Managing the Appraisal Process School ... - deped …deped-qms.wikispaces.com/file/view/SIP+Appraisal+Version+3.0.pdfthe appraisal process helps clarify the scope of the monitoring

M a n a g i n g t h e A p p r a i s a l P r o c e s s School Improvement Plan (SIP)

Manag ing t he S I P App ra i sa l P roces s

Part A . Concepts and Principles

1.0 What is Appraisal?

2.0 What are the Benefits of Implementing an Appraisal Process?

3.0 Guiding Principles

4.0 What are to be Appraised?

Part B. Overview of the SIP Appraisal Process

5.0 Objectives of the SIP Appraisal

6.0 SIP Appraisal Process

7.0 Review Areas

8.0 Means of Verification

Part C. Preparing for the SIP Appraisal

Part D. SIP Appraisal Process Flow

9.0 Activity #1. Initial Review

10.0 Activity #2. Management Review

11.0 Activity #3. Technical Appraisal

12.0 Activity #4. Negotiation

13.0 Activity #5. Acceptance

Part E . Concluding the DEDP Appraisal Process

Part F. Appraisal Team

14.0 Knowledge and Skills Requirements

15.0 Roles and Responsibilities

Checklis ts , Tables and Forms

Table 1. Guide to SIP Appraisal Review Areas–Table 2. List of Appraisal Checklist

Appraisal Checklist #1. Initial Review

SIP Appraisal Routing Form

Appraisal Checklist #2. Relevance of the Plan

Activity #2 Report Form

Appraisal Checklist #3. Technical Appraisal

Table 3. SIP Appraisal Team Composition

Managing the SIP Appraisal Process

Part A . Concepts and Principles

1.0 What is Appraisal?

Appraisal is an integral part of the quality planning process. Basically, it is a critical review of a plan or a proposal by a third party to ensure all aspects of the plan are correct, accurate and that the proposed strategies will contribute to the achievement of desired objectives. The details of the plan are reexamined to ensure the plan is relevant and responsive to the needs, issues and opportunities affecting the target groups and the proposed strategies are coherent, sustainable and practicable. The capacity of the proponent to implement the plan is also assessed during appraisal.

Specifically, the following items are thoroughly reviewed during appraisal:

accuracy of information and analysis especially in the presentation of needs, problems and opportunities;

objectives and targets are reasonable and feasible;

appropriateness and applicability of proposed strategies, programs and projects to the needs, problems and opportunities;

capacity of the proponent to implement and sustain the proposed plan. This includes assessment of the proponent's batting average or past performance to get things“ ” “ done ;”

external factors that may contribute or hinder the sustainability of the plan;

resource, time and cost estimates used in the implementation plan are reasonable and accurate.

2.0 What are the benef i ts of implementing an appraisal process?

One of the most common causes of implementation failures and difficulties is a poorly prepared plan. Often, submitting a plan regardless of its form and substance becomes an end in itself. This submission for compliance practice would often lead to difficulties in managing“ ” implementation as evidenced by problems, issues and poor outcomes. Left alone, the planning process will be an exercise in futility.

The appraisal process is undertaken to counteract such practice. The most immediate and tangible benefits of an appraisal process is the assurance in the quality of plans correct,– relevant, substantive and implementable. Aside from this immediate benefit, conducting an appraisal process will lead to other benefits, such as:

There is agreement on the scope of the plan (objectives, targets and proposed strategies) between the proponent and the technical support.

Input to plans and programs of the appraiser (management and technical support group). The thorough review of the plans will allow the appraisers to determine the technical assistance/support requirements needed by the proponents.

Division M&E System Page 1 of 37


Clarifying a plan in terms of its objectives, targets, resource and time estimates during the appraisal process helps clarify the scope of the monitoring and evaluation.

The practice of reviewing and accepting a plan is a deterrent to submission for compliance.

3 .0 Guiding Pr inciples

The following principles of planning and management were considered in the design of the appraisal process:

Most of the implementation difficulties and problems are brought by a poorly prepared plan, often lacking in substance. A quality plan, therefore, is one of the most critical element of quality management.

A good plan must be able to communicate the intent, objectives and strategies without the proponent's oral explanation.

The cost to revise or troubleshoot an implementation gone haywire is more expensive than revising a plan at the preparation stage. It is, therefore, important to focus more attention and spend more time ensuring the quality of plans.

Figure 1. Importance of Planning

Appraisal process is a venue for providing technical support. The value added in reviewing and enhancing a plan is highest during the planning stage than providing technical support to troubleshoot implementation difficulties. Proper guidance in formulating quality plans increases the chances of an efficient and effective implementation.

Before proceeding immediately to implementation, the proponents need to adequately inform the stakeholders about the relevance and feasibility of the proposed programs and projects.


IMPLEMENTATIONPLANNNG

Value Added Cost to Revise

“troubleshooting”

“expensive”

“Values and Cost”Importance of Formulating a Good School

Plan Right at the Start


Sustainability is an important consideration in appraising a plan. Therefore, plans should not only include interventions that will solve problems and issues but also interventions that will sustain the benefits or outcomes.

An approved plan ceases to be a plan of the proponent. Once approved, the plan becomes a plan both of the proponent and decision maker, who are now both accountable to the successful implementation of the plan.

4.0 What are to be Appraised?

Appraisal focuses on two major areas: (a) the quality of the plan and (b) the capability of the proponent to implement the plan.

By quality, the plan is appraised in terms of:

Relevance. The proposed strategies, programs and projects are evaluated in terms of its relevance and contribution to mitigating problems and issues, as well as relevance to key opportunities, thrusts and priorities of the agency.

Best Technical Alternatives. The appraisal process reviews whether the strategies , programs and projects outlined in the plan are the best technical alternatives. The proponents and the appraisal team must be able to identify, assess and agree on proven and tested programs and projects that will help bring about the desired outcomes.

Implementability. The review process assures the proposed plan can be implemented within the specified time using available resources.

The appraisal process also evaluates the capability of the proponent to implement the proposed strategies, programs and projects contained in the plan. Capability is assessed in terms of:

Experience and/or Skills. The proponents have the skills and the experience to implement the strategies, programs and projects contained in the plan.

