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Republic of the Philippines

National Police Commission


NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE
DIRECTORATE FOR PERSONNEL AND RECORDS MANAGEMENT
Camp Crame, Quezon City

MEMORANDUM -TAN 2 6 S61


GATE
FOR : C, PNP

TDCA JAN 18 2016

TDCO / 1 8 JAN 2016


THRU : TCDS 2016 CPNP Act Doc '16 A028229

FROM : TDPRM II 111 11 11 I II


AA,R9')ci

SUBJECT : Approval on the Revision of the Handbook on the


Strategic Performance Management System (SPMS)
of the PNP for NUP

DATE
.rdAi\i 15 2016
1. References:

a. CSC Memorandum Circular No. 6, s. 2012 dated March 15, 2012, with
subject: Guidelines in the Establishment and Implementation of Agency
Strategic Performance Management System (SPMS);
b. Handbook on the Strategic Performance Management System of the
PNP for NUP, duly approved by the Chief, PNP on February 6, 2013;
c. Implementation of the CSC-Approved Strategic Performance
Management System of the PNP for NUP, duly approved by the Chief,
PNP on March 4, 2014 (Tab "A");
d. CSC SPMS Evaluation Form No. 3, s. 2013 dated November 11, 2014;
e. CSC Office Memorandum No. 55, s. 2014 dated August 20, 2014, with
subject: Monitoring of Agency Strategic Performance Management
System (SPMS) (Tab "B"); and
f. Memorandum for 01C, PNP dated May 18, 2015, with subject:
Approval on the Revised Individual Performance Commitment and
Review (IPCR) Form of NUP (Tab "C").

2. This pertains to the approved implementation of the SPMS of the PNP for
NUP. SPMS is a new system aimed at motivating higher performance and greater
accountability based on performance targets and accomplishments and ensures the
accomplishment of the organization's commitments and targets.

3. The SPMS of the PNP-NUP is based on the guidelines provided for under
CSC Memorandum Circular No. 6, series 2012. The system establishes and
validates the relationship of performance between that of the organization and that of
the individual personnel. Unlike previously, the system has now been integrated with
all performance-based human resource movements and interventions and DBM-
performance based incentives.

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4. Last year's implementation of the SPMS brought to the fore some noted
weaknesses particularly on the Individual Performance Commitment and Review
(IPCR) Form, a major tool in the implementation of the system. The main highlight of
the revised IPCR measures the performance of NUP in terms of the set target
through success indicators for quality, timeliness and efficiency per output/activity of
his/her core and support functions. Specifically, the changes on the IPCR Form
include the following:

a. Revised Adjectival Rating Scale;


b. Further defined the success indicators/measures and targets;
c. Added percentage weight allocation to qualify for the core and support
functions; and
d. Revised format of Individual Performance Commitment and Review
(IPCR) Form.

5. In view of the foregoing, recommend approval of the following:

a. Inclusion of the revised IPCR Form in the Handbook on the-strategic


Performance Management System (SPMS) of the PNP for NUP
(Annex B);
b. Issuance of appropriate orders for the new composition f the
Performance Management Team (PMT) (Tab "D" );
c. Cascading of the revised SPMS of the PNP for NU o all Offices/Units'
d. Implementation of the revised SPMS of the P for NUP starting 1st
Semester of 2016 and onwards; and
e. Printing of the Revised Handbook on the SP S of the PNP for NUP.

6. Recommend approval of paragraph 5a to e above.

DOMINADOR E AQUINO JR.


Police Directo it 1 7016

DDPRM
EX-O, DPRM
C, NUPAD
Revised Handbook on the
Strategic Performance Management System
(SPMS) of the Philippine National Police for
Non-Uniformed Personnel
Table of Contents

Page

Foreword 2

Chapter I. Introduction 4

Chapter 2. Framework and Objectives 6

Chapter 3. The SPMS Process 9

Glossary 23

Annexes 25
FOREWORD

The Handbook on the Strategic Performance Management System (SPMS) of


the Philippine National Police (PNP) for Non-Uniformed Personnel (NUP)began with
a vision to better enhance, motivate, and develop efficient and effective personnel of
the PNP in order to fulfill the needs of the organization as well as the needs of the
community it serves and protects. The establishment of the SPMS in the PNP is also
aimed at replacing the existing performance system, the Performance Evaluation
Rating System under the CSC Memo Circular No. 13, series of 1999. This new
system is aimed at motivating higher performance and greater accountability based
on performance targets and accomplishments and ensure the accomplishment of the
organization's commitments and targets under the five (5) Key Result Areas (KRAs)
laid down in Executive Order (EO) No. 43 (s. 2011) and the Philippine Development
Plan (PDP) 2011-2016. Moreover, it is pursuant to the implementation of the
Performance Based Bonus (PBB) and Performance Based Incentive (PBI) as
declared by HE President Benigno S Aquino III during his Third State of the Nation
Address on July 23, 2012:

"We will implement a system in which bonuses are based on their


agency's abilities to meet their annual targets. Employees now
hold the keys to their own advancement. Incentives may reach up
to 35,000 pesos, depending on how well you do your jobs. This is
in addition to your across-the-board Christmas bonus. We are
doing this not only to boost morale and to show due appreciation of
our public servants. This is, above all, for the Filipino people, who
expect sincere and efficient service—who expect that they will
continue to be the sole Bosses of our workers in government."

However, in order to move forward in the furtherance of the SPMS, a well-


defined process and forms clearly specifying the goals and target objectives shall be
communicated effectively in a well-perceived performance based incentive plan. It
also became apparent that in order to have a well-perceived performance based
incentive plan, there must be a well-defined role of every PNP personnel in its
successful implementation in the years ahead.

Based on the dictum that when group effort is required to obtain financial or
monetary rewards, then the individual members of the group will go out of their way
to do more than is required of them. It's a better way for the organization to further
streamline its systems and processes of enhancing the quality of life of its personnel.
In retrospect, it provides a wider opportunity for the individual to perform his/her job
well by developing and adopting the Individual Performance as the key not only to
the organization's success but of his/her own personal achievement. With the
adoption of an IP Card or the Individual Performance Report Card, this will become
the driving force for each PNP personnel to further enhance his/her performance
from the first hour of the day he/she reported to work. From non-supervisory, mid-
level to supervisory level, each PNP Personnel would positively manifest the right
behavior and attitude towards organizational development that is taking place in a
dynamic organization such as the PNP.

