PPP Center Operations Manual DEC 2015

Table of Contents
I.
FOREWORD
II.
INTRODUCTION
III.
ACRONYMS
IV.
GLOSSARY OF TERMS
V.
GENERAL INFORMATION ABOUT THE AGENCY
VI.
ORGANIZATION AND RESPONSIBILITIES
VII.
OPERATIONAL CONTROL AND SUPERVISION
VIII.
CONTROL OF RECORDS AND DOCUMENTS

A. PPP Center Library General Policies and Procedures

B. Recordkeeping Policies and Procedures
IX.
OPERATING PROCEDURES

A. Project Development Process

B. PDMF Process

C. PDMF Process (Signing of TAA between PPPC and NGA/LGU)

D. PPP Monitoring Framework and Protocols

i. Implementing Agency

ii. Project Proponent

iii. PPP Center

E. Appraisal of Projects
X.
ANNEXES
2
3
4
8
12
15
17
41
41
49
62
62
64
65
66
66
67
68
69
71
List of Figures
Figure 1 PPPC Revised Logical Framework
Figure 2 Organizational Structure
Figure 3 PPPC Services and Responsibilities
Figure 4 Project Development Process
Figure 5 Project Development Process (Cont)
Figure 6 PDMF Process
Figure 7 PDMF Process
Figure 8 Monitoring Framework - Implementing Agency
Figure 9 Monitoring Framework - Project Proponent
Figure 10 Monitoring Framework - PPP Center
Figure 11. Appraisal of Projects Process
Figure 12 Appraisal of PPP Projects Process (Cont)
Figure 13 Process Flow of Incoming/Outgoing Mail

List of Tables
Table 1. Borrowing Privileges
Table 2. Access of Library Materials
14
15
16
62
63
64
65
66
67
68
69
70
72
46
47
Public-Private
Partnership Center of the Philippines
_____________________________________________________________
I. FOREWORD
The PPP Center Manual of Operations is a guidebook that lays out the
guidelines in effectively performing and completing the core processes/
area of operations of the organization. A consolidation and enhancement
of all existing and relevant policies related to the day-to-day operations of
the Center, the manual has been formulated in compliance with Executive
Order No. 80 and Memorandum Circular 2015-1 issued by A.O. 25 InterAgency Task Force or the Guidelines for the grant of 2015 PerformanceBased Bonus. It focuses on the Centers selected core processes, namely:
a) Project Preparation; b) Management of the Project Development and
Monitoring Facility; c) Projects Appraisal, Monitoring and Evaluation; and
d) conduct of trainings and capability building activities to agencies/LGUs in
PPP project preparation and development.
Cognizant of the current Administrations vow to improve public service in
the country and consistent with the core values upheld by the PPP Center,
the manual is seen to aid each personnel to consistently deliver timely and
quality public service to its clients and partners.
The concerned units and the Center as a whole are therefore guided in all its
undertakings by a well-established and documented system of operations.
COSETTE V. CANILAO

Executive Director
Operations Manual
_____________________________________________________________
II. INTRODUCTION
This Manual of Operations (MOO) is a controlled document of the Public-Private
Partnership (PPP) Center outlining in detail and providing guidelines and established
business processes for the core outputs and services offered to all of its stakeholders.
The core business processes of the Center shall be governed by and adhere to
the procedures contained in the MOO to ensure delivery of quality output by the
concerned units and the Center as a whole. As an initial step in the long-term
goal of securing ISO certification, the MOO is seen to provide an institutionalized
guidebook in service delivery. Process maps or diagrams shall provide a simple
and graphical representation of the processes of the following Services: Capacity
Building and Knowledge Management Service (CBKMS), Project Development
Service (PDS), Policy Formulation, Project Evaluation and Monitoring Service
(PFPEMS), and Project Development and Monitoring Facility Service (PDMFS).
Other support or key processes that may later be identified as critical to the Centers
mandate may be included in the MOO. Concerned Services or process owners may
initiate and propose any addition or amendment to the manual through a formal
communication to the Corporate Planning and Development Division (CPDD), which
shall initiate the process and culminate with the approval of the Executive Director.
The Manual shall be distributed to all Service/unit heads through e-mail and printed
material. It shall likewise be made readily available at the Centers Library for easy
access and reference.
Public-Private
_____________________________________________________________
III. ACRONYMS
ADB. Asian Development Bank
AdS. Administrative Service
AusAid. Australian International Agency for International Development
BOT. Build-Operate-Transfer
BSP. Bangko Sentral ng Pilipinas
CBKMS. Capacity Building and Knowledge Management Service
CD. Compact Disc
CDP. City Development Plan
CD-ROM. Compact Disc Read Only Memory
CIDA. Canadian International Development Agency
COA. Commission on Audit
CPDD. Corporate Planning and Development Division
DED. Deputy Executive Director
DED. Detailed Engineering Design
DENR-EMB. Department of Environment and Natural Resources Environmental
Management Bureau
DOF. Department of Finance
D-PDS. Director-Project Development Service
DVD. Digital Video Disc
ED. Executive Director
EO. Executive Order
4
Operations Manual
_____________________________________________________________
FS. Feasibility Study
GFI. Government Financial Institution
GOCC. Government Owned and Controlled Corporation
GRDS. General Records Disposition Schedule
GSD. General Services Division
IA. Implementing Agency
IA-PBAC. Implementing Agency-Prequalification Bids and Awards Committee
IA-PM. Implementing Agency Project Manager
IC. Independent Consultant
ICC. Investment Coordination Committee
ICC-CC. Investment Coordination Committee Cabinet Committee
ID. Identification Document
IPR. Intellectual Property Rights
IRR. Implementing Rules and Regulations
KMD. Knowledge Management Division
LGU. Local Government Units
LS. Legal Service
MANCOM. Management Committee
MDP. Municipal Development Plan
MISD. Management Information Systems Division
NAP. National Archives of the Philippines
Public-Private
_____________________________________________________________
NEDA. National Economic Development Authority
NGA. National Government Agency
NOA. Notice of Award
ODED. Office of the Deputy Executive Director
OED. Office of the Executive Director
PAGASA-DOST. Philippine Atmospheric, Geophysical and Astronomical
Services Administration- Department of Science and Technology
PBAC. Prequalification, Bids and Awards Committee
PDMF. Project Development and Monitoring Facility
PDMFS. Project Development and Monitoring Facility Service
PDP. Philippine Development Plan
PDO. Project Development Officer
PDS. Project Development Service
PDS-PM. Project Development Service-Project Manager
PEO. Project Evaluation Officer
PFPEMS. Policy Formulation, Project Evaluation and Monitoring Service
PIDS. Philippine Institute for Development Studies
PM. Project Manager
PMD. Project Monitoring Division
PMO. Project Monitoring Officer
PPP. Public-Private Partnership
PPPC. Public-Private Partnership Center
6
Operations Manual
_____________________________________________________________
PSA. Philippine Statistics Authority
PSG. Project Steering Group
PST. Philippine Standard Time
RA. Republic Act
RAU. Records and Archives Unit
RDP. Regional Development Plan
RDS. Records Disposition Schedule
RFP. Request for Proposal
RMIC. Records Management Improvement Committee
RO. Records Officer
ROWA. Right of Way Acquisition
SUC. State Universities and Colleges
TA. Transaction Advisors
TAA. Technical Assistance Agreement
TOR. Terms of Reference
TWG. Technical Working Group
UP. University of the Philippines
Public-Private
_____________________________________________________________
IV.
GLOSSARY OF TERMS
Active records. Refers to records used to conduct current PPPC/Services

businesses, and that are generally maintained in office space and equipment
located in the respective service areas.
Agency Records Disposition Schedule (ARDS). Refers to the listing of the series
of records of the PPPC showing the period of time it should remain in the office
area, in the storage (inactive) area, and its preservation or destruction.
Bit depth. Determined by the number of bits used to define each pixel.
Business Process. Refers to established and duly-approved procedures and
guidelines followed by the Services and the Center to ensure timely and quality
delivery of outputs.
Compression. Algorithms designed to reduce the size of the image for storage or
transmission.

a) Lossless schemes - abbreviate the binary code without discarding

any information, so that when the image is decompressed it is bit for bit

identical to the original. Most often used with bitonal scanning of textual

material.

b) Lossy schemes (e.g., JPEG) utilize a means for averaging or discarding

the least significant information, based on an understanding of visual

perception; typically used with tonal images.
Core Outputs. Refers to the identified deliverables of Services directly and
significantly contributing to the attainment of the Centers goals and mandates.
Derivative. An image created from the master image, through some kind of image
editing process to create a user or working copy.
Digital images. Electronic snapshots taken of a scene or scanned from documents,
such as photographs, manuscripts, printed texts, and artwork.
Digital Repository / Archive. Where digital content and assets are stored and can
be retrieved for later use. Digital repositories may include research outputs and
journal articles, theses, e-learning objects and teaching materials or research data.
Operations Manual
_____________________________________________________________
Digitization. Also known as imaging or scanning, is the means of converting hardcopy or non-digital records into digital format.
Document. Refers to recorded information regardless of medium or
characteristics. Frequently used interchangeably with records.
File. Refers to: 1) a folder containing records; or a collection of records involving
a specific name or topic; 2) a class of records in a separate group or series of file
drawers; or 3) the operation involved in arranging records in systematic order.
File formats. Consist of both the bits that comprise the image and header
information on how to read and interpret the file.
File size. Calculated by multiplying the surface area of a document (height x
width) to be scanned by the bit depth and the dpi2.
File Station. Refers to steel filing cabinets, open wooded shelves, vaults,
corrugated boxes, file jackets and other similar equipmentused to keep the
records of the agency.
General Records Disposition Schedule. Refers to a records control schedule
governing the disposition of specified recurring record series common to all
government agencies issued by National Archives of the Philippines.
Master. A faithful digital reproduction of a document, optimized for longevity and
for production of a range of delivery versions (derivatives). Masters are captured
at the highest practicable quality or resolution and stored for long-term usage.
Metadata. The information used to describe the intellectual content as well as
the technical properties of a digital asset, such as date/time of creation, subject,
restrictions, equipment used, dimensions, location, title or other descriptors.
Non-current Records. Refers to files that deal with completed or adjourned
business not needed for action or reference in continuing agency transactions but
have continuing research or historical value to the government and public.
Public-Private
_____________________________________________________________
Optical Character Recognition (OCR). The mechanical or electronic conversion
of scanned images of handwritten, typewritten or printed text into machineencoded text.
Pixel dimensions. The horizontal and vertical measurements of an image
expressed in pixels.
Portable Document Format (PDF). A file format used to represent documents in
a manner independent of application software, hardware, and operating systems.
Portable Network Graphics (PNG). A raster graphics file format that supports
lossless data compression. PNG was created as an improved, non-patented
replacement for Graphics Interchange Format (GIF), and is the most used lossless
image compression format on the World Wide Web.
Preservation. Refers to all actions taken to delay deterioration of, or prevent
damage to, cultural materials and controlling the environment and conditions of
use and may include treatment to maintain materials as nearly as possible in an
unchanging state.
Public Records. Refer to record or classes of records, in any form, in whole or in
part created or received, whether before or after the effectivity of RA 9470, by a
government agency or its successors as evidence or because of the information
contained therein.
Records. Refer to information, whether in its original form or otherwise, including
documents, signatures, seals, texts, images, sounds, speeches, or data
compiled, recorded, or stored, as the case maybe:

1) in written form or any material; or

2) on film, negative, tape, or other medium so as to be capable of

being reproduced; or

3) by means of any recording device or process, computer, or other

electronic device or process;
Records Center/Storage Area. Refers to an intermediate repository in which
non-current records of various government offices are stored until they can be
destroyed or transferred to the National Archives of the Philippines.
Records Custodian. Refers to an employee with responsibilities over a particular
set of records. A records custodian must keep the Records Officer informed of
any issues regarding the records in their custody.
10
Operations Manual
_____________________________________________________________
Records Officer. Refers to the employee responsible for overseeing the records
management program and providing guidance on adequate and proper record
keeping.
Records Series. Refer to a group of related records arranged under a single unit
or kept together as a unit because they deal with a particular subject, result from
the same activity or have a special form.
Records Disposition. Refers to the systematic transfer of non-current records
from office to storage area, identification and preservation of archival records, and
the destruction of valueless records.
Resolution. A measure of the ability to capture detail in the original work. Dotsper-inch (dpi) or pixels-per-inch (ppi) are common and synonymous terms used to
express resolution for digital images.
Service. Refers to the unit in the PPP Center headed by a Service Director and
duly mandated to perform specific tasks to contribute to the achievement of the
overall goal and commitments of the agency.
Tagged Image File Format (TIFF). A file format for storing images.

Valueless Records. Refer to records that have reached the prescribed retention
period and outlived the usefulness to the agency or the government as a whole.
11
Public-Private
_____________________________________________________________
V.
GENERAL INFORMATION ABOUT THE AGENCY
By virtue of the Executive Order No. 8 series of 2010, as amended by Executive

Order No. 136 series of 2013, the PPP Center is mandated to facilitate the
implementation of the countrys PPP Program and Projects.
The PPP Center is the main driver of the PPP Program. It serves as the central
coordinating and monitoring agency for all PPP projects in the Philippines. It
champions the countrys PPP Program by enabling implementing agencies in all
aspects of project preparation, managing of the Project Development and Monitoring
Facility (PDMF), providing projects advisory and facilitation services, monitoring
and empowering agencies through various capacity building activities.
The PPP Center provides technical assistance to national government agencies
(NGAs), government-owned-and controlled corporations (GOCCs), government
financial institutions (GFIs), state universities and colleges (SUCs), and local
government units (LGUs) as well as to the private sector to help develop and
implement critical infrastructure and other development projects.
The PPP Center is also advocating policy reforms to improve the legal and
regulatory frameworks governing PPPs in order to maximize the great potentials
of these infrastructure and development projects in the country.
Through EO 136, the PPP Center shall act as the Secretariat of the PPP
Governing Board. The Board is the overall policy-making body for all PPP-related
matters, including the Project Development and Monitoring Facility. It shall be
responsible for setting the strategic direction of the Philippine PPP Program and
creating an enabling policy and institutional environment for PPP.
Functions

1. Conduct project facilitation and assistance to the national implementing

agencies, including government corporations and Local Government

Units (LGUs) in addressing impediments or bottlenecks in the

implementation of PPP programs and projects;

2. Provide advisory services, technical assistance, trainings and capacity

development to agencies/LGUs in PPP project preparation and

development;
12
Operations Manual
_____________________________________________________________

3. Recommend plans, policies and implementation guidelines related to

PPP in consultation with appropriate oversight committees, implementing
agencies, LGUs and the private sectors;
4. Manage and administer the Project Development and Monitoring
Facility, a revolving fund used for the preparation of business case,
pre-feasibility and feasibility studies and tender documents of PPP
programs and projects;
5. Monitor and facilitate the implementation of priority PPP programs and
projects of the agencies/LGUs, which shall be formulated by respective
agencies/LGUs in coordination with the National Economic Development
Authority (NEDA) Secretariat;
6. Establish and manage a central database system of PPP Program and
Projects;
7. Recommend improvements to timelines in processing PPP programs
and project proposals, and monitor compliance of all agencies/LGUs;
8. Prepare reports on the implementation of the PPP programs and projects
of the government for submission to the President at the end of each
year; and
9. Perform such other functions which may be critical in expediting and
implementing effectively the PPP Programs and Projects of the
Government.
The PPPC revised logical framework is shown in Figure 1. The figure shows the
relationship of the programs, activities and projects of the PPP Center in reaching
the societal goal of reducing poverty in multiple dimensions and creating quality
employment.
13
14
Figure 1. PPPC Revised Logical Framework
PPPC REVISED LOGICAL FRAMEWORK
Public-Private
_____________________________________________________________
ORGANIZATION AND RESPONSIBILITIES
Figure 2. Organizational Structure
The organizational structure of the PPP Center is shown in Figure 2. The figure shows the different services in the
PPP Center as well as the different divisions under each Service. The different responsibilities of each Service are
likewise shown in Figure 3.
VI.
Operations Manual
_____________________________________________________________
15
16
Figure 3. PPPC Services and Responsibilities
Public-Private
_____________________________________________________________
Operations Manual
_____________________________________________________________
VII.
OPERATIONAL CONTROL AND SUPERVISION
Duties and Responsibilities of Management Committee

The Management Committee (MANCOM) refers to the PPPC officials from
Director III up to the Executive Director. The following section states the duties and
responsibilities of the officials that comprise the Management Committee of the
PPP Center.
Position:
Service:
Executive Director
Office of the Executive Director
Job Summary:
The Executive Director shall be primarily responsible for providing assistance and
advice to the NEDA Director-General, ICC Board, PPP Governing Board, and PDMF
Committee on PPP programs and projects including all the variants or arrangements
under the BOT Law and Joint-Venture agreements, among others.; oversee the
efficient and effective functioning of all operating units of the PPP Center and serve
as its chief executive officer; and does other related work from time to time.
Duties and Responsibilities:
1. Set the vision, mission, goals, strategies of the PPP Center in accordance with
its mandate and in support of government policies affecting PPP;
2. Direct the development of, and approve organization plans and methods for
internal operations of the PPP Center;
3. Promulgate basic internal organization policies, rules and regulations to effectively
carry out the objectives and functions of the PPP Center;
4. Establish the PPP Centers strategic linkages and coordination with Implementing
Agencies, government owned and controlled corporations, Local Government
Units, private sectors and other stakeholders on matters relating to the programs/
projects of the President.
5. Take the lead in advocacy of PPP policies and represent the official position of
the PPP Center on all matters relating to the PPP programs/projects.
6. Supervise the operations of the PPP Center and exercise control over a group of
professionals responsible for the following functions:

a. Conduct project facilitation and assistance to the national implementing
agencies, including government corporations, and Local Government

Units (LGUs) in addressing impediments or bottlenecks in the
implementation of PPP programs and projects;
17
Public-Private
_____________________________________________________________

b. Provide advisory services, technical assistance, trainings and capacity

development to agencies/LGUs in PPP project preparation and

development;

c. Recommend plans, policies and implementation guidelines related to

PPP in consultation with appropriate oversight committees,

implementing agencies, LGUs and the private sectors;

d. Manage and administer the Project Development and Monitoring

Facility (PDMF), formerly known as the Project Development Facility

(PDF) established as a revolving fund under EO No. 44 (s. 2002).

e. Monitor and facilitate the implementation of the priority PPP

Programs and Projects of the agencies/LGUs which shall be

formulated by respective agencies/LGUs in coordination with the NEDA

Secretariat;

f. Establish and manage a central database system of PPP Programs

and Projects;

g. Recommend improvements to timelines in processing PPP programs

and project proposals, and monitor compliance of all agencies/LGUs;

h. Prepare reports on the implementation of the PPP programs and

projects of the government for submission to the President at the end of

each year; and,

i. Perform such other functions which may be critical in expediting and

implementing effectively the PPP Programs and Projects of the

Government.
7. Delegate authority to officials of the PPP Center as may be required for the
effective performance of its functions.
8. Perform other assignments as may be given by higher superiors from time to
time.
18
Operations Manual
_____________________________________________________________
Position:
Service:
Deputy Executive Director 1

Office of the Deputy Executive Director
Job Summary:
Assist the Executive Director in providing staff assistance and advice to the ICC
Board, PPP Governing Board, and PDMF Committee on PPP programs and
projects including all the variants or arrangements under the BOT Law and JointVenture agreements, among others; oversee the operations and exercise control
over a group of professionals and Services responsible for the following: 1) Project
Development Service; 2) Project Development Monitoring and Facility Service;
3) Legal Service; and 4) Administrative Service; serve as Officer-in-Charge in the
absence of the Executive Director; and does other related work from time to time.
1. Provide staff assistance and advice to the Executive Director on matters falling
within his/her functional area of responsibility;
2. Assist the Executive Director in planning, directing, and coordinating the overall
operations of the PPP Center;
3. Adopt operating policies and procedures for the effective administration of his/
her Office;
4. Coordinate, as necessary, with other officials of PPP Center on matters falling
under the areas of his/her Office;
5. Represent the PPP Center in conferences and other fora on matters falling within
his/her area of responsibility;
6. Recommend to the Executive Director completed staff work submitted by Service
Directors of his/her Office;
7. Serve as Officer-in-Charge when designated, in the absence of the Executive
Director;
8. Delegate authority for the performance of any function to the Service Directors
under/his/her supervision; and
9. Perform other assignments as may be given by the Executive Director.
19
Public-Private
_____________________________________________________________
Position:
Service:
Deputy Executive Director 2