Infrastructure Support and Management Systems. This includes review of the proponents' infrastructure and management system that can and/or will facilitate the implementation and help sustain the proposed strategies, programs and project contained in the plan.

Stakeholders support. Stakeholders' support is an important element of sustainability. Support of stakeholders should also be assessed and reviewed.



Part B. Managing the SIP Appraisal Process

The SIP Appraisal Process is one of the quality control mechanisms of the Division. It is a major source of input in the preparation and/or enhancement of the DEDP. Mainly, it is a part of the planning process designed to ensure quality plans both at the schools and Division levels.

SIP Appraisal has two major focus. First, as a quality control mechanism that will assure the correctness and fitness for use of the school plans. Appraisal provides the venue for both the Division and schools to collaborate on strengthening the school performance. Specifically, collaboration in assessing the relevance, feasibility and sustainability of the SIPs. Through appraisal, the Division can provide suggestions to enhance the plan and suggestions on the better technical solutions that will help increase the school's likelihood of success. The appraisal process ends when the Division accepts the SIP for implementation.

Secondly, the SIP Appraisal serves as a data collection activity. The process of appraisal provides the Division with detailed information on the programs and projects of the schools, furnishing adequate information and insights to the Division on the type of technical support the school will need to successfully achieve the objectives in the SIP. These information and insights are inputted to the DEDP.

5.0 Object ives of the SIP Appraisal

The overall objective for conducting a SIP Appraisal is to assure the quality of the school plans . By quality plans it means the SIPs are relevant, practicable and sustainable. Specifically, the SIP Appraisal Process aims to help the schools to:

Improve and clarify the statement of the problems and objectives. The baseline situation and the desired situation is clearly explained and shows logical link.

Assess whether the objectives and targets are clear, achievable, measurable and realistic.

Determine if the strategies and proposed programs and projects in the SIP are relevant and practicable. This means that there is a logical link between the baseline situation and the proposed strategies and programs to bring about changes or improvements in the situation. Relevance means the SIP is tackling the correct and real problems and issues affecting the school and/or the


SIPSIPSIP

AppraisalDEDPDEDP

Input Process Output

Schools prepare & submit their plans

Divis ion assist the schools in preparing a quality plan

Division prepare programs and projects that will support the SIP

Accept the plan Input to Divis ion plan

Figure 2. Appraisal Process


proposed strategies match with available opportunities. Practicable means the SIP objectives and targets are feasible and achievable..

To identify mechanisms that will help sustain the school's operations. The SIP appraisal also evaluates the capacity of the school to implement the SIP, assessment of support from stakeholders and availability or sources of funds that can back up and sustain school programs and projects.

Determine if the detailed implementation plan is correct and implementable. Appraisal reviews if there are enough details in the implementation plan that can be used as input in the development of monitoring instruments. This means that the milestones and targets are well defined; schedules and dates are clearly specified; and the resources required are identified, outlined and specified in the plan.

On the other hand, the SIP Appraisal Process is an integral part of the Division's planning process. The review of the school plans will provide the Division staff with critical information needed to customize the Division's management and technical support to schools. Specifically, the SIP Appraisal Process will allow the Divisions to:

Design programs and projects related to School Based Management (SBM) support needed by schools;

Adjust and/or customize its management systems in order to better serve the requirements of schools;

Develop the capacity building programs for teachers, nonteaching staff and school heads, including the program design and delivery mechanism; and,

Pinpoint the areas the schools need support on management and technical– support.



6.0 SIP Appraisal Process

The core activities of the SIP Appraisal process can be summarized to:

(1) Initial Review. Activity undertaken to check the completeness of the SIP and compliance to the SIP formats and requirements. This is a cursory review of the submitted SIPs to assess whether the schools comply with the SIP Planning Standards and Forms, and to determine completeness of information and data.

When the Appraisal Team determines the SIP is complete and complied with the requirements, the Appraisal Team is convened to start the substantive review of the SIPs.

(2) Management Review. First substantive review of the SIP. Review is focused on the rationale and/or justification of the plan description of the school's needs, issues,– problems and opportunities. The main objective of the review is to have a shared understanding of the issues, concerns and opportunities affecting the learners and the school by both the Division and the school management.

(3) Technical Appraisal. Detailed assessment of the SIP especially on the proposed school programs and projects. Technical review will include:

technical correctness of the proposed interventions. By technical correctness, the proposed interventions are necessary, complete and are the best technical alternatives (solutions);

capacity of the school to implement the interventions; Capacity includes assessment of the school's current skills, experience and stakeholders support.

practicability of the implementation plan.

(4) Negotiation. Discussionmeeting between the school and the appraisal team. The objective is to discuss the findings, comments and suggestions of the Division to enhance the SIP including discussion of the Division's possible support to the school.

(5) Acceptance. Upon completion and substantially complying with the requirements of the Appraisal Team, the SIP is accepted by the Division for implementation. The SIP will be used as the main reference document in the conduct of Progress Monitoring and Evaluation by the Division.


SIP Appraisal

Initial Review

M anagem ent Review

Interface

SIP Acceptance

Start U p Review

School Start Up Stage

T echnical Appraisal

Accepted SIP

11

22

33

44

55

Next Control Point

Control Point 1. SIP Appra isal Process

Appraisal Process Flow

1. Initial Review

2. Management Review

3. Technical appraisal

4. D ivisionSchool Interface

5. SIP acceptance

Output: Accepted SIP

Next Process: Start Up Review

Figure 3. SIP Appraisal Activities


Areas Initial Review(1)

Management Review (2)

Technical Appraisal(3) Interface

(4)Acceptance

(5)Technical Alternatives School Assessment Implementation Plan

Objective/s

Completeness of documents and compliance to SIP standards

Clarity of situational analysis and congruence of objectives and strategies to needs, issues, opportunities identified

Completeness of strategies and appropriateness of proposed programs and projects

Capacity of school to implement the SIP and identify areas for assistance by Division & District

Implementation plan is feasible and assumptions used are reasonable

Agreements on scope of the plan and technical assistance to be provided by Division

