PARTS OF THE SBM MANUAL OF OPERATIONS

A Contextualized Version
Presented by: ESTHER V. TABAÑAG, PhD
EPS-I SGOD
Division of Valencia City
 Department of Education
Region 10 – Northern Mindanao
Office of the Regional Director

M ESSAG E

Creating A Child and Community-Centered Education System (ACCESs) is the lifeblood of School-Based
Management (SBM). Taking a cue on the centrality of learners, the school and the community concretely manifest symbiotic functions in
the delivery of basic education services geared toward a better access and governance and, most importantly, the improvement of quality
of basic education.

With the K to 12 Basic Education Program, schools are now challenged to imbibe the basic tenets of SBM: Leadership
and Governance, Curriculum and Learning, Accountability and Continuous Improvement, and Management of Resources. After
undergoing self-assessment, duly supported by the district offices, schools are being assessed, accredited, and validated based on the four
(4) SBM principles through the SBM Coordinating Teams at the division and regional levels.

Since its implementation in 2013, there has been a clamor from the field for the Region to contextualize the structured
mechanism that responds to the needs and circumstances in Region 10. Hence, the initiative of the Region’s Field and Technical
Assistance Division (FTAD) in coming up with this contextualized SBM Manual of Operations is a laudable outcome that will truly
facilitate the validation of SBM practices of schools. Along with this manual is a technology-based SBM Validation Tool that is user-
friendly.

I am optimistic that this manual will be very useful to everyone for the continuous improvement of basic education in Northern
Mindanao.

Mabuhay ang Rehiyon Diyes!

ALLAN G. FARNAZO
Director IV
 Department of Education
Region 10 – Northern Mindanao
Office of the Assistant Regional Director

M ESSAG E

The school is the heart of the formal education system. It is where children learn. For years, schools have been pushing
hard in their single aim of providing the best possible basic education for all learners. The demands of the time have been the toughest
test. The only way to change is to take the challenge, and the most important change in the governance of basic education, must occur at
the school level.

School-Based Management (SBM) is the institutional expression of such changes where schools are encouraged to
institute local initiatives for improving the quality of instruction and to ensure that the values, needs and aspirations of the school
community are given the highest consideration. Through SBM, schools are empowered to make decisions and craft innovations on what
are best for the learners under their care.

I commend the Technical Writing Group (TWG) and the SBM Manual Writers for coming up with the Contextualized
School-Based Management Manual of Operations spearheaded by the Field Technical Assistance Division (FTAD) .This manual will
enable all stakeholders to contribute to quality organizational performance for the sake of the Filipino children, the center of this
undertaking.

God Bless.

ATTY. SHIRLEY O. CHATTO

OIC, Assistant Regional Director
 Department of Education
Region 10 – Northern Mindanao
Office of the Chief
Field Technical Assistance Division

MESSAGE

The long wait is over. Finally, this SBM Manual of Operations is here. With its completion, a happy note is resounding. Hear the
regional mantra echo once again, Diyes is it!

When the Regional Office 10 felt the need to update by contextualizing SBM Implementation, thus enhancing the contents of
DO 83, s. 2012, the newly created Field Technical Assistance Division (FTAD) grappled to start from where it should, thinking that
listening to the schools division offices listen to schools could be the way to accomplish the challenge.

Truly, FTAD drew its strength by conducting a series of consultations and benchmarking with SBM coordinators within and
outside the regional sphere, gathering and analyzing data after data, until finally it drafted the contextualized SBM Manual of
Operations that could now speak of One Region 10 in all 14 schools divisions.

It was a grueling but a worthwhile feat to walk the miles for this Manual. FTAD can never thank enough Regional Director
Allan G. Farnazo, and Assistant Regional Director Shirley O. Chatto for all the moral and financial support they have given. The
same gratitude goes to the select SBM Coordinators who contributed their piece for the entire work; to Dr. Lourdes G. Tolod, former
Schools Division Superintendent for editing the rough manuscripts submitted at the start; Atty. Neil Christian D. Villagonzalo, BEST M
& E Specialist, and Mr. Rey O. Macalindong, Project Management/M & E Specialist.

Understandably, this first edition may yet be a work in progress as the agency’s fast changing work dynamics today may still
render the contents of this Manual passé tomorrow. With constant feedback, however, succeeding editions can again be made to ensure
success.

