REGIONAL PROJECT MONITORING AND EVALUATION SYSTEM (RPMES) OPERATIONS MANUAL

Transcription

1 REGIONAL PROJECT MONITORING AND EVALUATION SYSTEM (RPMES) OPERATIONS MANUAL National Economic and Development Authority

2 REGIONAL PROJECT MONITORING AND EVALUATION SYSTEM (RPMES) OPERATIONS MANUAL Republic of the Philippines NATIONAL ECONOMIC & DEVELOPMENT AUTHORITY 1994

3 TABLE OF CONTENTS Message i Foreword ii DILG Memorandum to all Municipal/City Mayors and Provincial Governors iii Memorandum Circular No iv 1.0 Rationale Objectives and Scope Objectives Scope Organizational Framework Coordination Activities Planning, Programming, Scheduling and Monitoring Activities Project Implementation Activities Organizational of PMCs Membership Creation of PMCs Selection & Appointment of NGO Members Responsibilities of Entities Systems Framework Process Flow General Flow National Level Regional Level Provincial / City Levels Municipal Level Reporting General Guidelines Input Forms Output Forms Frequency and Timing of Submission Options Monitoring Procedures Problem Solving Mechanism Procedures for Computing Accomplishments Financial Accomplishment Physical Accomplishment of Project Agency Accomplishment Area Accomplishment Sample Case 43 ANNEXIES ANNEX A ANNEX B ANNEX C ANNEX D RPMES Input Forms and Guidelines RPMES Output Forms and Guidelines Sector / Subsector Breakdown of Public Investment Projects Relevant Issuances Executive Order 93 Executive Order 376

4 MESSAGE Monitoring and evaluation (M & E) involve systematic collection and analysis of information about events associated with the implementation of development programs / projects. It also provides the framework for improving or facilitating project implementation. It is on this context that the Regional Project Monitoring and Evaluation System (RPMES) is being implemented as part of efforts to further strengthen institution at the regional and local levels. It also serve as an optional component of the empowerment strategy of the national government through which the timely deliver/completion of projects could be enhanced and their quality, improved. This Manual on decentralized monitoring and evaluation is therefore a timely guide to monitors and evaluators in order that adequate information related to the implementation of development projects is made available to decision makers (Development Councils, LGU executives, implementing agencies and general public). The monitoring and evaluation systems at the municipal, city, provincial and regional levels should therefore be improved and result in outputs leading to the implementation of corrective measures to facilitate project implementation. I trust that this Manual will contribute to the efficiency of development programs and projects implementation and instill in the LGUs the importance of M & E for ongoing programs/projects as well as their respective development plans. (Sgd.) CIELITO F. HABITO Secretary of Socio-Economic Planning and NEDA Director-General

5 FOREWORD This revised version of the Manual was prepared to prescribe the operating procedures in the implementation of the Regional Project Monitoring and Evaluation Systems (RPMES) with the new management at the local levels as a result of the implementation of the Local Government Code of This revised Manual presents the objectives, systems framework and mechanics of the RPMES. It is intended to serve as a guide for the Project Monitoring Committee at the regional, provincial / city and municipal levels. It also provides a venue in the monitoring and validation processes of project implementation. The system provides for the minimum requirements for monitoring and evaluating projects, but allows inclusion of additional data inputs and output reports depending upon the needs of the development councils as the primary client of M & E information. (Sgd.) ANICETO M. SOBREPEÑA Deputy Director-General Chairman, National Project Monitoring Committee

6 MEMORANDUM REPUBLIC OF THE PHILIPPINES DEPARTMENT OF THE INTERIOR AND LOCAL GOVERNMENT EDSA Corner Reliance St., Mandaluyong Metro Manila FOR: FROM: All Municipal / City Mayors and Provincial Governor The Secretary SUBJECT: ORGANIZATION OF PROJECT MONITORING COMMITTEES AS PRESCRIBED UNDER EXECUTIVE ORDER 93 AND CONDUCT OF REGULAR MONITORING AND EVALUATION UNDER THE REGIONAL PROJECT MONITORING AND EVALUATION SYSTEM ( RPMES) DATE: 22 March This refers to Executive Order No. 93, dated 1 June 1993 entitled Amending Executive Order No. 376 (Series of 1989) Establishing the Regional Project Monitoring and Evaluation System (RPMES) and for Other Purposes. 2. Monitoring and evaluating the implementation of development programs and projects are important tasks assigned to the Local Development Councils under the new LG Code and, relatedly, M / E information is a valuable tool for local development managers. In this connection, may I be apprised of the status of respective Project Monitoring Committees under the RPMES including its composition if already organized. May I also enjoin the LGUs to allocate some resources to undertake M / E activity as this is now part of their regular functions. 3. For reference, I have attached copies of EO 376 and EO93. Furthermore, the Regional Project Monitoring Committee under the Regional Development Council is available to assist in implementing these Eos as it coordinates RPMES implementation in the region. 4. Best regards. (Sgd.) RAFAEL M. ALUNAN III Secretary

