PNP P.A.T.R.O.L.

Plan 2030:
“Peace & Order Agenda for Transformation &
Upholding of the Rule-Of-Law”

INSTITUTIONALIZATION EVALUATION
PROCESS (IEP) FOR PNP OFFICES/UNITS

Seminar / Workshop
October 17 – 19, 2018
 OBJECTIVES OF THE SEMINAR

At the end of the seminar, the participants will be able to:

• Have a common understanding of the framework for attaining
the Institutionalization Stage (e.g. elements, criteria, measures
and requirements)
• Explain the audit process and the procedures
• Apply the tools and lessons learned when conducting the
performance audit

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INSTITUTIONALIZATION EVALUATION PROCESS

• Objective
• To assess the status of the unit’s transformation journey
• From Proficiency to Institutionalization stage
• Framework to be used
• As defined for Proficiency stage and Institutionalization
stage

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INSTITUTIONALIZATION EVALUATION PROCESS

APPROACHES AND MAIN TOOLS

• Strategic Readiness Test
• Self Assessment Survey
• Focus Group Discussion
• Interview
• Performance Audit
• Checklist
• Impact Evaluation
• FGD, Observation, Testimonials
• Unit Revalida
• Presentation

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INSTITUTIONALIZATION EVALUATION PROCESS

• For the checklist to be effective as a tool, it must be:

• Able to capture the key elements/indicators of the
transformation story
• Consistently applied across all units and by all audit teams
• Able to integrate and align its results with those of the other
approaches and tools

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AUDIT OVERVIEW

VISION:..." HIGHLY CAPABLE, EFFECTIVE AND CREDIBLE POLICE SERVICE"

VISION:... "Highly Capable, Effective And Credible Police Service"
 Key Topics
KEY TOPICS

• Role of the IEP Auditor

• Key Concepts and Attributes
• Tools and Techniques
• The Audit Cycle

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 Role of theOF
ROLE PGSTHE
Auditor
IEP AUDITOR

• Assess
• Validate
• Identify areas for improvement
• Recommend for endorsement (or non-endorsement) to Revalida

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 Key
KEY Concepts and Attributes
CONCEPTS AND ATTRIBUTES

• Independence
• Objectivity
• Competency
• Confidentiality
• Due Professional Care

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 Tools and Techniques
TOOLS AND TECHNIQUES

• Document review
• Interview
• Observations/Inspection
• Walkthrough
• Discussions
• Confirmation
• Analytical procedures

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 Document Review REVIEW
DOCUMENT

• Validation
• From main document to source document (existence test)
• From source document to main document (completeness
test)
• Example: scorecards and budget
• Reliability
• Documents produced externally generally have more
reliability and persuasiveness than documents produced
internally
• Example: survey results done by independent party
• Original documents, rather than photocopies, are preferred

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 Interview
INTERVIEW

• Types
• Structured
• Unstructured
• Preparation and Execution
• Before the interview
• Selection of interviewees
• Designing interview questions
• Selecting location and time of interview

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 Interview
INTERVIEW

• Preparation and Execution (continued)

• During the interview
• Ease of response
• Documentation and note-taking
• After the interview
• Summarize key points
• Confirmation with the interviewee

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 Common questions asked
• What is your understanding of the Performance Governance System (PGS) and the PNP P.A.T.R.O.L
Plan 2030?

• How did you learn about the PGS and the PNP P.A.T.R.O.L Plan 2030? Who, when and how was it
cascaded to you?

• How do you contribute to the accomplishment of your office/unit? In what area or perspective of the
scorecard are you contributory to? How well do you know your Individual Scorecard? How often do
you update?

• How would you describe the level of awareness and understanding of the PGS and the PNP
P.A.T.R.O.L Plan 2030 in your office/unit? Can you rate in a scale of 1-10? Can you state the reasons
why?

• How would you describe the level of acceptance or “Buy-in” of the PGS and the PNP P.A.T.R.O.L
Plan 2030 in your office/unit? Can you rate in a scale of 1-10? Can you state the reasons why?
 Observations/Inspections
OBSERVATIONS / INSPECTION

• Types
• Obtrusive
• Non-obtrusive (i.e. respondents are not aware that they are
being observed)
• Importance and Limitations
• Confirms existence of a thing or activity but not completeness,
ownership or consistency
• Has to be corroborated with other procedures or evidence
• Key watch out: People may behave differently or will be in
‘good behaviour’ when they know they are being observed
• Unannounced visits may improve the reliability of the results

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 WALKTHROUGH
Walkthrough

• Helps the auditor understand a process or activity

• Types
• Document walkthrough
• Physical walkthough

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 Discussions (FGD)
DISCUSSIONS (FGD)

• Key Elements
• Clear objectives and topic
• Well selected participants
• Managing time
• Proper documentation
• When to use discussions (FGD)
• Need to get more qualitative than quantitative data
• Elicit ideas and opinions
• When there is a communication or understanding gap between
groups or categories of people. Focus groups bring people
together.