Formal acceptance of the SIP

For documentation by the Planning Office

Part of SIP being reviewed SIP Outline Situational Analysis and

Objectives (Goal Chart)Description of proposed programs and projects Implementation Plan

Decision

Complete/ Comply with standards proceed to appraisal

If no return SIP to– school

Relevance of plan is well established – proceed to technical appraisal

If no, return SIP to school for revision

If proposed strategies are complete, necessary and appropriate proceed to next assessment area

If no, suggest other alternatives

If school is capable proceed to next assessment area

If not, identify technical assistance support to school

If not, suggest to tone down the plan

If plan is okay endorse SIP

If needs revisions, endorse conditionally

Agreements

Means of Verification Document Review Discussion Workshop – Discussion Workshop Discussion Workshop Discussion Workshop Meeting with School Certificate of

acceptance

Appraisal Instrument

Checklist #1: Initial Review

Checklist #2: Relevance of Plan

Checklist #3.1 Necessary and Adequate

Checklist #3.2 Capacity Assessment

Checklist #3.3 Implementation Plan Checklist #

PlayersTeam Leader/ District Supervisor / Cluster Head

Appraisal TeamAppraisal Team especially subject matter specialist

Appraisal TeamAppraisal Team especially Planning Officer or representative

Appraisal TeamSDS, ASDS or representative and Team Leader

Output Suggested StrategiesTechnical assistance/support to schools

Suggested implementation strategies

Agreements Final SIP

Others Use SIP Manual as reference

Use previous performance as input to capacity assessment

Document agreements



7.0 Review Areas

The appraisal and assessment of the SIPs are divided into 7 major review areas. These are:

(1) Relevance of the Plan. This is the first and major substantive review of the SIP. The appraisal determines the correctness of the situational analysis and assesses whether the SIP framework (objectives, targets and assumptions) are congruent with the problems, needs, issues and opportunities described in the situation analysis or background section of the SIP.

SIPs that are not able to justify the relevance of their plan are returned back to the school proponents. No further review is undertaken until the relevance of the plan is established.

(2) Necessary and Adequate. Focus of the review is on the linkage between the desired outcomes and objectives (including targets) and the proposed strategies, programs and projects outlined in the SIP. The appraisal team determines if the proposed interventions are necessary, complete and are the best possible solution.

For the interventions to be necessary and adequate, the appraisal team may suggest interventions that are already proven and tested (best practices), cost and resource efficient and new strategies that will generate big impact to the school's desired outcomes and objectives.

(3) Capacity of the School. A school may be able to submit a well crafted plan but may not have the capacity to implement the plan. This activity is undertaken to assess the school's technical assistance requirements that will help them implement the plan.

The assessment includes school heads and teachers experience to implement enhancement and remediation projects and an assessment of the school's infrastructure and management systems. This assessment will provide the Division with pertinent information on the type and range of management and technical support the schools will need to implement their SIPs efficiently and effectively.

(4) Stakeholders Support. The quality of support received by schools from stakeholders is an important dimension of sustainability. Hence, the inclusion of this element in the SIP appraisal. Specifically, the review aims to assess the level of support the schools can expect from the community, local government units, nongovernment organizations and other grassroots or local organization.

(5) Resource Generation. The SIP appraisal determines the availability of resources needed to implement the proposed strategies, programs and projects in the SIP. Fund sources are assessed and determined.

(6) Detailed Implementation Plan. The last item for assessment is the review of the detailed implementation plan. Review includes assessment of the deliverables and milestones, resource estimates, duration and schedules and the budgetary requirements.

The school's detailed implementation plan will be used as reference document in the operationalization of the Division's Progress Monitoring and Evaluation System. Hence, it



is important that there is agreement in the deliverables and milestones, duration and dates, resource requirements and budget (cash flow) requirements.

Table 1. Guide to SIP Appraisal Review Areas–

Review Areas Questions to Ask Possible Actions

Initial Review

To ensure the SIP is complete in terms of data, information and supporting documents are present

Is the SIP following or complying the prescribed format?

Are the data, information and assumptions used correct and valid?

Are there supporting documents?

Were the stakeholders involved or participated in the preparation of the plan?

Return SIP when it does not comply with requirements

Proceed to assessment of relevance when SIP is deemed complete

1. Relevance of the plan (background/rationale/objectives section)

To determine if the desired objectives in the SIP match the needs and opportunities listed in the rationale or background

Are problems, needs and opportunities clearly described? Is there a supporting analysis?

Are the objectives congruent with the needs and opportunities identified?

Return SIP when needs and opportunities identified are vague; when objectives do not match with situations described

Proceed to assessment of feasibility when relevance is clearly established or described

2. Necessary and Adequate (Objectives – Outputs/Component/Implementation Plan)

To establish direct link between objectives and the proposed programs and projects in the SIP

To provide other and better alternatives in achieving the desired objectives

Are the outputs/deliverables identified sufficient, or adequate to achieve desired objectives?

Are the outputs/deliverables identified necessary to achieve desired objectives?

Are there better alternatives (outputs) available that will help achieve the desired objectives?

If the proposed deliverables are inadequate and/or unnecessary to achieve objectives,, return SIP for enhancements.

Suggest better alternatives to school

Proceed to next appraisal area when outputs are considered complete and necessary

3 Capacity of School

To determine the capacity of the school to implement the proposed programs and projects in the SIP

Can the school head implement and manage the programs and projects in the SIP?

Can the teachers deliver programs and projects efficiently and effectively?

What are the capability building requirements (needed to implement the SIP) of the school head and teachers?

If yes, proceed to next appraisal area.

If no, consider the school requirements in the DEDP. Make sure technical assistance support to schools are incorporated in the DEDP.

4. Stakeholders Support

To determine the level of support the stakeholders can provide to schools

Are the stakeholders ready and willing to participate and support the implementation of the plan?

Are they capable?

If yes, proceed to next appraisal area.

If no, consider the school requirements in the DEDP. Make sure technical assistance support to schools are incorporated in the DEDP.



Review Areas Questions to Ask Possible Actions

5. Resource Generation

To determine the feasibility of implementing the plan considering the cost requirements

Are the cost requirements reasonable?

Are there other fund sources?