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By simplifying the systems and processes inside the organization, a system or
scheme was developed in a user-friendly and well understood manner. A framework
was conceptualized based on the four-stage Performance Management System
Cycle. Definition of terms was also incorporated as used in this Handbook.
Mentoring and development of Team Evaluators and/or Validation Team as well as
identifying the roles of each Supervisor and Heads of Offices were conducted to
supervise, monitor and account the accomplishment of the set objectives and goals
of this Plan on a quarterly basis.

This Handbook therefore describes how such plans can be devised. The
basic idea is to present in a simple and well understood manner the organization's
preferences that imply some particular form of the incentive function. First, it shows
how a performance-based incentive plan can be devised when incentive
compensation to a personnel, team or units is based on their actual performance on
some predetermined criteria. Next, it considers goal-based plans that encourage
mid-level and supervisory level managers to set accurate goals and motivate them to
strive for a better performance subsequent to goal setting. Finally, it realigns the
individual goal-based plans to the unit or divisions' own goal plans to the
organization's overall goals.

Premised on the above, the implementation of a performance based incentive


plan will unleash the potentials of both the individual and the organization. Since this
is a work in progress document, each personnel, unit or division in the organization
would be able to focus on individual performance and accountability by realizing
each one's roles and responsibilities and realigning it to the organization's overall
goals and objectives.

3
CHAPTER 1

INTRODUCTION

Through the years, the Civil Service Commission (CSC) has implemented
several performance evaluation or appraisal systems for government employees.
These systems, however, focused only on individual appraisals which are
prerequisites for promotion and other human resource policies including employee
separation and performance-based incentives. The relationship between appraisals
and individual output and incentives and the absence of parallel system to enable
validation between organizational success and employee performance caused
management integrity being diminished due to subjectivity and unreliability.

To address the gaps or weaknesses found in previous performance


evaluation systems, the CSC pilot-tested the Strategic Performance Management
System (SPMS). The SPMS is a management tool that links individual performance
vis-à-vis the agency's organizational vision, mission and strategic goals. It is actually
a methodology for ensuring fulfillment of functions of offices and its personnel as well
as for assessing accomplishments. It gives emphasis to the strategic alignment of
the organization's thrusts with the day-to-day operations of the units. The SPMS also
focuses on measures of performance results that are reviewable over a period of
time and provides a reliable basis in assessing organizational performance and the
collective performance of individuals within the organization.

The SPMS objectives are: (a) to concretize the linkage of organizational


performance with the Philippine Development Plan, Agency Strategic Plans (PNP
Medium-Term Development Plan and P.A.T.R.O.L. Plan 2030), and Organizational
Performance Indicator Framework (OPIF); (b) to ensure organizational and individual
effectiveness by cascading institutional accountabilities to the various levels of the
organization; and (c) to link performance management with other human resource
systems.

The SPMS has the following basic elements:

a. Goals that are aligned to agency mandate and organizational priorities;


b. System that is outputs/outcomes-oriented;
c. A team approach to performance management;
d. Forms that are user-friendly and shows alignment of individual and
organizational goals;

e. Information systems that support monitoring and evaluation; and


f. A communication plan.

Most importantly, the SPMS complements the Results-Based Performance


Management System (RBPMS) that is implemented by the Office of the President

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and links organizational performance to the Performance-Based Incentive System
(PBIS) as mandated by Executive Order No. 80 signed by President Benigno S.
Aquino III on July 20, 2012 that consists of the Productivity Enhancement Incentive
(PEI) and the Performance-Based Bonus (PBB).
The SPMS is a new way of managing performance in the Philippine National
Police. It serves as a performance evaluation for assessing unit performance or the
collective performance of personnel within the organization. To enhance objectivity
of individual performance evaluations, the management, particularly the Directorate
for Personnel and Records Management (DPRM) established a mechanism of
setting standards to align individual objectives to organizational objectives.

The SPMS applies to output-based units and measures the collective


performance outputs with the use of a standard unit of measure. This allows
comparison of performance across offices, units or functions, and would take into
account the efficacy of personnel.

Through the SPMS, the PNP addresses the demand to produce tangible
results that will indicate the level of performance of officers or units. Every
accomplishment is given due credit through the provision of a more objective
measurement. This is then done through setting uniform standards for common
outputs and translating different targets into one unit of measure. The result of such
measure facilitates comparison of output, allowing the management to look at
relative effectiveness and efficiencies of units under them and determine appropriate
actions that will give an indication of their overall performance.

The main purpose of the SPMS is to make sure that improved performance
supports the growth of the organization resulting in better quality service to the client
or community it serves. It is designed to provide the means through which
breakthrough results can be obtained from the organization and its personnel. It
follows the four-stage SPMS cycle, namely, performance planning and commitment;
performance monitoring and coaching; performance review and evaluation; and
performance rewarding and development planning.

The SPMS is the heart of the personnel administration because information


produced from it is useful in planning, management and decision making processes.
The requirements for the SPMS support the demand for highly effective personnel
wherein it holds all are accountable for their performance outputs or
accomplishments. It is based upon the proposition that consideration of performance
must be a meaningful part of the evaluation process and that continued personnel
development is important and must be provided effective means to help improve
performances coupled by proper incentives and rewards mechanism to uplift morale
and awareness.

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CHAPTER 2

FRAMEWORK AND OBJECTIVES

As shown in Figure 1, the SPMS follows the same four stage PMS cycle that
underscores the importance of performance management of the organization.

As an effective performance management tool, it measures office


performance making it easy to directly translate the PNP's strategic direction into
more specific and measurable objectives. It also serves as a standard for better
alignment of the NUP's objective to the organizational objectives of the PNP.

Performance Planning and PERFORMANCE


Commitment MONITORING & COACHING

Performance Rewarding and PERFORMANCE REVIEW


Development Planning AND EVALUATION

Figure 1.1 The PMS Cycle

2.1 4 Stages of the PMS Cycle. The following are the various stages of the PMS
Cycle:

a. Stage 1: Performance Planning and Commitment — is done at the


start of the performance period. Heads of Offices, supervisors and
staff meet and agree on the outputs to be accomplished based on the
goals/targets of the organization.

b. Stage 2: Performance Monitoring and Coaching — is vital to keep


track of the performance of personnel. Ensure that timely and
appropriate measures are undertaken to achieve the goals/targets.
Supervisors as coaches or mentors have a crucial role in improving the
unit/team performance, and manage and develop individual potentials.

c. Stage 3: Performance Review and Evaluation — aims to assess the


performance level of the office/unit and individual employees based on
the set goals/targets.

d. Stage 4: Performance Rewarding and Development Planning —


The conduct of individual employee evaluation enables the
identification of strengths, competency-related gaps and the
opportunities to address these gaps, career paths and alternatives. In

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this stage, top performers are determined and qualify for the awards
and incentives.

