PROFICIENCY EVALUATION PROCESS

The Proficiency Evaluation Process is composed of three phases: the Strategic

Readiness Test (SRT), the Performance Audit, and the Unit Revalida. The SRT
includes Self-Assessment Survey, a Focus Group Discussion (FGD), and series of
interviews. The Performance Audit will be conducted by Audit Teams composed of
selected members of the Technical Working Group (TWG), Focal Group on PNP
P.A.T.R.O.L. Plan 2030 and CPSM personnel to evaluate the presence of the
identified PGS Proficiency Elements. The Unit Revalida includes a submission of
written report/handout and presentation of Unit Performance Governance Report
before a panel of knowledgeable PGS practitioners.

Objectives:

1. Assess the Unit’s level in the PGS pathway using the SRT;
2. Validate the elements of PGS Proficiency through the Performance Audit;
3. Identify areas for improvement to further embed PGS in the organization; and
4. Present Performance Governance Report (PGR) for the Proficiency Stage.

Phases of the Proficiency Evaluation Process

A. Strategic Readiness Test

1. Self Assessment Survey – an assessment on the compliance of the units in

the development, implementation, and monitoring and evaluation of the unit’s
adopted strategies.

 Population: Unit and its subordinate units

 Depth: a. D-Staff – NSU level
b. NSU – Regional Units/Division level
c. PRO – PPO level
 Sample Size: 60% of the Unit’s total number of
Participants
personnel
 It will cover a cross section from the three categories:
 PCO
 PNCO
 NUP
Materials  Strategic Readiness Test Online Survey
 The Police Strategy Management Units shall be
responsible for drawing up the list of respondents
Deployment and for sending them an email link to the online
survey. The online survey automatically tabulates the
results.
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Proficiency Evaluation Process

2. Focus Group Discussion – provides context to the results of the self

assessment survey.

Facilitator  Audit Team

 Members of the Technical Working Group
Participants  Members of the Police Strategy Management Unit
 10 to 12 persons
 The unit must identify and confirm the list of
participants for the FGD. There should be no more
than 12 participants.
 Attire must not show distinctions of rank or position
Pre-FGD
to encourage free and open discussions.
Preparations
 The unit must also delegate personnel to render
administrative assistance in the conduct of the FGD.
They will document the proceedings and submit the
same to CPSM.
 Large round table (board room type) that can
accommodate 17 persons
 Venue will be determined by the unit
Materials
 Name tags for the participants
 Papers and pens/pencils
 Snacks and coffee

3. Interview – provides deeper insights on the progress of the unit in the PGS. It
also gives an indication on the level of understanding and commitment of the
personnel to the PNP P.A.T.R.O.L. Plan 2030.

Facilitator  Audit Team

 Head of Unit
 Head of TWG
Participants  Head of PSMU
 Head/Member of the Advisory Council
 Head of Subordinate Unit (RO/PD/CD/Division Chief)
 The unit must identify and confirm availability of the
Pre-Interview five interviewees.
Preparations  The unit must also determine the venue of the
interviews.

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B. Performance Audit – assessment of the unit to validate the presence of the

mandatory elements of the PGS Proficiency Stage through the following
methodologies:

 Documents Review
 Personnel Interview
 On-Site Visits

Auditor  Audit Team

Participants  TWG and PSMU, as required
 Audit documents must be submitted to CPSM one
Pre-Audit Materials
week prior the conduct of the audit proper
The unit must submit documents pertinent to the
elements of the Proficiency Stage:
1. Functionality of Strategy Partners
A. Police Strategy Management Unit
B. Technical Working Group
C. Advisory Council
2. Functional Scorecard
A. Regular Monitoring, Review, and Reporting of
Strategy
B. Alignment of Scorecard and Dashboard to
Main Audit Focus
Individual Level
3. Analysis and Examination of Strategy Execution
A. Cascading of Strategy to Individual Level
B. Implementation of the Communications Plan
C. Sharing and Implementation of Best Practices
4. Initiatives Management
A. Link to Human Resource
B. Link to Budget
C. Link to Logistics
D. Link to Systems and Processes
5. Breakthrough Results on the 2015 Commitment

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Audit Guide

The following documents must be prepared and submitted to CPSM for the
Performance Audit.