Office of the Deputy Executive Director
Job Summary:
Assist the Executive Director in providing staff assistance and advice to the ICC
Board, PPP Governing Board, and PDMF Committee on PPP programs and
projects including all the variants or arrangements under the BOT Law and JointVenture agreements, among others; oversee the operations and exercise control
over a group of professionals and Services responsible for the following: 1) Policy
Formulation, Project Evaluation and Monitoring Service; and Capacity Building and
Knowledge Management Service; serve as Officer-in-Charge in the absence of the
Executive Director; and does other related work from time to time.
1. Provide staff assistance and advice to the Executive Director on matters falling
within his/her functional area of responsibility;
2. Assist the Executive Director in planning, directing, and coordinating the overall
operations of the PPP Center;
3. Adopt operating policies and procedures for the effective administration of his/
her Office;
4. Coordinate, as necessary, with other officials of PPP Center on matters falling
under the areas of his/her Office;
5. Represent the PPP Center in conferences and other fora on matters falling
within his/her area of responsibility;
6. Recommend to the Executive Director completed staff work submitted by Service
Directors of his/her Office;
Director;
8. Delegate authority for the performance of any function to the Service Directors
under his/her supervision; and
9. Perform other assignments as may be given by the Executive Director.
20
Operations Manual
_____________________________________________________________
Position:
Services:
Director IV
Capacity Building & Knowledge Management Service (CBKMS)
Job Summary:
Responsible for planning, directing, supervising, and coordinating the work of the
Service to ensure that its functions and responsibilities are properly carried out;
assume the supervisory functions of higher level supervisor in his/her absence; and
does other related work from time to time.
1. Oversee the operations of the Service and exercise supervision and control over
a group of professionals responsible for the following:

a. Designing and conducting training and capacity development

interventions to improve the capabilities of IAs/LGUs in the various
phases of PPP project development, approval, competition and

cooperation;

b. Serving as the knowledge center on Philippine PPPs and providing

information on the PPP Program and PPP projects;

c. Managing the PPP Centers central database system of PPP;

d. Disseminating information and promote the PPP Program to all PPP

stakeholders through various media; and

e. Establishing linkages with institutions and organizations involved in

PPP.
2. Plan and initiate the preparation of, and approve the annual work and financial
plan of the Service defining the activities it shall undertake for the year and the
Service annual budget proposal in support of said plan;
3. Adopt and implement policies, standards, rules and regulations governing the
operations and personnel of the Service, and see to their effective enforcement
therein;
4. Provide such guidelines as may be necessary to the Division Chiefs on the
approach or substantive aspects of work assignments and on the distribution/
delineation of their respective responsibilities/assignments as well as on areas
where cooperative efforts among all concerned shall be necessary or required;
5. Review and approve completed staff work recommended / submitted by the
Division Chiefs;
6. Inform staff members of general policies and new developments affecting
operations and personnel of the Service;
7. Coordinate, whenever necessary, with other Service Directors or with higher
officials of PPP Center and other government agencies in the performance of the
functions / responsibilities of the Service to facilitate its work;
21
Public-Private
_____________________________________________________________
8. Represent the official position of the Service within PPP Center on all matters
pertaining to its functions;
9. Initiate, adopt, and implement measures for management improvement within
the Service;
10. Plan and implement overall career and performance development programs for
the personnel of the Service;
11. Direct all staff assistance to PPP Center officials and internal organizational
units in its functional areas;
12. Delegate authority for performance of any function of the Service to the Division
Chief;
Director and Deputy Executive Directors; and
14. Perform other assignments as may be given by the Deputy Executive Director
and Executive Director.
22
Operations Manual
_____________________________________________________________
Position:
Service:
Director III
Capacity Building & Knowledge Management Service (CBKMS)
Job Summary:
Responsible for providing assistance to the Service Director in directing,
supervising, and coordinating the work of the Service to ensure that its functions
and responsibilities are properly carried out; assume the supervisory functions of
higher level supervisor in his/her absence; and does other related work from time
to time.
1. Assist the Service Director in the supervision and control over a group of
professionals responsible for the following:

a. Designing and conducting training and capacity development

interventions to improve the capabilities of IAs/LGUs in the various

phases of PPP project development, approval, competition and

cooperation;

b. Serving as the knowledge center on Philippine PPPs and providing

information on the PPP Program and PPP projects;

c. Managing the PPP Centers central database system of PPP;

d. Disseminating information and promote the PPP Program to all PPP

stakeholders through various media; and

e. Establishing linkages with institutions and organizations involved in PPP.
2. Advise the Director on all matters concerning the Services areas of responsibility
or in his/her specific work assignments;
3. Assist the Director in the formulation of the annual work program of the Service
and in the preparation and review of its annual budget proposals;
4. Assist the Director in delineating responsibilities and assignments among the
internal organizational units of the Service;
5. Provide specific guidelines to the Division Chiefs concerned on the approach
and substantive aspects of work assignments;
6. Review staff work/assignments and follow up on such matter requiring immediate
action/completion;
7. Handle special assignments as may be given by the Director;
8. Assist the Director in planning and implementing an overall career and
performance development plan for the personnel;
9. Assist the Director in providing all Service assistance to PPP Center officials
and internal organizational units and other government agencies in its functional
areas;
23
Public-Private
_____________________________________________________________
10. Directly act on such matters assigned or delegated to him/her by, or in the
absence of the Director;
11. Serve as Officer-in-Charge of the Service, in the absence of the Director; and
12. Perform other assignments as may be given by the Director and Deputy
Executive Director.
24
Operations Manual
_____________________________________________________________
Position:
Service:
Director IV
Project Development Service (PDS)
Job Summary:

a. Providing project facilitation and technical assistance to Implementing

Agencies (IAs) and Local Government Units (LGUs) in the:

1) Formulation, development and packaging of PPP proposals;

2) Preparation and review of Transaction Documents;

3) Evaluation and review of PPP projects;

4) Securing of approvals from approving bodies; and

5) Conducting procurement.

b. Monitoring the development of PPP pipeline of projects by IAs from

various sectors as well as LGUs.
therein;
Division Chiefs;
25
Public-Private
_____________________________________________________________
the Service;
10. Plan and implement an overall career and performance development programs
for the personnel of the Service;
Chief;
26
Operations Manual
_____________________________________________________________
Position:
Service:
Director III
Project Development Service (PDS)
Job Summary:
Responsible for providing assistance to the Service Director in directing and
supervising the operations and activities of the Service to ensure that its functions
to time.

a. Providing project facilitation and technical assistance to Implementing

Agencies (IAs) and Local Government Units (LGUs) in the:

1) Formulation, development and packaging of PPP proposals;

2) Preparation and review of Transaction Documents;

3) Evaluation and review of PPP projects;

4) Securing of approvals from approving bodies; and

5) Conducting procurement.

b. Monitoring the development of PPP pipeline of projects by IAs from
various sectors as well as LGUs.
5. Provide specific guidelines to the Division Chiefs concerned on the approach and
substantive aspects of work assignments;
action/completion;
and internal organizational units and other government agencies in its
functional areas;
27
Public-Private
_____________________________________________________________
Executive Director.
28
Operations Manual
_____________________________________________________________
Position:
Service:
Director IV
Project Development & Monitoring Facility Service (PDMFS)
Job Summary:
assume the supervisory functions of higher level supervisor in his/her absence;
and does other related work from time to time.
1. Oversee the operations of the PDMFS and exercise supervision and control
over a group of professionals responsible for the following:

a. Managing and administering a revolving fund for PPP pre-investment

activities of Implementing Agencies/Local Government Units including,

but not limited to:

(1) Preparing PPP pre-feasibility and/or feasibility studies;

(2) Analyzing and structuring of appropriate PPP options;

(3) Carrying out of necessary PPP Project structuring analyses

(financial, technical, economic, operational, risk sharing,

mitigation, etc.);

(4) Preparing transaction documents (draft contract, request for

proposal, etc.); and

(5) Procuring transaction advisory assistance or services.

b. Providing secretariat services to the PPP Governing Board and PDMF

Committee.
therein;
4. Provide such guidelines as may be necessary to the Division Chiefs concerned
on the approach or substantive aspects of work assignments and on the
distribution/delineation of their respective responsibilities/assignments as well
as on areas where cooperative efforts among all concerned shall be necessary
or required;
Division Chiefs;
29
Public-Private
_____________________________________________________________
officials of PPP Center and other government agencies in the performance of
the functions / responsibilities of the Service to facilitate its work;
the Service;
Chiefs;
13. Serve as Officer-in-Charge when designated, in the absence of the
Executive Director and Deputy Executive Directors; and
30
Operations Manual
_____________________________________________________________
Position:
Service:
Director III
Project Development & Monitoring Facility Service (PDMFS)
Job Summary:
to time.

a. Managing and administering a revolving fund for PPP pre-investment

activities of Implementing Agencies/Local Government Units including,

but not limited to:

(1) Preparing PPP pre-feasibility and/or feasibility studies;

(2) Analyzing and structuring of appropriate PPP options;

(3) Carrying out of necessary PPP Project structuring analyses

(financial, technical, economic, operational, risk sharing,

mitigation, etc.);

(4) Preparing transaction documents (draft contract, request for

proposal, etc.); and

(5) Procuring transaction advisory assistance or services.

b. Providing secretariat services to the PPP Governing Board and PDMF

Committee.
action/completion;
functional areas;
31
Public-Private
_____________________________________________________________
Executive Director.
32
Operations Manual
_____________________________________________________________
Position:
Service:
(PFPEMS)
Director IV
Policy Formulation, Project Evaluation & Monitoring Service
Job Summary:

a. Formulating and proposing policy procedures and guidelines to

enhance the development, appraisal, and evaluation of PPP projects

and contracts.

b. Developing and reviewing model PPP agreements and other PPP

contractual templates.

c. Monitoring compliance with PPP contracts by public and private

parties.

d. Initiating, recommending, and advocating reforms to PPP policies,

processes, procedures, and guidelines.

e. Evaluating all PPP projects needed to be approved by the Investment

Coordination Committee - Cabinet Committee (ICC-CC) and thereafter

by the NEDA Board.
therein;
Division Chiefs;
7. Coordinate, whenever necessary, with other Service Directors of with higher
33
Public-Private
_____________________________________________________________
the Service;
10. Plan and implement an overall career and performance development
programs for the personnel of the Service;
12. Delegate authority for performance of any function of the Service to the
Division Chief;
34
Operations Manual
_____________________________________________________________
Position:
Service:
(PFPEMS)
Director III
Policy Formulation, Project Evaluation & Monitoring Service
Job Summary:
to time.

a. Formulating and proposing policy procedures and guidelines to

enhance the development, appraisal, and evaluation of PPP projects

and contracts.

b. Developing and reviewing model PPP agreements and other PPP

contractual templates.

c. Monitoring compliance with PPP contracts by public and private

parties.

d. Initiating, recommending, and advocating reforms to PPP policies,

processes, procedures, and guidelines.

