Annex A Division Memorandum No. ___, s.

______

ASSESSMENT OF SBM PRACTICES LEVEL 1

DIMENSION I SCHOOL LEADERSHIP

Technical Assistance
SBM PRACTICES/INDICATORS Means of Verification
Needed from DO

SBM 1.1 The school head: Has an appointment

Attested appointment (CSC)
Appointment papers/designation
Plantilla (DBM)
signed by SDS
Designation by the SDS
Is aware of his/her basic roles and responsibilities in school
improvement
Documents showing Certificate of attendance/
attendance in induction and/or participation in induction and/or
orientation on basic leadership orientation on basic leadership
and management roles of the and management roles training
school head of the school head
School Annual Improvement
Approved SIP/AIP
Plan document
SBM 1.2 The school head: Has attended SBM related trainings
Certificate of
Basic SBM Training participation/attendance on
SBM training
Certificate of
SIP/AIP Training participation/attendance on SIP
training
Certificate of
Annual School Budget (ASB)
participation/attendance of
Training
(ASB) training
Certificate of
Fiscal Management training participation/attendance on
Fiscal management
Certificate of participation
ICT related training
/attendance on ICT
SBM 1.3 The school head: Initiates organization of stakeholders
Copy of
Documents showing roles and
handbook/manual/guidelines/by-
responsibilities of each
laws/MOA on the roles and
organized internal/external
responsibilities of internal
stakeholder group
/external stakeholders
List of officers of Internal Stakeholders:
List/s of officers and members
Student organization
of student organization/s
Parent organization List of general PTA officers
List of faculty club /Teacher
Teacher organization
Association officers
List of officials of External Stakeholder group:
LGU Lists of barangay officials
List/s of officers and members
Local organizations of local organization/s initiated
by the school head
Records of Documentation Report
 meetings/orientation on roles
& responsibilities of each
internal / external stakeholder
group

SBM 1.4 The school head: Initiates the installation of the required SBM
mechanisms/systems

Organized teams and list of membership per team:

School Memo/Designation of
Management Information the different (MIS) working
System (MIS)
committees

SIP-School Planning List of SIP School planning

Team team

INSET Mechanism School Memo/Designation of

INSET Team

M&E Mechanism School Memo/Designation of M

& E Team
School Memo/Designation of
Financial Management Financial Management System
System
Team

School Staffing System School Memo/Designation of

School Staffing System Team
Records of orientation on SBM
systems and organizational
set up of school teams Documentation Report

SBM 1.5 The school head: Performs fund management duties

Records of resource generation from the different sources:
Records/Documents of MOOE
MOOE downloaded and Liquidation
reports
Request letters address to
LSB /SEF LSB/SEF for fund assistance
Adopt A School Documents
Adopt-a-School (MOA, Certificate of
Acceptance, etc.)
Records of Deed of Donations
for donated resources /List of
Donations donated resources submitted to
Division Office / Documentation
Report

Income generating Documentation Report / Project

projects Description
PTCA support Documentation Report
Documentation Report
Others, (Pls. specify)
________
DIMENSION II INTERNAL STAKEHOLDERS

Technical Assistance
SBM PRACTICES/INDICATORS Means of Verification
Needed from DO

SBM 2.1 PUPILS/STUDENTS; TEACHERS; PARENTS: Are aware of their rights and
responsibilities as primary stakeholders