2.2 Objectives of the SPMS. The following are the objectives identified to realize
the SPMS (Plan):

a. To strengthen the PNP Personnel towards organizational effectiveness


and increased productivity level;

b. To realign the systems and processes as incorporated in the


organization's strategic action plan into the Organizational
Performance Indicator Framework and the Individual Performance of
each personnel and collective teamwork;

c. To develop a performance-based incentive plan that is well


understood, and;

d. To create a PNP Performance Management Team tasked to oversee


the effective implementation of the plan.

2.3 Scope and Coverage. SPMS covers all PNP Non-Uniformed Personnel at
the National Headquarters, National Support Units (NSUs), Police Regional Offices,
City/Provincial/District Police Offices, Municipal Police Stations, Task Forces and
other attached units of the PNP.

2.4 Key Players and Responsibilities. The following are the composition of the
Key Players of the PNP and their responsibilities.

Table 2.1 Composition of Key Players


Key Players FUNCTION
SPMS Champion — Chief, PNP • Primarily responsible and accountable for the
establishment and implementation of the SPMS
• Sets the PNP's performance goals/objectives and
performance measures
• Determines the target setting period
• Approves office performance commitment and
rating
• Assesses performance of Offices
Performance Management Team • Reviews OPCR for Agency's approval
• Ensures that office performance measures and the
Composition: budget are aligned with those of the PNP's and
Chairman: The Chief, Directorial Staff that work distribution of offices is rationalized
(TCDS) • Acts as appeal body and final arbiter for
DPRM — The Director for Personnel performance management issues of the PNP
and Records Management (DPRM) • Identifies top performers of PNP who qualify for
Members: rewards and incentives
a. Chief, Non-Uniformed Personnel
Division
b. Asst. Chief, Organizational
Development Division, Directorate for
Plans (NUP)
c. Asst. Chief, Management Directorate

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for Comptrollership (NUP)
d. President of the Non-Uniformed
Personnel Association
Incorporated(NUPAI)/Police Non-
Commissioned Officers Association
Incorporated President/Other PNP
Organization Presidents (PNCOAI)
Technical Working Group • Provides technical assistance to the PMT during
Members SPMS activities
• Validate and evaluate submitted OPCR results
• Responsible for pilot testing/deployment of the
initial implementation of SPMS in the PNP
Directorate for Plans • Monitors submission of OPCR and schedule the
evaluation of Office Commitments by the PMT
before the start of a performance period
• Consolidates, reviews, validates and evaluates the
initial performance assessments of the Heads of
Offices based on reported Office accomplishments
against success indicators and the allotted budget
against actual expenses.
Directorate for Personnel and Records • Monitors submission of IPCR forms by Heads of
Management (Plans, Programs and Offices
Policy Division) • Reviews the Summary List of Individual
Performance Rating to ensure that the average
rating of employees is equivalent to or not higher
than the OPCR as recommended by the PMT and
approved by the C,PNP
Directorate for Human Resource and • Provides analytical data on skills competency
Doctrine Development gaps, and training/talent development plan
• Determines and promotes best practices in human
resource development

Directorate for Police Community • Develops Communication Plan upon approval of


Relations the Revised SPMS Manual

Head of Office • Assumes primary responsibility for performance


management in his/her Office
Division Chief or equivalent • Assumes joint responsibility with the Head of Office
in ensuring performance objectives
Section Chief • Assumes joint responsibility with the Division Chief
in ensuring performance objectives
Individual Employees • Act as partners of management and their co-
employees in meeting organizational performance
goals

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CHAPTER 3

THE SPMS PROCESS

The SPMS shall follow the same four-stage PMS cycle that underscores the
importance of performance management.

3.1 Stage 1 — Performance Planning and Commitment.


At the core of performance planning and commitment is the determination of
Success Indicators that are performance level yardsticks or measures. Performance
measures may be limited to those functions that contribute to the accomplishment of
the overall projected outcomes and priorities of the office/unit. Performance
measures may vary or may be refined as needed, hence, are subject for review.

Success Indicators should be S-M-A-R-T: Specific, Measurable, Achievable,


Results-Oriented, Time-Bound. The following guide questions will help in the
formulation of Success Indicators:

a. Specific: Do the Indicators clearly indicate what will be achieved? Are


they easily understood?

b. Measurable: Are the indicators quantifiable or verifiable to determine


whether the office/individual is meeting the objectives or not?

c. Achievable: Are the indicators attainable and realistic given the


available resources?

d. Results-Oriented: Do the indicators focus on outputs geared towards


realization of organizational outcomes?

e. Time-Bound: What is the time frame to achieve or complete the


deliverables?

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Figure 1.2 Success Indicators or Measures

3.2 Stage 2 — Performance Monitoring and Coaching.


As a general rule, performance measures shall include any one, combination of, or
all of the following general categories:

Table 3.2.1 Three Dimensions of Performance or Accomplishments

Category Definition
The extent to which actual performance compares with targeted
performance.
Quality
The degree to which objectives are achieved and the extent to which
targeted problems are solved.
In management, effectiveness relates to getting the right things done.
The extent to which time or resources is used for the intended task or
Efficiency purpose. It measures whether targets are accomplished with a minimum
amount or quantity of waste, expense, or unnecessary effort.
Measures whether the deliverable was done on time based on the
requirements of the law and/or clients/stakeholders.
Timeliness Time-related performance indicators evaluate such things as project
completion deadlines, time management skills and other time-sensitive
expectations.

The rating period shall be on a semi-annual basis, covering the periods


January to June and July to December. If there is a need for a shorter or longer
period, the minimum appraisal period is at least ninety (90) calendar days or three
(3) months while the maximum is not longer than one (1) calendar year.