e. Evaluating all PPP projects needed to be approved by the Investment

Coordination Committee - Cabinet Committee (ICC-CC) and thereafter

by the NEDA Board.
action/completion;
functional areas;
35
Public-Private
_____________________________________________________________
Executive Director.
36
Operations Manual
_____________________________________________________________
Position:
Service:
Director IV
Administrative Service
Job Summary:

a. Formulating, implementing, and updating on a continuing basis,
a comprehensive and integrated human, financial and physical

resources management program;

b. Providing services in the areas of recruitment, selection, appointment

and placement, performance management, personnel movement,

awards and incentives, employee relations, welfare and benefits,

career development, personnel discipline and health and safety;

c. Providing general support services in the areas of records and

communications, property, supply and equipment maintenance,

utilization and disposal, transport services, general utility and

housekeeping, building and office facilities maintenance, and

procurement services;

d. Providing security services to the PPP personnel, documents and

physical equipment and facilities;

e. Providing financial services including financial planning and budget

preparation, budget execution, financial control and technical

assistance on financial management; and

f. Providing accounting services including the recording of accounts,

bookkeeping, analysis and reconciliation of accounts.
therein;
respective responsibilities/assignments as well as on areas where cooperative
efforts among all concerned shall be necessary or required;
37
Public-Private
_____________________________________________________________
Division Chiefs;
officials of PPP Center and other government agencies in the performance of
the functions / responsibilities of the Service to facilitate its work;
the Service;
Chief;
38
Operations Manual
_____________________________________________________________
Position:
Service:
Director IV
Legal Service
Job Summary:
1. Oversee the operations of the LS and exercise supervision and control over a
group of professionals responsible for the following:

a. Drafting and reviewing PPP contracts and other legal documents.

b. Reviewing and providing recommendations to address potential

litigation arising from PPP contract variations.

c. Conducting legal research and studies.

d. Maintaining a database on, and monitors laws, administrative issuances,
court decisions, and other legal issuances relative to PPP.
therein;
4. Provide such guidelines as may be necessary to the Division Chief on the
Division Chief;
7. Coordinate, whenever necessary, with other Service Directors of with higher
39
Public-Private
_____________________________________________________________
the Service;
Chief;
40
Operations Manual
_____________________________________________________________
VIII.
CONTROL OF RECORDS AND DOCUMENTS
The PPP Center has various policies on the control of records and documents.
This section provides the policies on the PPP Center Library, Recordkeeping and
Digitization.
A.
PPP Center Library General Policies and Procedures
I.
PPP CENTER LIBRARY
A. Overview
The Public-Private Partnership (PPP) Center Library, also known as the PPP Knowledge Hub, is a special library under the Knowledge Management Division (KMD)
of the Capacity Building and Knowledge Management Service (CBKMS). It caters
primarily to the information needs of the institutions officials, employees and clients
which include the Centers partners and stakeholders -- the implementing agencies (IAs), donor agencies, oversight agencies, academe and the general public.
It plays an important role in the KMDs effort to foster timely, accurate and reliable
PPP knowledge and information that will be helpful especially to PPP stakeholders.
Because the PPP Center is a government institution, the Library is envisioned to be
a research facility that provides the most comprehensive and latest information on
the Philippine PPP Program.
The PPP Center is mandated to establish and manage a central database system of PPP program and projects. In line with the institutions vision and mission,
the Library has evolved into a full-service research, learning and project space for
creative and collaborative discussions. As an information commons, the library
provides an area for group meetings and informal discussions, as well as the information tools necessary for a special library servicing its clients.
The PPP Center Library maintains a current and specialized collection of PPP resources. Information resources range from signed Build-Operate-Transfer (BOT)/
PPP contracts, feasibility studies, business case, relevant government laws, policies and guidelines, past to current references on PPPs in various sectors, conference materials, speeches, and other literature related to infrastructure and economic development, including resources turned over by the BOT Center.
The Library is managed and maintained by a professional librarian who oversees
the daily technical and operational aspects.
41
Public-Private
_____________________________________________________________
The Library is located at the 8th Floor, One Cyberpod Centris Bldg., Eton Centris,
Piahan, Quezon City.
B. Objectives
The following are the objectives of the PPP Center Library:
1. Support the information needs of the PPP Center officials, employees, researchers
and other stakeholders (IAs, development partners, oversight agencies, academe,
and the general public);
2. Collect and preserve PPP information resources both print and non-print, related
to current issues and research needs of the Center and stakeholders;
3. Promote library materials that will help carry out the vision-mission goals of the
Center;
4. Provide services to users and stakeholders that will help them in their information
needs; and
5. Establish library linkages with other institutions and agencies in the country and
abroad in order to enrich the collection of PPP resources and services.
C. Functions
The following are the functions of the PPP Center Library:
1. Collection Development and Management
a) Collect, acquire and organize materials needed by the PPP Center users;
b) Maintain an archive of PPP articles and publications as well as PPP contracts
and other PPP project-related materials; and
c) Maintain a current and relevant collection of PPP resource materials by
periodically monitoring and evaluating the Librarys resources to ensure its
relevance to clients.
2.
1.
2.
3.
4.
Client Services
Provide research assistance to the PPP Center and other clients;
Regularly monitor the knowledge base of PPP publications online;
Give advice and recommendation to users on PPP research upon request;
Implement current awareness services to promote new or upcoming publications
or resources on PPP; and
5. Collaborate with other Knowledge Management Center/Library in developing
new knowledge products to enhance PPP knowledge and awareness
42
Operations Manual
_____________________________________________________________
D. Cataloguing
In all possible cases, International Standard for Book Description (ISBD) will
be used for second level descriptive cataloguing and Library of Congress for
classification (call number). Temporarily, the library has adopted the Openbiblio,
a free integrated library system designed for small libraries. All library records
encoded in the Openbiblio will be migrated to an in-house library system. At the
same time, catalogued materials are backed up in an excel file and stored in the
computer and file server.
All library materials will be accessioned as:
PPPC 1
Where PPPC institution code; 1 number code
Fields/tags to be filled out in the Openbiblio record will be:
1. Accession Number
2. Barcode Number
3. Call Number
4. Type of material
5. Title
6. Statement of Responsibility/Author
7. Edition, if available
8. Publication (place : name , date)
9. Physical Description
10. ISBN
11. Series title
12. Subject / Genre and subject added entries
13. Added entries for title
14. Added entries for author
15. Notes
NOTE: The Accession Inventory List serves as a master list and as a finding aid. It
must be updated regularly.
43
Public-Private
_____________________________________________________________
II. THE COLLECTION
A. Nature and Arrangement
The PPP Center Library is a special library which houses PPP-related resources
Information resources at the PPP Center. Available library resources include
feasibility studies, books, contracts, serials/newspapers, government publications
and other PPP project-related documents for public use. The subjects covered in
the collection are mainly on public-private partnerships, economic development and
infrastructure development in the fields of agriculture, transport and communications,
power, water supply and sanitation , solid waste, roads/toll roads, airports, health,
education, property development and information technology.
The materials are arranged by call number using the Library of Congress
classification system for easy retrieval and access.
B. Available Library Materials
Only signed concession agreements/contracts as well as the final version of
feasibility studies and business cases are housed in the Library. Other projectrelated documents will remain in the concerned Services/Units.
1. PPP/ BOT Contracts. The contracts consist of the current and past BOT projects.
These include projects of national government agencies and local government
units, implemented using the BOT Law Republic Act No. 6957 as amended by RA
7718 and Joint Venture Guidelines. Also housed in the library are contracts of
power and energy, information technology, road networks, public market, slaughter
house and social infrastructure projects, among others.
2. Feasibility Studies (FS) and Business Cases. Feasibility studies of BOT/ PPP
projects on water resources development, sewerages, roads/toll roads, railroads,
airports, cargo terminals, urban transport development and social infrastructure
projects are part of the Librarys collection.
3. Books. The book collection is composed of PPP, BOT, economics, economic
development, accounting and business, finance, information technology and
computers references.
44
Operations Manual
_____________________________________________________________
4. Pamphlets. Pamphlets are booklets with at least 5 pages but not more than 48
pages. Primers and brochures are also classified as pamphlets. These are stored
in a dedicated shelf separated from the main collection.
5. Serials and Journals. These are composed of books issued in a series and
newspapers released daily. Serial books are usually reports of local and international
organizations. Serials that are subject-specific are integrated in the main book
collection. Available newspapers are those that are subscribed by the institution.
Newspaper clippings will also be under this as well as the PPP Talk newsletter
published by the Center. Newspaper clippings from May 2012 to May 2014 are
organized by title and date for easy retrieval and access. List of newspapers
delivered daily from Monday to Friday include:
a) Business Mirror;
b) Business World ;
c) Philippine Daily Inquirer; and
d) The Philippine Star
6. Government Publications. Government publications are an essential part of the
library collection. Included in this collection are documents officially published by the
government like the Public-Private Partnership Center (PPPC), National Economic
Development Authority (NEDA), Philippine Statistics Authority (PSA), Bangko
Sentral ng Pilipinas (BSP) annual reports, Philippine Institute for Development
Studies (PIDS) research studies on PPPs, and other manuals and memoranda/
circulars.
7. Multimedia materials. Included in this collection are audio-visual and non-book
accompanying materials such as CD-ROMs.
III. LIBRARY ACCESS AND USE
A. Library Hours
The Library is open to PPP Center staff from 9:00AM to 6:00PM and to external
users from 10:00AM 4:00PM from Monday to Friday except non-working holidays.
45
Public-Private
_____________________________________________________________
B. Library Use
1. PPP Center Users
The library is utilizing the open-shelf system where users can freely browse and
obtain the materials they need and return them accordingly. All users must sign in
on the logbook upon entering for future reference. The members of the PPP Center
may use the library resources subject to the rules and regulations governing their
use:
a) Borrowing Privileges
Table 1. Borrowing Privileges