If yes, proceed to checking the implementation plan.

If no, can the Division assist in looking for fund sources? If no, downsize the plan.

6. Detailed Implementation Plan

To assess the implementability of the plan

to ensure necessary elements are present in the plan milestones and– targets, resources, schedule and cost

Are the milestones and target clear and correct?

Is there a work breakdown of outputs/activities?

Are target dates specified for each milestone?

Are there resource and cost allotted for each milestone and activity? Is there a cash flow matrix?

If yes, endorse the plan for acceptance

If no and requires major changes, return the plan for revision

If no and revisions required are considered minor, accept the plan conditionally. The school is to submit a revised implementation plan before or during the start up stage

8.0 Means of Verification

The SIP Appraisal Process will be implemented using the following Means of Verification (MoV):

(1) Output. The main output of the appraisal process is the accepted SIP. Specifically, the objectives, targets, outputs or deliverables described in the SIP represent the collective agreement of the schools and the Division and District. The accepted SIP becomes a plan of both the school and the Division, which will be known as the SIP Baseline Plan and will be used as basis for the monitoring and evaluation.

The SIP Appraisal Checklist, which contains the comments, findings and suggestions of the Division Appraisal Team, will also be documented and archived for future reference.

(2) Checklists. The checklists provide listing of items/areas and questions that will serve as guide to the Appraisal Team.

Table 2. List of Appraisal Checklist

Checklist Description Appraisal Activity

#1 Initial Review Checklist Provides list of items that will guide the Appraisal Team in determining the completeness of the SIP and to determine whether the SIP complies with the SIP standards

#1 Initial Review

#2 Management Review Checklist

A guide to the Appraisal Team for reviewing the relevance of the SIP. Specifically, the Checklist lists items for review in the Situational Analysis Section, Goal Chart Section.

#2 Management Review

#3 Technical Appraisal Checklist Checklist that will guide the Appraisal Team in reviewing the following:

(a) Technical Alternatives. Contains list of items that will guide the Appraisal Team in assessing the completeness, appropriateness and technical correctness of the proposed programs and projects.

#3 Technical Review



Checklist Description Appraisal Activity

(b) School Capacity. Provides list and questions to ask in reviewing the capacity of the school to implement the SIP

(c) Implementability of the Plan. Review guide in assessing the detailed implementation plan.

#4 Negotiation Checklist Checklist to guide the Appraisal Team in conducting the Negotiation Session with the schools

#4 Negotiation

Goal Chart Assessment Checklist Provides a list of items to consider in assessing the logic and accuracy of the Goal Chart #2 Management Review

Managing the SIP Appraisal Checklist

Checklist provides listing of important appraisal activities and resources. This will help the ASDS and the Planning Officer manage and quality assure the Appraisal Process

_

(3) Reports and Forms. The following are the reports and forms that will be used and prepared by the Appraisal Team in documenting the findings and recommendations.

SIP Routing Form. Provides a chronological account of the reviews undergone by each SIP. The routing form is a mechanism for ensuring the appraisal process is being undertaken as efficiently as possible. It will also prevent loss or misplaced SIP.

The SIP Routing Form contains the following information: (a) received and reviewed dates of SIP, (b) person who lead review, (c) comments, and (d) recommendation for next steps.

Activity Reports. These are accomplishment reports of the Appraisal Team at every stage of the appraisal process. Specifically, the reports are a documentation of the comments and suggestions of the Appraisal Team.

(4) Evaluation Tools and Techniques

The appraisal process may be reinforced by selected data gathering and analytical techniques. The objective is to be able to get enough information (through triangulation) that will help the Appraisal Team to objectively review and enhance the SIPs for appraisal. These include, but not limited to the following:

Document review. Most appropriate to use in checking the completeness and correctness of data and information. Documents to review includes results of the SBM Level of Practice, School Report Card and other documents the schools may have prepared and/or submitted.

Interviews. Interviews may be conducted when the Appraisal Team needs to validate some information that contradict the documented information. Include interviews with teachers and school stakeholders, including learners.

Panel review. The Appraisal Team may opt for a panel review that will allow both the Appraisal Team and the school head and teachers to answer and clarify questions.



Part E . Preparing for the Appraisal

Preparation and synchronization of activities, resources and personnel are key to an efficient and effective implementation of the SIP Appraisal. The following are key pointers in preparing for an appraisal:

(1) There should be a clear direction of thrusts and priorities from the Division management. These will put into context the scope of the appraisal process. Areas for clarification includes:

Division targets on participation rate. The target participation rate will have a major implication on the targets of schools on enrollment, retention and drop out rates.

Division commitment on academic performance of learners. If the Division made a commitment to increase or improve the schools' performance, this should be made an integral part of the appraisal process.

National and Regional thrusts and priorities

(2) Prepare a Divisionwide implementation plan for appraisal. The plan must include appraisal milestones, target dates, resource requirements and cost.

(3) Mobilize the Appraisal Team

Organize the Appraisal Teams. Ensure there is an Appraisal Team per district or cluster of schools

Members of the Appraisal Team are knowledgeable about the process and requirements of the SIP Appraisal.

Orient the SIP Appraisal Teams about the reports, checklists, schedule of activities and deadlines.

Each SIP Appraisal Team will prepare their own work plan but within the parameters of the Division appraisal plan.

(4) Prepare and distribute the materials. These include the checklist, forms and other relevant materials.

(5) Communicate to schools about the submission of the SIP and other relevant documents that may be needed in the review. Ask the schools to submit or prepare the following:

SIP. Inform the schools to submit a nonbounded SIP.

Numbered Paragraphs. In order to facilitate comments and giving feedback, as the schools to chronologically assign numbers to paragraphs.

Attachments. Equally important are supporting documents, especially those that supports the rationale of the plan.



Part C. Process Flow Chart

The SIP Appraisal Process is one of the major technical assistance / support of the Division to schools, especially in the areas of strategic planning. The process is undertaken once every three years, an important mechanism to the quality management effort of DepED. The process is foreseen to be a two to three months1 activity of the Division. The diagram below details the sequence of reviews to be undertaken by the Division and its appraisal teams.