Officials and employees who shall be on official travel, with approved leave of
absence, or on training or scholarship programs, and who have already met the

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required minimum rating period of 90 days shall be required to submit the required
PES Targets or PES Report Forms before they leave the office.

For purposes of performance-based personnel actions, employees who are


not given ratings for a particular period shall use their performance ratings obtained
in the preceding period. This provision shall not, however, apply to those who are on
vacation leave, even with an application approved by their supervisors.'

a. Formulation of Success Indicators/Measures. The following


guidelines are to be observed in the formulation of Success
Indicators/Measures:

1) For Individual Success Indicators/Measures

a) The applicable qualifiers must be indicated:

(1) Percentage of tasks and/or quality of outputs to be


measured;
(2) Time to accomplish the tasks and/or submit the
outputs; and
(3) Timeline/Timeframe and resources used for the
intended task or purpose.
b) The individual scorecard shall be the basis for the
accomplished tasks and/or submitted documents, and the
subsequent ratings.

c) Qualifiers shall pertain only to those requirements that


are accomplished by the individual. Tasks that need
requirements which are beyond the control of the
individual shall not be included in the formulation of
success indicators/measures. For example, if the
individual is tasked with the consolidation of reports from
the regional offices, the task to be measured in terms of
quality is the percentage of reports that were acted upon
(or consolidated, in this example), and accepted or
approved by the immediate supervisor. Reports that were
submitted by the regional offices after the deadline shall
not be counted as the submission by the regional office is
beyond the control of the individual to be rated.

2) For Office Performance Commitment and Review (OPCR)


Success Indicators/Measures

1Para 5 and 6 of No. 4. Delayed or Non-Submission of PES Targets and Report Forms; IV. PES Requirements and
Sanctions CSC MC No. 13, s. 1999 "REVISED POLICIES ON THE PERFORMANCE EVALUATION SYSTEM"

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a) The PNP PMT shall set performance goals/objectives
and performance measures for its personnel. This shall
serve as basis in the office's preparation for their Office
Performance Commitment and Review (OPCR).

b) The Performance Evaluation and Management Team


(PMT) shall conduct evaluation and review of offices
OPCR for the Chief, PNP's approval. It shall ensure that
the performance targets and measures and the budget
are aligned with those of the organization and that work
distribution of offices is rationalized.

c) Performance measures need to be simplified and easily


understood. Only those that contribute to or support the
outcomes set to achieve by the PNP shall be included in
the OPCR, i.e., measures that are relevant to PNP's
strategic priorities. Since this is a document in progress,
the performance measures must be continuously revised,
refined and reviewed.

b. Formulation of Targets (Target Setting). The following are to be


observed in setting the targets:

1) For Individual Targets

a) Always indicate in percentage or number the tasks


and/or documents to be accomplished, as applicable
Target in percentage form is recommended for additional
tasks (such as special reports) and that will require
multiple tasks (such as research, validation of data, etc )
before a final output is arrived at.

b) The targets shall take into account any or all of the


following:

(1) Historical data. The data shall consider past


performance.

(2) Benchmarking. This involves identifying and


comparing the best offices and units within the
PNP with similar functions or processes.
Benchmarking may also involve recognizing
existing standards based on provision or
requirements of the law.

(3) Customer or Client demand. This involves a


bottom-up approach where the office sets targets
based on the needs of its clients or customers.

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The Office may consult with stakeholders and
review the feedback on its services.

(4) Command instruction. The PNP may set targets


and give special assignments based on the Chief,
PNP's Strategic Action Plan.

(5) Future trend. Targets may be based from the


results of the comparative analysis of the actual
performance of the office with its potential
performance.

c) Amendments to the IPCR may be allowed at any time to


accommodate intervening task subject to the review of
the PNP PMT and approval of the Chief, PNP.

2) For Office Performance Commitment and Review (OPCR)


Targets

a) The PNP's Strategic Action Plan and the strategic


measures shall be the basis of the targets of offices.
Aside from the office commitments explicitly identified
under each Strategic goals and objectives as specified
under Executive Order No. 80 (i.e. OPIF), major final
outputs that contribute to the attainment of organizational
outcomes which form part of the core functions of the
office shall be indicated as performance targets.

b) The targets shall take into account any or all of the


following:

(1) Historical data. The data shall consider past


performance.

(2) Benchmarking. This involves identifying and


comparing the best offices and units within the
PNP with similar functions or processes.
Benchmarking may also involve recognizing
existing standards based on provision or
requirements of the law.

(3) Customer or Client demand. This involves a


bottom-up approach where the office sets targets
based on the needs of its clients or customers.
The office may consult with stakeholders and
review the feedback on its services.

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(4) Command instruction. The PNP may set targets
and give special assignments based on the Chief,
PNP's Strategic Action Plan.

(5) Future trend. Targets may be based from the


results of the comparative analysis of the actual
performance of the office with its potential
performance.

c) In setting work targets, the office shall compute the


budget per program/activity/project. The office shall also
identify specific division/unit/group/individuals as primarily
accountable for producing a particular target output per
program/project/activity.

d) A PMT meeting shall be held specifically for the purpose


of reviewing the IPCRs where Heads of Offices shall
present their respective OPCRs.

e) The approved OPCR shall serve as basis for individual


performance targets and measures of each personnel
which shall be reviewed and approved by the Head of
Office for submission to the PMT.

3.3 The Rating Scale. The three (3) dimensions of performance or


accomplishments are QUALITY, EFFICIENCY and TIMELINESS:

a. Quality refers to the degree to which the objectives are achieved as


intended and the extent to which issues are addressed with a certain
degree of excellence. It involves the following elements:

1) Acceptability
2) Meeting standards
3) Client Satisfaction with services rendered
4) Accuracy
5) Completeness or comprehensiveness of reports
6) Creativity or innovation
7) Personal initiative

b. Efficiency pertains to the extent to which targets are accomplished


using minimum amount of time and/or resources. It applies to
continuing tasks or frontline services that involve the following
elements:

1) Standard response time


2) Number of requests per applications acted upon over Number of
requests per applications received
3) Optimum use of resources (money, logistics, office supplies)

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c. Timeliness measures if the targeted deliverable was done within the
scheduled or expected timeframe. It involves meeting deadlines as set
in the work plan.