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 Confirmation
CONFIRMATION

• Substantiate accuracy and validity of internal documents by

getting written or oral responses from independent third parties

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 AnalyticalCONFIRMATION
Procedures

• Helps identify variances, trends or unexpected differences that

can be further analyzed or investigated
• Examples: Budget and actual; breakthrough results

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The Audit Cycle

Planning
the Engagement

The
Monitoring
Audit Performing
Engagement
Process the Engagement
Results

Reporting
Engagement
Results

Independence | Objectivity | Competency | Due Professional Care

THE AUDIT TEAM

VISION:..." HIGHLY CAPABLE, EFFECTIVE AND CREDIBLE POLICE SERVICE"

VISION:... "Highly Capable, Effective And Credible Police Service"
 TeamTEAM
LeaderLEADER

• Assumes overall responsibility for the audit engagement

• Supervises and monitor the work of team members
• Represents the team in meetings
• Manages team discussions
• Consolidates or supervise the preparation of final report

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 Assistant Team Leader
ASSISTANT TEAM LEADER

• Provides support to the team leader

• Coordinates the work of team members
• Leads the audit in specific areas as may be delegated
• Participates in coordination meetings

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 TeamTEAM
Member
MEMBER

• Conducts the audit work as assigned

• Prepares the initial results and assessment
• Participates in discussions and meetings
• Drafts the audit report and presentations
• Maintains proper documentation of the audit results

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 Team Member
QUALITY ASSURANCE

• Provides independent review of the audit work

• Assesses if procedures and standards were followed
• Provides recommendations to ensure audit findings and
conclusions are properly supported and the audit process is
improved

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 Application
EXERCISE

• Initial organization of the audit team

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 Planning
PLANNING

• Initial study and verification

• Initial team meeting
• Distribution of assignments and specific timelines
• Defining objectives and scopes
• Identification of tools and techniques to be used in the audit
• Developing the audit program
• Conducting entrance meeting

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 Common
COMMON Challenges in the– Planning
CHALLENGES PLANNING StageSTAGE

Challenge Effect Remedy

Scope is not well defined
Lack of background
understanding on the area
to be audited
Team assignments will
overlap
Not anticipating changes in
team members’ availability
• Delays and time Clearly define scope at the
extension during start
fieldwork Allot time to study and read
• Confusion on the part of background documents
the unit being audited
• Inability to get the team
to agree on the Well prepared work
assessments program
• Inconsistency in audit Prepare for back up
results resources

Insufficient procedures Documented work plan

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 Performing the Audit
PERFORMING THE / Fieldwork
AUDIT: FIELDWORK

• Gathering evidence
• Analyzing results of the implemented audit procedures
• Regular updates to the unit’s personnel
• Initial recommendations and assessment

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 Common
COMMON Challenges in the–Performing
CHALLENGES FIELDWORK StageSTAGE

Challenge Effect Remedy

Unavailability of data and/or
personnel
Lack of coordination within
the audit team and with the
audited unit
Lack of time to complete the
procedures
Onsite discovery of new
issues and concerns
• Delays and time
extension during
fieldwork
• Confusion on the part of
the unit being audited
• Inability to get the team to
agree on the
assessments
• Inconsistency in audit
results
Proper notification and
commitment
Advanced notice of
schedules, and designating
point person for changes
Team leader to assess if
time extension is warranted

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 Reporting
REPORTING

• Making the assessment

• Conducting exit meeting
• Preparing draft and final report
• Ensuring quality control
• Monitoring follow up action

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 Common
COMMON Challenges in the
CHALLENGES – Reporting
REPORTING Stage STAGE

Challenge Effect Remedy

Lack of time to review the
draft and complete the report
Inconsistent formats,
language and approach
Unresolved issues in the
assessment process
• Inconsistent quality of Proper planning. Start
reporting writing the report at fieldwork
• Audited unit makes stage
challenges on the data Use of standard format and
presented templates
• Impact on credibility of
the audit team Proper management and
consensus building by the
team leader

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 TEAM

PNP
TRANSFORMATION…
Our Shared Commitment!!!

END OF PRESENTATION
END OF PRESENTATION