Element Documents to be Prepared

a. Letter Order, Staffing Pattern
b. Training Profile
c. Proof of submission of reports
Functional PSMU
(Scorecard accomplishments,
cascading activities,
implementation of CommPlan)
a. Letter Order, Staffing Pattern
b. Proof of submission of reports
Functional TWG (Scorecard accomplishments,
Functionality meetings, cascading activities,
of Strategy implementation of CommPlan)
Partners a. AAR, photos, etc. during oath
taking
b. Identification of officers/structure
c. Regular updating of the members
Functional Advisory d. Regular conduct of meeting (AAR,
Council minutes of the meeting, photos,
attendance, etc.)
c. Other supporting documents
(initiatives (PPAs) implemented,
etc.)

Regular Monitoring, a. Regular conduct of SR (AAR,

Review, and minutes, resolutions, photos, etc.)
Reporting of b. Updated Scorecard (2015)
Strategy c. Supporting evidence that will show
Functional accomplishments (trend analysis,
Scorecards regression analysis, SR matrix,
Alignment of other monitoring and evaluation
Scorecard and tools as may be necessary)
Dashboard to d. Scorecards/Dashboards of lower-
Individual Level level units

a. Regular reporting of cascading

Analysis and
Cascading of activities (AAR, photos, etc.)
Examination
Strategy to b. Alignment of Individual Scorecard
of Strategy
Individual Level all personnel with Unit
Execution
Scorecard/Dashboard

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a. Implementation Plan
b. List of initiatives in communicating
the PNP P.A.T.R.O.L. Plan 2030
Implementation of (AAR, photos, other documentary
the Communications evidence)
Plan c. Impact assessment of the
implementation of the CommPlan
(internal and external stakeholders)
d. Other supporting documents
Sharing and
Implementation of
Project Fact Sheets, photos, other
Identified Best
supporting documents
Practices in the
Compliance Stage
Link to Human a. Letter Order, Staffing Pattern
Resource b. Training Profile
a. Annual Operations Plans and
Budget
b. Updated Measures Profile
c. Updated Initiatives Profile
d. Program Review and Analysis
Link to Budget
(PRA) Report
Initiatives e. Fact Sheets of the Initiatives
Management
f. Any monitoring and evaluation tool
to monitor milestone or progress of
initiatives (e.g. GANTT Chart)
Any document which shows allocation
and utilization of logistical resources
Link to Logistics
necessary per initiative (e.g. TEA,
TSA)
Link to Systems and Any document which shows process
Processes flow in the implementation of initiatives
Emerging Breakthrough Results on a. Accomplishment Report
the 2015 Commitment b. All available documents

*The audit is not restricted to the documents above. The Audit team may
request for other materials which they deem necessary to ascertain
assessment of the unit’s performance. The unit may submit or present other
data, information, or documents that will support their claim for the Proficiency
stage.

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C. Unit Revalida – consolidation of the unit’s progress in the PGS journey.

1. Mechanics in the Presentation

The unit shall undergo a one-hour PNP Unit Certification and Performance
Governance Reporting where the head of office shall deliver a 30-minute
presentation of their accomplishments and a 30-minute panel examination
which covers the following:

 3-minute allowance for set-up and preparations

 2-minute panel briefing by the Panel Chair
 20-minute formal presentation of Proficiency stage elements
 30-minute panel examination
 5-minute closed door deliberation

ITEMS/CONTENT
CONTEXT SETTING (AVP or PPT Slides)
 Current realities and reasons for adopting a good governance program
 Strategic change agenda, or major transformations expected as a result
of implementing the strategy
 Major issues encountered in strategy implementation

PERFORMANCE PROGRESS OF THE ORGANIZATIONAL STRATEGY

 Highlight the critical elements of the strategy using the:
1. Charter Statement
2. Strategy Map
3. Unit Scorecard
4. Strategic Initiatives

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FUNCTIONALITY OF STRATEGY PARTNERS

A. POLICE STRATEGY MANAGEMENT UNIT
 Creation and Sustainability of the Police Strategy Management Unit
1. Placement in the organization
2. PSMU full-time plantilla
3. PSMU Part-time counterparts
4. Allocation of financial and logistical resources
5. Annual Plan/Schedule of Activities
 Main functions and process flow
 Calendar of Activities
B. TECHNICAL WORKING GROUP
 Main functions and process flow
 Calendar of activities
C. ADVISORY COUNCIL
 Creation and Sustainability of the Council
 Main functions and process flow
 Calendar of activities
 Notable contributions/accomplishments