Report on the conduct of orientation regarding their rights, roles and responsibilities
as stakeholders:
Documents/Narrative report on
the conduct of pupils
Pupils/Students
orientation on their rights,
roles and responsibilities
Documents/Narrative report
on the conduct of teachers
Teachers
orientation on their rights,
roles and responsibilities
Documents/Narrative report
on the conduct of
Parents parents orientation on their
rights, roles and
responsibilities
Copies of the following:
Copies of Pupils/Students
Pupils/Students Handbook
Handbook
Copies of Magna Carta of
Magna Carta of
Teachers/DepEd Service
Teachers/DepEd Service
Manual/Education Act of 2001
Manual
(RA 9155)
Provisions on Parents roles
- Education Act of 1982
and responsibilities found in
- DepEd Order No. 54, s. 2009
DepEd Service
- PD 603
Manual/Education Act of 1982
Existence of School Organizations(name of organization and
list of officers)
- List of Pupils/Students
School
Pupils/Students
Organizations and
- List of Members and Officers
- List of Officers and Teachers
Teachers
Organizations
List of Parents Organizations
and Officers:
- General PTA Officers,
Parents Grade/Year Level,
Homeroom PTA Officers
- Other organizations (e.g.
Parents Brigade)
Constitution and by-laws:
Pupils/Students SSG/SPG By-laws
Teachers Organization By-
Teachers
laws
Parents PTA By-laws/DepEd Order
 No. 54, s. 2009
Minutes of the meetings on school improvement:
Minutes of SSG/SPG
Pupils/Students
Meetings
Minutes of Teachers
Teachers
Organization Meetings
Minutes of Parents
Parents Association
Organization Meetings

SBM 2.2 Teachers are trained on curriculum content and

pedagogy
Report on training needs Accomplished and

analysis Consolidated TSNA
List of Teachers with
corresponding trainings
Report on trainings attended
attended on curriculum
content and pedagogy

SBM 2.3 Teachers apply knowledge, process skills and instructional innovations acquired
from participation in trainings

Sample of Lesson Plans

Lesson plan showing the showing application of skills,
application of methodologies innovations and
learned methodologies learned from
trainings
Reports on utilization of IM,
Documents on utilization of reference books,
Instructional materials, workbooks, lesson exemplars,

reference books, workbooks, etc./Documentation reports
lesson exemplars, etc. such as logbook, borrowers
card, etc.
Observation
Records of teacher
Tracking/Progress
observation results showing
Reports/Clinical Observation
improvement in
Reports (e.g. Form 178,
teaching/learning process
TLOC, etc.)
Student Performance
Progress Report/Consolidated
Records of evaluation results Students Performance per
showing increased student grading period/subject area
performance (e.g. Form XIV, ORV Results,
PHIL-IRI, Math Basic
Computation Reports, etc.)
SBM 2.4 Parents: Assume responsibilities as partners in the
learning process
Records/journals of parents
visit/participation in Records/Pictures of Parents
interventions e.g. reading Participation in school
program, feeding program and activities/services
others
Records of parent-volunteers
Records/Pictures of parents
as teacher aides, para
participation/support in
teachers, tutors, remedial
instruction
teachers, etc
DIMENSION III EXTERNAL STAKEHOLDERS

Technical Assistance
SBM PRACTICES/INDICATORS Means of Verification
Needed from DO

SBM 3.1 External stakeholders: have a clear and common understanding of their rights,
responsibilities and functions in school improvement

Records of attendance to SBM orientations by the following

stakeholders :
Local School Board (LSB) /
Record of Attendance
LGU
Alumni/Youth Group Record of Attendance
Retirees/Elders Record of Attendance
Professionals/Barangay
Health Workers/Traditional Record of Attendance
Birth Assistants
Religious Groups/Church
Record of Attendance
leaders or ministers
Non-government
Organizations /
Record of Attendance
Cooperatives/Church
Organizations
School Governing Council Record of Attendance
Others, (Pls. specify)
Record of Attendance
___________

SBM 3.2 External stakeholders: School Community are organized to support/implement

SBM

Existence of organizations (name of organization and list of officers)

Name of the Organization with List
Alumni
of Officers
Name of the Organization with List
Retirees
of Officers
Name of the Organization with List
Professionals
of Officers
Name of the Organization with List
Religious Groups
of Officers
Name of the Organization with List
Non-government Organizations
of Officers
Name of the Organization with List
School Governing Council
of Officers
Name of the Organization with List
Others, (Pls. specify) ___________
of Officers

Minutes of the meeting/s on school improvement:

Minutes of the meeting on school

Alumni
improvement
Minutes of the meeting on school
Retirees
improvement
 Minutes of the meeting on school
Professionals
improvement
Minutes of the meeting on school
Religious Groups
improvement
Minutes of the meeting on school
Non-government Organizations
improvement
Minutes of the meeting on school
School Governing Council
improvement
Minutes of the meeting on school
Others, (Pls. specify) ___________
improvement

SBM 3.3 External stakeholders: Are mobilized to support SBM and the implementation of
the SIP

Reports/records of
Document Report /Minutes/records
meetings/orientation of external
of meetings/orientation on SIP/AIP
stakeholders on SIP/AIP and its
and its implementation
implementation
Work plans of external stakeholders
Work plan
aligned to the SIP/AIP
Reports/records of Document Report/Minutes of
meetings/orientation on other meetings and orientation on

possible school community possible school community
partnerships partnership

SBM 3.4 External stakeholders: Local Government stakeholders are fully aware of their
roles and responsibilities

Report/records of Document Report/minutes of

meetings/orientation/training/briefing
of Local Government stakeholders
on their duly recognized roles and
responsibilities related to SBM
Report on/records of participation of
local government unit in the
development of the SIP/AIP
meetings/orientation/training/briefing
of Local Government stakeholders
on their roles and responsibilities
related to SBM
Document report
DIMENSION IV SCHOOL IMPROVEMENT PROCESS

Technical Assistance
SBM PRACTICES/INDICATORS Means of Verification
Needed from DO

SBM 4.1 School conducts assessment of SBM practices using

assessment tool
Accomplished self-
assessment guide on SBM
practices
Analysis of SBM assessment
results
Data on school performance
indicators gathered
Analysis of school data
against National Standard
Records on the trend analysis
of results on the assessment
of SBM Practices submitted
to the Division for provision of
technical assistance
SBM 4.2 School Governing Council is organized
List of officers with roles and List of officers with roles and
responsibilities
Constitution and by-laws
Code of Conduct
Operating procedures
List of committees with roles
and responsibilities
Accomplished self-
assessment guide on SBM
practice
List of strength and
weaknesses based on SBM
assessment results
BEIS/SRC (for the last 3
years).
Comparative data on school
performance indicators against
National Standard
Level 1 Assessment Result
responsibilities
Copy of Constitution and By-
laws
Copy of Code of Conduct
Copy on Operating
Procedures
List of committees with roles
and responsibilities

SBM 4.3 The school has: Knowledge-based and participatory SIP/AIP formulation

Documents/Records showing Communication from the SPT

School Planning Team (SPT) inviting stakeholders to

leading the development of participate in the development
the SIP/AIP of SIP/AIP
The SIP has the following basic contents:
School and community profile School and community profile
Situational analysis that is Situational analysis that is
data driven (based on data driven (based on
School MIS) School MIS)
School vision, mission, goals School vision, mission, goals

and objectives and objectives
Priority Improvement Areas Priority Improvement Areas
Work and Financial Plan Work and Financial Plan
Records of involvement of Records of involvement of
 stakeholders in SIP
formulation
Document on implementation
structure
The AIP has the following
contents:
Priority Improvement Areas
for the current year
Objectives
Programs, projects or
activities
Resource requirement
Timeframe
Amount and sources of funds
stakeholders in SIP
formulation, attendance
sheets, pictorials
Implementation structure
documents
Approved AIP copies
Approved AIP copies
Approved AIP copies
Approved AIP copies
Approved AIP copies
Approved AIP copies

SBM 4.4 Stakeholders are informed, consulted and engaged in SIP/AIP formulation and
implementation