Table 3.2.2 SPMS Rating Scale

Rating
Description
Numerical Adjectival
Performance represents an extra ordinary level of achievement and
commitment in terms of quality and time, technical skills and
knowledge, ingenuity, creativity, and initiative. Employees at this level
4.50 - 5 Outstanding (0) should have demonstrated exceptional job mastery in all major areas of
responsibility. Employee achievement and contributions to the
organization are of marked excellence.
Very Satisfactory Performance met expectations. All goals, objectives, and targets were
3.50 — 4.49 achieved above the established standards.
(VS)
Performance met the expectations in terms of quality of work, efficiency,
2.50 — 3.49 Satisfactory (S) and timeliness.
Unsatisfactory Performance failed to meet target/expectations and/or one or more of
1.50 — 2.49 the most critical goals were not met.
(US)
Performance was consistently below expectations and/or reasonable
1 — 1.49 Poor (P) progress toward critical goals was not achieved. Significant
improvement is needed in one or more important areas.

Table 3.2.3 General Performance Measure

RATING
CATEGORY
4.50 - 5 3.50 — 4.49 2.50 — 3.49 1.50 — 2.49 1 — 1.49
Accepted/
Accepted/ Approved
Accepted/ Approved Accepted/ Approved Approved on the
Accepted/ Approved on on the second
on the first on the third third or succeeding
the second submission/ submission/
submission/ submission/ submission/
Quality examination/ examination/
examination/ examination/ examination/
confirmation/ checking confirmation/
confirmation/ confirmation/ checking confirmation/
with minimal changes checking with major
checking with minimal changes checking with
changes
major changes

Accepted/
Accepted/ Approved
Accepted/ Approved Accepted! Approved Accepted/ Approved Approved three
two days before the
one day before the on target date of one day to two days days or more after
target date of
target date of submission/ after the target date the target date of
Timeliness submission/
submission/ examination/ of submission/ submission/
examination/
examination/ confirmation/ examination/ examination/
confirmation/
confirmation/ checking checking confirmation/ checking confirmation/
checking
checking

Accomplished tasks Accomplished tasks


Accomplished
two days ahead of the one day ahead of the Accomplished tasks Accomplished tasks
tasks beyond the
given timeframe with given timeframe with within the timeframe beyond the timeframe
timeframe with
Efficiency no added resources no added resources with no added and/or with minimal
considerable added
used/consumed (did used/consumed (did resources added resources
resources
not render overtime to not render overtime to used/consumed used/consumed
used/consumed
accomplish tasks) accomplish tasks)

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Table 3.2.4 Performance Measure for Technical Positions
(as indicated after Table 3.2.4)

RATING
CATEGORY
4.50 - 5 3.50 — 4.49 2.50 — 3.49 1.50 — 2.49 1 — 1.49

Performed task
Performed task Performed task
accepted/approved on Performed task
accepted/approved accepted/approved on Performed task did not
the second consistently below
on the first the second submission/ meet satisfactorily the
submission/ expectations on the
submission/ examination/ expectations on the
Quality examination/ third submission/
examination/ confirmation/checking third submission/
confirmation/checking examination/
confirmation/ with one or two examination/
with more than two confirmation/checki
checking without observations that need confirmation/checking
observations that ng
complaint to be addressed
need to be addressed

Accepted/ Approved Submitted one hour


Accepted! Approved Accepted/ Approved Submitted thirty or more than an
one hour before the
thirty minutes before on target time of minutes after the hour after the
target time of
the target time of submission/ target time of target time of
Timeliness submission/
submission/ examination/ submission/ submission/
examination/
examination/ confirmation/ examination/ examination!
confirmation/
confirmation/ checking checking confirmation/ checking confirmation/
checking
checking

Accomplished tasks Accomplished tasks Accomplished


Accomplished tasks
Accomplished tasks beyond the beyond the
within the timeframe within the timeframe
within the timeframe timeframe and/or with timeframe and/or
Efficiency with conserved/saved with no added
with conserved/saved minimal added with considerable
considerable resources
minimal resources resources added resources
resources used/consumed
used/consumed used/consumed

a. Auxiliary Machine Operator II


b. Carpenter Foreman
c. Carpenter I and II
d. Cook I
e. Communications Equipment Operator I, II and Ill
f. Draftsman I
g. Driver I and II
h. Electrician II
i. Electronics and Communication Equipment Technician I
j. Food Supervisor I
k. Fingerprint Examiner I
I. Illustrator I and II
m. Laundry Worker II
n. Lifeguard
o. Machinist II
p. Mechanic I, II and III
q. Medical Equipment Technician I
r. Messenger
s. Meter Reader II

16
t. Midwife I and II
u. Photographer I and II
v. Pipefitter Foreman
w. Plumber Foreman
x. Plumbing and Tinning Inspector I
y. Plumber I
z. Painter I and II
aa. Utility Foreman
bb. Utility Worker I and II
cc. Welder II

3.4 Percentage Weight Allocation. For the overall computation, CORE


FUNCTION shall be given a weight of 70% while the SUPPORT FUNCTION shall be
given a weight of 30%.

3.5 Stage 3 - Performance Monitoring and Coaching. With enhanced roles of


key players (Heads of Offices, Senior Planning Officers and Immediate Supervisors)
as mentors, they shall:

a. Provide an enabling environment/intervention to improve team


performance, and

b. Manage and develop individual potentials.

Mentoring is a critical function of a direct supervisor aimed at empowering and


helping individual personnel in their respective work assignments. The journal of the
immediate supervisor shall contain pieces of information on the conduct of
mentoring.

During the performance monitoring, and coaching phase, the supervisor shall
periodically check on the progress and quality of work output of the office/Division
and every individual employee.

a. Monitoring.

1) The performance of the offices and every individual shall be


regularly monitored at various levels: i.e., the Chief NUPAD,
Chiefs, Planning Divisions and Sections of each Offices and
Units, on a regular basis, but shall not be limited to the following
schedule:

a) The PNP PMT shall review the performance of all


concerned offices and units for two (2) or four (4)
evaluation periods a year.

b) The PNP PMT shall summarize and analyse the


performance of the office every six months or at the end of
each performance period/quarter.

17
2) The Division and Section Chiefs of each office and unit shall
also monitor on a regular/quarterly or monthly basis the
performance of the units and employees under them. They shall
meet with them to discuss performance and the progress of
work. Each individual personnel shall likewise monitor and
assess his/her performance regularly based on his/her own
IPCR.

