PNP Unit Certification and Performance Governance Reporting

Institutionalization Evaluation Process

FRAMEWORK AND MANDATORY ELEMENTS OF

THE INSTITUTIONALIZATION EVALUATION PROCESS (IEP)

The hallmark of Institutionalization, the fourth stage of the Performance

Governance System, is the presence of breakthrough results. The culture of
governance must be seen in the organization, such that, clear mechanisms in order
to sustain the PGS are present and are in place. Institutionalization demands
strong commitment to champion and advance the principles of performance-
based governance as a culture or a way of life in the organization. Simply put,
governance should permeate at all levels and elements of the organization: from
how processes are designed to how stakeholders are served and dealt with and to
how decisions are made. The aspiring Office/Unit must also be able to
demonstrate that it has spread the advocacy of good governance with other
organizations and stakeholders.

The six (6) elements of the Institutionalization Evaluation Process (IEP) for
PNP Offices/Units, upgraded from the five (5) elements implemented during the
Proficiency Evaluation Process (PEP), integrates the substance of the nine (9)
elements identified by the Institute for Solidarity in Asia (ISA) as follows:

The above framework for the IEP is rationalized by the fact that most of
the requirements for institutionalization were already introduced during the
proficiency stage, and that enhancing the framework for the PEP up to the
level of institutionalization would not only already suffice, but would also be
beneficial to PNP Offices/Units who are already familiar with the elements utilized
during the PEP.

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 PNP Unit Certification and Performance Governance Reporting
Institutionalization Evaluation Process

The IEP framework asserts that if good governance mechanisms

(strategy execution, initiatives) are implemented and efforts to sustain them
(functional strategy partners, stakeholder communication, best practice-sharing and
inculcation of a culture of good governance) are successful, the result is the
attainment of breakthroughs.

In accordance with the above conceptual framework, the elements of the

IEP for PNP Offices/Units are described below with suggested documentary
evidence/proof to show the existence of the governance elements required under
IEP:

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 PNP Unit Certification and Performance Governance Reporting
Institutionalization Evaluation Process

ELEMENT 1: ANALYSIS AND EXAMINATION OF STRATEGY EXECUTION

A. Cascading of Strategy to Individual Level

The cascading process widens and deepens the scorecard

infrastructure, creating greater commitment in the lower levels of the
organization. The PSMU leads lower level Offices/Units review and update
their respective scorecards or dashboards to ensure that said Offices/Units
are contributing effectively to the attainment of targets in the Office/Unit
scorecard.

At this stage, the cascading process has been brought down to the level of
the individual such that the individual performance evaluation system is more
fully and demonstrably aligned with the individual scorecard.

Corresponding GAT Relevant document/s to be prepared by the PNP

element provided by ISA
Element 4 Cascading
Framework
Office/Unit
• Office/Unit Scorecard (with measure and initiative
profiles)
• Lower Office/Unit scorecards and dashboards
• Individual Scorecards
• Cascading tools (cascading modules, programs)
• AAR to cascading activities conducted
• Individual Performance Evaluation Rating (IPER)
• Rewards/awards to reported accomplishments
• Other relevant documents

B. Alignment of Scorecard and Dashboard to Individual

The PSMU must ensure that all measures in their Office/Unit Scorecard
are operational and that initiatives are implemented. The second-level
scorecards, specifically, for Police Regional Offices (PROs), the
Operational/Tactical Dashboard of their respective Police Provincial Offices
(PPOs) down to station level; for National Support Units (NSUs), the scorecards
of their Regional Offices down to their Field Units, must also be functional.
This demands accountability from the different units of the organization,
and direct reporting of organizational performance to the unit head and advisory
council. The PSMU ensures the establishment of efficient and effective
scorecard tracking and management with the use of technology.
Corresponding GAT element Relevant document/s to be prepared by the
provided by ISA PNP Office/Unit
• Office/Unit Scorecard (with measure and
initiative profiles)
• Lower Office/Unit scorecard and
dashboards
Element 4 • Individual Scorecards
Cascading Framework • Cascading tools (cascading modules,
programs)
• AAR to cascading activities conducted
• Other relevant documents

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Institutionalization Evaluation Process

C. Regular Monitoring, Review and Reporting of Strategy

The PSMU ensures that the unit is made accountable for its performance.
It orchestrates meetings, which are needed to review scorecard performance and
to make strategic adjustments. The PSMU ensures that there is a review system
that creates discipline in regular monitoring, reporting, and assessment of
organizational performance.

