Governance Assessment Tool PGS

This Governance Assessment Tool looks at the maturity of the Performance Governance System (PGS) elements across the
four-stage pathway. Two major aspects will be looked into: (1) Breakthrough Results and, (2) Governance Mechanisms that
can be divided into strategy design, strategy execution, and strategy sustainability. The list of all these elements is found
below:
Essential Elements of the Performance Governance System
1. Validated Breakthrough Results

I. Breakthrough
Validated by external assessors, these breakthrough results must be mission-
Results
related, influenceable by the organization, and truly transformative.
2.Basic Governance Documents

Presence of a well-formulated strategy that shows how the organization will
move towards its Vision.
3.Technical Working Group (TWG)

A group of champions in the operating units who will rally for results to
happen
4. Cascading Framework
Making the strategy everybody’s job
5. Office for Strategy Management

II. Governance A unit created purposively to oversee strategy execution
Mechanisms
II.1Strategy Design 6.. Unit Governance Practices
II.2Strategy Execution Creating a discipline of accountability with regular and effective monitoring
II.3Strategy and evaluation within the organization.
Sustainability
7. Multi-sector Governance Council (MSGC)
Formalizing the participation of key stakeholders to the organization’s strategy
8. Governance Culture Program

Embedding governance culture with harmonized systems and processes to
sustain strategy execution and cultivate the values of integrity, fairness, and
accountability
9. Governance Sharing
Sharing the good governance advocacy internally and externally
Similar mechanisms, processes, or systems may suffice as long as documentary evidence is provided to indicate the presence
of the element.
How to Assess Your Organization

The governance assessment tool is divided into the Assessment Guide and the Rating Sheet. Kindly go over the description
below to help you in your evaluation.
(a) Assessment Guide– a further look into the ten elements and their sub-components. Each element will contain guide
questions or pointers to assist you in rating, and a section on the possible documentary evidence listing some
general documents that may indicate the existence of the element.
(b) Rating Sheet–composed of the following:

1. Rating –area to indicate the rating of the organization vis-a-vis the element and its illustrative features
2. Manifestation–based on the rating given, indicate why the following rating was given. Here, you may
elucidate on how the illustrative feature is used or customized within the organization and give proof
where or how it can be seen.
3. Points for improvement–based on the status of the organization on the element, identify some gaps and
challenges, and provide possible next steps or concrete actions for further development.
1
Rating Scale
Each element is to be rated using a scale of 0-5, with 5 representing Best Practice and 0 representing No Presence of the
element. The general description of how each score interval is designed is described below:
Rating Description
0 There is no presence or indication of functionality of the element.
1 There is presence of initial plans to establish the element.
The organization has formally established the element and is in the early stages of
2
its implementation.
The organization is capable of operationalizing the element, which in turn is seen

3
to be functional.
More than being capable, the organization’s implementation of the element can
4
already be considered as good practice.
The organization has embedded the element to its system. As such, their
5 implementation can already be considered as a best practice worth sharing to
others.
Please specify the appropriate rating that would best describe your organization in each of the item. As much as possible,
please consult the concerned person or unit to more objectively assess your organization.
You may provide additional notes or information in the space provided. All documents identified as documentary evidence
in the rating sheet should be put together, in preparation for the assessment that will be conducted. You are also free to
consult with the Institute for Solidarity in Asia for any questions that you may have on the elements and their sub-
components.
2
I. GOVERNANCE MECHANISMS
I.1. STRATEGY DESIGN (Basic Governance Documents)
Producing breakthrough results starts with having a well-formulated strategy. This strategy consists of basic
governance documents that reflect what the organization is doing to achieve its Vision and instil a culture of
governance.
In assessing the Strategy Design elements, the presence of the following will be looked into: (A) Charter Statement
or similar document containing a Vision, Mission, and Core Values, (B) Strategy Map or similar tool to indicate the
organization’s objectives and goals given its Vision and Mission, (C) Governance Scorecard or similar tracking tool
to measure the progress of its objectives and goals, and (D) Strategic Initiatives or projects, activities, or programs
that are conducted to attain the targets for its objectives and goals.
Sub-Components of the Element Possible Documentary Evidence
I. 1. A. Charter Statement - Formal document to identify the Vision,

It is important for any organization to know its reason for existence.
Mission, and Core Values
This can be seen through its given Vision, Mission, and Core - Collaterals on the Vision, Mission, and Core
Values. Sometimes collectively known as the Charter Statement, Values
these three components serve as the foundation for the - Reports or minutes of the sessions to
organization’s short, medium, and long-term goals in service to its indicate the discussion of the Vision, Mission,
stakeholders. and Core Values
-Memos, directives or other such documents
Guide Questions: to show how the Vision. Mission, and Core
i. Does the organization have a Vision with a specified Values are shared to members of the
timeline? 5 organization
ii. Does the Vision take into consideration the mandate of the
organization? 5
iii. Are there identified milestones, base camps, or high-level
goals that indicate the path of the organization towards its
Vision? 5
iv. Is the Mission directly taken or derivative of the
organization’s given mandate? 5
v. Does the organization have Core Values captured in a
formal document? 5
vi. Are the Vision, Mission, and Core Values communicated
to the entire organization? 5
vii. Is there a wide level of awareness of the Vision, Mission,
and Core Values? 5
3
I. 1. B. Strategy Map - Updated copy of a Strategy Map or a similar
To reach its identified Vision, the organization should formulate atool to show the organization’s strategy
strategy. Different performance management tools may be used to toward its Vision
capture the organization’s identified objectives and goals that are- Documents or reports to show discussion of
reflective of the various process improvements or new actions that strategy formulation (ex: reports or minutes of
it must do in a given timeline. In simpler terms, this document tells
Strategy Mapping session or Clean-Up
stakeholders the story of how an organization is able to continuously
sessions)
reach a high performance standard. - Supporting data for rationale behind the
strategy (ex: Organizational Assessments or
Guide Questions: SWOT Analysis documents or a Strategic
i. Does the organization have a Strategy Map or a similar tool Change Agenda document )
that is composed of strategic objectives and goals that -Strategy Review reports or other such
indicate how it will be able to achieve the Vision? 5 documents
ii. Are these objectives or goals mutually reinforcing and
predictive of the organization delivering its Vision? 5
iii. Are the outcomes of these objectives or goals within the
direct influence or control of the organization? 5
iv. Does the Strategy Map or a similar tool show the story
towards the Vision that the organization wants to pursue?
5
I. 1. C. Governance Scorecard
Hand-in-hand with the strategy, are the indicators or measures that -Updated copy of the Governance Scorecard
track the progress of its objectives and goals. Using tools like the or a similar tracking device
Governance Scorecard, organizations need to identify targets for its - Profiles of the measures or indicators to
strategy to be able to gauge performance in a transparent and show how data can be generated
comprehensive manner. - Other supporting data to show reason behind
measures and targets -Reports, presentations,
Guide Questions and other printed material that indicate
i. Does the organization make use of a Governance presence of the Governance Scorecard or
Scorecard or a similar tool that shows how each objective similar tool
will be tracked? 5
ii. Does this tool have indicators or measures with their
corresponding baseline data and targets? 5
iii. Are the strategic indicators or measures easily quantifiable,
reliable, and truly reflective of the transformation found in
the strategy? 5
iv. Do the targets show a balance between stretch efforts and
achievable actions that are controlled by the organization?
5
I. 1. D. Strategic Initiatives
To close the gap between the baseline data and the target, projects,-Document to show list of programs, plans,
it is important to identify “strategic initiatives”or activities that are
and activities related to the strategy
expected to largely contribute to the achievement of breakthrough - Updated copy of Initiative Profiles,
results in the organization. execution plans, or project management
plans
Guide Questions - Documents to show implementation of
i. Has the organization identified projects, activities, and/or projects, activities, or programs
programs related to its strategy? 5 - Minutes of meetings of project/initiative
ii. Do these “strategic initiatives”help in closing the gap teams
between the baseline and the target? 5
iii. Do these projects, activities, or programs have clear
management plans that can be broken down into milestone
deliverables? 4
iv. Are they prioritized such that there is budget allocated for
their implementation? 5
4
ASSESSMENT OF THE PGS ELEMENTS
Rating Sheet for Strategy Design (Basic Governance Documents)