7 REPUBLIC OF THE PHILIPPINES NATIONAL PROJECT MONITORING COMMITTEE REGIONAL PROJECT MONITORING AND EVALUATION SYSTEM National Economic and Development Authority Department of Interior and Local Government Department of Budget and Management Presidential Management Staff Office of the President MEMORANDUM CIRCULAR NO July 1994 TO : The Chairmen and Members of the Regional Development Councils, including the ARMM Planning and Development Board, the Cordillera Executive Board and Metropolitan Manila Authority;the Provincial, City and Municipal Development Councils; the Government Corporate Monitoring and Coordinating Committee;The Heads of Departments, Bureaus, Offices, and Other Agencies ofthe National Government; Provincial Governors, City and Municipal Mayors; Representatives/Members of the Project Monitoring Committees; and All Others Concerned SUBJECT: ADOPTION OF THE RPMES MANUAL OF OPERATIONS IMPLEMENTING PROVISIONS OF EXECUTIVE ORDER 93 DATED JUNE 1, PURPOSE This circular is issued to adopt the Revised and to prescribe the general procedures and guidelines in the organization and operationalization of the Regional Project Monitoring and Evaluation System (RPMES) as directory by Executive Order No. 93, dated 01 June COVERAGE This circular shall cover coordinators of RPMES at the national, regional, provincial, city and municipal levels, the monitors (members of the various project monitoring committees) and the project implementers (line agencies, LGUs and government-owned or controlled corporations). 3.0 GENERAL GUIDELINES

8 EO 93 amends EO 376 (series of 1989) Establishing the Regional Project Monitoring and Evaluation System (RPMES) and for Other Purposes. EO 93 establishes the National Project Monitoring Committees (NPMC) to oversee implementation of RPMES and authorizes these, from time to time, to update and make revisions to the Manual of Operations implementing RPMES. Pursuant to the above, all concerned Development Councils / Planning Boards/ LGUs are enjoined to implement the RPMES in accordance with the Manual of Operations which prescribes the guidelines on the operationalization of the system. Likewise, the Project Implementors are also enjoined to report progress of implementation to the respective Project Monitoring Committees at regional, provincial, city and municipal levels and provide monitors more detailed information on ongoing projects facilitation/ problem-solving. 4.0 EFFECTIVITY This circular shall take effect immediately. (Sgd.) ANICETO M. SOBREPEÑA Chairman, National Project Monitoring Committee and Deputy Director-General, NEDA

9 1.0 RATIONALE In line with the government s policies on decentralization and administrative delegation, Regional Development Councils (RDCs) were reorganized and strengthened through Executive Order (EO) No. 308, which among others, tasked the RDCs with the coordination of project implementation, monitoring and evaluation. Moreover, Memorandum Order (MO) No. 175 was issued on 25 May 1998 which created Project Monitoring Committees at the provincial/city and municipal levels to monitor local government projects funded from national government and local government funds. In support of these policies and to facilitate project implementation, monitoring and evaluation at the regional and subregional levels, a Regional Project Monitoring and Evaluation System (RPMES) was established through EO 376 dated 2 November The system provides a scheme for monitoring and evaluating projects at the national, regional, provincial/city and municipal levels, with intensive and active participation of various government agencies, local government units and nongovernment organizations (NGOs) at all levels. Through the system, generation of information on the overall status of project implementation at each level and the detection of problems that impede implementation will be facilitated, so that remedial actions can be readily undertaken at the level nearest the project sites, and at the earliest time possible. This manual has been developed primarily for the Project Monitoring Committees at the regional/provincial/city/municipal levels responsible for the monitoring and evaluation of programs/projects under their jurisdiction. It provides the basic framework for monitoring and evaluating projects at all levels, the general process flow, responsibilities of units involved, the input and output forms, and the procedures of filing up the forms. Decision parameters are also included for specific/common implementation problems. Expansion of the system to include additional data inputs and outputs reports will be depend upon the various development councils at the regional, provincial, city or municipal levels. The reports suggested in the manual are the minimum required to provide basic information that will enable consolidation of information on implementation status of development projects necessary to evaluate performance and resolve implementation problems at all levels.

10 With the passage of Republic Act (RA 7160), otherwise known as the Local Government Code of 1991, monitoring of projects has been devolved to the local government unit. However, there remains a need for the coordination of project implementation, monitoring and evaluation both at the regional and national levels. Thus, a need for updating the Manual Operations for the Project Monitoring Committees at all levels to make it consistent with the devolution of monitoring functions to the local government units pursuant to the code. The National Project Monitoring Committee was established pursuant to EO 93 which amends EO 376 to coordinate various RPMES matters nationwide. EO 93 also mandates the NPMC to update and make revision on the manual as necessary. 4

11 2.1 OBJECTIVES 2.0 OBJECTIVES AND SCOPE The RPMES primarily aims to facilitate project implementation, and devolve project facilitation, problem-solving, monitoring and evaluation to the regional, provincial/city and municipal levels. Specifically, the system aims to achieve the following objectives: a. to provide a system for the integration, coordination and linkage of all monitoring activities in the region; b. to provide up-to-date information on the overall status of project implementation at each level for planning and budget allocation, to include employment generation of the various programs/projects expressed in man-days; c. to identify problems/issues which impede project implementation for remedial actions at the regional and subregional levels and to elevate unresolved issues and problems at these levels to the Cabinet or the President for resolution and final action through the NPMC, CORD or Presidential Assistants (PAs) as appropriate; d. to provide information on lessons learned in project implementation for planning and implementation of future similar projects; e. to assess and ascertain whether projects implemented are supportive of regional development goals and plans as well as national development thrusts and priorities; and f. to provide a venue for greater participation of nongovernment organizations (NGOs) in the development planning progress. 2.2 SCOPE AND COVERAGE Monitoring and evaluation under the RPMES will cover all development projects undertaken by Government Agencies (GAs), Local Government Units (LGUs), State Colleges and Universities, and Government-Owned and Controlled Corporations (GOCCs) at the regional, provincial/city and municipal levels during the fiscal year, inclusive of backlogs from previous fiscal years. 5