3) Monitoring and evaluation shall be conducted through meetings,


one-on-one discussions, memorandum and review of pertinent
documents such as reports and communications and tracking
forms to ensure timely completion and quality execution of
deliverables. Monitoring is also done to avert any untoward
incident or address constraints and challenges, if any.

4) The supervisors shall maintain a journal to record the conduct of


monitoring. The journal shall contain the date and form of
monitoring, brief statement of the purpose of the monitoring
name of persons monitored as well as critical factors that affect
or enhance the personnel's individual performance under their
respective offices and units.

b. Coaching. The immediate supervisors shall adopt team coaching in


the management of work within the office/field Office/Division to help
the unit become focused on a shared goal to accomplish a task or
complete a deliverable.

3.6 Stage 3 - Performance Review and Evaluation. This stage aims to assess
both the Office and individual employee's performance level based on measures and
targets as approved in the office and individual commitment contracts.

a. Guidelines and Procedures. The following are the guidelines and


procedures for the performance review and evaluation of SPMS.

a. 1. Cascading Procedures

ACTIVITY TIMELINE OPR


1Review Major Final Outputs, Performance 1st Quarter of the Program
Indicators and targets as declared in the AOPB for current year Directors
the current year of evaluation, and the key
program/projects targets related to the 5 Key Result
Areas
2. Select or prioritize at least 3 performance 1st Quarter of the PMT
indicators for each MFO to capture the dimensions current year with TVVG
of quality, timeliness and efficiency.
3. Key programs/projects with performance targets 1st Quarter of the PMT
for the current year aligned with the President's current year with TVVG
program thrusts shall also be included
4. Identify component offices/units responsible for 1st Quarter of the TVVG

18
the delivery of the MFOs and those belonging to current year
support to operations and General Administrative
Support Service
5. The PNP must submit to DBM the revised MFOs, 2nd Quarter PMT
Performance Indicators and Performance Targets
together with the existing if there are adjustments
needed in the specification
th
6. Submission to the DBM of the accomplished 2"d & 4- Quarter of PMT
templates not later than prescribed date of the year in review
submission
7. DBM shall review and approve submission as to
the consistency of identified office/unit targets with
the overall PNP performance targets
8. Approved cascaded MFOs, Pls and PTs and
quarterly accomplishments of the PNP shall be
published in the agency websites or official
publications for transparency

a. 2. Office Performance Commitment and Review (OPCR)

ACTIVITY TIMELINE OPR


1.Identify at least 3 performance 4th Quarter of the Head of office/unit
goals/objectives as basis for OPCR ensuing year for (e.g. Director,
evaluation Directorate/NSU)
2. Identify outputs with the corresponding 4th Quarter of the Planning and Budget
budgets ensuing year for Office
evaluation
3. Submit the OPCR to PMT for review and 4th Quarter of the Planning Office and
subsequent endorsement/recommendation ensuing year for Admin Office
for approval. However, in case the PMT evaluation
has adverse findings on the OPCR, it shall
send back to the concerned office/unit the
OPCR for comments/corrections.
4. The approved OPCR will be 1st Quarter of the Planning and Admin
implemented by the office/unit concerned current year Office
5. Consolidate summary list of individual Every six months Planning and Admin
performance ratings by division Office
6. Monitor and coaching the performance of As needed Head of office/unit
every division

a. 3. Summary List of Individual Performance Rating

ACTIVITY TIMELINE OPR


1.The division shall assess and evaluate 2 weeks prior to Division Chief/Chief,
the performance of its individual employees the rating period Admin Officer or
using the IPCR form RPHRDD
2. The division shall consolidate using the 2 weeks prior to Chief, Admin Division
Summary List of Individual Performance the rating period or RPHRDD
Rating form

19
3. The division shall then forward the 1 week after the Head of Office/Unit
summary list to the Head of office/ unit for rating period thru Admin Officer
approval who will in turn submit to the PMT
with its recommendations. However, in
case the head of office/unit/PMT has
adverse findings on the summary list, it
shall send back to concerned division the
validated summary list for
comments/corrections.
4. The head of office/unit shall submit the 2 weeks after the Head of office/unit
summary list with OPCR to the PMT for rating period
approval
5. Monitor and coachthe performance of As needed Division/section chief
every individual personnel

a. 4. Individual Performance Commitment and Review (IPCR)

ACTIVITY TIMELINE OPR


1.Each individual personnel shall NLT2 weeks Individual personnel
identify his/her output/activity based prior to the start
on his/her plantilla functions and rating period
intervening tasks
2. The division shall assess and 2 weeks prior to Division/section chief or
evaluate the performance of its the start of the immediate supervisor
individual employees using the IPCR rating period
form
3. The division or section 2 weeks prior to Division/section chief or
chief/immediate supervisor shall the start of the immediate supervisor
discuss the IPCR with the individual rating period
being rated for validation purposes
4. Upon validation, the IPCR shall be 1 week after the Division/section chief or
recommended by the division/section rating period immediate supervisor
chief/immediate supervisor to the
head of office/unit. However, in case
the division/section chief/immediate
supervisor has adverse findings on
the IPCR, it shall be discussed with
the concerned individual for
comments/corrections.
6. Monitor and coaching the As needed Head of office/unit
performance of every division

b. Performance Assessment and Evaluation

1) The Immediate Supervisor shall assess individual NUP


performance based on the commitments made at the beginning
of the rating period. The Immediate Supervisors shall indicate
qualitative comments, observations and recommendations in the
IPCR to include behavior and critical incidents that maybe

20
considered for other human resource development purposes
such as promotion and other interventions. Said assessment
shall be discussed with the concerned individual prior to the
submission of the IPCR to the Head of Office.

For NUP on detail or secondment to another office, they


shall be rated in their present or actual office, copy furnished
their mother office. The ratings of those who were detailed or
seconded to another office during the rating period shall be
consolidated in the office, either the mother (plantilla) office or
present office, where the employees have spent majority of their
time during the rating period.2

2) The head of Office shall make the final assessment of the


performance level of the individual employees in his/her Office.
The final assessment shall correspond to the adjectival
description of Outstanding, Very Satisfactory, Satisfactory, or
Unsatisfactory. The Head of Office may adopt an appropriate
mechanism to assist him/her distinguish the performance level
of individuals.

3) The average of all individual performance assessment shall not


go higher than the collective performance assessment of the
office.