Rating Rating Description Manifestation/ Evidence
• There is no Charter Statement, Strategy Map, Governance

Scorecard, Strategic Initiatives or other similar tools
0
equivalent to the enumerated basic governance documents
present.
• There is a written document that clearly states the

organization’s Vision, Mission, and Core Values, collectively
known as the Charter Statement.
• The organizational strategy to attain the given Vision has
1 been formulated.
• There are also measures and targets that correspond to the
strategic objectives.
• Projects, activities or other programs pertaining to pursuing
the strategy have also been identified.
• These basic governance documents have been communicated

2 and are well understood by the leadership team, management,
and project team members
• The Charter Statement, Strategy Map, Governance Scorecard,

Strategic Initiatives or similar tools equivalent to the
enumerated basic governance documents are currently being
3 used in the operations of the organization.
• These basic governance documents have been communicated
and are well understood by the leadership team, management,
project team members, and third level cascaded staff.
• The organization’s basic governance documents provide the

4 anchor in the planning and decision-making processes of the
leadership and management teams.
• The organization’s basic governance documents are deeply and Documentary evidence:
widely shared by the organization. The envisioned 1. Budget Proposals from FYs 2016-
transformation is verified through the basic governance 2017
documents. 2. Other proposed programs submitted to
and other a
3. Program Performance and Budget
5
Execution Review Accomplishment
Reports from FYs 2016-2017
4. leadership speeches and directives
referring to KR 2022 (Charter
Statement, Strategy Map, and
Initiatives)
Additional Notes:
II. GOVERNANCE MECHANISMS
II.2 STRATEGY EXECUTION
5
To effectively proceed in the pursuing the strategy, the organization must be able to establish the following strategy execution
mechanisms: (A) a Technical Working Group (B) an Office for Strategy Management; (C) a Cascading Framework to align
all units and individuals to the strategy; and (D) a regular and disciplined system for the Unit Governance Practices in
monitoring and evaluating the operationalization of the strategy.
Similar mechanisms or tools under this section will be considered, depending on the documentary evidence presented.
II.2.A Technical Working Group
For the operations to move in line with the strategy, a technical working group or a core team responsible for rallying its unit
and influencing what the organization will pursue for its Vision needs to be created. The clout of this group allows the strategy
to reach or permeate all units and for governance mechanisms to work their way within and across the organization.
Organizations may already have existing groups/ committees that perform the functions or achieve the objectives that a
technical working group must perform.
II.2.A.a Presence of a Technical Working Group

The presence of a Technical Working Group composed of influential and - Memo Order on formation of the TWG or
highly respected individuals from strategic units across the organization is similar group
vital in formulating the strategy and translating these into operations. - Minutes of Meetings of strategy planning
sessions
Guide Questions - Minutes of Meeting for other interventions
i. Are members of the Technical Working Group influential, or sessions related to operationalizing strategy
respected, and representative of strategic units across the - Attendance sheets to show the involvement
organization? 5 of TWG members
ii. Were the Technical Working Group members involved in the - Other supporting documents to show the
crafting of the strategy? 5 relationship of the TWG with the other units
iii. Do the Technical Working Group members help in operationalizing - Supporting documents to show commitment
the strategy in their unit? 5 of the TWG members to the strategy
iv. Do members of the Technical Working Group guide and assist units
in setting accountabilities? 5
v. Do members of the Technical Working Group champion the
organization’s vision and strategy? 5
vi. Do the members of the Technical Working Group forefront
breaking down silos found within the organization? 5
vii. Does the Technical Working Group promote the organization’s core
values and/or values closely associated with a genuine governance
program? 5
Rating For Technical Working Group (TWG)

0
• There is no TWG or a similar body that functions like a TWG in the
organization.
1
• A TWG composed of influential movers in the organization has been
created to assist in formulating and championing the strategy.
• The TWG is able to participate in the initial strategy execution either

through assisting in the finalization of the strategy, participating in
2
the project teams, cascading and communicating to their units or
becoming a process coach.
• The TWG is able to assist the Office for Strategy Management

(OSM) in strategy execution by operationalizing the strategy in their
3
respective units, acting as process coaches to the project teams, and
providing input to the operations and strategy reviews by tracking
6
the progress of the measures, projects, or plans that they are assigned
to.
• The TWG has sustained its role in assisting the OSM in strategy
execution by operationalizing the strategy in their respective units,
acting as process coaches to the project teams, or providing input to
the operations and strategy reviews by tracking the progress of the
4
measures, projects, or plans that they are assigned to.
• The TWG have become strategy execution champions, cultivating
the culture of accountability and performance in their assigned units
and working well with the other units to break down any silos.
Documentary evidence:
1. List of TWG members along with
• Through the TWG’s continued assistance to the OSM and
their designations in the agency
communication of the strategy, governance champions in the
2. List of all members of the Project
organization have multiplied across the unit levels.
Management Teams along with
5 • Through the teamwork of the TWG, silos mentality is no longer their designations in the agency
present, with the different units working towards organizational 3. Submitted monthly status reports
efficiency and effectiveness, and the delivery of breakthrough 4. Current projects of each strategic
results. unit that are in line with KR 2022
initiatives
Additional Notes:
I.2 STRATEGY EXECUTION

