PROFICIENCY EVALUATION PROCESS

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

Strategic Readiness Test (SRT), the Performance Audit, and the Performance
Governance Reporting (Unit Revalida). The SRT includes Self-Assessment Survey,
a Focus Group Discussion (FGD), and series of interviews. The Performance Audit
will be conducted by the 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 mandatory 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 presence of mandatory elements of PGS Proficiency through the
conduct of Performance Audit;
3. Identify areas for improvement to further embed PGS in the organization and
more effectively implement the strategy; and
4. Present Performance Governance Report (PGR) during the Revalida 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 be composed of mixed participants consisting
of the following:
 PCO
 PNCO
 NUP
Materials  Strategic Readiness Test Online Survey
 PNP Unit Certification and Performance Governance Reporting
Proficiency Evaluation Process

 The Police Strategy Management Units shall be

responsible for identifying the list of respondents and
Deployment
for sending them an email link to the online survey.
The online survey automatically tabulates the results.

2. Focus Group Discussion – provides context to validate and enhance the

results of the self assessment survey.

Facilitator  PEP Facilitators

 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 table (preferably round table) 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  PEP Facilitators

 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.

Page 2 of 10
 PNP Unit Certification and Performance Governance Reporting
Proficiency Evaluation Process

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 scheduled 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. Analysis and Examination of Strategy Execution
A. Regular Monitoring, Review, and Reporting of
Strategy
B. Functional Scorecard and Dashboard to Individual
Main Audit Focus Level
C. Cascading of Strategy to Individual Level
3. Stakeholder Communication
A. Implementation of the Communications Plan
4. Initiatives Management
A. Link to Human Resource
B. Link to Budget
C. Link to Logistics
D. Link to Systems and Processes
5. Best Practices and Breakthrough Results
a. Sharing and Implementation of Identified Best
Practices in the Compliance Stage
b. Breakthrough Results on the 2015 Commitment

Page 3 of 10
 PNP Unit Certification and Performance Governance Reporting
Proficiency Evaluation Process

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
accomplishments (trend analysis,
regression analysis, SR matrix,
Analysis and
Functional other monitoring and evaluation
Examination
Scorecard and tools as may be necessary)
of Strategy
Dashboard to d. Scorecards/Dashboards of lower-
Execution
Individual Level level units

a. Regular reporting of cascading

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

Page 4 of 10
 PNP Unit Certification and Performance Governance Reporting
Proficiency Evaluation Process

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
Stakeholder the
evidence)
Communication Communications
c. Impact assessment of the
Plan
implementation of the CommPlan
(internal and external stakeholders)
d. Other supporting documents
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 Any document which shows process
and Processes flow in the implementation of initiatives
Sharing and
Implementation of
Project Fact Sheets, photos, other
Best Identified Best
supporting documents
Practices and Practices in the
Breakthrough Compliance Stage
Results Breakthrough
a. Accomplishment Report
Results on the
b. All available documents
2015 Commitment

*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.

Page 5 of 10
 PNP Unit Certification and Performance Governance Reporting
Proficiency Evaluation Process

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

1. Mechanics of 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
oral presentation of their unit accomplishments followed by 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
 30-minute formal presentation of Proficiency stage elements
 30-minute panel examination
 5-minute closed door panel deliberation

ITEMS/CONTENT
CONTEXT SETTING (with 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
 Journey towards Proficiency (Conferment of PGS Initiated and Compliant
Status)
 Highlight the critical elements of the strategy using the:
1. Strategy Map; 2. Unit Scorecard; 3. Strategic Initiatives
FUNCTIONALITY OF STRATEGY PARTNERS
A. POLICE STRATEGY MANAGEMENT UNIT
 Working Organizational Structure and Systems
 Sustained Presence and Involvement / Influence and Impact
B. TECHNICAL WORKING GROUP
 Working Organizational Structure and Systems
 Sustained Presence and Involvement / Influence and Impact
C. ADVISORY COUNCIL (For PROs and NSUs)
 Working Organizational Structure and Systems
 Over-all Value-adding contributions/Sustained Presence and Involvement /
Influence and Impact
 Advisory Board
 External communicator
 Supporter of initiatives (targeted contributions)

Page 6 of 10
 PNP Unit Certification and Performance Governance Reporting
Proficiency Evaluation Process

ANALYSIS AND EXAMINATION OF STRATEGY EXECUTION

A. CASCADING OF STRATEGY TO INDIVIDUAL LEVEL
 Individual's understanding of contribution to the unit and organization
 Regularity of the cascading process
 Feedback
 Commitment to targets
 Individual Commitment
B. FUNCTIONAL SCORECARD AND DASHBOARD TO INDIVIDUAL LEVEL
 Full Alignment (showing cause-and-effect relationship)
 Link to performance evaluation system
C. REGULAR MONITORING, REVIEW, AND REPORTING OF STRATEGIES
 Regular / continuous refresh based on learning and feedback
 Efficient reporting and monitoring process
STAKEHOLDER COMMUNICATION
A. IMPLEMENTATION OF THE COMMUNICATIONS PLAN
 Active communication of strategy
 Effectiveness of communication
INITIATIVES MANAGEMENT
A. LINK TO SYSTEMS AND PROCESSES
 Well defined systems
 Assessments
B. LINK TO HUMAN RESOURCE
 Adequate and competent staff
 Analysis and review process
C. LINK TO BUDGET
 Adequate and timely allocation
 Implementation and Monitoring
D. LINK TO LOGISTICS
 Identification
 Utilization and deployment

BEST PRACTICES AND BREAKTHROUGH RESULTS

A. IDENTIFICATION OF BEST PRACTICES
 Identification
 Implementation
 Sustainability
 Knowledge sharing
B. EMERGING BREAKTHROUGH RESULTS ON THE 2015 COMMITMENTS
 Identification
 Validation
 Transformative result

Page 7 of 10
 PNP Unit Certification and Performance Governance Reporting
Proficiency Evaluation Process

PLANS MOVING FORWARD

 Action plan of Audit Findings
 Plans moving forward

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

III. Progress Under a Reform Program

The Journey towards Proficiency

a. Critical PGS Timetable - includes dates and some few

remarks from Initiation to Proficiency Stage:

PGS ACTIVITY DATE REMARKS/NOTES

The Governance Charter Statement

a. Values, Mission, Vision

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

Page 8 of 10
 PNP Unit Certification and Performance Governance Reporting
Proficiency Evaluation Process

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. Updated Measure Profiles - equal to the number of measures

Strategic Initiatives

h. List of strategic initiatives with updated Initiative Profiles (Updated

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

V. Elements of the Stage

a. Narrative of the elements

b. Proof of implementation
c. Tangible results of implementation

VI. Plans Moving Forward

a. Action Plan on Audit Findings and Recommendations

b. Plans towards Institutionalization

VII. Annex and Additional Materials

a. Any document 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. Designation of Members of the Technical Working Group or
Champions of Governance and PSMU (with appropriate orders)
d. Composition of the participants during the working sessions
e. Other Annexes as may be necessary

Page 9 of 10
 PNP Unit Certification and Performance Governance Reporting
Proficiency Evaluation Process

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.

Page 10 of 10