Library users can bring their own laptops to the library and access the Internet using a Guest account. The use of a Guest account shall be subject to the rules and
regulations of the PPP Center Management Information System Division Internet
usage policy.
b) Recall of books
A recall notice will be sent via e-mail by the librarian to the borrower if:
(1) Other users have an urgent need of the book/library resource;
(2) it is overdue; or
(3) the library will be conducting its annual inventory.
c) Refusal or Failure to Settle Library Accountabilities
Any PPP Center user who, after due notice through email (immediate supervisor
will be copy furnished for information and appropriate action), refuse or fail to settle
library accounts or obligations shall:
(1) not be allowed to borrow/renew library materials; and
(2) not be issued a Library clearance upon the employees: (a) resignation; (b)
leave of absence; (c) secondment/transfer to other agencies; (d) study/
maternity leave; and (e) expiration of appointment.
d) Loss of Library Resources
Any PPP Center member who loses a library material shall:
(1) notify the librarian immediately; and
46
Operations Manual
_____________________________________________________________
(2) replace the lost material with the same author, title and edition, or provide a
material of a different title but of the same or closely related subject.
e) Theft, Mutilation or Destruction of Library Property
Any PPP Center user who defaces, mutilates, or steals any library material or
property shall:
(1) replace it within sixty (60) days upon report to the librarian; and
(2) have their library privileges suspended.
f) External Users/ Non-PPP Center Users
The PPP Center Library is also open to external users in accordance with Special
Order No. 19, which provides guidance on the use of the PPP Center Library by
external users. Highlights of the Special Order are the following:
To be able to gain access to the library, an external user must:
(1) Present a valid ID (school, office, government ID)
(2) Present a request letter addressed to the Director of CBKMS indicating the
purpose of the research, and the topic and types of materials to be used. The
request is subject to approval.
(3) Upon approval, the researcher must sign on the log book of the Library. This
indicates that the external user agrees to follow this General Policy and
Guidelines.
(4) All library materials are for room use only.
(5) The library reserves the right to deny access to the library and its materials to
researchers who will not abide by the library rules and regulations.
External users can be allowed to access and use the library materials subject to
certain conditions and limitations:
Table 2. Access of Library Materials
47
Public-Private
_____________________________________________________________
External users must sign in on the logbook upon entering and leave their bags at the
librarians counter. Duplication of project-related documents such as photocopying,
digital scanning and image/document capturing through camera, cellular phone,
tablet and other electronic devices is strictly prohibited. Audio-visual materials are
available upon request. Library patrons are prohibited from copying said resources.
IV. POLICY REVIEW
This policy is a working document and will be subject to regular revision and modifications.
48
Operations Manual
_____________________________________________________________
B. Recordkeeping Policies and Procedures
Foreword
This Recordkeeping Policies and Procedures Handbook will serve as a definitive
source of instructions and guidance on the basic principles of sound records and
information management applicable to the types and nature of records and the
functions of the Records and Archives Unit of the Public Private Partnership
Center (PPPC).
It is intended to: (a) designate authority for the implementation of a centralized
files plan for all recordkeeping activities and phases of the records management
program; (b) clarify the responsibilities and functions of records management in the
PPPC; (c) establish uniform applications and practices, office-wide, in the creation,
processing, maintenance, retention, destruction, and preservation of records; (d)
guide designated records custodians responsible for the custody and safekeeping
of documents and records, with the end in view of bringing about efficiency,
effectiveness, promptness, accuracy and economy in the delivery of records
management services.
I. RECORDKEEPING POLICY
A. Purpose
The purpose of this recordkeeping policy is to establish a framework for the
creation and management of records within the PPPC. The PPPC is committed to
establishing and maintaining recordkeeping practices that meet its business needs,
accountability requirements and stakeholder expectations.

B. Policy Statement
PPPC records are its corporate memory, and as such, are vital assets for on-going
operations, providing valuable evidence of business activities and transactions.
The PPPC is committed to implement best recordkeeping practices and systems
to ensure the creation, maintenance, disposition and protection of accurate and
reliable records. All practices concerning recordkeeping within PPPC are to be in
accordance with this policy and its supporting procedures.
49
Public-Private
_____________________________________________________________
II. Scope
This recordkeeping policy applies to all PPPC staff. It also applies to all aspects of
PPPC business, all records created during business transactions, and all business
applications used to create records including email, database applications and
websites.
III. Statement of Authority
The PPPC Records and Archives Unit, after having been established in accordance with Special Order No. 81, dated 15 November 2012, to handle all records
management functions of the PPPC, is authorized to develop and recommend to
management standards, policies and procedures for the effective management of
PPPC records.
IV. Statement of Benefits
The implementation of sound records management practices and procedures for
all records, regardless of format, enables the PPPC to:
1.
2.
3.
4.
5.
Fulfill its mandated functions;

Reduce costs/time for the retrieval of records;
Identify strategies for the preservation of records;
Reduce the costs of storing obsolete records; and
Ensure the creation and management of accurate and reliable records.
V. Legislation and Standards

The PPPC acknowledges the following laws that relate to records and information:
1.
2.
3.
4.
Republic Act 9470 (National Archives of the Philippines Act);

Republic Act 10066 (National Cultural Heritage Act of 2009);
Republic Act 8792 (Electronic Commerce Act); and
Republic Act 7160 (Local Government Code of 1991).
The PPPC will develop recordkeeping systems that capture and maintain records
with appropriate evidential characteristics in accordance with its obligations under
these pieces of legislation.
50
Operations Manual
_____________________________________________________________
VI. Recordkeeping Systems
The PPPCs recordkeeping systems are dedicated to the creation and maintenance
of authentic, reliable and usable records for as long as they are required to effectively
and efficiently support business functions and activities.
The recordkeeping systems will manage the following processes:
1.
2.
3.
4.
5.
6.
creation or capture of records within the recordkeeping systems;

storage of records;
protection of record integrity and authenticity;
security of records;
access to records; and
disposal of records.
In general, it is an offense to destroy any PPPC record without authorization from

the National Archives of the Philippines (NAP) and approval by the PPPC Executive
Director. Unless otherwise authorized, all records disposal within the PPPC must
be undertaken in compliance with the offices approved Records Disposal Authority,
and the relevant General Disposal Authorities issued by NAP.
VII. Responsibilities
To ensure the effectiveness of these policies and procedures, the following
responsibilities shall be undertaken:
1. The Executive Director (ED) is responsible for the authorization of the
recordkeeping policy within the organization.
2. The Service Directors are responsible for the management of this policy through
resource allocation, and other management support.
3. The Records Officer is responsible for overseeing the design, implementation,
and maintenance of this recordkeeping policy, as well as monitoring compliance.
4. The Records and Archives Unit is responsible for managing records and
recordkeeping within the organization consistent with the standards described in
this Policy.
51
Public-Private
_____________________________________________________________
5. The System administrator is responsible for maintaining the technology for
this organizations recordkeeping systems, including responsibility for
maintaining the integrity and authenticity of records.
6. The Division Chiefs are responsible for supporting and monitoring staff
recordkeeping practices as defined by this Policy. They should create and
support the creation of records by staff as part of normal business practices.
7. All staff are responsible for the creation of accurate and reliable records as
defined by this Policy.
VIII. Elements of the Policy
1. Files Plan
The top management, in its desire to improve the delivery of basic services of the
PPPC Records and Archives Unit (RAU), shall adopt, upon recommendation of
the Records Management and Improvement Committee (RMIC), a centralized files
plan. Under the plan, the files shall be maintained in the RAU under the supervision
of the Chief of the General Services Division, Administrative Service or the Records
Officer.
The Files Plan shall provide services guidance in terms of filing, maintenance,
use, storage and disposal of records. It shall provide documentation, information,
research and reference services to top management, action officers, and authorized
interested parties.
2. Handling Incoming and Outgoing Mail
The RAU shall be the receiving and releasing point for incoming and outgoing mail
and communications. This unit shall observe the Procedures on Handling Incoming
and Outgoing Mail contained in this Handbook. See also Annex A for the Process
Flow
3. Messenger Service
As a matter of general policy, the RAU shall provide internal and external messenger
services. It shall ensure that Urgent, Rush, and Confidential communications shall
be delivered to addressees within 24 hours from receipt thereof. A Messengerial
Service Form (Annex B) shall be used for this purpose.
52
Operations Manual
_____________________________________________________________
4. Opening of Mail
To pinpoint responsibility and prevent misunderstanding, the RAU is authorized to
open official mail addressed to officials of the organization except those marked
Private, Personal, and Confidential which shall be recorded and immediately
assigned and delivered to addressees or concerned units for appropriate action.

5. Use of Registry Sheet
For purposes of standardizing the recording of documents received, regardless
of its source, and for document tracking, all incoming and outgoing mail and
correspondence shall be received and listed in the Registry Sheet. Please see
Annex C RAU Form 1.
6. Issuance of Certified Copy
Only the Chief of General Services Division or the Records Officer is authorized
to issue a certified copy of any PPPC official document/record or certify to its
authenticity, which shall be based on original records or official files.
7. Forms Management
To ensure that all necessary information is collected in the most efficient manner
and distributed to those who need information through the use of standard forms, all
staff must follow the guidelines for the organizations forms management program.
8. Handling Issuances and Directives
The RAU shall handle all issuances and directives promulgated by the office
using the form designed for this purpose. Please refer to Procedures for Handling
Issuances and Directives.
9. Use of Classification Scheme
The classification of records and documents shall be the responsibility of the Chief
of the General Services Division and/or the Records Officer which shall be based
on the approved Classification and Filing Scheme. No records shall be filed without
any classification. Please refer to Annex D NAP Functional Subject Alphabetic
Classification System.
10. Records Inventory
All records, regardless of value, must be inventoried for use as source document in
the preparation of the Records Disposition Schedule and Classification and Filing
Scheme, using the form provided for the purpose. Please see Annex E.
53
Public-Private
_____________________________________________________________
11. Transfer of Inactive Records
In accordance with the approved Records Disposition Schedule (RDS) (please see
Annex F), the transfer of inactive records to the Records Center/Room shall be
the responsibility of the Service Records Custodians and Records Officer. Inactive
records for transfer shall be accompanied by an inventory list indicating the disposal
date.
12. Disposal of Records
The Head of the Records Section shall recommend the release of non-current
records for disposal based on the approved agency RDS upon the recommendation
of the RMIC and approval of the Head of the Agency. NAP Form 3 (Annex G) shall
be used for the purpose
13. Electronic Records
Electronic records within the PPPC must be clearly identified following a pattern of
treatment similar to that previously given to paper records. They must be preserved
and stored for the required period within the organization. They will be selected
using defined selection criteria and can be transferred to other organizations for
future preservation, or destroyed once they are no longer of operational use.
14. Monitoring and Review
This policy will be reviewed and revised as maybe necessary by a Review Committee
to be constituted by management.
Services, divisions, or units designing or modifying information systems shall
coordinate with the RAU at the start of these projects to discuss records management
requirements.
II. RECORDKEEPING PROCEDURES
The following procedures will serve as guide in the management of mails and
records:
A. Handling Incoming / Outgoing Mail
1. The Records Officer (RO) or his/her authorized representative shall record/log
any incoming/ outgoing mail in a Logbook/Registry Sheet (please see Annex C)
designed for the purpose with the following entries:

a) Control Number

b) Date Received

c) Source or Senders Name
54
Operations Manual
_____________________________________________________________

d) Subject Matter

e) Office Assignment or Routing

f) Status or Action Taken

g) Date Released

h) Remarks
2. The RO shall sort and determine if the mail is Official or Personal. If personal,
the messenger will deliver it to the concerned personnel/employee. If it is
Official, the RO shall open the mail and identify if it is routinary and nonroutinary. A non-routinary mail will be delivered directly to the Office of the
Executive Director (OED) while routinary mail will be delivered directly to the
concerned unit/service.
3. The Secretary of the Executive Director shall receive/log the documents
brought to the OED. Likewise, he/she shall log any action required or taken by
the ED.
4. As appropriate, the Secretary of the ED shall forward the mail to the Office
of the Deputy Executive Director (DED), through his/her Secretary, for his/her
appropriate action.
5. The DED shall notate and refer the mail/document to the concerned service/
unit.
6. The Secretary then routes the mail directly to the action unit concerned.
7. The Service Director shall notate and refer to concerned division chief for his/
her appropriate action.
8. The Division Chief shall prepare the appropriate action and output and submit/
forward to Service Director
9. The Service Director shall review the output of the division chief and affix his/
her initial when finalized for routing to the ODED.
10. The Secretary of the concerned Service will forward the document to the
ODED. If there are no revisions, the DED shall affix his/her initial and/or
endorse the output to the ED.
11. The Secretary of the ODED shall forward the document to the OED through
his/her Secretary. If the Executive Director approves the output/document,
she will affix her signature, if not, his/her secretary will return it to the
concerned service/unit for revision and incorporation of his/her comments and
will pass through Steps 7 to 10.
12. Once approved, the Secretary of OED shall return the document to the
concerned service/unit for dispatching.
13. The Secretary of the concerned Service shall log the receipt of the document
and make several copies, if necessary.
14. The Secretary shall put the mail in the appropriate envelope with addressee.
15. The Secretary shall accomplish the Request for Messenger Service and
submit the same to the RO.
16. The RO shall receive all mails for dispatching/releasing and assigns
messenger to deliver the documents within 24 hours.
55
Public-Private
_____________________________________________________________
17. Once done with the delivery/pick-up of documents, the messenger shall
forward the receiving copy to the RO, who in turn will make duplicate copy to
be furnished to the requesting party for their information.
B. Dispatching/ Delivery of Mails
The Records Officer shall handle all outgoing mail using the following procedure:
1. Prepare Outgoing Mail

a) Specify the manner of delivering the mail piece

b) Indicate the type of postal service most appropriate for the mail piece

c) Check the completeness of the mail as to file copies, enclosures and
signatures.

d) Reproduce more copies of the mail piece or its enclosures if necessary

e) Strip file copy from outgoing mail and furnish the concerned service/unit

(who acted on the mail) for their file.
2. Stamp and record the outgoing mail piece
3. Assign a release number which will serve as referral number for reply purposes
4. Dispatch outgoing mail

a) By messenger service

b) By postal service
C. Handling Issuances and Directives
The Records Officer shall:
1. Register all issuances and directives in the form provided for the purpose
indicating the type, number, date of issue, source, title/subject matter, and such
other relevant information deemed necessary.
2. Reproduce sufficient copies for dissemination and provide a copy for reference
and back-up file purposes.
3. Prepare title guides by types of issuances and directives in chronological order
and provide indices by subject, names of individuals and organizations as may
be indicated.
4. Maintain a separate filing system for original copies of administrative issuances
and directives.
5. Provide the UP Law Center with certified copies of administrative issuances
pursuant to the provisions of the Administrative Code of 1987.
6. Maintain a separate filing system of laws and issuances received from other
government agencies.
7. Comply with publication requirements in the Official Gazette and newspapers of
general circulation, if necessary.
56
Operations Manual
_____________________________________________________________
D. Messengerial Service
1. The Records Officer/Secretary/Requisitioner shall submit the accomplished
Messenger Service Form to the Secretary of the Administrative Service (AdS)
2. The Secretary of AdS shall forward the request to the Chief of General Services
Division who is also the Head of the Records and Archives Unit
3. The Chief of the GSD shall receive and approve request and endorse to the
Records Officer
4. The RO shall log requests and dispatch these according to classification (Urgent,
Rush, Confidential)
5. The Messenger shall deliver or pick- up documents and return the receiving
copy/action log to Records Officer
6. The RO/Messenger shall inform the requesting party of the action taken
7. The RO shall file the receiving copy
E. Filing Procedure
The Records Officer/Records Custodian shall:
1. Inspect if the file is ready for filing.
2. Index and determine the primary and secondary subjects based on the file
classification guide for appropriate subject designation.
3. Code and mark the symbol on the upper right hand corner of the paper.
4. Cross-reference and determine the subjects if more than one subject or related
to the previous records.
5. Sort and assemble files using a sorting device. If there are many papers to be
filed, sort them on trays.
6. Store the files on tray in the folder neatly, no folding or overlapping. Avoid
overlapping folders.
F. Inventory of Records
The Records Officer/Records Custodians shall conduct periodic inventory of records
using the following procedures:
1. Identify the records series to be inventoried.
2. Determine the earliest and latest periods covered by the records series to be
inventoried.
3. Inventory by file stations. (A file station may be a cabinet or group of cabinets
placed separately).
4. Accomplish NAP Form I- Records Inventory and Appraisal (please see Annex E)
57
Public-Private
_____________________________________________________________
G. Transfer of Inactive Records to Records Center
The Records Officer/Head of GSD shall:
1. Screen all unnecessary non-record materials and all records authorized for
destruction
2. Bundle/box uniformly and label records for transfer to storage by record series.
3. Label card (3 x 5) must bear the descriptive title of the record series with
inclusive dates covered.
4. Arrange all bundled record series alphabetically.
5. Assign the same number to all bundles belonging to the same record series
starting with number 1 for each transfer.
6. Label, tags or identification cards must be attached firmly to the side of the
bundle facing the filer.
7. Fill-up Transmittal Receipt Storage Area Form and attach the listing of the
records being transferred.
H. Handling Electronic Documents
1. The recipient shall retain the electronic document in Portable Document Format
(PDF) format.
2. The MIS shall make a file sharing server/file server as repository of electronic
documents for retrieval and subsequent references subject to the policy to be set
in relation to electronic file sharing.
3. The Records Officer shall retain the electronic file as general correspondence
based on the Agency Records Disposition Schedule and NAP General Records
Disposition Schedule.
I. Disposal of Records
The Records Officer shall:
1. Prepare a list of non-current records for disposal.
2. Submit the list to theRecords Management Improvement Committee (RMIC) for
recommendation to the Head of Agency for approval.
3. Accomplish NAP Form No. 3 series 2008, Request for Authority to Dispose of
Records and submit to NAP for approval.
The Agency, thru RMIC, shall dispose records in the presence of COA, Agency and
NAP Representatives, based on the guidelines under the NAP General Circular
No.1 dated January 20, 2009 published at the Official Gazette.
58
Operations Manual
_____________________________________________________________
J. Guidelines in Implementing Forms Management
Records Management related forms are designed by the GSD-Administrative Service
and the National Archives of the Philippines. To ensure proper implementation, all
information shall be filled-up accordingly.
A. The Secretary or requisitioning personnel shall fill-up the Messengerial Service
Form (RAU Form -2) (please see annex B) and indicate the following:

a) Subject of the document; and

b) Special Instructions (such as person to look for)
Requests received after 12:00 noon shall be accommodated/dispatched the next
day.
B. The Records Officer/Secretary shall use the Registry Sheet in recording the
received or released mails/documents, ensuring the name of the recipient is
recorded in the Remarks column. All services/units may use the prescribed form
in hard copy or e-copy.
C. The Records Officer/Records Custodians who conducted the inventory shall fillup and sign the NAP Form 1, with approval of his/her immediate supervisor.

a) NAME OF OFFICE

The office where the inventory is being undertaken

b) DEPARTMENT/DIVISION

The department/division of the office

c) SECTION/UNIT

The administrative or operating section/unit of the office

d) TELEPHONE NUMBER and e) EMAIL ADDRESS

The contact number of the person/employee in charge of files. Email
address must be the official electronic mail of the office.

f) ADDRESS

Indicate the specific address of the office such as floor number,

building, street, city/municipality and province.

g) PERSON IN CHARGE OF FILES

The person/employee having control or custody of the records/files/

documents

h) DATE PREPARED

The date when the inventory of records had been accomplished

59
Public-Private
_____________________________________________________________
i) RECORDS SERIES TITLE AND DESCRIPTION
The entry of record series title shall be properly filled out. If the record is a
substantive record or a record with archival value or one which could not be found in
the General Records Disposition Schedule (GRDS), a brief description or definition
of the records shall be noted in the remark column. (e.g., for substantive record:
Batch Control Sheets are lists of taxpayers). Include other records that may not
be in the records series enumerated above.
j) PERIOD COVERED/ INCLUSIVE DATES
Indicate the period covered by the record series from the earliest to the latest year
when the records are created/received by the government agency(e.g., 1990-2011).
Note gaps.
k) VOLUME
The mass of the records should be computed and expressed in cubic meters. The
formula for volume in cubic meters: Volume = length x width x height (in meters). In
case the bulk of the records could be counted by sacks, box, bundles or wherever
the records are stored, then it should be indicated in the inventory list(e.g., 2 cu.m.50 bundles).
l) RECORDS MEDIUM
The medium of the records should be specified - whether the records are in paper
format, microfilm, electronic, cd/dvd, maps, drawings, computer printout or in any
forms(e.g., for Notarial records: Paper & microfilm).
m) RESTRICTION
Records are to be classified as open access or restricted access records. If the
government office has no guidelines pertaining to the restrictions of its record
holdings, all records of that office are considered open access. Restricted records
shall be classified as confidential, restricted, secret and top secret records(e.g., for
201 Files: Confidential).
n) LOCATION OF RECORDS
The location of records should be specified with such designations as office area,
offsite or in NAP (e.g., Room 617 Vault 1 Cabinet 2a).
o) TIME VALUE
Records shall be categorized as temporary or permanent records. Temporary
records have a specific retention period and may be disposed of. Permanent
records may not be disposed of as these should be retained for safekeeping (e.g.,
for Vouchers: Temporary; Check Register: Permanent).
p) RETENTION PERIOD
If the time value of the records is temporary, the specific retention period should
be indicated and checked against the GRDS, Agency RDS or against any other
guidelines pertaining to the disposition of the specific record series. When the
records time value is
60
Operations Manual
_____________________________________________________________
permanent, there will be no limit to its retention period. If the records had
no approved retention period, the Records Officer/Custodian shall make an
appropriate proposal to the NAP and approved by the supervisor about the
suggested retention period(e.g., for Vouchers that have approved retention period:
10 years; Batch Control Sheets that has no approved retention period: Suggested
10 years).
q) REMARKS
State a brief description/explanation/history of the records series if not found in the
Agency RDS/GRDS.
D. Records Disposition Schedule (NAP Form 2)

a) The Records Officer/Records shall prepare the RDS and be reviewed by

the Records Management Improvement Committee (RMIC) before it is
approved by the agency head. It is forwarded to the NAP for final

evaluation and approval.