Corresponding GAT element Relevant document/s to be prepared by the

provided by ISA PNP Office/Unit
• Office/Unit Scorecard (with measure and
initiative profiles)
• Monitoring of Lower Office/Unit
compliances (submission of dashboards,
AARs to TWG and Advisory Council
meetings, etc…)
• AAR to strategy reviews conducted
(program, attendance, minutes-of-the-
review, SR matrix, photographs)
Element 6 • AAR to TWG meetings conducted
Unit Governance Practices (program, attendance, minutes-of-the-
meeting, photographs)
• AAR to Advisory Council meetings
conducted (program, attendance, minutes-
of-the-meeting, photographs)
• Performance monitoring database or
equivalent
• Feedback mechanism or equivalent
• Third-Party surveys
• Other relevant documents

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 PNP Unit Certification and Performance Governance Reporting
Institutionalization Evaluation Process

ELEMENT 2: INITIATIVE MANAGEMENT

Initiatives management is essential in attaining the strategic objectives of

the organization. To accomplish this, the programs, projects, and activities
must be carefully identified and subsequently prioritized according to their
impact on the attainment of the unit’s vision. In managing the initiatives, it is
necessary that not only systems and processes be established, but also,
adequate human, financial and logistical resources be provided.

A. Link to Human Resource

Human resource linkage with strategy seeks to determine if the

organization’s initiatives have sufficient personnel responsible for their
implementation and management, if said personnel possess the relevant
competencies and skills, if they are regularly rendering implementation
reports and updates, and, if there is an accountability or sanction mechanism
governing the implementation of the initiatives.

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
• Individual Performance Evaluation Rating
(IPER)
• Unit Performance Evaluation Rating (UPER)
• Performance Based Bonus (PBB)
Element 6 Unit
• Awards, rewards, commendations, incentives
Governance
given to personnel
Practices
• Evidence of integrity-related initiatives
implemented by the Office/Unit (ex.
Element 8
Compliance to the Integrity Pledge,
Governance Culture
compliance to the ARTA, et al)
Program
• Certifications and awards given to the PNP
Office/Unit by external bodies or organizations
• Other relevant documents

B. Link to Budget

Financial resource linkage with strategy seeks to determine if there

are actual funds or financial resources allocated for initiatives, if said
allocated funds are being released in a timely manner, if they are being
spent for the implementation of the Initiatives, and, if there is
transparency in the said spending.

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Institutionalization Evaluation Process

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
• Annual Operations and Plans Budget
Element 8 (AOPB)
Governance Culture • Program Review and Analysis (PRA)
Program • Initiative profiles
• Report on the linkage of human resource,
logistical and financial resources to initiatives
• Other relevant documents

C. Link to Logistics

Logistical resource linkage with strategy seeks to determine if the

organization’s initiatives have defined logistical requirements, if they
have sufficient logistical resources that match their identified requirements,
if said provided logistical resources are fit or appropriate to the intended
purpose, if said provided logistical resources are operational, and, if they are
deployed or efficiently used.

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
• Report on the linkage of logistical and
Element 8 financial resources to initiatives.
Governance Culture • Program Review and Analysis (PRA)
Program • Annual Operations and Plans Budget
(AOPB)

D. Link to Incentives

To drive the offices and units to perform well in the strategy and
operations, the culture of meritocracy must prevail. To do so, the organization
must be able to link the performance evaluation with the incentives or bonus
program.

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
• Individual Performance Evaluation Rating
Element 8 (IPER)
Governance Culture • Unit Performance Evaluation Rating (UPER)
Program • Performance Based Bonus (PBB)
• Awards, rewards, commendations, incentives
given to personnel
• Other relevant documents

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Institutionalization Evaluation Process

E. Link to Systems and Processes

The organization establishes and institutes a well-defined and

controlled system in managing the implementation of the initiatives, thereby
enabling them to be implemented effectively that redounds to the
accomplishment of set goals and targets as reflected in the scorecard.