II.2.B Office For Strategy Management
Identifying a unit to specifically oversee the strategy is one of the most effective mechanisms that would guarantee
performance and sustainability of its long-term plans. This office, sometimes called the Office for Strategy Management
stays on top of all matters related to the strategy, especially in managing the scorecard or a similar tool, keeping track of
all the projects, activities and programs that will achieve the objectives and goals, and align performance, processes, and
other systems to the Vision.
To assess the Office for Strategy Management of the organization, the existence and content of the following
subcomponents will be looked into:
a. The formation and functionality of the OSM unit
b. Office for Strategy Management as scorecard manager
c. Office for Strategy Management as initiative manager
d. Office for Strategy Management as alignment manager
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II.2.B.a Formation & Functionality of the OSM
- Office Order formalizing the OSM
A unit to manage strategy has been formed and is manned by full-
- Document/ manual showing the mandate,
time personnel dedicated to fulfilling its roles and functions. It is
functions, structure, staffing, and operations of the
crucial that it reports directly to the head of agency so that the OSM
OSM
can give and receive strategy-information and directives more
- Document showing reporting mechanism of OSM
efficiently. The office must have its own resources to run its own
to head of agency
operations such as cascading and giving strategy-related sessions. It
-Document showing plantilla positions of OSM
must be sustainable, ideally with plantilla positions for its personnel,
members
and its resources included in the organization’s annual budget.
- Document showing budget allocation of OSM in
Guide Questions: the organization
i. Is there an OSM or an office that has similar functions? 5 - OSM calendar of activities
ii. Does this unit report directly to the head of agency? 5
iii. Does the OSM have defined roles and responsibilities? 3 *Items rated with 3
iv. Does it have an operations manual or a similar document? Although Planning and Management Division’s
Plans and Program Section is already performing the
3 duties and responsibilities of the Strategy
v. Does the OSM have full-time personnel? 3 Management Unit as defined in an Office Order,
vi. Does the OSM get resources to do their own operations? PMD has already submitted a proposal to formally
5 include SMU under the said section. Nevertheless,
vii. Is the OSM sustainable in terms of its personnel and the Planning and Management Division has always
resources? 3 spearheaded activities related to KR 2022.
II. 2. B. b OSM as scorecard manager

As the overall manager, the OSM or a similar entity must ensure - Actual data of scorecards or similar tool showing
that it tracks the performance of the organization vis-à-vis the baseline data, targets, quarterly and year-end
strategy. In this regard, it is able to demand accountability from the accomplishments
different units of the organization for the targets that they have set - Supporting documents to verify actual data
- Document showing reporting process of units to OSM
for its short, medium, and long-term goals. It is also able to directly for strategy review and for operations review
report performance to the head of the organization and its key
- Presentations, reports etc. made to the leadership team
stakeholders. The OSM must also be able to utilize an efficient
and/or board on performance of the organization
monitoring system that will allow it to track the performance of
other units.
*Items rated with 3
Regular strategy reviews and close coordination
Guide Questions
with Project Management Teams have helped the
i. Is the OSM able to track the performance of the
Strategy Management Unit to effectively monitor
organization vis-avis its strategy? 5
and follow through the performance of each strategic
ii. Is there a monitoring system or tool used by the OSM to
initiative under KR 2022. Further, the involvement
track the performance of each unit? 3
Planning and Management Division, especially the
iii. Does it objectively gauge the unit performance? 3
Strategy Management Unit, in the activities for the
iv. Is there a formal mechanism by which it reviews
KR 2022 initiatives have helped the said Unit to
operations and strategy regularly to check implementation
further understand and guide the PMTs in pursuing
of its strategic plan? 5
their targets.
v. Does the OSM use its learnings from these reviews as
inputs to enhance the strategy and ensure sustainable
Nevertheless, the Unit may consider devising other
execution? 3
monitoring systems and tools for easier monitoring
vi. Does the OSM report these findings on performance to the
of the activities under KR 2022.
leadership team (including its executive board or multi-
sector governance council) to influence directives or
decision-making? 5
vii. Is the OSM able to innovate to better facilitate strategy
execution? 3
8
II.2.B.c OSM as initiatives manager - Updated strategic initiative profiles, execution plans, or
Aside from tracking the measures, the OSM must be able to manage project management plans to progress of the initiatives.
the progress of identified projects, activities, and other programs - Budget plan for strategic initiatives
that will push for the attainment of targets. In light of this, the office - Updated performance reports of strategic initiatives with
supporting data
must ensure that priority programs for its objectives and goals have - Reports on progress of the projects, activities, or
resources and are being implemented properly by the concerned programs showing analysis on prioritization
units.
*Items rated with 2 and 3
Guide Questions The agency’s Strategy Management Unit follows through
i. Does the OSM track the progress of the strategic initiatives lagging strategic initiative by reviewing the PMTs’targets
being implemented, managed, and assessed and evaluated and providing recommendations and other forms of
by project teams and process coaches? 4 assistance during strategy reviews and consultations with
ii. Is it able to prioritize which projects, activities, or project management teams. But, the SMU should produce
more analysis reports and schemes to review the
programs are most relevant to attaining the goals of the initiatives’strategy in able to successfully attain their
organization? 5 targets.
iii. Does the OSM have an analysis on the effectiveness of the
strategic initiatives and correlate it with strategic
performance? 2
iv. Are there innovations that the OSM has done to start or
move a lagging strategic initiative? 3
v. Does the OSM work with the priority project teams to
ensure that they get sufficient funding to implement the
project, activity, or program? 4
II.2.B.d OSM as alignment manager

To easily implement the strategy, the OSM must also be able to - Office order or equivalent showing adoption of the
harmonize these objectives and goals to the day-to-day operationsstrategic plan for the organization enterprise, second level,
and lower level scorecards, scoreboards, dashboards, or
of the organization. This would include linking the performance of
execution plans
units and individuals to their strategic plan, pushing for a strategy-
driven budget, and synching of systems, processes and timelines. - Kits and modules used, and calendar for further
cascading
Guide Questions - Documents showing alignment of the strategy with
i. Has the OSM come up with ways to cascade the strategy existing systems and processes (ex. for budgeting and
to the different units and secure their performance planning, performance management, etc.)
- Alignment Tree or equivalent to show how lower level
commitments? 3 units and project teams are connected vertically and
ii. Are these lower-level commitments directly or indirectly horizontally to the goals and objectives of the organization
contributory to the objectives and goals of the
organization such that an achievement in their targets
- Documents toindicate the plans of the OSM or similar
unit to link unit or individual performance to
would affect the targets at the top? 5 incentives or appraisals
iii. Has the OSM worked with the Human Resources
Department (or equivalent) to integrate unit and individual *Items rated with 3
performance commitments to the strategy? 3 supports the endeavors of the KR2022 , as expressed
iv. Has the OSM coordinated with the Finance Department during the agency’s townhall meetings and other
(or equivalent) to integrate expenditure for the strategy to teambuilding activities. Moreover, more personnel have
been directly involved in KR 2022 as project management
be part of its yearly budget? Moreover, has the OSM teams tap their assistance to push through the activities for
worked with the different units to have a strategy-driven each strategic initiative.
budget? 5
v. Is the strategic plan in line with the governance tools and However, the Planning and Management Division is
mechanisms that are mandated by the national government currently in talks with the Human Resource Development
or any other governing body that the organization must Division to include the personnel’s activities re KR 2022
as one of the criteria in their performance evaluation.
follow? 5
vi. Is the OSM able to foster harmony between the daily
operations of the organization with the strategy so that
both operational issues and strategic issues are addressed
properly? 4
Rating Sheet for the Office for Strategy Management- Formation & Functionality
9
0
• There is no unit or individual in the organization that serves as the
Office for Strategy Management.
1
• There is an identified core team or group that handles the initial
implementation and management of the strategy.
2
• The organization has drafted its plan to formally establish an Office
for Strategy Management.
• The organization has officially set up an Office for Strategy