4) The head of the office shall ensure that the performance


assessment of the employees is submitted to TDPRM within the
prescribed time.

5) The PMT shall serve as the board of Appeals Committee and


final arbiter for performance management issues/concerns. An
individual who does not agree with the performance assessment
received may file an appeal with the PNP PMT through the
Chief, NUPAD, DPRM within a prescribed period of 15 working
days from receipt of the final approved IPCR from the head of
office.

6) The failure to submit or non-submission or unjustifiable delay in


the submission of OPCR/IPCR shall disqualify the Office and the
staff for awards and incentives.

3.7 Stage 4 - Performance Rewarding and Development Planning. The Heads


of Office and supervisors shall discuss with the individual employee to assess his/her
strengths, competency-related performance gaps and the opportunities to address
these gaps, career paths, and alternatives. The employees shall fill out a career plan
form to outline and chart their career path. Appropriate developmental interventions

2
Performance Rating, Item No. 8 Performance Rating of Employees on Detail or Secondment, CSC MC No. 13, s. 1999
"REVISED POLICIES ON THE PERFORMANCE EVALUATION SYSTEM")

21
shall be made available by its Heads of Offices/Units and supervisors in coordination
with the DPRM.

The result of the performance evaluation/assessment shall serve as inputs to


the:

a. Heads of Offices/Units in identifying and providing the kinds of


interventions needed, based on the developmental needs identified;

b. DPRM in consolidating and coordinating developmental interventions


that will form part of the HR Plan and the basis for rewards and
incentives;

c. Morale and Welfare Committee (MWC) in identifying potential MWC


Awards nominees for various awards categories; and

d. PMT in identifying top NUP performers who qualify for rewards and
incentives.

VII. EFFECTIVITY

The Strategic Performance Management System of the Philippine National


Police for Non-Uniformed Personnel shall take effect immediately.

ADOPTED this day of JAN 2 6 2016 20_ at NEP Can) drotryie r Qc,

RIC RDO C M QU Z
Polic eneral
The Chief, PNP

MAR L P GA BO JR
Police Deputy Direc or General
The Deputy Chief PNP for Administration

DOMINADO AQUINO JR
Police Di ector
The Director for Personnel a d Records Management

22
GLOSSARY

Definition of Terms

a. Agency—Refers to the attached agency of the Department. In this


Handbook, the agency refers to the Philippine National Police.

b. Core Functions — Those performed by the Office that are inherent in


its mandates.

c. Individual Performance (IP) — It refers to the individual output


performance of each NUP. Refers to the daily tasks assigned and
required job performance for each NUP as specified in CSC rules and
regulations.

d. Individual Performance Commitment and Review (IPCR)—It is a


uniquely designed report card of each individual or NUP specifically
stating the job description, performance target, and performance
output. It shows the name, picture, designation/position, salary grade
and office assignment of the individual or NUP. The IPCR also shows
the name and signature of the supervisor, head/division chief of the
individual.

e. Major Final Outputs (MFO) —The basic police services and


deliverables that the PNP is mandated to deliver to internal and
external clients or stakeholders directly contributing to organizational
outcome through the implementation of programs, activities, projects
and services which are consumed outside of the organization, tangible
and more easily quantified and within the control of the PNP.

f. National Support Units (NSUs) — It refers to the 22 Administrative


and Operations Units of the Philippine National Police created under
RA 8551, as amended.

g. Non-Uniformed Personnel (NUP) — It pertains to the permanent


civilian employees of the PNP with plantilla positions and salary grades
and were further attested by the Civil Service Commission and
NAPOLCOM.

h. Performance Measures—It refers to standards against which the level


of performance is assessed which include, but not limited to
effectiveness/Quality (EQ), Efficiency (E) and Timeliness (T).

i. Ratee — The employee whose performance is to be rated based on


agreed targets and standards.

J. Rater — The head of office in consultation with and upon


recommendation of the employee's superior/s.

23
k. Superior— An Officer who directly exercises authority over the ratee
and supervises his/her work performance and the one to whom the
ratee reports on a regular basis.

I. Supervisor's Journal— It may be a notebook or any form of


documentation made by the Supervisor citing the factors that affect the
level of performance of the NUP under his/her supervision.

Abbreviations

AOPB Annual Operation and Plan Budget



CPNP Chief, Philippine National Police

CSC Civil Service Commission

DBM Department of Budget Management

DC Directorate for Comptrollership

DPRM Directorate for Personnel and Records Management

E Efficiency

GASS General Administrative Support Services

IP Individual Performance

IPCR Individual Performance Commitment and Review

KRA Key Result Areas

MFO Major Final Output

MWC — Morale and Welfare Committee
NAPOLCOM — National Police Commission
NSU — National Support Unit
NUP — Non-Uniformed Personnel
NUPAD — Non-Uniformed Personnel Affairs Division
NUPAI — Non-Uniformed Personnel Association Incorporated
ODD -DPL — Organizational Development Division, Directorate for Plans
OPCR — Office Performance Commitment and Review
OPIF — Organizational Performance Indicator Framework
OPR — Office of Primary Responsibility
PBB — Performance Based Bonus
PBIS — Performance Based Incentive System
PCO — Police Commissioned Officer
PEI — Productivity Enhancement Initiative
PI — Performance Indicator
PNCO — Police Non-Commissioned Officer
PNCOAI — Police Non-Commissioned Officers Association Incorporated
PNP — Philippine National Police
PMS — Performance Management System
PMT — Performance Management Team
PRO — Police Regional Office
PT — Performance Target
Q — Quality
SPMS — Strategic Performance Management System
STO — Support to Operations
T — Timeliness
TCDS — The Chief Directorial Staff
TDPRM — The Directorate for Personnel and Records Management

24
ANNEXES
PAGE NO.

A Office Performance Commitment and Review Form 26

(OPCR)

B Individual Performance Commitment and Review Form 27

(IPCR)

C Summary List of Individual Performance Ratings 28

D Concept of PBIS 29

E Office Orders 30

F Table of MFOs / Success Indicators 31

G Employee's Feedback Form 32

H Performance Monitoring and Coaching Form 33

I Annual SPMS Calendar of Activities 34

25
ANNEX A — Office Performance Commitment and Review Form

I, Head of the , commit to deliver and agree to be


rated on the attainment of the following targets in accordance with the indicated measures for the
period to 20 .