12 Development projects include: (a) projects which are capital -forming and contributing directly to the country s productive capacity; (b) preinvestment studies, research and development, and institutional development activities; and (c ) pro-poor and other similar projects under direction and special programs of the President through Presidential Management Staff (PMS) and other Cabinet offices. These projects may be funded by the National Government with or without foreign assistance, or financed purely from local revenues of LGUs. Projects to be covered, in more specific terms include the following: a. those under the General Appropriations Act for the current fiscal year; b. those which comprise the approved National Infrastructure Program; c. those undertaken by government-owned and controlled corporations, with or without subsidy or equity contribution from the national government; and d. those implemented by local government units, with or without budgetary assistance from the national government, specifically including those funded from the 20 percent of the internal revenue allotment share appropriated for development projects. National Level: The National Project Monitoring Committee will monitor all development projects undertaken by government agencies, LGUs, SCUs and GOCCs and prepare consolidated reports based on monitoring outputs of the Regional Project Monitoring Committees. Regional Level: Projects that will be monitored and evaluated at the regional level include: a. all foreign-assisted projects (loan or grant funded); b. interprovincial projects implemented in two or more provinces in the region; c. all area development projects; and d. nationally-funded projects implemented in the region and other projects considered critical by the Office of the President, regional development councils/planning board. 6

13 Provincial/City Level: At the provincial/city level, the scope of monitoring will include projects implemented and managed at these levels and projects classified under any of the following: a. foreign and nationally-funded projects, which are implemented or located in two or several municipalities in the province (provincial projects and/or intermunicipal projects) or implemented or located in the city; b. other projects implemented and managed at the provincial/city level with funding generated from provincial/city sources. Municipal Level: At the municipal level, the scope of monitoring will include projects implemented and managed at these levels and projects classified under any of the following: a. foreign and nationally-funded projects, which are implemented or located in the municipality; b. other projects implemented and managed at the municipal level with funding generated from local sources. 7

14 3.0 ORGANIZATIONAL FRAMEWORK The operationalization of the RPMES will be undertaken by a number of units/entities acting as coordinators, monitors, and project implementors. 3.1 COORDINATION ACTIVITIES To ensure that the RPMES activities are coordinated in terms of information dissemination, submission of reports, monitoring and evaluation of project implementation, feedback and problem-solving, coordinative mechanism of the system will be provided at the various levels. The NEDA Board through the NPMC will oversee the implementation of the RPMES at all levels. Coordination of PMC activities at the subnational levels will be the responsibility of the various development councils. Regionwide and interregional coordination will be handled by the Regional Development Councils (RDCs), the Metropolitan Manila Authority, Regional Planning and Development Board of ARMM, Cordillera Executive Board of CAR and other similar bodies which may be established. Coordination at the provincial and municipal levels will be undertaken by the Provincial Development Councils, the City Development Councils and the Municipal Development Councils. 3.2 PLANNING, PROGRAMMING, SCHEDULING, AND MONITORING ACTIVITIES Operationalization of the RPMES will be undertaken by the NPMC through the Project Monitoring Committees (PMCs) created in each region through EO 376 and EO 93 in each province, city and municipality as mandated by RA 7160 (LGC). These PMCs will be responsible for planning, programming and scheduling monitoring activities and for monitoring and evaluating the implementation of development projects at their respective levels. The RPMES provides for the extensive and active participation of NGOs, private volunteer organizations (PVOs) and concerned citizens as authorized monitors at all levels. 3.3 PROJECT IMPLEMENTATION ACTIVITIES The implementation of development projects at various levels will be undertaken by regular government agencies, nonfinancial government-owned or controlled corporations, and local government units. They will provide monitors with their respective annual work and financial plans, and status reports on project implementation. 8

15 RPMES ORGANIZATIONAL FRAMEWORK IAs/GOCC IMPLEMENTORS LGU IMPLEMENTORS MONITORS COORDINATORS AGENCY CENTRAL OFFICE NATIONAL PROJECT MONITORING COMMITTEE NEDA BOARD/ RDC-CORD AGENCY REGIONAL OFFICE REGIONAL PROJECT MONITORING COMMITTEE REGIONAL DEVELOPMENT COUNCIL AGENCY FIELD/ DISTRICT OFFICES PROVINCIAL/ CITY PROJECT MONITORING COMMITTEE PROVINCIAL/ CITY DEVELOPMENT COUNCIL PROVINCIAL/ CITY OFFICES (Eng g Agri. Environment/ Natural Resources) MUNICIPAL GOVERNMENT OFFICES (Eng g Agri. Environment/ Natural Resources) MUNICIPAL PROJECT MONITORING COMMITTEE CITY DEVELOPMENT COUNCIL 9

16 4.0 ORGANIZATION OF PROJECT MONITORING COMMITTEES 4.1 MEMBERSHIP The Project Monitoring Committees (PMCs) established in each region through the EO 376 and in each province, city and municipality through MO 175, as amended will be composed of the following: National PMC NEDA Deputy Director-General Chairman DBM Undersecretary Co-Chairman PMS-OP Head Member DILG Undersecretary Member A technical working group among NEDA, DBM, DILG and PMS-OP will be created. The NEDA will serve as the Secretariat of the NPMC. Regional PMC NEDA Regional Director Chairman DBM Regional Director Co-Chairman DILG Regional Director Member PMS-OP Regional Team Leader Member One RDC-NGO Representative Member Two NGO Representatives Members The NEDA Regional Office will serve as the Secretariat of the RPMC. Provincial/City/Municipal PMC The composition of the local PMCs will be left to the discretion of the Local Development Council subject to inclusion of the following as mandatory members of the PMC: DILG Representative or Provincial/City/Local Government Officer assigned in the area 10