3 Management, with well-defined roles and responsibilities. The
office has a direct line to the head of the organization.
1. Interim Structure of Strategy
Management Unit and its current
Personnel Profile
• The Office for Strategy Management through its own resources and 2. Submitted Organizational
4 personnel are empowered to conduct its own operations in
Structure for Planning and
overseeing strategy implementation.
Management Division, including
the SMU
3. SMU Calendar of Activities
4. List of SMU-conducted activities
• The Office for Strategy Management is seen to be sustainable. There

5 are plantilla positions for its personnel, and its resources are
included in the organization’s annual budget.
Additional Notes:
Rating Sheet for the Office for Strategy Management- Roles & Responsibilities
• There is no unit within the organization that undertakes the roles and
responsibilities of an OSM in managing the scorecard or similar
0
performance management tool, overseeing the initiatives, and
ensuring alignment.
• The identified OSM or its equivalent has refined the contents of the
scorecard or similar performance management tool to start tracking
performance of units and individuals.
1
• The same group with the TWG and the leadership team has come up
with a list of strategic initiatives to pursue.
• Aside from this, the OSM or its equivalent has initiated plans to
discuss how the strategy will be aligned to the organization’s daily
operations.
• A group in the organization has started to gather initial data from the
second level performance management tools to assess the
performance of the organization vis-à-vis its strategic objectives and
2 goals.
• It is also able to start tracking the progress of the strategic initiatives.
• The OSM has started to align the strategic plan to the budget through
the strategic initiatives.
3
• Data gathered from the performance of operating units (or third-level 1. Strategy Review Minutes of the
units), is used by the OSM to conduct regular operations and strategy
Meetings
10
reviews and use as inputs to assess the performance of the 2. Strategy Management Unit
organization. presentations during Strategy
• Through tracking the progress of the initiatives, the OSM is able to Reviews re KR 2022 progress
connect performance of project teams to the measures found in the
enterprise scorecard.
• Aside from beginning to align the budget to the strategy, it has also
started to plan for harmonizing mandated governance tools with the
strategy.
• Through the continuous operations and strategy reviews, the OSM is

able to correlate the performance of operating units to the overall
performance of the organization. These assessments are then
presented to the leadership team as input for their decision-making.
• By continuously analyzing the impact of the project teams to the
4 movement of targets in the enterprise scorecard, the OSM is able to
come up with action plans or recommendations for further
improvement.
• To fully harmonize the strategy with budget and other mandated
governance tools, the OSM has crafted well-formulated concept
papers or plans that are in the process of being approved.
• The OSM is able to track the overall performance of the organization

with inputs even at the individual-level. Through these assessments,
the leadership team and the board are provided with a clear picture of
the organization’s performance. Furthermore, the OSM is able to
introduce valuable inputs or recommendations to all units for further
improvement.
• By its regular and continuous management of the initiatives, the
5 projects teams managed by the OSM have produced results that are
contributory to the achievement of targets in the chosen performance
management tool.
• The OSM was able to streamline its strategy implementation through
harmonizing systems, processes, and even individuals that has been
approved by the leadership team. In this regard, it can be said that the
OSM has tailor-fitted strategy implementation especially for the
organization.
Additional Notes:

II.2.C Cascading Framework
To translate strategy into operations, strategic units that will are directly contributory to the goals and objectives of the
organization should be identified. When this is done, the strategy must be cascaded for alignment of performance targets of
these units to follow. For this element, a functional cascading tool for (a) project teams and (b) a mechanism to universalize
the strategy to all units and individuals must be present.
11
II. 2.C.a Functional Cascading Tool of Strategic Units - Strategic Unit’s Scorecard, Scoreboard, Dashboard,
Inclusivity is one of the main proponents of an effective and Execution Plan or equivalent to show alignment of its
sustainable governance program. For the strategy to move, the performance targets to the enterprise strategy
strategy must be cascaded to an organization’s strategic units. - Updates or progress reports on cascading tools
Strategy must be everybody’s job; therefore, a cascading tool - Calendar or program to show sessions in cascading
(Scorecard, Scoreboard, Dashboard, Execution Plan, or equivalent) the strategy to the strategic units
must not only be present but functional. Measures found within this
cascading tool must be aligned to the organizational strategy,
*Item rated with 3
progressing as committed by the unit, and reported to Office for Division scorecards and the status reports of Project
Strategy Management. Management Teams are submitted monthly to the
Strategy Management Unit for review. Meanwhile,
Guide Questions execution plans are reviewed quarterly, along with the
i. Are cascading tools present and used in the identified actual accomplishments of the initiatives.
strategic units? 5
ii. How is the cascading of the enterprise scorecard to the
strategic units validated? How does the organization
identify its strategic units?
iii. Are these cascading tools aligned to the vision and strategy
of the organization? 5
iv. How are these cascading tools monitored by the Office for
Strategy Management? How often? 3
v. Do the roles and responsibilities of the members of these
identified strategic units substantively contribute to the
targets in these cascading tools? 5
Rating Sheet for Cascading

0
• There is no cascading tool present to align the identified
strategic units to the objectives and goals of the organization.
• The organization has identified the units who will be directly

responsible for the success of the organization’s objectives and
1
goals, either as the measure owners or as the members of the
strategic initiative teams.
1. Scorecards of strategic units
• A cascading framework (either through scorecards, dashboard, 2. Minutes/reports on strategy cascading
scoreboards, or execution plans) has been developed by the
sessions
OSM with the help of the technical working group in order to
2 3. Compilation of Project Execution
initially track the performance of the organization vis-à-vis its
Plans
strategy. Furthermore, draft plans on how to further cascade
4. Strategy Review Presentations that
have been rationalized.
include actual accomplishments in the
initiatives
• All its operating units have a cascading tool (scorecards,

dashboards, scoreboards, or execution plans), to manage their
performance, secure their performance commitments, and
3
ensure their contribution to the alignment of the first-level
targets. These tool or tools are regularly being monitored by the
respective operating units and the OSM.
4
• The chosen cascading tool for the operating units are fully
functional and have produced quick wins in the form of the units
12
meeting the set deliverables. Monthly reviews are also
conducted to discuss the implementation of the strategy. These
inputs are gathered by the OSM for their assessments.
• Members of the operating units fully understand and pursue

their performance commitments. Through the cascading tool
5
used, quick wins have been documented to contribute to the
success of first-level targets.
Additional Notes:
II. 3. A Universalizing Cascading
While key operating units are able to directly work on targets set by the strategic plan, sustaining the strategy takes more than
having just a few functional scorecards or other performance tracking tools. It is important for everyone to find their role vis-
à-vis the strategy of the organization to continuously improve operational performance and drive the attainment of its
objectives, goals, and targets. In this regard, two sub-components will be looked into:
a. Functional Lower-Level Cascading Tools
b. Individual Performance Aligned with Enterprise Strategy or Individual Scorecards
Corresponding equivalents of the listed sub-components shall be assessed for their substance and content, to see if they are
sufficient for qualification.
II.3.A.a Functional Lower-Level Scorecards or Unit Scorecards

