their respective schools. However, a copy must be
submitted to the Division Office. All supporting documents of Non-IUs
shall be retained in their respective Divisions.
Office shall review the reports and the supporting documents received
from the recipient schools to ascertain their eligibility under the
Grant. It shall then prepare a consolidated Utilization and Liquidation
Report (for IUS and Non-IUs) using format in Annex 7 and submit this to
their respective Regional Offices. Deadline for the submission of
consolidated report from Division to Region shall be the 15th day of
The Regional Office shall monitor and consolidate
the Utilization/Liquidation Report from its respective Division and
submit these to Accounting Division-FMS, Central Office at the contact
details stated in Item 8.1.. The deadline for submission of the
consolidated reports from the Regions shall be the end of every month.
9.0 SBM Management Support
The existing SBM Task Forces at the regional and division levels shall
coordinate, monitor and/or oversee the SBM Grant using the Guidelines.
At the Division Level, the Division Task Force shall oversee the
overall implementation of SBM. Specifically, its functions are to: 1)
identify the school recipients of SBM grants based on criteria that have
been set; 2) monitor and evaluate SBM grants utilization; 3) awareness
building/advocacy; 4) conduct training, orientation and 5) provide
Technical Assistance to the schools pertaining to: project planning,
assistance in resource generation; submission of required reports,
supervision and monitoring of project implementation, and documentation,
evaluation, and dissemination of lessons learned. The Schools Division
Superintendent as the Chairman of the Division SBM Task Force shall be
accountable as the overall SBM implementer.
At the Regional Level, the Regional SBM Task Force shall: 1) monitor
and evaluate SBM grants utilization; 2) conduct research/studies
relative to SBM grants; 3) conduct orientation/training; and 4) provide
technical assistance to the divisions. The Regional Director as the
Chairman of the Regional SBM Task Force shall be accountable as the
overall SBM implementer.
c. At the national level, PPD-OPS shall
take charge of the overall implementation of the SBM Grants, in close
coordination with the
SBM-TWG, FMS and
Project Coordinating Office for SPHERE. The functions of this Committee
are to: 1) formulate guidelines on SBM grants utilization; 2) allocate
SBM grants for each division based on criteria that have been set; 3)
monitor and evaluate SBM grants utilization; 4) conduct research/studies
relative to the SBM grants; and 5) provide technical assistance to the
9.2 Program Support Funds
To support the operations of the Divisions, Regions, and the Central
Office in ensuring smooth implementation of the SBM Grants, ten percent
(10%) of the SBM Grant Installation and Support Funds (FY 2011 GAA)
shall be distributed among the different administrative levels of the
Department. This shall be called Program Support Fund (PSF).
At the Division Level, the allocation is 5% of the total school grant
allocation per division as shown in Annexes 2a and 2b. In addition to
the conduct of functions stated in 9.1.a., provision of Division
Technical Assistance must be based on identified needs (e.g. arriving at
results of assessment of the level of SBM Practice, solving
difficulties in liquidating SBM grants, orientation of newly assigned
c. At the Regional Office, the funds shall be used
in formulating policies at the regional level and quality assurance, in
addition to the functions stated in 9.1.b. The total amount of Regional
PSF is P30 Million prorated based on the total division allocation per
region as shown in Annex 1. The release of the Regional PSF shall be
subject to the submission of the Regional Action Plans (Annex 8) and
Accomplishment Report of previous PSF (Annex 9).
d. For the
Central Office, the funds shall be P25 Million which shall be used for
conduct of activities in aid of policy formulation, monitoring and
evaluation, technical assistance to regions, conduct of consultations,
orientation, and payment for external audit firm to conduct validation
outside of the functions stated in 9. 1.a.
e. All expenses
incurred in support of the functions stated above are eligible as long
as the expenses are classified under Maintenance and Operating Expenses
10.0 Procurement Process
The school's existing Bids and Awards Committee (BAC) shall be
responsible for the procurement of supplies and materials. In the
absence of a committee, the school head shall create one through a
memorandum. The school's BAC shall be composed of five members
consisting of school personnel and representative/s from the PTA/SGC. In
the interest of check and balance, the school head shall not be a
chairperson or member of the school's BAC. School BAC's recommendations
on award shall be subject to the school head's approval. Purchase orders shall be signed by the school head or his/her authorized representative.
For procurement of goods and services amounting to P50, 000 and below,
refer to Government Procurement Policy Board (GPPB) Resolution No. 09 -
2009 on Guidelines for Shopping and Small Value Procurement.
These guidelines supersede any or all DepEd Orders on SBM Grants that
are inconsistent herewith. It shall become effective immediately, for
SBM Grants implementation from FY 2011 to FY 2015, unless sooner
amended, modified or superseded.