17 One Representative of NGO/PO One Representative of NGO members in the Local Development Council Four PMC members appointed by the Local Chief Executive from among the nominees of the Local Development Council nominated out of the seven PMC members The Chairman will be appointed by the local chief executive from among three nominees of the Local Development Council nominated out of the seven PMC members. 4.2 CREATION OF PMCS Region 1. The RPMC Chairman, Co-Chairman and RPMC members, shall initiate the creation of the PMC by calling for an organizational meeting to be attended by RDC-NGO members and NGO representatives, to discuss the objectives and functions of the RPMC. 2. In the said meeting, the NGO representatives shall recommend the persons who will be nominated to the RPMC. The RDC-NGO members shall submit the name of their nominees to the RDC Chairman and Co-Chairman, thru the RPMC Chairman copy furnished the RPMC Co-Chairman, for selection and appointment of the NGO members to the RPMC. Province/City/Municipality 1. The Provincial/City/Municipal Development Council shall initiate the creation of the PMC by deciding on its composition and procedure for appointing members of the PMC and calling an organizational meeting to be attended by those concerned (PMC Chairman and members) to discuss the objectives and functions of the PMC. 2. In the said meeting, the NGO representatives shall recommend nominees to the PMC who shall sit as LDC-NGO members. The PMC Chairman shall then submit the names of these NGO nominees to the Local Development Council for selection and appointment. 11

18 4.3 SELECTION AND APPOINTMENT OF NGO MEMBERS Regional The selection and appointment of NGO representatives to the Regional PMCs will be guided by a set of criteria prescribed under Section 4.2 of the DBM-NEDA Joint Circular 1-90, as amended. a. the NGO representatives of the Regional Development Council shall nominate all the NGO representatives to the PMC. All NGO nominees must meet the following basic qualifications: he must be a Filipino citizen; he must be a member in good standing of a civic, religious, or any other NGO preferably with chapters or extensions in all provinces and cities in the region; and he must be nominated by the NGO member of the RDC. b. all nominations shall be submitted to the RDC Chairman and Co-Chairman, thru the RPMC Chairman and Co-Chairman for selection and appointment. Nominations must be accompanied by the bio-data of each nominee and certification of membership in good standing of the NGO with which the nominee is affiliated with. c. the RDC Chairman and Co-Chairman, from among the nominees of the NGO members of the RDC shall select and appoint the NGO members to the PMC following the qualification guidelines. d. the term of appointment of NGO member to the PMC shall be one year without prejudice to reappointment or a maximum of three (3) years membership in the PMC. The appointment may be terminated at any time through the joint signatures of the RDC Chairman and Co-Chairman. e. an appointment may be made to fill up the unexpired term of an NGO member whose services has been terminated. f. the NGO member of the regional PMC shall be entitled to an honorarium at the same rate as that of the regular RDC-NGO members allowed under MO No. 195, dated 24 October

19 4.3.2 Province/City/Municipality Provincial/City/Municipal PMCs, on the other hand, will be guided by a set of criteria stipulated under Section 4.2 of the DBM-DOF Joint Circular 2 88 dated 3 October 1988 as amended. a. the NGO representatives of the Local Development Council shall nominate the NGO/PO representatives to the PMC. All NGO/PO nominees must meet the following basic qualifications: he must be a member in good standing of a civic, religious or any other nongovernment organization located in the province/city/ municipality concerned; he must be a Filipino citizen; he must not be related by affinity or consanguinity up to the fourth degree to the Chief Local Executive concerned; and he must be nominated by the NGO/PO members of the Local Development Council. b. the Local Chief Executive shall appoint the NGO/PO nominees. c. the term of appointment of the NGO/PO member to the PMC shall be one year without prejudice to reappointment. The term of appointment may be terminated at any time by the joint signatures of the LDC Chairman and Co-Chairman. d. an appointment may be extended to fill up the unexpired term of a member whose service is terminated. e. the NGO/PO Member of the provincial/city/municipal PMC shall be entitled to incentives or honorarium at rates determined by RPMC, the granting of which will be tied to reporting of status of projects to RPMC including participation in M&E activities. 13

20 5.0 RESPONSIBILITIES OF ENTITIES The specific roles and responsibilities of the various units/organizations involved in implementation of the monitoring and evaluation system are as follows: NATIONAL ECONOMIC AND DEVELOPMENT AUTHORITY (NEDA) a. provides overall direction and coordination of RPMES activities; b. provides feedback to Regional PMCs on actions made on issues raised to the Cabinet or the President; c. provides the secretariat services as indicated; and d. conducts training jointly with DBM and DILG for the operationalization of the RPMES, together with other members of the NPMC. DEPARTMENT OF BUDGET AND MANAGEMENT (DBM) a. provides the PMCs with information on project fund releases; b. ensures that the national PMC Secretariat is provided with copies of all Advices of Allotment issued, whether comprehensively released at the start of the fiscal year, or as directed by law as in the case of certain special purpose funds which require the fulfillment of certain preconditions for release; c. evaluates and reports on the budget performance of implementing agencies; and d. facilitates timely releases of RPMES funds for monitoring activities at the national and regional levels. DEPARTMENT OF INTERIOR AND LOCAL GOVERNMENT (DILG) a. ensures expanded scope of monitoring and evaluation to include other development projects specified under EO 376 as amended; and 14