b) The approved RDS should be regularly updated through revision or

amendment to reflect significant changes.
E. NAP Request for Disposal (NAP Form 3)
a) The Records Officer/Records Custodian shall prepare the NAP Request for
Disposal and shall be approved by the Head of Agency.
b) The NAP shall issue authority to Dispose of Records indicating the manner or
mode of disposal.
61
Public-Private
_____________________________________________________________
IX. OPERATING PROCEDURES
This section illustrates the different operating procedures that are in place in the
PPP Center.
A. Project Development Process
This section shows the process of developing PPP projects. This process begins
from the identification of the potential PPP project up to the eventual award of the
project to the successful bidder. This process is illustrated in figures 4 and 5.
START
Project Identification
Is the
Project aligned
with PDP/ RDP/
CDP/ MDP?
NO
YES
Project Preparation and
Development
Does the IA/LGU

have available
funding?
YES
IA with assistance from the

PDS develops FS for the
Project through own
appropriation or grant
PDS provides technical

support and advisory service
during conduct of FS or on the
final FS prior to submission to
PPP Secretariat.
NO
A
IA and PDS prepares Project

Concept Note and applies for
PDMF support
Is the IA granted
PDMF support?
YES
NO
YES
PDS participates as part of the
TWG for TA procurement.
TA prepares the Feasibility Study and Project evaluation

forms which are reviewed by the PDS and the IA.
Figure 4. Project Development Process

62
Does the IA want

to pursue the
Project?
NO
END
Operations Manual
_____________________________________________________________
A
Figure 5. Project Development Process (Cont)
IA Submits Project Evaluation

Forms to PPP Secretariat
TWG Evaluation
Does ICC-CC
disapproved the
project?
NO
NO
YES
Was the project

deferred?
PDS assists the IA and the TA to

address issues raised by ICC
YES
PDS assists the IA and the TA in
preparing the project for approval
of the NEDA Board
Was the project

completely
disapproved?
NO
PDS assists the IA and the TA to

address issues raised by NEDA
Board.
YES
Does NEDABOARD approve
the project?
END
Pre-Qualification Stage
YES
Is the approval
conditional?
NO
NO
YES
PDS assists the IA and the TA in
preparing the project for approval
of the NEDA Board
Preparation of Bid Documents
TA prepares Bid Documents which

are reviewed by PDS and the IA.
Figure 5. Project Development Process (Cont)
PDS assists the IA in Project roll

out/Advertisement and in
evaluating the submission of
prospective bidders for prequalification.
Bid Proposal Submission
PDS assists the IA in evaluation of

the bid proposals.
Award of Project to Successful
Bidder
END
63
64
Project
Concept
NGA/LGU
Submission
of PDMF
Application
PPP
Center
Evaluation
PDMF
Committee
Approval
Project Conceptualization
Figure 6. PDMF Process
START
Signing of
TAA
Between
PPPC
and
NGA/LGU
1. Project preparatory
and transaction
support
2. Probity Advisory
3. Independent
Consultant
Provision of PDMF
Support Services, as
follows:
Project
Project
Preparation Appraisal
Reimbursement
of Cost
Bidding
Stage
Fund
Ready
for
Next
Project
Cooperation Stage
Impact
Monitoring and
Project
Evaluation
Implementation
B. PDMF Process
This section illustrates the different processes in the operations of the PDMFS. The whole process of managing
the PDMF is illustrated in Figure 6. The process starts from the conceptualization of a potential PPP project to the
reimbursement of cost of the advisory services.
Public-Private
_____________________________________________________________
Figure 7. PDMF Process

(Signing of TAA between PPPC and NGA/LGU)
C. PDMF Process (Signing of TAA between PPPC and NGA/LGU)

This section illustrates the process of signing of Technical Assistance Agreement between the PPP Center and
the National Government Agency/ Local Government Unit as shown in Figure 7. This process starts from project
conceptualization up to the implementation of the project.
Operations Manual
_____________________________________________________________
65
Figure 8. Monitoring Framework - Implementing Agency
66
i. Implementing Agency
D. PPP Monitoring Framework and Protocols

This section illustrates the PPP project monitoring protocols; for the implementing agency, project proponent and
PPP Center. The different protocols are illustrated in Figures 8, 9 and 10.
Public-Private
_____________________________________________________________
Figure 9. Monitoring Framework - Project Proponent
ii. Project Proponent
Operations Manual
_____________________________________________________________
67
Figure 10. Monitoring Framework - PPP Center
68
iii. PPP Center
Public-Private
_____________________________________________________________
Figure 11. Appraisal of Projects Process
E. Appraisal of Projects
This section illustrates the appraisal process of PPP projects. The whole process is shown in Figures 11 and 12.
Operations Manual
_____________________________________________________________
69
70
Figure 12. Appraisal of PPP Projects Process (Cont)
Public-Private
_____________________________________________________________
Operations Manual
_____________________________________________________________
X. ANNEXES
71
72
Figure 13. Process Flow of Incoming/Outgoing Mail
Annex A
Public-Private
_____________________________________________________________
Operations Manual
_____________________________________________________________
Annex B
Messengerial Service Form
73
Public-Private
_____________________________________________________________
Annex C
PPPC Registry Sheet (RAU Form-1)
74
Operations Manual
_____________________________________________________________
Annex D
NAPs Functional Subject Alphabetic Classification System (FSACS)
A. ADMINISTRATIVE AND MANAGEMENT RECORDS (ADM)

1. Acknowledgment Receipts

2. Brochures/ Leaflets/ Pamphlets (About or by the agency)

3. Calendars/ Schedules of Activities or Events

4. Certificate of Appearance/ Clearances

5. Certifications

6. Charts

a) Functional

b) Organizational

7. Correspondences

a) Non-routine

b) Routine

8. Delivery Receipts

9. Directories of Employees/ Officials

10. Feasibility Studies

11. Gate Passes

12. Inquiries

13. Issuances

a) Issued by or for the head of agency documenting policies/

functions programs of the agency

b) Issued by or for the head of agency reflecting routinary

information or instruction

14. Lists
a) Associations

b) Committees

c) Cooperatives

d) Donors

e) Mailing
f) Transmittal

g) Others

15. Logbooks

a) Incoming and Outgoing Correspondences

b) Visitors
(1) Ordinary
(2) VIP

75
Public-Private
_____________________________________________________________

c) Others

16. Manuals

17. Meetings/ Proceedings Files
a) Agenda

b) Minutes

(1) Board/ Executive Committee
(2) Staff

c) Notices

18. Official Gazettes

19. Permits

20. Plans

a) Action/ Work

b) Others

21. Press Releases (About or by the Agency)

22. Programs

a) Work

b) Others

23. Proposals

24. Publications (Record Set)

25. Reorganization Records

26. Reports

a) Annual/ Special

b) Others

27. Requests

28. Slips

a) Locator

b) Permission

c) Routing

29. Speeches (Records Set)

30. Standard Operating Procedures (SOP)

31. Telegrams

32. Trip Tickets
B. BUDGET RECORDS (BUD)

1. Allotment Files

a) Advices of Allotment (AA)

b) Agency Budget Matrixes
76
Operations Manual
_____________________________________________________________

c) Allotment Release Orders

(1) General (GARO)

(2) Special (SARO)

2. Obligation Request/ Slips (ALOBS)

3. Plan of Work and Request for Allotment

4. Registries of Allotment & Obligations (RAO)

a) Capital Outlay (RAOCO)

b) Financial Expenses (RAOFE)

c) Maintenance & Other Operating Expenses (RAOMO)

d) Personal Services (RAOPS)

5. Request for Obligation of Allotment (ROA)

6. Statements of Allotment, Obligations & Balances (SAOB)

7. Statements of Appropriations, Allotment & Advice (SAAA)

8. Annual Budgets

9. Budget Estimates including Analysis Sheets and Estimates of Income

10. Budget Expenditures

a) Programs

b) Sources of Financing

11. Budget Issuances (Those used as authority for agency transactions)

12. Budget Sheet Analysis

13. Budgetary Ceilings

14. Cash Allocation Ceilings/ Notice of Cash Allocation

15. Certifications of Funds Availability

16. General Appropriations Acts

17. Organizational Performance Indicator Framework (OPIF)

18. Physical Reports of Operations

19. Special/ Supplemental Budgets

20. Work and Financial Plans
C. FINANCIAL ACCOUNTING RECORDS (FIN)

1. Abstracts

a) Daily Collections

b) Deposits and Trust Funds

c) General Collections

d) Sub-Vouchers

2. Advices

a) Checks Issued and Cancelled
77
Public-Private
_____________________________________________________________

b) Remittance

3. Annual Statements of Accounts Payable

4. Auditors Contract Cards

5. Authorities for Allowances

6. Authorizations

a) Overtime

b) Purchase of Equipment/ Property

c) Transfer of Funds
d) Travel

e) Others

7. Bank Slips

a) Deposits

b) Remittances

8. Bills

9. Bonding Files
a) Action

b) Applications/ Requests

c) Fidelity/ Surety Bond

d) Indemnity for Issue of Due Warrant

10. Books of Final Entry

a) General Ledgers

b) Subsidiary Ledgers

11. Books of Original Entry

a) Cash Disbursement Journals

b) Cash Journals

c) Cash Receipts Journals

d) Check Disbursement Journals

e) General Journals

f) Journals of Analysis of Obligation

g) Journals of Bill Rendered

h) Journals of Check Issued

i) Journals of Collection and Deposit

j) Journals of Disbursement by Disbursing Officer

12. Cash Flow Charts

13. Certificates

a) Settlement and Balances

b) Shortages
78
Operations Manual
_____________________________________________________________

14.

15.

16.

17.

18.

19.

20.

21.

22.

23.

24.

25.

26.

27.

28.

29.

30.

31.

32.

33.

34.