Cascading tools have been formalized even in the lower-level units - Performance evaluation tools for units (ex. OPCR,
to allow for accountabilities to be set within the organization. These PBB forms)
lower-level targets are seen to directly or indirectly affect the - Lower-level or unit scorecards/ scoreboards/
progress of the targets in the first-level strategy, showing their cause- dashboards
and-effect relationship. - Scorecard update reports
- Reports on the cascade of unit scorecards
Guide Questions: - Alignment Tree of Unit Scorecards with Enterprise
i. Are the lower-level scorecards, scoreboards, execution Strategy
plans, or a similar performance tracking mechanism
updated regularly? 3 Items rated with 3
ii. Can the indicators in the lower-level units be traced back to Although sessions on the development and
the indicators in the first-level strategy? 5 implementation of division scorecards have already
iii. Is there a show link in terms of indicators or performance been conducted, the SMU recently held meetings with
commitments between the direct units and the supporting division chiefs and section heads to review and
units? 3 possible recalibration of their respective scorecards.
iv. Is there a system of accountability in the implementation of
strategies in these lower level units? 3
- Performance evaluation tools for individuals (ex.

IPCR, PBB forms)
- Individual scorecards/ dashboards
- Reports on the cascade of individual scorecards
*Item rated with 1,2, and 3

already has a deep awareness and understanding on
the importance of the KR 2022 in the agency. Through
regular re/orientations and information dissemination
campaigns within the organization, each personnel has
already identified his/her contribution to the roadmap.
With the ongoing implementation and review of

division scorecards, SMU will already be introducing
individual scorecards to employees. Nevertheless, the
day-to-day deliverables of the agency are already
toward KR 2022.
13
Rating for Universalizing Cascading
0
• The organization has not cascaded the strategy to its strategic units,
other lower-level units, and individuals.
1
• Through strategy formulation, the organization has identified its
strategic units and/or project teams.
1. Scorecards of strategic units
2. Compilation of SMU division
• The organization has cascaded the strategy to the strategic units
scorecard cascading sessions
and/or project teams.
3. Performance evaluation tools
2
• The organization has also identified the cascading framework that • Office Performance and
will be used to align the lower-level units to the strategy, secure Commitment Review
performance commitments, and ensure the contribution and • Individual Performance and
alignment to the strategy. Commitment Review
• Performance-Based Bonus
Guidelines
• All second-level units in the main office have a functional

performance tracking tool to ensure their performance and
3 contribution to the organization.
• The organization has also begun to cascade the enterprise strategy to
the lower-level units.
• All the units in the main office have functional performance tracking
tools that are regularly monitored and reported to the OSM or a
similar group.
4 • The organization has also cascaded to their regional units and/or their
attached agencies to secure their performance commitments and
ensure their contribution and alignment to the strategy. Plans to align
individuals to the strategy have been created.
• All the units within the organization have functional performance

tracking tools that are regularly monitored and reported to the OSM
or a similar group.
5
• Individual performance tracking tools have been rationalized and
implemented to secure performance commitments, and ensure
individual contribution and alignment to the enterprise strategy.
Additional Notes:

II.2.D Unit Governance Practices
As part of promoting the discipline of accountability and transparency, regular unit governance practices in (a) monitoring,
(b) reporting, (c) validating, and (d) evaluating the performance of the organization must be done. These four sub-
components with the established systems and practices shall be assessed for their quality and reliability to check if they are
sufficient for qualification.
14
II.2.D.a Monitoring - Minutes of meetings of strategic units on
Organization-wide protocols have been formulated to build accountability their progress of performance commitments
in the organization in relation to the objectives, goals and measures - Calendar or record of dates of meetings
identified. Because of these protocols, individuals in strategic units and
- Organizational memos on monitoring
management positions are aware of their responsibilities in terms of the policies
strategy and regularly meet and submit progress updates. - Documents on progress updates of scorecard
indicators
Guide Questions:
- If possible, Quality Management System
i. Has the organization clarified the roles/responsibilities of units,
(QMS) Manual
teams, and individuals who have strategic responsibilities? 5
ii. Does the organization have official practices for the efficient
collection of data on performance? 5
iii. Have regular progress updates been submitted by the
units/teams/individuals responsible? 5
iv. Is there a regular schedule for meetings on the strategy? 5
v. Is there a Quality Management System (QMS) in place? 5
II.2.D.b Reporting
Reporting is akin to a process evaluation which seeks to understand the - Minutes of meetings from organizational
quality of implementation of the initiatives and programs of the reports or operations reviews
organization. Apart from the consolidation and preliminary analysis of - Calendar or record of dates of operations
data, the performance of units and teams is also assessed. These reports— reviews
usually in the form of operations reviews—are regularly done with the - Documents on performance appraisals based
organization’s leadership team to advise their decision-making process. on consolidated reports
Guide Questions:
i. Are data from the units and teams consolidated and analyzed to
form an organizational report? 5
ii. Is the performance of units and teams regularly assessed to
determine the quality of implementation? 5
iii. Is there a regular schedule for the operations reviews? 5
II.2.D.c Validation
Data validation is an audit of the monitoring and reporting process and also - Data validation reports
of the data gathered. Its purpose is to ensure the quality of the information - Activity reports from field visits
being submitted. Validation can be done internally and externally. The - Memos on improvements to the monitoring
former is usually done on a regular basis through field visits and spot- and reporting process based on validation
checks, while the latter can be done once a year or even less frequently results
through surveys, reviews, and studies. The results of the validation
activities help improve the monitoring and reporting processes to make the
data collected and consolidated more reliable.
Guide Questions:
i. Does the organization have a designated internal unit (i.e OSM) or an
external body to validate performance? 5
ii. Have systems and methods for validation been established officially?
5
iii. Is there a data validation process to ensure the quality of submitted
information? 5
iv. Does the organization use the results from the validation activities to
improve their monitoring and reporting practices? 5
v. Is there a timetable for conducting validation activities? 5
15
II.2.D.d Evaluation
Evaluation is similar to the reporting phase, but instead of focusing on - Minutes of strategy review meetings
lower-level performance and process improvements, it assesses the overall - Baselines of evaluation criteria
performance of its strategy implementation by looking into two aspects: - Surveys on stakeholder impact/perception,
organizational change and its impact on stakeholders. It emphasizes internal and external
before-and-after transformation in assessing if the improvements to the - Analyses, studies, and/or reports on
organization have tangibly impacted operations. The results of the organizational transformation and stakeholder
evaluation are then used to advise the strategic shifts needed by the impact
organization in order to achieve its targets. -Official documents that show strategic shifts
based on evaluations
Guide Questions:
i. Are data analyzed to determine overall organizational performance *Items rated with 3
and operational improvement? 5 Aside from the regular conduct of strategy
ii. Has a baseline been established to evaluate the impact on reviews, the division performance reviews has
stakeholders? 5 helped the SMU further monitor and evaluate
iii. Are there mechanisms or studies implemented to determine the performance of the agency in KR 2022 in
impact on stakeholders? 3 division level.
iv. Have strategy reviews been conducted with the purpose of assessing
the organization’s initiatives? 5 A division performance review is one of the
agency’s tool in monitoring and evaluating
v. Are evaluation or impact assessment studies conducted? 3 each division’s performance in the past three
months.Part of the presentation of each
division is its contribution to the
implementation of KR 2022.
Rating Sheet for Unit Governance Practices
• There are no monitoring, reporting, validating, and