21 b. assists NEDA and other members of the NPMC in the conduct of training for the operationalization of RPMES. PRESIDENTIAL MANAGEMENT STAFF OFFICE OF THE PRESIDENT (PMS-OP) a. includes in the agenda of the CORD-RDC Chairmen meeting with the President or other appropriate venue, issues or problems raised through RPMES that require action of the Cabinet/President; b. follows up with the cabinet members/agency heads actions or recommendations to expedite project implementation; and c. provides feedback to concerned CORD-RDC chairman on problems/issues raised for discussion. DEVELOPMENT COUNCILS (RDC, PDC, CDC, MDC) a. supervise and coordinate activities of the PMCs; b. assess problems encountered in project implementation and provide remedial action possible at their levels or refer problems/issues to appropriate units or next higher development council; c. evaluate the implementation of projects and derive lessons for future planning and project implementation; d. provide policy direction in planning and budget allocation based on the overall status of project implementation; e. report on the status of project implementation to appropriate bodies (President, Cabinet, Congress, etc.) for information or action; f. inform PMCs of action taken on problems referred to appropriate units (i.e., Cabinet, OP); and g. disseminate information to the media, general public the status of project implementation in the respective areas of coverage. 15

22 LOCAL GOVERNMENT UNITS a. provide the RDC, thru the Regional PMC Secretariat, the monitoring reports of the Provincial, City and Municipal Project Monitoring Committees; and b. establish local PMCs and provide needed resources for their operation and maintenance. NATIONAL PROJECT MONITORING COMMITTEE (NPMC) a. coordinates and oversees implementation of RPMES at the national level and issues directions/instructions for efficient operation of system; b. formulates policies, strategies and guidelines for the effective conduct of M&E activities at the regional, provincial, city and municipal level (data gathering, report preparation, problem-solving); c. maintains up-to-date information on foreign-assisted projects and national development projects and prepares quarterly reports on priority programs and projects to the President, legislature, and the general public; d. conducts problem-solving sessions, monitor implementation of recommendation and conduct field monitoring visits on selected projects; and e. develops and maintains an information system to facilitate reporting from regional PMCs, and generation of reports. PROJECT MONITORING COMMITTEES (RPMC, PPMC, CPMC, MPMC) a. provide list and schedule of all projects to be monitored to NGOs involved in project monitoring; b. collect and process reports of implementers and NGO monitors on the status of project implementation for the information of the development council and next higher level project monitoring committee; c. pinpoint problems and verify information to be submitted for analysis and actions of the development council; d. provide feedback on the remedial actions of the development council and follow up their implementation; 16

23 e. prepare and disseminate periodic project monitoring report on the status of project implementation; and f. elevate to higher level bodies problems/issues which are not resolved at their level. PMC SECRETARIAT (NATIONAL LEVEL) a. recommends to NPMC policies, strategies and guidelines for the effective conduct of monitoring and evaluation activities at the national, regional and local levels; b. provides such assistance as may be required by the NPMC such as in the coordination of the implementation of the RPMES at the national, regional and local levels; c. provides feedback to regional PMCs on actions taken on issues raised at the national level; d. disseminates information on nationally-funded regional/local projects to the RPMCs; e. monitors and reports on interregional and nationwide projects and undertake facilitative actions on problems encountered; f. develops and maintains up-to-date information system in support of RPMES; and g. provides administrative support to the NPMC. PMC SECRETARIAT (REGIONAL LEVEL) a. prepares a Work and Financial Plan to cover the activities of the regional PMCs which shall be endorsed by the RDC Chairman. The WFP will be the basis for the allocation of funds for the operating requirements of RPMCs; b. prepares the monitoring program to be undertaken by the PMCs during any given fiscal year, which will include, among others, the list of projects and schedule of implementation based on submission of implementing agencies; and 17

24 c. facilitates interagency, intergovernmental and field headquarters coordination, whenever necessary. PMC SECRETARIATS (PROVINCIAL, CITY, MUNICIPAL) a. prepare the monitoring program to be undertaken by the PMCs during any given fiscal year, which will include, among others, the list of projects and schedule of implementation based on submission of implementing agencies; b. provide provincial/city/municipal chief executives with information on the project to be monitored by the local PMCs; and c. facilitate interagency, intergovernmental and field headquarters coordination, whenever necessary. PROJECT IMPLEMENTORS (regular government agencies, nonfinancial governmentowned or controlled corporations, state colleges and universities and local government units) National Level a. furnish copies of the Agency Work and Financial Plans to the National PMC Secretariat, thru the NEDA Project Monitoring Staff (NEDA -PMS) not later than two weeks after approval by DBM. The Department of Public Works and Highways and Transportation and Communications, in particular, will provide the national PMC Secretariat, thru the NEDA-PMS, copies of the National Infrastructure Program for the regions within two weeks after approval by the President. For GOCCs, copies of approved projects for the calendar year should be submitted to the National PMC Secretariat. Regional, Provincial, City, Municipal Levels a. submit periodic reports to the monitoring committee on the status of project implementation based on suggested reporting forms; b. provide authorized monitors (PMC Members) assistance in getting access to more detailed information on project implementation (e.g., detailed work program); 18