May all of the constituents of DepEd Region 10 find this Manual indeed a valuable resource in ensuring that SBM will be better
implemented in the field.
Mabuhay po tayong lahat.

EDITH B. LAGO-ORTEGA, PhD

Chief, FTAD
 TOPICS
RATIONALE
RA 9155 (Governance of Basic Education Act)
ACCESs- A Child and Community –Centered Education System

- Benchmarking and series of consultations with internal & external

Stakeholders in Region 12 to observe their level of practice which might be
applicable to Region 10
- Levels of SBM Practice in Region X – issues and concerns pertaining to SBM
Assessment & validation that needs to be addressed
- CRAFTING OF MANUAL by FTAD
- To help guide the school heads, parents & stakeholders towards improvement
of SBM Level of Practice
 SBM Framework

The framework reflects the vision, mission and goals

of the SBM: to make the community responsible for the education
of its children and make the children responsible for building
the community.
REGION X CONTEXTUALIZED GUIDELINES
• All public elementary, secondary, stand-alone
senior high schools and integrated schools shall
be required to submit for SBM validation.
• Submission of applications for Levels II and III
validation shall be every April and May,
respectively, and duly endorsed by the Schools
Division Superintendent (SDS) to the Regional
Office. The following documents must
be attached:
 REGION X CONTEXTUALIZED GUIDELINES
• 2.1. The duly filled-in SBM Assessment Validation Form duly
signed by the Division SBM Coordinating Team; and
• 2.2. The Key Performance Indicators (KPIs) duly certified by
the Division Planning Officer. These documents are subject
for review by the SBM Regional Coordinating Team.

3. The minimum rating of the Performance Improvement (PI) to

proceed to SBM Documentary -Analysis, Observation,
Discussion (DOD) validation is 1.50 (60%). If the school does
not reach the minimum rating, the Division Field Technical
Assistance Team (DFTAT) shall provide technical assistance.
 REGION X CONTEXTUALIZED GUIDELINES
4. The SDO shall be notified of the schedule for
validation of the concerned schools through a
regional memorandum.
5. There shall be at least one (1) SBM model school for
each of the elementary, secondary, and integrated
schools per district as identified by the SDO.

6. There shall be a pool of Regional SBM Coordinating

Teams, composed of representatives from the different
functional divisions and select school heads
 REGION X CONTEXTUALIZED GUIDELINES
The SDOs shall organize an advocacy mechanism highlighting SBM
best practices anchored on the following principles:
7.1. Leadership & Governance
7.2. Curriculum and Learning
7.3. Accountability and Continuous Improvement.
7.4. Management of Resources

8. Teacher and staff involvement in the SBM assessment validation

shall be given weight in their Individual Performance Commitment
and Review (IPCR) Form.

9. There shall be awarding of plaques, certificates, and other forms

of recognition by the DO and RO to deserving schools.
 REGION X CONTEXTUALIZED GUIDELINES

10. The Regional SBM Coordinating Teams shall

provide technical assistance to the divisions that
need support.

11. A school shall sustain the SBM level II of practice

for at least three years before applying for SBM level
III validation.
REGION 10 SBM COORDINATING TEAMS
Regional Director (RD)
Chairperson

Assistant Regional Director

Vice- Chairperson

FTAD Chief
Lead Implementer

Interfacing of Different Functional Divisions per SBM Principle

Accountability and
Curriculum Continuous Management
and Learning Improvement of Resources
Leadership and
Governance CLMD QuAD FD
AD Select PPRD Select
HRDD School FTAD School
ESSD Heads Select School Heads
Select School Heads
Heads
SDOs

SDOs

Schools
 DUTIES AND RESPONSIBILITIES
OF THE REGIONAL COORDINATING TEAMS
Chairperson/Vice-Chairperson
¨ Oversees the implementation of the entire SBM process.
¨ Acts on SBM matters upon the recommendation of FTAD.