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
• Submission of updated Office/Unit Scorecard
• Monitoring of Lower Office/Unit compliances
(submission of dashboards, AARs to TWG and
Advisory Council meetings, etc…)
• Reports of Lower Office/Unit compliances
(submission of dashboards, AARs to TWG
and Advisory Council meetings, etc…)
• AAR to strategy reviews conducted
(program, attendance, minutes-of-the-review, SR
matrix, photographs)
• AAR to TWG meetings conducted (program,
attendance, minutes-of-the-meeting,
Element 6 Unit
photographs)
Governance
• AAR to Advisory Council meetings conducted
Practices
(program, attendance, minutes-of-the- meeting,
photographs)
• Proof that the Office/Unit has undergone the
Initiation, Compliance and Proficiency Stages of
the PGS which includes an audit phase
• Validation of Lower Office/Unit compliances
(Lower Offices/Units undergoing the
Initiation, Compliance and Proficiency Stages
of the PGS)
• Third-Party surveys
• Other relevant documents

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 PNP Unit Certification and Performance Governance Reporting
Institutionalization Evaluation Process

ELEMENT 3: FUNCTIONALITY OF STRATEGY PARTNERS

A. Police Strategy Management Unit

At this stage, the Police Strategy Management Unit (PSMU) must

be fully functional in performing its roles and functions. It must be
adequately staffed with highly competent personnel, be provided the
necessary resources and organizational support. The PSMU must be
demonstrably effective in its role as integrator and overseer of the strategy,
enabling the Office/Unit to focus on implementation of initiatives and the
subsequent evaluation of results. The PSMU must also have already
nurtured synergy with the other strategy partners, namely, the TWG and
the Advisory Council. It must actively be involved in enabling both bodies
to work together to realize established goals.

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
Formation and Functionality of PSMU
• Office Orders designating the members of the
PSMU
• Administrative and Operations Manual
(AOM) for the CPSM/PSMU
• Documentary proof of funding for the
PSMU
• PSMU Calendar of Activities

PSMU as Strategy Manager

• Office/Unit Scorecard
• Accomplishment reports supporting the
Office/Unit scorecard
• AAR to strategy reviews
• Other relevant documents

Element 5 Office PSMU as Initiative Manager

for the Strategy • Office/Unit Scorecard
Management • Initiative Profiles
• Project Fact Sheets
• Other relevant documents

OSM as Alignment Manager

• Office/Unit Scorecard
• Lower Office/Unit dashboards
• Individual Scorecards
• Cascading tools (cascading modules,
programs)
• AAR to cascading activities conducted
• Report on the linkage of human resource,
logistical and financial resources to initiatives
• Other relevant documents

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B. Technical Working Group

The Technical Working Group (TWG) champions the strategy with

strong commitment ensuring that the change agenda is ready to be
operationalized to the subordinate units. At this stage, a strong TWG that
continuously reviews and evaluates the strategy ensuring its effective
and efficient implementation is already evident. For operations to move in line
with strategy, the TWG that is responsible for rallying its unit and influencing
what the organization will pursue to realize its Vision must be highly
functional. An active and dynamic TWG allows the strategy to reach or
permeate all units and for good governance mechanisms to organically
work their way within and across the organization.

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
• Office Orders on the designation of the TWG
members
Element 3 Technical • AAR to TWG meetings conducted (program,
Working Group attendance, minutes-of-the-meeting,
photographs)
• Other relevant documents

C. Advisory Council

The Advisory Council is the community partner of the organization

and plays an important role in the successful implementation of the
strategy. It is comprised of sectoral leaders, experts and highly
accomplished individuals chosen for their integrity, probity and leadership.
The Advisory Council not only provides valuable guidance, insights,
innovative ideas and new perspectives, but also, serves an important
“watchdog/oversight” role, helping ensure transparency and accountability in
the organization. At this stage, the Advisory Council must already be highly
functional as evidenced by its active support of and involvement in the
organization’s implementation of the strategy, as well as its tangible and
non-tangible contributions.