25 c. submit to next higher level office of line agency reports on status of project implementation; and d. implement/institute remedial measures on problems/issues identified as suggested by the development council. NGO-Authorized Monitors a. assist the project monitoring committee or development council in monitoring and evaluation of projects by identifying implementation problems or outstanding performance through project exception reports; b. ensure effective/efficient implementation of projects through vigilance; and c. act as government partners in ensuring transparency in project implementation. 19

26 6.0 SYSTEMS FRAMEWORK The underlying principle of the monitoring and evaluation system framework is its usefulness in enhancing the efficiency of project implementation at the various levels. Hence, the monitoring and evaluation system at any level is primarily for the purpose of expediting project implementation at that level and to determine whether the objectives of the projects are accomplished. Providing the next higher level development council with reports on the status of project implementation is only a secondary function. The schematic diagram (Figure 2) describes the overall framework for monitoring projects at each level under the RPMES. The diagram likewise traces the reporting, feedback and referral flows within the among the various levels of monitoring and evaluation national, regional, provincial/city, and municipal levels. For each level, the linkages among the project implementors as the basic source of project information, the Project Monitoring Committees as coordinators/ monitors, authorized nongovernment organizations as project monitors, and the development councils at various levels as decision-making and problem-solving bodies are traced. 20

27 RPMES: OVERALL SYSTEM FRAMEWORK NATIONAL LEVEL RDC-CORD/NEDA BOARD NEDA/ DBM/ PMS-OP/ DILG INFORMATION/APPROPRIATE ACTION/DECISION NATIONAL SECRETARIAT CONSOLIDATION OF ACO/REG L 000 REPORTS/SUBMISSION OF RECOMMENDATION/MTPIP MONITORING A C O QUARTERLY PROJECT IMPLEMENTOR prepare WFP prepare agency reports REGIONAL LEVEL SUB REGIONAL LEVEL PROVINCIAL/CITY MUNICIPAL LEVEL REGIONAL DEVELOPMENT COUNCIL discuss project implementation issues/problem-solving PROVINCIAL/CITY DEVELOPMENT COUNCIL discuss project implementation issues/problem-solving MUNICIPAL DEVELOPMENT COUNCIL discuss project implementation issues/problem-solving QUARTERLY QUARTERLY MONTHLY MONTHLY REGIONAL MONITORING COMMITTEE monitor/evaluate, consolidate regional progress reports prepare agency reports QUARTERLY MONTHLY PROVINCIAL PROJECT MONITORING COMMITTEE monitor/evaluate, validate provincial progress reports prepare agency reports MUNICIPAL PROJECT MONITORING COMMITTEE monitor/evaluate, validate provincial progress reports prepare agency reports MONTHLY MONTHLY PROJECT IMPLEMENTOR (DILG, DECS, DOH, other Implementing Agencies/ GOCCs and LGUs) NGOs/ Concerned Citizens MONTHLY PROJECT IMPLEMENTOR (Implementing Agencies/ GOCCs, NGOs and LGUs) NGOs/ Concerned Citizens PROJECT IMPLEMENTOR (Implementing Agencies/ NGOs and LGUs) NGOs/ Concerned Citizens Flowlines: REPORTING FEEDBACK REFERRAL MONITORING/VALIDATION 21

28 7.0 PROCESS FLOW 7.1 GENERAL The monitoring and evaluation process starts with the planning, programming and scheduling of monitoring activities to be undertaken by the respective PMCs for the year. The following documents will be prepared: a. Work and Financial Plan (WFP) to cover the activities of the regional and provincial, city, municipal PMCs during the calendar year. The WFP will be prepared by each Regional PMC following the guidelines set by the DBM as basis for the allocation of funds for the operating requirements of the regional PMCs. The WFP endorsed by the RDC Chairman should be coursed through the DBM Regional Office for evaluation and endorsement to the DBM Central Office for approval. b. Monitoring Plan (MP) which shall include, among others, the list of projects to be covered by the RPMES during the year, and the corresponding schedules of implementation. The monitoring plan will be prepared by PMC Secretariats at the national and regional levels based on the submission of implementing agencies. The scope of monitoring at each level will be guided by the guidelines set in Section 2.2 of this manual. c. Monitoring Work Program (MWP) which shall serve as operational checklist on the sequential activities required to achieve the objectives of the monitoring and evaluation. The MWP shall contain adequate information and shall specify particular projects to be inspected, responsibilities, timetables, performance standards and targets, budgets, etc. It will be prepared by the PMCs at the regional level based on the monitoring plans prepared by the PMC Secretariats, and the initial reports and Work and Financial Plans from implementing agencies. The MWP will be distributed to all units involved in the RPMES. Once the projects are in motion, monitoring and evaluation of the performance of projects will be undertaken. Project monitoring inputs will come from project implementers and NGOs, and submitted to the Project Monitoring Committees for processing and consolidation. Where verification or validation of reports are needed, project visits will be conducted by the PMCs. 22