0 evaluating processes practiced by the organization to track
performance.
• The organization’s leadership team with its operating units

or technical working group have met to discuss the strategy
1
and the initial data found in the enterprise strategy and
scorecard.
• The organization holds regular and consistent assessment of

progress with regard to the enterprise strategy
2 • The organization has started to conduct operations reviews
to discuss lower-level cascading and program
implementation.
• The organization holds regular and consistent operations

(monthly) reviews to assess the performance of lower-level
units.
3
• The organization holds regular and consistent (quarterly)
strategy reviews assessing the enterprise strategy map,
scorecard, and strategic initiatives.
• The organization has clear and documented mechanisms for 1. Submitted monthly status reports by project
4 monitoring and reporting the performance of lower-level management teams with attached documentary
units. evidence
16
• The OSM is able to gather data efficiently and release 2. Submitted monthly update reports re division
updates to the organization (salient points of the strategy scorecards
review). 3. Minutes of the Division Performance Review
• FY 2016
• FY 2017 - 1st Quarter, 1st Semester
4. Quality Management System Manual
5. FYs 2016-2017 Internal Quality Audit Report
(based on PVAO Quality Management
System)
• The organization has a clear and documented alignment tree

to assess how the measurable results and initiative progress
contribute to each other. In turn, individuals or units
responsible for the measure or initiative are held
5
accountable.
• The OSM is able to validate, analyze, and provide its
recommended next steps for the improvement of
performance and for inputs to the leadership team.
Additional Notes:
II. GOVERNANCE MECHANISMS
II.3 STRATEGY SUSTAINABILITY
Effective strategy execution must be supported by mechanisms that will sustain the performance of the organization despite
changes in leadership. The mechanisms may fall under the following sub-elements: (A) a Multi-Sector Governance Council; (C)
a Governance Culture program; and (D) a Governance Sharing program.
Similar mechanisms may also be considered for as long as they are able to capture the parameters provided.
II. 3.A Multi-Sector Governance Council (MSGC)
A Multi-Sector Governance Council is an organization’s advisory board which is comprised of industry leaders, field experts,
governance champions, and influential external stakeholders. The MSGC functions to assist the organization in realizing its vision,
commitments, and strategic directions. In a broader sense, the presence of an MSGC also promotes an organization’s transparency
and accountability to the public sector. Note: Some organizations may already have established councils or mechanisms –whether
by organizational nature or legislation - which allows them to engage stakeholders and formally solicit strategic advice.
To assess the functionality of the MSGC of the organization, the existence and content of the following subcomponents will be
looked into:
(a) As an advisory board
(b) As an external communicator
(c) As having its own initiatives
(d) As a mechanism for sustainability
Some organizations may already have established councils or mechanisms –whether by organizational nature or legislation - which
allows them to engage stakeholders and formally solicit strategic advice.
17
II.3.A.a The MSGC as an advisory board - Profiles of past and current MSGC members
A functional MSGC or an equivalent external group (such as a - Minutes of MSGC Meetings or Board Meetings or equivalent
board) that provides strategic counsel to an organization with -Memos or directives to show adoption of recommendations
regard to its strategy and governance program. provided by MSGC member or equivalent
Guide Questions:
i. Does the MSGC meet regularly –with clear protocol –to
receive reports on the organization’s strategy? 5
ii. Does the MSGC meet regularly to provide counsel to the
leadership team on pertinent issues or strategy
implementation progress? 5
iii. Are the inputs and recommendations of MSGC members
well-received and acted on by the organization’s
leadership? 5
II.3.A.b The MSGC as an external communicator

The advantage of having an external group championing the - Minutes of MSGC Meetings
organization is in having influential and respected industry leaders
- Reports on projects for communication plan discussed with
who can serve as advocates to communicate the progress of the MSGC or equivalent body
organization to a wider audience. - Documents such as published articles, news segments,
reports etc. that would show public support from the MSGC
Guide Questions:
member or his/her equivalent
i. Has the MSGC made any targeted contributions in the
- Documents to indicate how the organization benefits from
implementation of the organization’s communication plan
the network provided by the MSGC member
directed to its external stakeholders? 5
ii. Has the MSGC been able to connect the organization with
Item rated with 3
any members of its network when needed? 5
currently strengthening ties with its MSGC member of
iii. Has the MSGC been able to connect the organization with
Philippine Daily Inquirer and of Philippine Star—to
media outlets when needed? 3
champion the veterans advocacy across the mass media.
Nevertheless, has also established connections with various

media institutions to increase avenues for encouraging
veterans as active partners in nation building and motivation
future defenders.
II.3.A.c The MSGC having its own initiatives

An MSGC or its equivalent may evolve to having its own initiatives - Minutes of MSGC Meetings
or projects that will assist the organization in specific areas of its - Progress reports on MSGC-led initiatives
strategy or governance program. - Reports to indicate how MSGC initiatives impact the
strategy
Guide Question:
i. Has the MSGC committed to make targeted contributions
or to initiate committee-driven programs to expand
support for the organization’s strategy and governance
program? 5
ii. If present, have the MSGC’s initiatives been completed to
significantly contribute to the achievement of the
organization’s strategy? 4
II.3.A.d The MSGC as a mechanism for sustainability

An MSGC also acts as a mechanism to ensure that the strategy and
governance program working within the organization is sustained - Minutes of MSGC Meetings or Board Meetings or
–regardless of changes in leadership. equivalent
- MSGC Protocol or Concept paper
Guide Questions:
i. Has the MSGC provided guidance on how the governance
program can be better installed within the organization? 5
ii. Have the relationships between the MSGC and the
organization been formalized through working
committees with the organization’s counterpart technical
working group or staff? 5
18
Rating Sheet for Multi-Sector Governance Council
0 • The organization does not have an MSGC in place.
• The organization has identified their key stakeholders and

1
institutional partners that can help them achieve their strategy.
• The organization has formally set up a multi sector governance

council (MSGC) with a clearly written protocol or charter that
encourages the participation and involvement of key
2 stakeholders.
• The MSGC understands their role in the strategy and have met at
least once with the organization to gather their initial
recommendations.
• The MSGC meets regularly and consistently (at least quarterly).