FTAD
¨ Manages the SBM assessment validation process.
¨ Receives school applications for assessment validation duly endorsed
by the SDO.
¨ Assigns the applications to any of the Regional Coordinating Teams
(RCTs).
¨ Issues notices to the schools concerned on the scheduled on-site
validation.
¨ Receives results from the different RCTs.
¨ Recommends approval for the Recognition of Levels II & III schools
as well as those for the Level III accreditation.
 DUTIES AND RESPONSIBILITIES
OF THE REGIONAL COORDINATING TEAM
¨ Informs SDOs on the Assessment Validation Results.

¨ Facilitates the conduct of the Awarding of Plaques/Certificates.

¨ Leads in the conduct of trainings that relate to SBM implementation.

¨ Maintains database of SBM validated schools and best practices.

¨ Facilitates continuous improvement in the management of the SBM

validation process.
Other Functional Divisions
¨ Engage in the assessment validation processes based on their
specialized functions.
¨ Submit results of the assessment validation to the Office of the
Regional Director through FTAD with reports on TA provided (if any),
best practices and recommendation for accreditation.
 DUTIES AND RESPONSIBILITIES
OF THE REGIONAL COORDINATING TEAMS

Select School Heads

¨ Join the Regional Coordinating Team
depending on their availability and the level
of the school applicants
(Elementary/Secondary).
¨ Claim travel expenses and allowances from
Region 10 funds.
 The Process

Validation Plan
FTAD facilitates in meeting the RO Coordinating Teams to agree on the availability of
members during the on-site validation, target dates and assessing the Pre-assessment
Result. (Refer to Appendix E: Validation Plan Template)
 SBM Validation Flowchart
Activities
1. Receives SBM
Assessment Validation
Form (AVF
2. Prepares the SBM
Validation Plan (VP)
3. Facilitates the conduct of
SBM Assessment Validation
Details
1.FTAD Education Program Supervisor receives the SBM
Assessment Validation Forms (AVFs) from the Schools
Division Offices, in hard copies.
1.1EPS distributes the SBM AVFs in bunch by SDOs to
designated Regional Coordinating Teams (RCT) for 4. Convenes for 4.RCT convenes to deliberate and consolidate
review within a week.
deliberation the
1.2EPS collects results of the review from RCT a day after
the one-week review. following:
and
4.1Results of Validation
consolidation 4.2Best Practices
2.EPS prepares the SBM Validation Plan (VP) that contains the
schedule of schools to be visited, to be attached in a of AV results. 4.3TA Provided during validation
memo for Chief’s review and recommendation for 4.4 Other TA needs to address
approval by the Regional Director.
2.1EPS secures the approved SBM VP and memo from the
regional Director. 5.EPS reviews consolidated results submitted
2.2EPS ensures the memo is released and uploaded in the regional 5.Reviews and
websites. by different RCTs.
finalizes the
5.1Prepares a memo for the review and
consolidated recommendation of the Chief.
3.EPS facilitates the conduct of SBM AV
by the RCT. RCT reports 5.2Seeks the approval of the
3.1Pre-work with RCT
3.2Distribution of SBM AV Kits: tools, for the Regional Director
one sheet certificate of appearance
awarding 5.3Ensures the release and uploading of the
containing the list of schools to be
memo in regional websites.
visited at given period. ceremony
3.3RCT onsite validation
4.RCT convenes to deliberate and consolidate the
following:
4.1Results of Validation
4.2Best Practices
4.3TA Provided during validation
4.4 Other TA needs to address
 The Deliberation Process

Deliberation - a process of thoughtfully

weighing options, usually prior to voting and/or
decision-making. It emphasizes the use of, fair
and objective judgment. Decisions made after a
consensus has been arrived at.
 Roles and Responsibilities of the Members
in the Deliberation Process
Role Responsibilities
1. Team leader · Convenes team members
· Assigns and defines specific roles of each member
· Facilitates the deliberation process
· Signs the final report of the team

2. Co-Team leader · Assumes responsibilities in the absence of the former

· Assists the team leader in the deliberation process

3. Secretary · Checks the attendance of the members

· Prepares the minutes of the proceedings
· Collects the filled-out assessment validation forms
· Keeps records of the deliberation proceedings