Figure 4. Detailed Process Flow

The 5 major activities of the appraisal process includes:

1. Initial Review

2. Management Review

3. Technical Appraisal

4. Negotiation

5. SIP Acceptance

1 Actual duration of SIP Appraisal varies between Divisions.


Initial ReviewInitial Review(1)(1)

Decision Yes

No

SIP SIP PreparationPreparation

Management Management ReviewReview

(2)(2)

Technical Technical AppraisalAppraisal

(3)(3)

Negotiation Negotiation (4 )(4 )

AcceptanceAcceptance(5)(5)

Decision

No

Yes

Technical Technical AlternativesAlternatives

(3.1)(3.1)

Capacity Capacity AssessmentAssessment

(3.2)(3.2)

Implementation Implementation PlanPlan(3.3)(3.3)


Return SIP to school – comply to requirements

Return SIP to school – revise situational analysis


9.0 Act iv i ty #1 Ini t ia l Review

The first major step in the appraisal process is to check the completeness of information and the compliance to agreed SIP format. The objective of the compliance check is to ensure information are complete before it is handed over to the review team.

Review Area:

Presentation of the SIP (using the SIP format)

Accuracy of data and information

Authoritativeness of source of data/information

Questions to Ask:

Is the SIP following or using the prescribed format?

Are the data, information and assumptions used correct and valid?

Are there supporting documents?

Were the stakeholders involved or participated in the preparation of the plan?

Decision:

The Appraisal Team will decide:

SIP submitted is complete and meets/complies with the requirements Proceed to assessment of relevance when SIP is deemed complete

Return SIP when it does not comply with requirements. Ask school to modify SIP based on agreed requirements and to supply missing information

Means of Verification:

The following instruments and reference documents will be used in the conduct of the Initial Review:

Appraisal Checklist #1. Initial Review

SIP Outline (suggested format)

SIP Routing Form

School Report Card



Appraisal Checkl is t #1: In i t ia l Review

The Initial Review is undertaken to ensure data, information and other pertinent documents are

available before conduct of actual appraisal. This first step will help save time for both the

proponent and the appraisal team. The following list contains items and questions that will

facilitate assessing the completeness of the document. For any items/questions which you answer

No, please specify/describe in the Comments/Suggestions Column on what must be undertaken by

the proponent to comply with the requirements.

Area SIP Section Comments / Suggestions

Completeness of Document

Compliance to format

SIP submitted followed the official SIP format.

Yes No

Endorsement

SIP submitted contains signature of school stakeholders

Endorsement Page Yes No

Documentation

Filled up all sections/parts of the SIP All Parts Yes No

Situational Analysis

Are the problems, issues, needs and opportunities clearly articulated in the Situational Analysis section?

Part 3.0 Situational Analysis Yes No


Is there an attached cause and effect diagram that shows the interrelationships of issues and problems?

Part 3.0 Situational Analysis

Yes No

Baseline Situation

Is the baseline situation adequately and clearly described in the SIP?

Part 3.0 Situational Analysis Yes No

Facts

Are the data and information quoted in the SIP accurate?

All Parts Yes No

Sources of Verification

Are the data and information quoted in the SIP comes from reliable or authoritative source?

All Parts Yes No

Gaol Chart

Is the goal chart correctly formulated? Are the Objectives and indicators SMARTly formulated?

Part 4.0 Goals and Objectives

Yes No

Purpose level objectives

The SIP contains 4 purpose level objectives on enrollment, retention, completion and–

achievement

Part 4.0 Goals and Objectives Yes No



Area SIP Section Comments / Suggestions

Priority Improvement Areas

Are the priority improvement areas presented in the plan?

Part 5.0 Priority Improvement Areas Yes No

Implementation Plan

Is there a detailed implementation plan? Does it contain the information on activities to be undertaken, the people responsible and the budget?

Part 6.0 Programs and Actions for 5 Years Yes No

Organization Structure

Is there a proposed organization structure that will be used to implement the plan for 3 years? With terms of reference?

Part 7.0 Organizing for Implementation

Yes No

Monitoring and Evaluation

Did the SIP describe the M&E activities to be undertaken by the school? M&E requirements also discussed?

Part 7.0 Organizing for Implementation Yes No

Attachments complete.

All supporting data, tables, graphs and other documents are accounted for

Appendix Yes No



S I P A p p r a i s a l Routing Form

Appraisal StepDate

StartedDate

Finished Reviewed by CommentsDecisions / Actions

Taken(Please Check)

#1 Initial Review

✔Return SIP to school

✔Endorse SIP for Management Review

# 2 Management Review

✔Return SIP to school

✔Endorse SIP for Technical Appraisal

#3 Technical Appraisal(a) Technical Alternatives

✔Proposed programs and projects needs enhancement

✔Proposed programs and projects adequate , necessary and technically correct

#3 Technical Appraisal(b) School Assessment

✔ School needs training and technical assistance

✔School has the required capacity to implement the SIP

#3 Technical Appraisal(c) Implementation Plan

✔Implementation Plan needs adjustment

✔Implementation plan is okay and ready

#4 Negotiation ✔Endorse SIP for finalization

#5 SIP Acceptance

✔Accept SIP conditionally

✔Accept and endorse SIP for implementation



School Improvement Plan(Suggested Outline)

1.0 Introduction

2.0 School and Community Profile

A. School Profile• Name• Guiding Principles• Curriculum; Organization of the Curriculum; Special Programs, • Time Allocation; Indigenization of the Curriculum• Personnel• Special Features (eg. Vocational Programs)• Physical Facilities

B. Community Profile• Sociocultural• Political• GeoPolitical• Demography• Economy

3.0 Situational Analysis

A. School Performance• Learners Achievement• Performance Indicators

B. Instructional Materials• School Equipment• Textbooks• Teaching Aids

C. Personnel Profile• Teaching• NonTeaching Personnel

D. Physical Facilities• Classrooms• Workshop • Toilet and Bath• Buildings• Library



• Medical/Dental• Laboratories• Guidance • School Furniture• NonInstructional

E. School Management1. Planning and Development Process 2. Organizational Structure and Staffing3. Systems and Procedures