Director

Approved By: Date

C, PNP

Division/I
Success Indicators
ndividual Actual Remark
OUTPUT Allocated Budget (targets + Ratin g
Accounta Accomplishment s
measures) ble
Strategic Priority #1: Reduction in the Incidence of Crime
Output #1:
Output #2:
Output #3:
Strategic Priority #2: Improved Performance in the Solution of Crimes
Output #1:
Output #2:
Output #3:
Support Functions:
Output #1:
Output #2:
Output #3:
Average
Rating

Category MFO Rating

Strategic Priority

Core Functions
1

2
Support Functions
1

Total Overall Rating

Final Average Rating

Adjective Rating

Assessed by Date Final Rating By Date

Head of OPMIS Agency

26
ANNEX B.
PHILIPPINE NATIONAL POLICE
NUP INDIVIDUAL PERFORMANCE COMMITMENT AND REVIEW (NUP IPCR)

Semester

I, (NAME) (POSITION/SG) of (OFFICE) commit to deliver and agree to be rated on the attainment of the following targets in accordance with the indicated measures for the period
to

Ratee: Date: Approved by: Date:

Print Name and Signature Rater/Immediate Supervisor


TARGETS ACCOMPLISHMENTS RATINGS
Success Indicators
Output/Activity
(Measures)
Q T E Q T E Q T E AVERAGE

Core Functions:

Total
Sub-total (70%)
Total x 70%
Support Functions:

Total
Sub -total (30%)
Total x 30%

Final Average Rating (70% + 30% = 100%)

Adjectival Rating:
ANNEX C. Summary List of Individual Performance Ratinds

Office: Performance Assessment:

Rating
Division A
Numerical Adjectival
Employee 1
Employee 2
Employee 3
Employee 4
No. of Employees: 4
Average Rating of Staff (Division Rating)

Rating
Division B
Numerical Adjectival
Employee 1
Employee 2
Employee 3
No. of Employees: 3
Average Rating of Staff (Division Rating)

Rating
Division C
Numerical Adjectival
Employee 1
Employee 2
Employee 3
No. of Employees: 3
Average Rating of Staff (Division Rating)

Summary:
Unit Rating
Numerical Numerical
Division A
Division B
Division C
Average:

28
APPENDIX C. Concept of Performance Based Incentive System

A. Adoption of the PBIS

The PBIS consisting of the Productivity Enhancement Incentive (PEI) and the
Performance-Based Bonus (PBB) shall be adopted at the Philippine National Police
beginning Fiscal Year (FY) 2013.

1.In accordance to Executive Order No. 80, the PEI, in the amount of P5,000,
shall continually be granted across-the-board, in accordance with the guidelines to
be issued by DBM; and

2. The PBB, which is a top-up bonus, shall be given to individual personnel or


NUP, or Office/Unit in accordance with their contribution to the accomplishment of
the PNP's overall targets and commitments subject to the criteria set forth under
Executive Order No. 80.

B. Rules and Guidelines governing the PBIS:

1. The PBB shall be characterized as a system of ranking offices/units and


NUP or individual personnel within the organization according to their performance
as measured by success indicators (SMART) as set forth in Section 2, Executive
Order No. 80;

2. The implementation of the PBIS shall not be immediately implemented but


shall be undertaken in various stages. The PNP PMT shall conduct a pilot test on a
selected Directorate/office/or unit to examine the effectiveness of the implementation
of this plan. It would also determine the level of understanding and appreciation of
each NUP personnel regardless of his/her rank;

3. A Communication Plan shall be developed to ensure that the SPMS is well


defined and understood and that appropriate communications strategy and
publication of performance targets and accomplishments in the organization are
presented in a transparent manner; and

4. An appropriate financial support shall be allocated to the PNP PMT to


effectively operationalize and verbalize this plan.

29
APPENDIX D. AUTHORITY/ OFFICE ORDERS

30
APPENDIX E. MFOs/ SUCCESS INDICATORS

Major Final Performance Performance Success Organizational


Outputs Measures Targets Indicators Outcome
(MF0s)
Crime Index/ Non- Reduced crime Percentage of Reduction in
Prevention Index Crime incidence; barangays the Incidence
and Crime Rate; Increase in implementing of Crime
Suppression Client's public crime
Satisfaction perception prevention
programs;
Percentage of
criminals,
terrorists and
insurgent
members
neutralized
Crime Solution Conviction rate Increase in Crime Improved
Services conviction rate Clearance Performance in
Efficiency; the Solution of
Crime Solution Crimes
Efficiency

31
APPENDIX F. EMPLOYEE'S FEEDBACK FORM

Name of Personnel

Designation/ Item

Office/ Division

Directions: Write your comments/ recommendations on the space provided below to


further enhance the implementation of SPMS in your Office, as well as other
concerns in order to improve your Office's performance:

Noted By: Date:

Immediate Supervisor

32
APPENDIX G. Performance Monitoring and Coaching Form

Name of Division/ Office


Division Chief/ Director II
Number of Personnel in the Division

Mechanisms
Activity Meeting Remarks

One-on-One Group Memo Others


Monitoring

Coaching

Conducted by: Date Noted By Date

Immediate Supervisor Head of Office

33
ANNEX H. SPMS CALENDAR

Submit Schedule
Activity
to
Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec
1. Performance Planning and
Commitment

OPCR for Review PMT 5th

PMT Review report PNP 5th

PNP Approval of OPCR 5th


Head of
IPCR Office 5th 5th

DPRM 10th 10th


2. Performance Monitoring and
Coaching

Agency (PNP) Once a year

OPMIS Per Semester

Director Regular Basis

Division Chief Regular Basis

Section Chief Regular Basis

Individual Staff Regular Basis


Form DPL After End of Quarter
3. Performance Review and
Feedback

OPCR DPL 15th 15th

DPL to review, evaluate and


validate OPCR against targets
and return validated OPCR to
Cos and Ros

NHQ 22nd 22nd


PROs 30th 30th
PPOs 30th 30th
Police Offices 30th 8th
DPL to submit Office
performance assessment and
facilitate performance review
by the CSC CSC 25th

Annual Performance Review CSC


Head of
IPCR Office 25th
end
of
Heads of Office submit IPCR DPRM mo
4. Performance Rewarding and
Development Planning

PMT to submit Top performers


list CSC 15th

DPRM Office Performance


Assessment DC Mgt 15th

34