4. Assistant Secretary · Assists the secretary in the former’s absence

· Documents the deliberation process

5. Members · Participate actively in the deliberation process

 Responsibilities of the School Head
in SBM Assessment Validation
The School Head (SH) is mainly responsible for the school
performance. As prime mover of SBM, the SH shall:
· organize the SBM Coordinating Team at the school
level;
· orient the stakeholders on the policies and guidelines of
SBM;
· facilitate in the crafting of SBM Work Plan;
· lead in the conduct of self-assessment;
· facilitate the post conference, and;
· submit results to the Division SBM Coordinator
Qualities of a Validator
Facilitative
Amiable
Respectfu l
Nurturing
Articulate
Zealous
Open-minded
 Basic Steps in the Assessment Process
at the School Level
The following are the basic steps:
Step 1. Organize a team of at least 12 members.
Each team will have at least three members per principle
composed
of teachers, students and other stakeholders. The team will
select a leader and a documenter.

Step 2. Classify documents by principle. Gather

evidence using the DOD process and select samples of
documents. Summarize the evidences and arrive at a
consensus of the rating on each indicator based on
documented evidences.
Step 3. Conduct self-assessment.
3.1. compute the Performance Improvement in step 1
which is 60 percent of the SBM assessment (see
Appendix H for sample computation);

3.2. proceed to step 2 for the DOD which is 40 percent of

the SBM assessment;

3.3. set a schedule for deliberation of the evidences

gathered; and

3.4. invite representative assigned to every principle to

confirm the evidences presented.
Step 4. Proceed to the validation process through interview
and observation of classes to validate documented evidences. DOD
process shall be properly handled.

Step 5. Discuss documents, process evidence and

summarize data for each principle/indicator. Classify issues,
problems, opportunities and others. Each indicator is scored.

Step 6. Conduct a post-conference to deliberate on

observations made and data gathered.

Step 7. Prepare written report by team.

Step 8. Finalize and submit SBM self-assessment results
to the Division.
 Functions of SBM Coordinating Teams
Division
1. Reviews Self-Assessment Validation Forms submitted by the
schools;
2. Prepares the schedule on the conduct of assessment validation;
3. Validates the accuracy of data and computations in the SBM
Assessment Validation Form;
4. Provides technical assistance if necessary;
5. Consolidates the list of schools qualified for SBM Assessment
Validation;
6. Awards certificates and/or other forms of incentives to schools
that have attained level I of SBM practice; and
7. Recommends schools for levels II and III assessment validation.
Region
1. Reviews Assessment Validation Forms submitted by the SDOs;
2. Prepares the schedule on the conduct of validation through
a memorandum;
3. Validates the accuracy of data and computations in the SBM
Assessment Validation Form;
4. Provides technical assistance if necessary;
5. Conducts exit conference;
6. Awards plaques/certificates and other forms of incentives to
schools that have been validated as levels II and III;
7. Recommends schools for level III accreditation to the Central
Office (CO).
 Scoring Guidelines for SBM Level
of Practice
Measuring the school performance can help and assist
the school heads in giving appropriate technical
assistance to schools.

For SBM Level of Practice, a scoring mechanism is

provided called SBM Assessment Form divided into 2
categories: the Performance Improvement (PI) which is
given 60 percent and Document Analysis, Observation
and Discussion (DOD) which is given 40 percent.
 Key Performance Indicators (KPIs)
that Determine Performance Improvement
Key Performance Indicators (KPIs) refer to a set of quantifiable
measures which gauge the performance of an enterprise relative
to its objectives thereby enabling corrective action where there
are deviations (Miller, 2016). For SBM level of practice, the
Performance Improvement (PI) in terms of access, efficiency and
quality are quantitatively measured accordingly through the
following KPIs:

1. Access: Percent Increase of Enrolment or

Participation Rate
2. Efficiency: Dropout and Repetition Rate
3. Quality: NAT Results (if available) or Promotion Rate
 Computation for Performance
Improvement (PI)

For the computation of PI, Please refer

to Appendix C.1 to C.14 of this SBM Manual
of Operations.)
 Revised SBM Assessment Validation Procedure Tool
- guided by the four principles of A Child and Community-
Centered Education System (ACCESs).
- The indicators of SBM practice have been contextualized from
the ideals of an ACCESs school system. The unit of analysis is
the school system, which may be classified as developing,
maturing, or advanced (accredited level)