Records of involvement of
Invitation/communication sent
stakeholders representatives
to stakeholders
in the SIP/AIP formulation
Copy of the SIP planning team
Records of involvement of
bearing the signatures of the
stakeholders representations
stakeholders, `-minutes during
in the SIP/AIP implementation
the meeting
SBM 4.5 Performance-based Incentives and Rewards System for pupils/students and
teachers installed in school and supported by the SGC
Guidelines on Incentives and Rewards System for
Guidelines set by SPG,
Pupils/students Teachers and approved by
SGC
Guidelines set by SPG,
Teachers Teachers and approved by
SGC
Results of pilot
implementation on the
Copy of results
guidelines on Incentives and
Rewards System
Revised guidelines on Copy of revised guidelines on
incentives and rewards incentives and rewards system
system implemented implemented
SBM 4.6 The school emphasizes improvement of school
outcomes
Comparative results before the
SIP/AIP implementation
implementation and after the
attained the goals and
implementation of the AIP
objectives relevant to school
relevant to school
performance indicators
performance indicators.
DIMENSION V SCHOOL-BASED RESOURCES

Technical Assistance
SBM PRACTICES/INDICATORS Means of Verification
Needed from DO

SBM 5.1 The school: Has an Annual School Budget (ASB) aligned with the Annual Improvement
Plan (AIP)

ASB submitted and reviewed by

Annual School Budget (ASB)
the Division Office
ASB reflecting Maintenance and
Other Operating Expenses
(MOOE) and other sources of ASB aligned with Approved AIP
funding for AIP
programs/projects
Procurement plan aligned with
Approved APP supports the ASB,
ASB
ASB submitted to DepEd
ASB submitted to SDS (school
Division representative (SDS or
copy must be stamped received)
District Supervisor) to the LSB
Records of
representation/advocacy for LSB Letter requests/documents re:

support to SIP/AIP made by assistance from LSB
DepEd representative

SBM 5.2 The Annual School Budget (ASB) resulted in the attainment of school targets and desired
learning outcomes
ASB supported interventions/ programs/projects attained school targets on:
SRC/Summary Report of
Enrolment for the last 3 years,
Enrollment
(supported by SIP Goal Chart
and BEIS
SRC/Summary Report of Drop
Out Rate for the last 3 years,
Drop Out Rate
(supported by SIP Goal Chart
and BEIS
SRC/Summary Report of
Retention Rate for the last 3
Retention Rate
years, (supported by SIP Goal
Chart and BEIS
 SRC/Summary Report of
Completion Rate for the last 3
Completion Rate
years, (supported by SIP Goal
Chart and BEIS
SRC/Summary Report of
Achievement Rate for the last 3
Achievement Level
years, (supported by SIP Goal
Chart and BEIS

SBM 5.3 The school manages and controls funds with minimal fiscal authority/autonomy

Records on utilization of
Liquidation Reports of Cash
downloaded school MOOE with
Advances (MOOE Download)
assistance from Division Office
Copy of recent Bond of
Government Officials/Memo
Division Memo granting School
issued by SDS authorizing grant
Head minimal signing authority
of Cash Advances for
on financial transactions
MOOE/DepEd Memo re: Schools
with Fiscal Autonomy (OUs/IUs)
Designation of fiscal staff signed
School Memo designating fiscal
by the Principal for schools
staff
without fiscal autonomy
Designated fiscal staff trained on Certificate of Training on
bookkeeping and disbursement bookkeeping and disbursement
processes processes
SBM 5.4 The allocation Optimally utilized and disbursement of funds is aligned to SIP/AIP/ASB and
recorded, reported and accounted for
Records of needs analysis (SIP
Priority Improvement Areas
identified programs and projects)
(aligned with SIP/AIP/ASB)
undertaken
Records of simple accounting
Liquidation Report Audited by
(O.R.,RER, expenses receipts,
Division Internal Audit Unit for
other supporting documents to
MOOE and Liquidation Report of
vouch transactions) of MOOE
other sources of funds
and other sources of funds
submitted
Annual Procurement Plan
Approved APP
prepared and submitted
DIMENSION VI SCHOOL PERFORMANCE ACCOUNTABILITY

Technical Assistance
SBM PRACTICES/INDICATORS Means of Verification
Needed from DO

SBM 6.1 The school:

Has mechanisms for transparency and accountability
Has installed and operationalized Monitoring and
Evaluation System

Documents showing monitoring and evaluation tools on:

Implementation of SIP/AIP
Tracking of student
performance
Tracking of teacher
performance
SGC operations
Fund management
Guidelines on:
Monitoring and Evaluation
Transparency and
Accountability
M&E reporting system
Committees organized
involving internal and external
stakeholders in M&E
Reports on
M & E Tool for SIP /AIP
Implementation
Consolidated Form 14 per
Grading period, PHIL-IRI,
ORV, Monthly DORP Report,
SREA, NAT, Basic
Computation in Grade 3 Math,
CFSS STS.
RPAST/CBPAST, Clinical
Observation Tool, Form 178
M & E Tool on SGC
Operations
M & E Tool on Fund
Management
Guidelines on M & E
Guidelines on Transparency
and Accountability
Guidelines on M & E
Reporting system
Guidelines on the
organization of committees
organized involving internal
and external stakeholders in M
&E
Attendance and Minutes
 briefing/orientation on
transparency and
accountability conducted

SBM 6.2 The school: Informs and involves major stakeholder in the monitoring and
evaluation

Records of reports and information provided to the:

Received copy of M & E
Superintendent
reports submitted to SDS
Received copy of M & E
LSB
reports submitted to LSB
Received copy of M & E
PTCA
reports submitted to PTA
Received copy of M & E
SGC
reports submitted to SGC
Received copy of M & E
Others, (Pls. specify)
reports submitted to other
_____________
stakeholders (optional)
Records of involvement of the:
Division Officials Documentation Report
LSB Documentation Report
PTCA Documentation Report
SGC Documentation Report
Others, (Pls. specify) Documentation Report

__________ (optional)

SBM 6.3 The school: Monitors and evaluates improvements in student performance indicators per class,
per student, per subject

Documents of targets on school

performance indicators (enrolment,
retention rate, cohort survival rate,
Documentation Report
completion rate and student
achievement) are disseminated to
internal and external stakeholders

Form 14 (Periodical Test, NAT Gr. 3,

Classroom level tracking of student 6, 2nd/4th yr, NCAE), PHIL-IRI, ORV,
learning outcomes Monthly DORP Report, SREA, NAT,
Basic Computation in Grade 3 Math,
CFSS STS.

Organized documents on tracking

SRC, BEIS
of school performance indicators
 SCHOOL SBM PRACTICES ASSESSMENT
VALIDATION & TECHNICAL ASSISTANCE TEAMS

TEAMS
SBM DIMENSIONS
CHAIRMAN CO-CHAIRMAN MEMBERS
D1 School Leadership
Internal Stakeholders
D2
Participation
External Stakeholders
D3
Participation
D4 School Improvement Process
D5 School-Based Resources
School Performance
D6
Accountability

DISTRICT SBM PRACTICES ASSESSMENT

VALIDATION & TECHNICAL ASSISTANCE TEAMS

TEAMS
SBM DIMENSIONS
CHAIRMAN CO-CHAIRMAN MEMBERS
D1 School Leadership
Internal Stakeholders
D2
Participation
External Stakeholders
D3
Participation
D4 School Improvement Process
D5 School-Based Resources
School Performance
D6
Accountability
DIVISION SBM PRACTICES ASSESSMENT
VALIDATION & TECHNICAL ASSISTANCE TEAMS

TEAMS
SBM DIMENSIONS
CHAIRMAN CO-CHAIRMAN MEMBERS
D1 School Leadership
Internal Stakeholders
D2
Participation
External Stakeholders
D3
Participation
D4 School Improvement Process
D5 School-Based Resources
School Performance
D6
Accountability

REGIONAL SBM PRACTICES ASSESSMENT

VALIDATION & TECHNICAL ASSISTANCE TEAMS

TEAMS
SBM DIMENSIONS
CHAIRMAN CO-CHAIRMAN MEMBERS
D1 School Leadership
Internal Stakeholders
D2
Participation
External Stakeholders
D3
Participation
D4 School Improvement Process
D5 School-Based Resources
School Performance
D6
Accountability