29 The consolidated reports will be submitted to the development councils for information and evaluation. Problems encountered in project implementation will be assessed to determine the remedial actions that can be undertaken at their level. The discussion of the project implementation issues will be included in the agenda of the development councils meeting. It will take the form of a problem-solving session with concerned implementing agencies attending. If the problems/issues cannot be resolved at their level, these issues will be elevated to the higher level Development council (e.g., issues that cannot be resolved at the municipal level will be elevated to the provincial level, or directly from the municipal level to the regional level for problems that require RDC action). Project Monitoring Committees will likewise submit regular consolidated reports to the next higher level PMC, but these will only serve as secondary sources of data on project implementation. The primary sources of data will still be the project implementors and NGOs at the same level as the PMC. Consolidation and submission of reports at the municipal, city and provincial levels will be done on a monthly basis, and quarterly for the regional level. The output reports prepared at the regional level will be submitted to the RPMES National Secretariat, copy furnished the DBM, for integration/ consolidation. The consolidated report will then be used as input during the Problem-Solving Sessions (PSS) of the CORD-RDCC meeting, with the President or the Presidential Assistants or NPMC with the regions. 7.2 NATIONAL LEVEL 1. All national government agencies will furnish copies of their Work and Financial Plans covering respective Public Investment Program/ Projects to the NPMC Secretariat excluding internal administration support, and capital outlays to the National PMC Secretariat through the NEDA-PMS not later than two weeks after approval by DBM. Specifically, DPWH and DOTC will provide the National PMC Secretariat, through the NEDA-PMS, copies of the National Infrastructure Program for the regions within two weeks after approval by the President. 2. The DBM will ensure that the National Secretariat is provided with copies of all Advice of Allotments issued, whether comprehensively released at the start of the fiscal year or as directed by law as in the case of certain special purpose funds which require the fulfillment of certain preconditions of release, including issuance of Notice of Cash Allocation to implementers. 23

30 3. The National PMC Secretariat will disseminate information on projects to be monitored by the regional and provincial, city and municipal PMCs to the different RDCs. The Regional PMCs shall be responsible for disseminating information on projects to be monitored to the provincial, city and municipal levels. 4. The project implementers will undertake projects and prepare and submit status reports of project implementation to the National PMC. 5. National PMC Secretariat will assess agency reports and conduct project visits for selected projects as may be identified based on established criteria. 6. National PMC Secretariat will process reports of various implementing agencies, RDCs and prepare QUARTERLY consolidated report on status of project implementation. 7. The national PMC will evaluate problems, provide/formulate recommendations and submit these to the Office of the President/ Cabinet for appropriate action or may initiate problem-solving sessions with the Cabinet and the President. 8. National PMC Secretariat will provide feedback to concerned implementers/rdcs/pmcs/lgus/ngos and other concerned agencies and follow up implementation of remedial measures. 7.3 REGIONAL LEVEL 1. The RPMC, upon receipt of information on projects to be monitored, will classify projects which may be monitored, either thru desk monitoring or actual validation/ocular inspection, at the provincial, city and municipal levels. Information on projects to be monitored will come from the following sources: a. Monitoring Plan prepared by the National PMC Secretariat; b. Work and Financial Plans/Initial Project Reports submitted by the Regional Offices of Regular Government Agencies; c. Reports provided by DBM Regional Offices, such as list of projects funded out of the General Appropriations Act and/or the Infrastructure Program; and d. Work programs for locally-funded projects submitted by the Local Chief Executives. 24

31 2. The RPMC will prepare the Work and Financial Plan to cover the activities of the regional PMCs which shall be endorsed by the RDC Chairman to the DBM Regional Office as basis for the allocation of funds for the operating requirements at the regional level PMCs. 3. The RPMC Secretariat will prepare the monitoring plan to be undertaken by the regional/provincial, city, municipal PMCs which shall include, among others, the list of projects and schedule of implementation based on the submission of implementing agencies. 4. The RPMC Secretariat will provide the NGOs with the Regional Monitoring Plan, and the provincial/city/municipal PMCs and Chief Executives with information on projects to be monitored at their level. 5. The RPMC will prepare its monitoring work program for the calendar year. 6. The project implementers will undertake projects and prepare and submit status reports of project implementation to the RPMC. 7. NGOs (RPMC members or other independent NGOs/Pos and concerned citizens) will submit project exception reports to the RPMC, copy furnished the implementors. 8. RPMC will assess NGO and agency reports and conduct project visits for selected projects as may be identified based on established criteria. 9. RPMC will process reports of various implementing agencies, provincial PMCs and provide RDC a consolidated report on status of project implementation. 10. RPMC will evaluate problems and provide/formulate recommendations during its regular MONTHLY or special meetings, and submit same to RDC for appropriate action. 11. RDC will assess reports and take proper action (problem-solving, referral to other agencies/council/bodies). 12. RPMC will provide feedback to concerned implementors/lgus/ngos and other concerned agencies and follow up implementation of remedial measures. 13. RPMC will forward status report on project implementation to the National PMC Secretariat and other higher level bodies. 25

32 7.4 PROVINCIAL/CITY LEVELS 1. The Provincial/City PMC Secretariat will include Provincial/City-funded development projects (20% of the IRA share) in the monitoring plan and provide copies to the NGOs. The monitoring plan will contain information on projects to be implemented at these levels. 2. The Provincial/City PMC will prepare its monitoring work program for the calendar year. 3. Project implementors will undertake projects and prepare and submit status reports on project implementation to Provincial/City PMC. 4. NGOs (Provincial/City PMC members or independent NGOs/PVOs and concerned citizens) will submit project exception reports to the Provincial/City PMC, copy furnished the project implementors. 5. Provincial/City PMC will assess reports of implementors (agency or LGU) and NGOs, and conduct project visits of projects as identified in the monitoring work program. 6. Provincial/City PMC will process reports of various implementors and municipal PMCs, and provide Provincial Development Council with a consolidated report on status of project implementation in the province. 7. Provincial/City PMC will evaluate problems, recommend solutions during its regular or special meetings, and refer these to the Provincial/City Development Council for appropriate action. The provincial/city PMC will hold regular QUARTERLY meetings for this purpose or call special meetings as needed. 8. PDC/CDC will assess reports and take proper action (problem-solving, referral to appropriate agencies/council). 9. Implementors will take remedial action on problems/issues encountered in project implementation. If, after a reasonable period of time, no remedial measure/ appropriate action has been taken on the problems referred to the concerned agency/local development council, the Provincial/City PMC will forward the issue to the RDC. 10. Provincial/City PMC will provide feedback to concerned implementors, LGUs, NGOs and other concerned agencies and follow up implementation of remedial measures. 26