- When the school has sustained level 2 for 3 consecutive

Years, it becomes a potential candidate for level 3

- systems-oriented, principle-guided, evidence-based, learner-

centered, process-focused, non-prescriptive, user-friendly,
collaborative in approach, and results/outcomes-focused. This can
be used by the internal and external stakeholders of schools.
 Computation for Document-Analysis,
Observation and Discussion (DOD)
1. The four (4) principles are given weights on the basis
of their significance in improving learning outcomes
and school operations:
Leadership and Governance 30%
Curriculum and Learning 30%
Accountability and Continuous Improvement 25%
Management of Resources 15%
Total 100%
 Description of SBM Levels of Practice
Level Score/Points Description Remarks
Developing structures and mechanisms
I 0.50 – 1.49 Developing with acceptable level and extent of
community participation and impact on
learning outcomes.
Introducing and sustaining continuous
II 1.50 – 2.49 Maturing improvement process that Integrates wider
community participation and significantly
improve performance and learning
outcomes.
Ensuring the production of intended
III 2.50 – 3.50 Advanced outputs/outcomes and meeting all standards
(Accredited of a system fully integrated in the local
Level)
community and is self-renewing and self-
sustaining.
 SBM Assessment Validation Procedure
• Submission of School Pre-Assessment Result to the Division Level

Step 1:
• The School SBM Coordinating Team headed by the School Head will
conduct self-assessment. If found qualified, the School SBM Coordinator
will endorse the result of the self-assessment approved by the School
Head to the Division SBM Coordinator for the Division Assessment
Validation.
• The Division SBM Coordinator will validate the Pre-Assessment Form
submitted by the School SBM Coordinator. After validating the result,
Division SBM Coordinating Team shall visit and validate the SBM level of
practice of the school using the Assessment Validation Form.
• Division SBM Coordinator will endorse list of qualified schools with
attached SBM Assessment Validation Form of the qualified schools to the
Schools Division Superintendent for the endorsement to DepEd, Region
10.
 Submission of List of Qualified Schools
to the Regional Level
Step 2:
The Field Technical Assistance Division (FTAD) shall check the SBM
Assessment Validation form and if found in order, endorses the form to
the Regional SBM Coordinating Teams which includes at least one
member from QuAD who will ensure the quality of the data submitted.
A Regional Memorandum shall be issued for the SBM Assessment Result
indicating the scheduled School Validation for the qualified schools to
be facilitated by the FTAD.
Result of the SBM Validation and the schedule of awarding ceremony will
be issued through a Regional Memorandum.
The awardees will receive plaques and certificates of recognition.
 SBM Validation Procedure of Document -Analysis,
Observation and Discussion (DOD)
Suggested Respondents per SBM Principle
during Validation
Principle 1. Leadership and Governance
1.1 School Head/Assistant to the School Head
1.2 School Planning Team
1.3 Department Heads
1.4 Grade Level Coordinators
1.5 School Governing CouncilChair/Representative
1.6 GPTA President/Representative
1.7 LGU Representative
1.8 SSG/SPG President/Representative
Principle 2. Curriculum and Instruction
2.1 School Heads
2.2 Master Teachers
2.3 Department Heads
2.4 Grade Level Coordinators/
Subject Area Coordinators
2.5 GPTA President/Representative
2.6 Teacher Association President/Representative
2.7 Supreme Student Government/Supreme Pupil
Government Representative
2.8 School Governing Council Chair/ Representative
2.9 Alumni President/Representative
Principle 3. Accountability and Continuous Improvement
3.1 School Head/Assistant to the School Head
3.2 School Planning Team
3.3 Department Heads
3.4 Grade Level Coordinators
3.5 School Governing Council Chair/Representative
3.6 GPTA President/Representative
3.7 LGU Representative
3.8 SSG/SPG President/Representative
Principle 4. Management of Resources
4.1 School Head
4.2 Supreme Student Government/Supreme
Pupil Government Representative
4.3 School Planning Team
4.4 LGU/Barangay Chair/Representative
4.5 School Governing Council Representative
of School BAC Team
4.6 Property Custodian
4.7 Inspectorate Team
4.8 GPTA
 •
SUGGESTED GUIDELINES IN THE GRANTING
OF RECOGNITION AND INCENTIVES

PROVISION OF TECHNICAL ASSISTANCE

UTILIZATION OF ASSESSMENT RESULTS

- End-