In these meetings, the group is able to provide input or
recommendations to the organization’s strategy.
3
• The members of the MSGC have identified targeted commitments
that will enable the pursuit of the enterprise strategy and have
started to work on their assignments.
• The MSGC is provided with regular reports (once every two 1. MSGC Minutes of the Meetings and
months) on the strategy. In turn, the members of the MSGC are Matters Arising
able to provide strategic counsel on pertinent issues and strategy 2. Updates on the activities under the
implementation progress. The advice coming from the MSGC is initiatives that are forwarded to
4
considered by the leadership team in its decision-making. assigned advisors
• The members have outputs on the commitments that they have set 3. Minutes of the PMT consultations with
out to do, to assist the organization in pushing the organization’s their assigned MSGC advisors
strategy forward.
• The MSGC or its equivalent has evolved to be pro-active by

concretely contributing to the strategy even in informal
gatherings.
• Members of the MSGC have regularly offered their expertise,
5
networks, and other resources in order to expand support for the
organization’s strategy. Moreover, the MSGC can already boast
of accomplishments pertinent to their committee assignments or
identified commitments.
Additional Notes:

II.3.B Governance Culture Program
Sustaining the strategy means being able to shape the organization’s culture not only in harmonizing systems but also in fostering
practices for accountability and transparency. To assess the governance culture of the organization, the existence and content of
the following subcomponents will be looked into:
a. Mechanisms to link systems and processes
i. Harmonization with government frameworks
ii. Link to budget
iii. Link to incentives
iv. Consistent communication
b. Commitment of top leadership team to pursue the strategy
c. Good governance program / integrity initiative
II.3.B.a Mechanisms to link systems and processes
19
Strategy implementation must become organic to the organization making it part of daily operations. This is done through the
following subcomponents:
i. Harmonization with government frameworks
ii. Link to operations, budget, and incentives
iii. Consistent communication
II.3.B.a.i Harmonization with government frameworks

Aligning the government frameworks to the objectives and goals of - Documentation and/or guide on harmonization with
the organization will ease the implementation of the strategy. Doing existing government systems and processes - alignment
so shows how well the organization is able to tailor fit its short, of the PGS to the performance-based systems
medium, and long-term goals to how all units operate. implemented by the government such as SPMS and
RBPMS
Guide Questions: - Documents showing rationalization of organizational
i. Has the strategy and its mechanisms for execution been chart based on strategy
integrated with existing governance systems and processes
(such as RBPMS, OPIF, SPMS, DSOM, ISO, etc.)? 5
ii. Is the organizational operations plan founded on the
enterprise strategy? 5
iii. Has the integration of the strategy contributed to breaking
down of compartments and silos, thereby promoting
greater cross-functional teamwork? 5
II.3.B.a.ii Link To Budget

Part of alignment is linking that the budget is linked to the strategy. - Documents showing the budgetary process with
This ensures purposive planning for the funding in such a way that highlights or explanations on how the process has been
the organization knows where its budget should go. aligned to strategy
- Budget plan for strategic initiatives –show how the
Guide Questions: strategic initiatives have resources
i. In linking annual budgeting with the broader requirements - Updated performance reports of strategic initiatives
of strategy execution, does the organization ensure that with proof
strategy-related expenses (stratex) are provided for in - Document showing how strategic initiatives are funded
addition to the usual provision for operating expenses through other means (such as development partners, etc.)
(opex) and capital expenditures (capex)? 5
ii. Do the OSM, TWG, or its similar bodies have a say on
what will be included in the budget? 5
II.3.B.a.iii Link to Incentives

To drive units and individuals to perform well in the strategy and - Evaluation forms or equivalent rating individual
operations, the culture of meritocracy must prevail. To do so, the performance based on the strategy
organization must be able to link the performance evaluation with - Office Order, Memo, or equivalent showing merit or
the incentives or bonus program. reward system or incentive/bonus schemes
Guide Questions: Items rated with 2 and 3
i. Have your institution’s HR programs been properly re- For FY 2016, has included KR 2022 activities as part of
configured so as to more pro-actively meet the learning and the criteria in providing Performance-Based Bonus to its
growth strategic priorities? 2 employees.
ii. Are mechanisms for incentives, rewards and recognition
present to link performance-based evaluation to strategy Nevertheless, the Performance Management Team
contribution? 2 (PMT), the agency’s technical working group for the
iii. Has your institution made a significant advance towards performance evaluation of personnel, is now currently
securing and strengthening internal alignment for its working at providing merits and other incentives to further
transformation program? 3 encourage employees to be more involved in the KR 2022
success. The PMT also includes members from the
Human Resource Development Division and Planning
and Management Division.
20
II.3.B.a.iv Consistent Communications
To widen awareness of the organization and its strategy, a - Strategic communications plan
communication program to internal and stakeholders must be - Protocol or systems for regular communication
rationalized and implemented. - Communication materials or collaterals such as
journals, newsletters, websites, etc.
Guide Questions:
i. Does your institution utilize a plan to communicate the - Feedback mechanism that shows the effect of the
strategy to its internal stakeholders? 4 communication plan to the internal audience
ii. Is there a pro-active and creative internal communication
system set up to promote your institution’s transformation *Item rated with 3
Deep understanding on the KR 2022 and its importance
program? 4
have already been inculcated and the stakeholders
iii. Is there a communication plan utilized for its external
through continuous information dissemination campaigns
stakeholders? 3 through various mass media platforms and advocacy
caravans across the country.
Nevertheless, has to review its KR 2022 Communication

Plan to follow through its current state in the journey.
Rating Sheet for Harmonization with Existing Systems & Processes

Rating Sheet for Link to Budget
• The organization does not have any plans or programs on

0 how to harmonize the strategy with its existing systems
and processes.
• The TWG or leadership have initially explored how to

1 possibly harmonize their designed strategy with a
mandated reporting system
• The organization understands how the strategy and its

2 mechanisms are tools that can be integrated with other
existing systems and how they reinforce with each other.
• The organization is starting to document how the strategy

3 is connected or is in sync with the existing systems in the
organization.
• The organization has documented how the strategy and its
1. Submitted budgetary requirements to the
mechanisms are integrated with the other existing
Department of Budget and Management and
systems. In this manner, they are able to translate
4 from FYs 2016-2018
commitments embodied in the strategy and the
2. Submitted proposed programs and reports in
information in its implementation to answer forms or
line with the directives for 2017-2023
templates that are required by their supervising agencies.
3. Performance-Based Bonus Guidelines
• The strategy and its mechanisms are fully integrated with

the existing systems and processes (at least SPMS, PBB,
budget). It has helped the organization manage its
performance and has made reportorial requirements
5
easier.
• The organization has explored using technology to
automate performance monitoring and integrating
systems and processes.
Additional Notes:
21
• The organization has not linked its budget to the strategy nor
0
does it have any plans to link its budget to the strategy.
• The organization has listed down strategic initiatives,