• EMIS• M&E• Fiscal• Rewards • Communication

4. Leadership• Administrative• Academic (Instructional Leadership)• Establishing Linkages• Management of Stakeholders

5. Ancillary Services• Delivery• Quality• Scope/Types

4.0 Goals and Objectives

A. Goals and Objectives

B. Contributory Objectives• Instructional Materials• Human Resources• Physical Facilities• School Management• Ancillary Services

5.0 Priority Improvement Areas



6.0 Programs and Actions for 5 YearsA. A Six Year PlanB. Annual Plan

7.0 Organizing for ImplementationA. Organizational Structure Required (responsible units/persons, terms of reference)B. Monitoring and Evaluation (schedules, reports to be generated)



10.0 Act iv i ty #2 . Management Review

Management Review focuses on the review and assessment of the Rationale or Background Section and the Goal Chart or Objectives Section. This review establishes the relevance of the SIP by assessing the congruence between the baseline situation (problems, opportunities, strengths and weaknesses) and the desired future situation. There has to be an agreement between the school and the Division about the baseline situation and the desired future situation (includes targets). When this requirement is satisfied, proceed to the next step. If relevance is not justified in the plan, do not proceed to the next step. Return the SIP for revision.

Review Area:

Situational Analysis which includes description of the problems and issues contributing to poor performance and/or description of the school's effective practices that contributed to good performance

Situational Analysis describing the external factors or opportunities that may be relevant to improving school performance

Description of the different target groups' learning needs and assistance

Goal Chart which includes the desired outcomes, contributory objectives and priority improvement areas

Questions to Ask:

Are problems, needs and opportunities clearly described? Is there a supporting analysis?

Did the SIP distinguish or highlight the needs of the different target groups (per year level, per learners performance)?

Are the desired objectives congruent with the needs and opportunities identified?

Are the priority improvement areas directly responding to the problems, issues and/or opportunities raised in the situation analysis?

Decision:

Management Review is the critical part of the appraisal process. Depending on the quality of the SIP (relevance), the Appraisal Team may accept or reject the SIP. The following decisions may be undertaken:

Return SIP when needs and opportunities identified are vague; when objectives and targets are not congruent with situations described

Proceed to Technical Appraisal when relevance is clearly established or described in the Plan. Agreement on the description of the situation (needs, issues and opportunities) and the strategic directions proposed in the SIP is considered a major milestone in the SIP appraisal. At this point, the SIP is as“ good as approve . ”

The next appraisal stage concerns technical correctness of the proposed school



programs and projects..


The following instruments and reports will be used in the conduct of the Management Review:

Checklist #2: Relevance of the Plan. Guide to Appraisal Team on establishing the relevance and rationale of the SIP.

Goal Chart Checklist. Guide to assess the Goal Chart

Output/Report:

Management Review Report



Appraisal Checkl is t #2: Relevance of the Plan

Establishing the Relevance of the Plan is the most critical stage of the appraisal process.

Succeeding appraisal activities will depend on the rationale and scope of needs, issues and

opportunities established in the Rationale or Background Section of the SIP. This checklist will give

you guidance as to whether the SIP is able to established its rationale clearly and the proposed

strategies are logically link to needs, issues and opportunities. For any statements/questions you

answer No or More Information Needed to, please specify the items that must be expounded or

clarified. Please provide suggestions or directions to the school on the next steps to be undertaken.

Area Comments Suggestions

Relevance of the Plan

Vision Statement

Does the vision statement paint a picture of the future situation of the school?

Yes NoMore Info

Needed


The problems, issues, needs and opportunities described in the SIP are real and based on sound analysis

Yes NoMore Info

Needed

Target Groups

Learners are classified into segments Yes NoMore Info

Needed

Target Groups

Needs of different target groups (learners) are clearly described

Yes NoMore Info

Needed

SIP Objectives and Targets

The objectives (in the goal chart) of the SIP are logically linked to the problems, issues, needs and opportunities described in the plan

Yes NoMore Info

Needed

Targets

Quantitative Targets (purpose/outcome level) are reasonable and attainable

Yes NoMore Info

Needed

Priority Improvement Areas

Areas identified respond to the needs, issues and opportunities described in the situation analysis

Yes NoMore Info

Needed

Support National Program

Attainment of objectives and targets support the national programs and international commitment

Yes NoMore Info

Needed



Division of ABC

SIP AppraisalActivity #2. Management Review

Date Submitted: Date of Review:

School Name: School # (BEIS):

School Head:

Action Taken (please check)

For technical appraisal

For technical appraisal but need to incorporate suggestions to enhance Rationale/Justification Section

Return to proponent for enhancements

Comments:

Suggestions:

Appraisal Team

Team Leader:

Members:



11.0 Act iv i ty #3 . Technical Appraisal

Clarity and practicability of the SIP increases the school's likelihood to achieve the desired outcomes in three years. Choosing the right programs and projects to solve the problems and issues identified is a critical element of the plan. Hence, at this stage, the task of the Appraisal Team is to assist the school in identifying the programs and projects appropriate to the school's unique situation and programs that are known to have effectively worked in other areas.

Technical Appraisal is important because:

the school is provided with different perspectives and alternatives by the Division in tackling school issues and opportunities;

it is a venue for both the Division and the school to interact and agree on the programs and projects that will best help the school;

it is a mechanism for both the school and the Division to assess the capacity of the school to implement the SIP. Thus, this activity will provide the Division with important information on the kind of technical assistance the schools will need in the next three years. This same information may be used to formulate the Division's capability building program for school heads and teachers and to identify Division systems and service delivery processes needing enhancements; and,

it allows for the reexamination of the detailed implementation plan. Estimates on scope, time, resources, and budget are reviewed and enhanced which increases the accuracy of the plan.

Review Areas:

The appraisal, at this point, focuses on three major areas: (1) practicability of the proposed programs and projects outlined in the detailed implementation plan, (3) the capacity of the school to implement the SIP and, (3) the implementability of the plan. Specifically, the review will cover the following areas:

Individual programs and projects proposed in the SIP. Examine the technical correctness of these programs and projects. Assessment includes identifying other alternatives that may produce better results to achieve the Outcomes.