33 11. Provincial/City PMC will forward consolidated status report on project implementation in the province/city to the RPMC. 7.5 MUNICIPAL LEVEL 1. The Municipal PMC Secretariat will prepare its monitoring work program for the calendar year. 2. Project implementors will prepare and submit status reports on project implementation to the municipal PMC. 3. NGOs (Municipal PMC members and other independent NGOs/ PVOs and concerned citizens) will submit project exception reports to the municipal PMC, copy furnished the implementors. 4. Municipal PMC will assess NGO and agency/lgu reports, and conduct project visits for selected projects as identified in the municipal monitoring work program. 5. Municipal PMC will process reports of various implementors and provide the MDC a consolidated report on the status of project implementation in the municipality. 6. Municipal PMC will evaluate problems, formulate recommendations and refer these to the municipal Development Council for appropriate action. (It is su ggested that the municipal PMC will hold MONTHLY meetings for this purpose). 7. MDC will assess reports and take proper action (problem-solving, referral to appropriate agencies/council). 8. Implementors will take remedial action on problems/issues encountered in project implementation. If after a reasonable period of time, no remedial measures/appropriate actions have been taken on the problems referred to the concerned agency/local development council, the Municipal PMC will forward the issue to the PDC. 9. Municipal PMC will provide feedback to concerned implementors, LGUs, NGOs and other concerned agencies and follow up implementation of remedial measures. 10. Municipal PMC will forward consolidated status report on project implementation in the province/city to the Provincial PMC. 27

34 8.0 REPORTING 8.1 GENERAL GUIDELINES To continuously monitor the funds earmarked for each project/activity in relation to the agency/lgu accomplishment, the prescribed reports shall be accomplished by the various implementors and monitoring units for capital investment project/activity implemented. Option for the use of input forms is available subject to conditions mentioned in Sec and 8.5. However, output report forms for PMCs are prescribed to facilitate consolidation of report. 1. The implementors shall accomplish the following input reports: a. Initial Project Reports containing basic information on projects to be implemented and activities to be undertaken during the year. These include name of project, schedules, financial and physical targets for each project/activity. These are accomplished at the beginning of the year or before project implementation, or when there are revisions in the project targets. (RPMES Form No. I-1 Monthly Physical and Financial Targets) b. Physical and Financial Accomplishment Report containing information on the status or progress of projects implemented or activities undertaken. The cutoff date for reporting project accomplishment shall be the 25th day of the month covering the period of report. (RPMES Form No. I-2 Monthly Physical and Financial Accomplishment Report) 2. The following output reports shall comprise the Consolidated Monitoring Report of the Project Monitoring Committees at various levels, which shall be submitted to the Development Councils and the next level PMC: a. Report on the Status of Projects Encountering Problems in Implementation (RPMES Form No. 0-1) b. Project Monitoring Report by Project, by Agency and by Sector (RPMES Form Nos. 0-2, 0-3 and 0-4) 3. NGO/PO authorized monitors are encouraged to submit the Project Exception Report for outstanding performance by implementors. Likewise, they shall submit the same for problems/issues encountered in project implementation. 28

35 4. The output reports of the Provincial PMCs and progress reports of regional implementors shall be processed into consolidated monitoring reports. 5. As a general rule, the public shall be given access to RPMES reports and other documents. 6. The PMCs shall see to it that members of Congress, among others, are regularly briefed on the status of projects in their respective districts. 7. The suggested reporting formats under the RPMES contain the minimum information requirements for monitoring physical and financial performance of implementors. Thus, other existing monitoring reports required of agencies/monitors by mother agencies/other bodies may continue to be accomplished. However, it is encouraged that RPMES formats be utilized and other information desired/required of implementors be indicated as additional data in said RPMES forms. 8. A reporting option is available within RPMES which provides for the use of the project implementors existing reporting formats in submitting reports, provided that all the information requirements of the RPMES can be satisfied, with regards to coverage, content and frequency. The PMC concerned will decide on the usefulness/acceptability of the existing agency reports for RPMES purposes. Moreover, it (PMC) will have to inform implementing agencies on data gaps in their reports for subsequent reporting. 9. The existing reporting requirements of the Department of Public Works and Highways for infrastructure projects requiring the S-curve (for projects above P3 million and with gestation periods of more than one year), will continue to be accomplished, provided that same be furnished the RPMC and other project monitoring committees concerned. However, for projects costing below P3 million, the accomplishment of the prescribed RPMES forms is required. 8.2 INPUT FORMS To come up with the desired outputs, the RPMES suggests three (3) input forms to be accomplished by implementing agencies and NGOs. The formats of the input forms are simple and contain only the minimum information required for project monitoring and evaluation. These forms are used in monitoring and reporting the status of project implementation for a single year. 29