Claims
a) Insurance
b) Health Benefits
c) Hospital
Checks and Check Stubs
Daily Cash Flow
Daily Statement of Collections
Expense Ledgers
Financial Statements
a) Balance Sheets
b) Income Statements
c) Statements of Cash Flows (Annual)
d) Statement of Operation
Indices of Payments
a) Creditors
b) Employees
c) Sundry Payments by Checks/ Warrants
Journal Entry Vouchers
Lists of Remittances
a) Loans
b) Premiums
Logbooks of General Funds
Monthly Settlements of Monthly Subsidiary
a) Ledger Balance
Notices
a) Disallowances
b) Suspensions
Official Cash Books
Official Cash Books for Bank Cash Book
Official Receipts
Orders of Payment
Payrolls
Payroll Payment Slips/ Pay Slips
Quarterly Statements of Charges to Accounts Payable
Registry Books of Checks Released
Registers
a) Checks/ Warrant
79
Public-Private
_____________________________________________________________

b) Checks/ Warrants Control

35. Relief from Accountability

a) Decisions

b) Requests

36. Reports

a) Accountabilities for Accountable Forms

b) Cash Disbursements

c) Cash Examinations

d) Collecting & Disbursing Officers

(1) Checks Issued & Cancelled

(2) Collections and Deposits
(3) Disbursements

e) Daily Cash Reports

f) Liquidations

g) Monthly Income

h) Overdrafts and Misuse of Trust Funds

i) Petty Cash Replenishments

37. Schedules of Accounts Receivables

38. Statements
a) Accounts
(1) Current
(2) Payable
(3) Receivable

b) Common Funds

c) Financial Conditions

d) Profits and Losses

e) Reconciliations

39. Summaries of Unliquidated Obligations and Accounts Payable

40. Sundry Payments

41. Treasury Checking Accounts of Agency (TCAA)

42. Treasury Drafts

43. Treasury Warrants

44. Trial Balances and Supporting Schedules

a) Cumulative Results of Operations- Unappropriated

b) Final Annual Trial Balances
(1) Accountings Copy
(2) Auditors Copy
80
Operations Manual
_____________________________________________________________

(3) Regional Office Copy

c) Monthly/ Quarterly Trial Balances

d) Preliminary Trial Balances
(1) Accountings Copy
(2) Auditors Copy

(3) Regional Offices Copy

45. Vouchers, including Bills, invoices & Other Supporting Documents

a) Disbursements

b) Journals

c) Petty Cash

d) Reimbursement Expense Receipts

e) Travelling Expenses

46. Withholding Tax Certificates
D. HUMAN RESOURCE / PERSONNEL MANAGEMENT RECORDS (HR/PER)

1. Annual Summary Reports for Replacement Program for Non-Eligibles

2. Applications

a) Employment

b) Leave of Absences and Supporting Documents

c) Relief of Accountability

d) Retirement/Resignation

3. Attendance Monitoring Sheets

4. Authorities/Requests to Create or Fill Vacant Positions

5. Certifications

a) Employment

b) Residency

c) Service

d) Others

6. Comparative Data Matrix of Employees

7. Daily Time Records

8. Employee Interview Records

9. Handwriting Specimens/ Signature

10. Job Order Employment Contracts

11. Leave Credits Cards

12. Lists of Eligibles/Non-Eligibles

13. Logbooks

a) Arrival & Departure of Employees
81
Public-Private
_____________________________________________________________
b) Attendance

c) Clearances Issued

14. Medical Certificates in Support of Absence on Account of Illness/

Maternity

15. Membership Files

a) GSIS

b) Pag-IBIG

c) PhilHealth

16. Merit Promotion Plans

17. Performance Files
a) Appraisal

b) Evaluation

c) Rating Cards

d) Target Worksheets

18. Permission to Engage in Business/Private Practice/Teaching

19. Personal Data Sheets (Curriculum Vitae/ Resume)

20. Personnel Folders (201 Files)
a) Appointments

b) Acceptance of Registration

c) Approval of Retirement
d) Awards

e) Benefit/ Gratuity

f) Certificates
(1) Eligibility

(2) Rural Service
(3) Training/ Seminar Attended

g) Change of Marital Status/ Name

h) Clearance (latest)

i) Designations/ Details

j) Oaths of Office

k) Personal Data Sheet (latest)

l) Position Descriptions

m) Reinstatements

n) Service Records (updated)

o) Statements of Duties and Responsibilities

21. Plantilla of Personnel

22. Position Allocation Lists

23. Position Classifications and Pay Plans
82
Operations Manual
_____________________________________________________________

24. Recommendations/ Referrals

25. Reports

a) Examinations

b) Personnel Actions

26. Requests

a) Accumulated Leave Credits

b) Approval on Promotions

c) Bonding Officials/ Employees

d) Changes of Status

e) Reinstatements
f) Transfers

27. Salary Standardization Records

28. Staffing Patterns

29. Service Cards

30. Statements of Assets and Liabilities
E. LEGAL RECORDS (LEG)

1. Administrative Cases

2. Affidavits

3. Articles of Incorporation/ By-Laws

4. Complaints/ Protests

5. Contracts

6. Decisions

7. Deeds

a) Donation

b) Sale

8. Legal Opinions

9. Memoranda of Agreement/ Understanding

10. Petitions

11. Resolutions

12. Special Powers of Attorney

13. Subpoenas

a) Ad Testificandum

b) Duces Tecum

F. PROCUREMENT AND SUPPLY RECORDS (PROC/SUP)

1. Acknowledgment Receipts for Equipment (ARE)
83
Public-Private
_____________________________________________________________

a) Memorandum Receipts of Equipment (MRE)

b) Semi-Expendable and Non-Expendable Properties

2. Annual Procurements

a) Plans

b) Programs

3. Bids and Awards Committee Files
a) Abstracts

b) Invitations

c) Minutes

d) Pre/ Post Qualifications

e) Publications

f) Resolutions

4. Bills of Lading

5. Bin Cards/ Stock Cards on Supplies

6. Canvass of Prices

7. Equipment Ledger Cards

8. Inventory and Inspection Reports of Unserviceable Properties

9. Inventories of Equipment/ Supplies

10. Inventory Tag Cards

11. Invoices/ Receipts

a) Accountable Forms

b) Properties/ Transfer of Properties

12. Invoices of Delivery on Supply Open-End Order Contracts

13. Job Orders

14. Lists of Supplies Under Supply Open-End

15. Monthly Reports of Supplies and Materials Issued

16. Property Cards

17. Purchase Orders

18. Purchase Requests

19. Queries on Prices of Articles, Additional Funds to Meet Quotations

20. Reports of Waste Materials

21. Requisition and Issue Slips/ Requisition Issue Voucher

22. Shipping and Packing Lists on Items Purchased

23. Suppliers Identification Certificates with Procurement

24. Supplies Adjustment Sheets

25. Supplies Availability Inquiries

26. Supplies Ledger Cards
84
Operations Manual
_____________________________________________________________

27.
Supplies Purchase Journals
G.
TRAINING SERVICES (TRNG)
1. Calendars

2.
Course Designs/ Outlines/ Syllabi
3. Masterlists

a) Participants

b) Seminars Conducted/ Coordinated

4.
Resource Speakers Profiles

5.
Schedules of Training/ Seminar

6.
Survey Evaluation Questionnaires

7.
Training Handouts

8.
Training Programs/ Plans

9.
Training Reports

10.
Workshop Results
85
Annex E
Records Inventory Form (NAP Form 1)
Public-Private
_____________________________________________________________
86
Operations Manual
_____________________________________________________________
Annex F
Records Disposition Schedule (NAP Form 2)
87
Public-Private
_____________________________________________________________
Annex G
Request for Authority to Dispose Records (NAP Form 3)
88
REPUBLIC OF THE PHILIPPINES

________________________________
PUBLIC-PRIVATE PARTNERSHIP CENTER

8th Floor, One Cyberpod Centris, Eton Centris,
Quezon Citty 1100, Philippines
Trunkline: (+632) 709-4146
Copyright 2016. All rights reserved.

PPP Center Operations Manual DEC 2015

Caricato da

Informazioni sul documento

Copyright

Formati disponibili

Condividi questo documento

Condividi o incorpora il documento

Opzioni di condivisione

Hai trovato utile questo documento?

Questo contenuto è inappropriato?

Copyright:

Formati disponibili

PPP Center Operations Manual DEC 2015

Caricato da

Copyright:

Formati disponibili

Table of Contents

Active records. Refers to records used to conduct current PPPC/Services

GENERAL INFORMATION ABOUT THE AGENCY

By virtue of the Executive Order No. 8 series of 2010, as amended by Executive

3. Recommend plans, policies and implementation guidelines related to

Figure 1. PPPC Revised Logical Framework

PPPC REVISED LOGICAL FRAMEWORK

ORGANIZATION AND RESPONSIBILITIES

Figure 2. Organizational Structure

Figure 3. PPPC Services and Responsibilities

OPERATIONAL CONTROL AND SUPERVISION

Duties and Responsibilities of Management Committee

Deputy Executive Director 1

Deputy Executive Director 2

CONTROL OF RECORDS AND DOCUMENTS

PPP Center Library General Policies and Procedures

PPP CENTER LIBRARY

Table 1. Borrowing Privileges

Table 2. Access of Library Materials

Fulfill its mandated functions;

V. Legislation and Standards

Republic Act 9470 (National Archives of the Philippines Act);

creation or capture of records within the recordkeeping systems;

In general, it is an offense to destroy any PPPC record without authorization from

Does the IA/LGU

IA with assistance from the

PDS provides technical

IA and PDS prepares Project

TA prepares the Feasibility Study and Project evaluation

Figure 4. Project Development Process

Does the IA want

IA Submits Project Evaluation

Was the project

PDS assists the IA and the TA to

Was the project

PDS assists the IA and the TA to

Preparation of Bid Documents

TA prepares Bid Documents which

Figure 5. Project Development Process (Cont)

PDS assists the IA in Project roll

PDS assists the IA in evaluation of

Figure 6. PDMF Process

Figure 7. PDMF Process

C. PDMF Process (Signing of TAA between PPPC and NGA/LGU)

Figure 8. Monitoring Framework - Implementing Agency

D. PPP Monitoring Framework and Protocols

Figure 9. Monitoring Framework - Project Proponent

ii. Project Proponent

Figure 10. Monitoring Framework - PPP Center

iii. PPP Center

Figure 11. Appraisal of Projects Process

Figure 12. Appraisal of PPP Projects Process (Cont)

Figure 13. Process Flow of Incoming/Outgoing Mail

Supplies Purchase Journals

REPUBLIC OF THE PHILIPPINES

PUBLIC-PRIVATE PARTNERSHIP CENTER

Potrebbero piacerti anche