Link between future desired situation and the proposed programs and projects. Assess whether the proposed Outputs/Contributory Objectives are complete and necessary.

Assess capacity of school to implement the SIP including the programs and projects.

Assess capacity of stakeholders to support the school in implementing the SIP strategies

Review the costings and estimates. The Division QMT also reviews the assumptions and cost estimates presented in the SIP.



Completeness of the Implementation Plan. This means checking the following must items:

• targets and milestones are clearly specified

• activities are broken down to desired level,

• the relationships of the activities (network) are logically sequenced

• activities are assigned with resources (human, material, equipment etc)

• activities are specified on a monthly (not quarterly) period

• Gantt or bar chart showing the activities on a time scale (months)

• budgetary requirements are specified per activity and per month

Questions to Ask:

Are the proposed programs and projects (outputs/deliverables) sufficient, or adequate to achieve desired objectives?

Are the proposed programs and projects (outputs/deliverables) necessary to achieve desired objectives?

Are there better alternatives (outputs) available that will help achieve the desired objectives? Examine each proposed program or project.

Is the school capable of implementing the proposed programs and projects? If not, please identify technical assistance support the Division may provide to the school.

What training programs or skills enhancement training can be given to the school?

How supportive are the stakeholders? What is the relationship of the school to the stakeholders?

What assistance or support can be provided by the stakeholders to the school? How can the school take advantage of these support?

Is the implementation plan clearly written? Are the planning assumptions used reasonable?

Decision:

Suggest other/better alternative to school, if the proposed deliverables are inadequate and/or unnecessary to achieve objectives,

Proceed to next appraisal area when proposed programs and projects are considered complete and necessary

Instrument/s:

Appraisal Checklist #3. Technical Appraisal. Contains list of items/areas to consider in assessing the technical correctness of the interventions



Appraisal Checkl is t #3: Technical Appraisal

The Technical Appraisal activity is the most detailed aspect of the appraisal process. It requires a

thorough review of the proposed programs and projects, accurate assessment of the school's

capacity to implement the SIP and the clarity of the detailed implementation plan. This checklist

provides an outline of the areas to be assessed during technical appraisal. This will give you

guidance on reviewing the SIP and the school but the quality of the assessment, comments and

suggestions will depend on your experience and expertise.. For any statements/questions you

answer No or More Information Needed, please specify the items that must be expounded or

clarified. Please provide suggestions or directions to the school on the next steps to be undertaken.

AreaComments & Suggestions

Necessary and Adequate

Complete OutputsThe proposed programs and projects (outputs) are adequate to achieve the objectives

Yes No More Info Needed

Suggest programs and projects that will complement the school's proposal

NecessaryAll the outputs listed are necessary to achieve the objectives. Please check the proposed programs and projects individually. Yes No More Info

Needed

Suggest programs and projects that are necessary to achieving the objectives but not listed in the SIPSuggest to delete proposed programs and projects that are not relevant to achieving the objectives

Alternatives(On a per program or project) Are there better programs or projects available that will help achieve the desired objectives?


If yes, please provide suggestions and assist the school on these

Capacity of school

School Based ManagementDoes the school head have adequate experience on managing school programs and projects?


School Based ManagementIs the school head trained on SBM and other related training?


School Based ManagementSBM Level of Practice of school is improving Yes No More Info

Needed

TeachersAre all teachers capable of implementing the programs and projects in the SIP?

Yes NoMore Info Needed

TeachersAre there enough preparations and training for teachers to handle the programs and projects in the SIP?


NonTeaching StaffNonteaching staff have the skills and capacity to provide nonlearning support to learners?


Organizational StructureThe proposed organizational structure is logical and will meet the requirements outlined in the SIP.


Organization StructureScope of work of each school personnel clearly described


School FacilityAre the facilities needed to implement the




AreaComments & Suggestions

proposed programs and projects available?

Learning MaterialsAre there learning materials available that can be used to implement the proposed programs and projects?


Stakeholders Support

School Governing CouncilIs the SGC operational? Yes No More Info

Needed

Parents Community Teachers Association (PTCA)Is the PTCA active and supportive of school programs and projects?


Barangay/Municipal/City LGUIs the LGU actively involved in school programs and projects?


OthersAre there organizations operating in the area that are supportive of education and other related undertakings?


Resource Generation

BudgetIs the total estimated cost required to implement the school programs and projects reasonable?


Fund SourcesAre there fund sources available?


Resource mobilizationIs the school head capable of generating financial support from different sources?


Detailed Implementation Plan

ActivitiesAre the activities listed in the WFP directly linked to the outputs/deliverables listed in the goal chart?


Work and Financial PlanIs there a WFP? Is it presented on a monthly basis? Yes No More Info

Needed

Targets and SchedulesAre targets plotted monthly?


Cash FlowAre cash flow requirements plotted monthly? Yes No More Info

Needed

Persons ResponsibleIs there an assigned individual per activity?


Monitoring and EvaluationAre M&E activities reflected in the WFP? Yes No More Info

Needed

Monitoring and Evaluation Are there assigned resources for M&E?




12.0 Act iv i ty #4 . Negotiat ion

After a thorough review of the SIP, the Appraisal Team and the school representatives will have a oneonone meeting to discuss the comments and suggestions. The meeting will provide feedback and suggestions to the schools on areas for enhancement. The school is expected to revise and/or enhance the SIP and submit it back for acceptance.

Focus of Discussion:

Findings, comments and suggestions of the Appraisal Team regarding the proposed programs and projects.

Discuss the results of the capacity assessment results done by the SIP Appraisal Team for validation. Present possible technical support the Division can provide the school.

Discuss possible revisions in the implementation plan

Agreements. The Division and school agree on the adjustment and/or enhancements in the SIP.


Use Checklist #3. Technical Appraisal as reference material in the negotiation/discussion

Decision:

If no revisions, endorse SIP.

If minor revisions, endorse SIP.

If the comments and suggestions require major changes in the implementation plan, require the school to revise and incorporate the suggestions and agreements.