FUNCTIONAL SCORECARD
A. REGULAR MONITORING, REVIEW, AND REPORTING OF STRATEGIES
 Regular conduct of Strategy Reviews and facilitation of Operations Reviews
B. ALIGNMENT OF SCORECARD AND DASHBOARD TO INDIVIDUAL LEVEL
 Status of Second level scorecards

ANALYSIS AND EXAMINATION OF STRATEGY EXECUTION

A. CASCADING OF STRATEGY TO INDIVIDUAL LEVEL
 Further cascading to lower unit levels
 Schedule of Cascading Activities
B. IMPLEMENTATION OF THE COMMUNICATIONS PLAN
 Alignment of strategy to command guidance, key priorities, etc.
 Communication materials and paraphernalia
 Measure of Effectiveness
C. IDENTIFICATION OF BEST PRACTICES
 Identify best practices in the implementation of the strategic initiatives

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INITIATIVES MANAGEMENT
A. LINK TO HUMAN RESOURCE
 Proof of actual results of engagement, adequacy and competencies
B. LINK TO BUDGET
 How the strategy drives key strategic initiatives
 Link to Initiatives and strategy to budget
 Proof of allocation and utilization
C. LINK TO LOGISTICS
 Proof of allocation of resources to initiatives
D. LINK TO SYSTEMS AND PROCESSES
 Establishment of organizational systems and structures

EMERGING BREAKTHROUGH RESULTS ON THE 2015 COMMITMENTS

 Show proof of breakthrough results ensued from the 2015 Commitments

PLANS MOVING FORWARD

 Soft and hard benefits attained as a result of using the PGS
 Plans moving forward
 Action plan of Audit Findings

2. Contents of the Formal Report/Handout

The head/s of office/s must ensure that their presentation is supplemented by

a formal report, which shall be submitted five days prior to the date of
reporting. The report must clearly stipulate all requirements of the unit’s
implementation of the PNP P.A.T.R.O.L. Plan 2030.

Mandatory Format of Formal Report

I. Preliminaries
a. Title page
b. Foreword from the head of the organization
c. Table of contents
II. Context Setting
a. Current realities and reasons for adopting a good governance program
b. Strategic change agenda, or major transformations expected as a
result of implementing the strategy
c. Major issues encountered in strategy implementation

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III. The Journey towards Compliance

a. Critical PGS Timetable - includes dates and some few

remarks from Compliance to Proficiency Stage:

PGS ACTIVITY DATE REMARKS/NOTES

IV. Progress Under a Reform Program

Strategy Map

a. The Governance Charter Statement – Values, Mission, Vision

b. The Strategy – tell the story of your strategy map

Governance Scorecard

c. The Unit Scorecard

2014 2015 2016 2017

O M I
T A T A T A T

d. Actual vs. target presentation of 2014, 2015 performance and

targets for 2016 and 2017
e. Changes made and performance highlights
f. Presentation of emerging breakthroughs, if any
g. Updated Measure Profiles - equal to the number of measures

Strategic Initiatives

h. List of key strategic initiatives

i. Progress of implementation of Strategic Initiatives
j. Updated Initiative Profiles –description and milestone status of the
initiatives

V. Elements of the Stage

a. Narrative of the elements

b. Proof of implementation
c. Tangible results of implementation

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VI. Plans Moving Forward

a. Soft and hard benefits of using the PGS – accomplishments as a result

of using the PGS
b. Action Plan on Audit Findings and Recommendations

VII.Annex and Additional Materials

a. Legislations or any documents supporting the formal adoption of

the strategy – and testimonial from the Head of the Organization
b. Minutes of the meeting for key meetings based on the components
above
c. Members of the Technical Working Group or Champions of
Governance
d. Composition of the participants during the working sessions
e. Other Annexes as may be necessary

VIII. Additional Guidelines

A. Pre-presentation Activities
1. Submission of one soft copy of the Presentation and Formal
Report to the Center for Police Strategy Management thru
srd@cpsm.pnp.gov.ph five days prior to the date of
reporting.
2. Submission of at least 8 hardcopies of the formal report for
the panel on the day of the presentation.
3. Submission of the names of Advisory Council members who
will join the reviewing panel at least three days before the
presentation.
B. Presentation Proper
1. The Unit Certification and Performance Governance Report must
be delivered by the head of office. No representative will be
allowed.
C. Delegation
1. The head of office must be accompanied by his command group.
Their names and corresponding designations must be
submitted to CPSM three days prior to the date of reporting.
2. Any additional staff/personnel shall be coordinated with the CPSM.

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