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Institutionalization Evaluation Process

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
As an Advisory Board
• Advisory Council Terms of Reference (TOR)
• Advisory Council member profiles
• Advisory Council member Oath-of-
Undertaking
• AAR to Advisory Council meetings conducted
(program, attendance, minutes-of-the- meeting,
photographs)
• Advisory Council resolutions
• Report on the key contributions of the
Advisory Council
• Other relevant documents

As an external communicator
• AAR to Advisory Council meetings conducted
Element 7 (program, attendance, minutes-of-the- meeting,
Multi-Sector Governance photographs)
Council • AAR to information advocacy activities by the
Advisory Council
• Advisory Council resolutions
• Report on the key contributions of the
Advisory Council
• Other relevant documents

The AC having its own Initiatives

• AAR to Advisory Council meetings conducted
(program, attendance, minutes-of-the- meeting,
photographs)
• Advisory Council resolutions
• Report on the key contributions of the
Advisory Council
• Other relevant documents

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 PNP Unit Certification and Performance Governance Reporting
Institutionalization Evaluation Process

ELEMENT 4: STAKEHOLDER COMMUNICATION

Implementation of Communication Plan

The organization has demonstrably shared the good governance

advocacy internally and externally through an implemented Communications
Plan. Effective mechanisms are already in place enabling the organization to
accurately gauge awareness and understanding of the strategy.

The organization has maximized utilization of all available channels to

communicate the strategy to its internal and external stakeholders,
effectively communicating to all personnel the unit objectives, measures,
targets, and initiatives critical in encouraging them to own and contribute to the
strategy. The organization releases regular updates on the strategy celebrating
quick wins and reinforcing the commitment of the top leadership.

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
• Communication Plan
• Implementation of the Communications Plan
Element 8
(AAR to information advocacy activities)
Governance Culture
• TRIMP media (TV, Radio, Internet,
Program
Messaging, Print)
• AAR to the implementation, testing and
Element 9 Governance
dissemination of Office/Unit Best Practices
Sharing
• Other relevant documents

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 PNP Unit Certification and Performance Governance Reporting
Institutionalization Evaluation Process

ELEMENT 5: IMPLEMENTATION AND SHARING OF BEST PRACTICES

AND A GOOD GOVERNANCE CULTURE

The organization has not only already identified, implemented and

replicated numerous best practices, but also, are actively involved in
constantly identifying and developing emergent ones with the potential to
become future best practices. There is also presence of Best Practice Sharing
and Advocacy Internal and External to the Organization.

A. Sharing, Implementation and Sustainability of Identified Best Practices

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
• Reference on the identification and
development of Best Practices
• Designation of Best Practice Officer (BPO)
• Inventory of Office/Unit Emerging Best Practices
that were identified during the Initiation,
Compliance and Proficiency Stages of the PGS
Element 9
• Inventory of Best Practices proposed for
Governance Sharing
certification by higher authority
• Best Practice fact sheets
• AAR to the implementation, testing and
dissemination of Office/Unit Best Practices
• Other relevant references

B. Good Governance Culture

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
• Evidence of integrity-related initiatives
implemented by the Office/Unit (ex.
Compliance to the Integrity Pledge,
Element 8
compliance to the ARTA, et al)
Governance Culture
• Certifications and awards given to the PNP
Program
Office/Unit by external bodies or organizations
• Other relevant documents

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 PNP Unit Certification and Performance Governance Reporting
Institutionalization Evaluation Process

ELEMENT 6: BREAKTHROUGH RESULT

The organization must be able to demonstrate its success in translating

its strategy into results. As such, at least four (4) breakthroughs, ideally focusing
on Community and Process Excellence perspective results, must be present
as shown in the Unit Scorecard. Said breakthrough results must ideally show
linkage to the lower-level results, exhibiting the clear alignment and role of each
unit to the progress of the transformation process.

The accuracy in these breakthrough results are validated properly by the

PSMU through continuous monitoring and reviewing and are based on the
target set by the organization. These breakthrough results must show
transformation in the organization and that it has created an impact to its
constituencies.

A breakthrough result is a high-level success indicator that quantifies an

organization’s transformation. Through the successful execution of its given
mandate, it is expected that the organization is able to achieve its targets
with respect to its identified Vision.

VALIDATED BREAKTHROUGH RESULTS

Corresponding GAT Relevant document/s to be prepared by the

element provided by ISA PNP Office/Unit
• Office/Unit Charter Statement and Strategy
Map
• Office/Unit Scorecard
• Identified Office/Unit “Breakthrough Results” as
Element 1 visible in the Office/Unit Scorecard
Validated Breakthrough • Supporting evidence (documents, reports, et al)
Result for identified Office/Unit “Breakthrough Results”
• Testimonial evidence from stakeholders.
• Narrative of the breakthrough results.
• Other relevant references

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