13.0 Act iv i ty #5 . SIP Acceptance

After satisfactorily complying with the requirements, the Appraisal Team endorses the SIP to the SDS for acceptance. The following actions may be undertaken:

Acceptance of the SIP

Acceptance but with conditions. When minor revisions are required. The revisions may be undertaken by school during the start up stage of the implementation phase

Refer to Part F. Concluding the SIP Appraisal Process



Part E . Concluding the SP Appraisal Process

A successful SIP Appraisal Process implementation should be complemented by a good and orderly closure of the process. The Process Owner needs to ensure all documentation requirements are undertaken and things are ready for the next phase of the SIP life cycle. Here are some pointers to remember when transitioning from appraisal to implementation:

(1) The immediate next steps of the schools should be clarified. This is specially true for schools needing to adjust and/or enhance their SIPs.

(2) Focus technical assistance on schools needing major adjustments in their Detailed Implementation Plans.

(3) Document and consolidate per district and/or cluster of schools the Purpose level objectives of the schools especially the targets on the key performance indicators.

(4) Ensure commitments (technical assistance) made by the SIP Appraisal Teams will find its way to the Division programs and projects.

(5) Gather the SIP Appraisal Team for the following:

Assess and document feedback from the teams: What went well? What went wrong?

Celebration. Acknowledge the services and efforts of the SIP Appraisal Team.

Conclude the appraisal process. Prepare the team for the next phase of the SIP life cycle monitoring and evaluation.–



Part F. Appraisal Team

14.0 Knowledge and Ski l ls Requirements

Individuals who will be involved in the Appraisal Process need to have adequate background and experience in planning and school operation. The following are some of the competencies required for an appraisal team:

Understand the needs, problems and issues in the locality. These include knowledge of the school programs and projects that succeeded and those that failed and the historical performance of the school.

Good understanding of the community relationships, especially the stakeholders. This will help the appraiser make suggestions on how to maximize the support from stakeholders.

Good analytical skills, especially in problem analysis, opportunity analysis and in appreciative inquiry.

Have actually used planning tools like goal chart (lograme), work breakdown structure, Gantt or bar chart, network chart in the preparation of a plan and in implementing the same.

Last, a subject matter specialist. The specialist will assist in the review and enhancement of proposed programs and projects of the schools.

15.0 Roles and Responsibi l i t ies

The following are the roles and responsibilities of the Division management and staff on the SIP appraisal:

(1) Schools Division Superintendent (SDS)

The SDS will oversee the implementation of the Appraisal Process. Specifically, the SDS is responsible for the following:

Provide the Division personnel and the Appraisal Teams with directions, thrusts and priorities of the Division.

Acceptance of the SIP

(2) Assistant Schools Division Superintendent (ASDS)

The ASDS will act as the supervising fellow to the SIP Appraisal Team. As supervising fellow, the ASDS will quality assure the content and outputs of the SIP Appraisal Team. Specifically, ASDS may also act as Team Leader of an Appraisal Team.

Integrity of the process. The process owner will ensure consistency and uniform application of the appraisal process and standards throughout the Division. In this regard, the Planning Officer must sees to it that members of the different SIP Appraisal Teams are knowledgeable about the requirements and standards of



the Division.

Availability and capability of the appraisers . “ ” The ASDS is responsible for the formation of the appraisal teams.

(3) Planning Officer

The suggested process owner or manager of the Appraisal Process is the Planning Officer. As process owner, the Planning Officer is responsible for the following:

Implements the Appraisal Process. This includes preparation of an implementation appraisal plan that will be used as reference by all the appraisal teams. The implementation should include targets/deadlines for the appraisal teams to follow.

Ensures data and information needed to validate the SIPs are available

Manages the schedule and conduct of the appraisal.

Documentations

Ensures resources needed to implement the appraisal process are available.

Consolidates feedbacks, problems and risks

Reports to the SDS on the progress of the appraisal implementation.

(2) The SIP Appraisal Team Team Leader –

Each SIP Appraisal Team shall be lead by a Team Leader. An Education Supervisor or a District Supervisor is suggested to act as the Team Leader. The Team Leader's scope of work includes:

Oversee the appraisal of SIPs in the assigned areas. The Team Leader shall make sure the team's compliance to the Appraisal Process and standards. The Team Leader will also ensure the team's completion of the review within the required schedule or deadline.

Provide feedback to the SDS, ASDS and Planning Officer especially on the targets set by schools on the key performance indicators: enrollment, retention and completion rates and achievements.

Ensure suggestions and/or corrections made by RO are incorporated to the plans

(3) SIP Appraisal Team

The SIP Appraisal Team shall be made up of at least 35 members. Responsibilities include the following:

Assess the correctness of the situationer needs, opportunities –

Checks the objectives and targets (congruence to Division thrusts and priorities)

Recommend acceptance of the SIP

Assess the coherence of the proposed strategies (contributory objectives) the



needs, problems and opportunities described in the Background/Situational Analysis Section of the Plan.

Assess the strategies (contributory objectives) determine if best technical– alternatives were chosen

Assess the implementability of the plan correctness of the assumptions (time,– resources, budget)

Assess the capability of the school to implement the proposed school programs and projects

Provide suggestions or recommendations

On the composition of the Appraisal Team, each Appraisal Team should be represented by subject matter specialists (at least 3 math, science, english). Division trainers (school heads and teachers) and a documentor.

Table 2 below list down the members of an Appraisal Team and their core responsibilities.

Table 3. SIP Appraisal Team Composition

Role Title Division Staff Core Responsibilities

Supervising FellowAssistant Schools Division

SuperintendentEnsures consistency and quality of work of the different Appraisal Teams;

Team Leader Education Supervisor or

District Supervisor

Manages the SIP Appraisal Team; ensures the Team is following the appraisal process correctly and is completed within the alloted time.

Subject Matter Specialist Education Supervisor Quality assure the programs and projects proposed in the SIP. As the specialist, provide more sound and efficient technical alternatives

Planning Specialist DEDP or SIP TrainerEnsure the SIPs adherence to key planning principles and concepts; ensures correct application of planning tools and techniques

Documentor Division StaffResponsible for documenting the comments, suggestions and outputs of the Appraisal Team

SIP Appraisal Version 3Technical Working Group Quality Assurance and M&E

reymac