1 activities, and other programs that are needed for the strategy
implementation.
• Budget plans for strategic initiatives related to the strategy
have been finalized.
2
• The budget proposal for the following year contains the
strategy-related activities for the following year.
• The budget proposal for the following year contains the

3
strategy-related activities for the following year.
• The organization has ensured that their strategic initiatives,

4 activities, and other programs related to the strategy have an
identified budget source.
• The organization has linked its budget to the strategy.
1. Submitted budgetary requirements to the
Through this, the organization can derive provision for
5 from FYs 2016-2018
strategy-related expenses, while synchronizing the strategy
2. Submitted FYs 2016-2017 PVAO
with operating expenses and capital expenditures.
Annual Procurement Plans
Additional Notes:
22
Rating Sheet for Link to Incentives
• The organization has no plans to link the performance of units or

0
individuals to the incentive programs.
• The TWG or leadership team has had an initial discussion on

1 linking strategic performance to the performance evaluation
system.
• The organization has plans to formally link unit performance to
2 their performance evaluation system and competency
development.
1. Performance-Based Bonus
• The organization has plans to formally link unit and individual Guidelines
3 performance to their performance evaluation system and 2. Strategy Minutes of the Meeting
competency development. discussing activities under KR 2022
initiatives to be part of the major
accomplishments of employee
• The organization has started to recognize units that have done well
in strategy execution. Linkage of strategy execution to the
4
performance evaluation system is at the beginning stages of
implementation.
• The linkage of individual performance to the unit performance

and unit performance to strategy execution is regularly tracked by
5 the organization. With the proper link to incentives, the
organization is able to provide outstanding individuals with
performance bonuses and/or recognition.
Additional Notes:
Rating Sheet for Communications Plan

• The organization does not have any plans to communicate

0
internally and externally.
1
• There are initial plans on how to internally and externally
communicate the strategy.
• The organization has formulated a communication plan that

2
is well documented and clearly defined.
1. Collaterals re KR 2022 information
campaign
• The organization has started to communicate the strategy 2. KR 2022 Communication Plan
3
and its gains in implementation internally and externally. 3. KR 2022 Initiatives Communication Plan
4. Speeches, directives, and other forms of
communication from the leadership re
implementation and cascading of KR 2022
• The organization actively and creatively communicates the

4 strategy to the whole organization using various
communication tools, channels and mediums.
23
• The organization has created awareness of the strategy
internally. The communication strategy has also been used
to instil governance values and promote the governance
culture for the delivery of breakthrough results and to
5 deepen commitments.
• There is a feedback mechanism used to empower and has
engage internal and external stakeholders to support the
transformation, elicit commitments, and provide
contributions.
Additional Notes:

II.3.C Governance Culture Program
b. Commitment of top leadership team
Commitment of top leadership to pursue strategy is one of the drivers in propelling the movement of the organization towards
its Vision. This pertains to being involved in the operations and championing performance in all units for a Vision-driven
organization.
II.3.C.b Presence of commitment from the top leadership team - Reports on executive decisions made due to
strategy-related information
Guide Questions:
- Minutes of strategy reviews, MSGC meetings,
i. Is the OSM regularly asked to report the progress of the strategy
and other such meetings
to the top leadership? 5
- Attendance in strategy-related activities
ii. Does the top leadership regularly call for strategy reviews and
- Memos, speeches, etc. mentioning the program
other related strategy monitoring/assessment meetings? 5
iii. Does the top leadership attend MSGC meetings? 5
iv. Has the top leadership established relationships with the MSGC
members to help advocate the strategy to external stakeholders?
5
v. Does the top leadership use the OSM and its strategy assessments
for decision-making? 5
vi. Is the top leadership knowledgeable on the strategic initiatives
the organization is pursuing? 5
vii. Does the top leadership consistently advocate the strategy when
communicating with both internal and external audiences? 5
24
Rating Sheet for Commitment of Top Leadership Team
0 • The top leadership team does not champion the strategy.
• The top leadership has confirmed and initiated the

1
development of the strategic plans.
• The top leadership is engaged and has participated in the

2
development of the strategy.
• The top leadership champions and communicates the
3
strategy in the organization and to external stakeholders.
• The top leadership discusses the strategy as an agenda in the

4
executive committee meetings or in similar venues.
• The top leadership uses the strategy in guiding the
1. Accomplishment Reports
organization and making policies and decisions. Moreover,
• FYs 2016-2017 Program Performance
5 the top leadership is able to use the data gathered from the
and Budget Execution Reports
performance management tools to make policies and
2. Memoranda and other directives given
decisions for the organization.
in line with the KR 2022
Additional Notes:

II.3.C Governance Culture Program
c. Good Governance Program
Being a well-performing organization more than having working systems and processes, values must also be learned and acted
upon by the people in the organization. Moreover, the organization must provide an environment to keep these governance
values alive.
25
II.3.C.c Presence of a Good Governance Program
The presence of a good governance program through an integrity - Protocols/policies against corruption
initiative or a similar mechanism is imperative to instil governance - Whistleblowing policies
values. - Anti-corruption models
- Governance assessment reports
Guide Questions: - Integrity initiative program o
i. Have the organization’s priority/core services been certified as - Value-enrichment program
being compliant with ISO 9001:2008? 5 - Personal governance scorecards
ii. Are there internal controls to hinder opportunities for - Certifications, awards, or recognitions on good
corruption? 5 governance
iii. Has the organization been certified as being fully compliant - Citizens’feedback reports
with the Anti-Red Tape Act, the National Guidelines on Internal
Control System (NGICS), the Procurement Law, the Code of
Conduct and Ethical Standards for Public Officials and
Employees, among others? 5
iv. Has an integrity governance program been initiated in the
organization that is founded on the government’s laws and
policies against corruption? 5
v. Have internal assessments been done to evaluate the
governance gaps in the organization? If so, have the gaps been
addressed through development programs for personnel? 5
vi. Is the program focused on instilling a culture of fairness,
accountability, transparency, and meritocracy in the
organization? 5
vii. On a voluntary basis, are individuals working in the institution
provided with guidance on the other (non-professional, non-
work-related) aspects of a work-life balance? 5
viii. Has the institution initiated a corporate culture program
designed to instill the observance of ethics and social
responsibility in all the strategic and operational priorities being
actively pursued all levels and in all facets of the life and work
of the institution? 5
ix. Has the institution developed e-governance services that
provide information to stakeholders on the overall strategic
direction and the operations related to it? 5
x. Has a mechanism been put in place to gather feedback from
citizens and external stakeholders? 5
Rating Sheet for Good Governance Program

• The organization does not have any good governance

0 programs or initiatives to instil the culture of integrity in all
of its units.
• The organization has a citizen’s charter (or a similar tool)

1
that is visible to its personnel and the public.
• Aside from the citizen’s charter, the organization also has a

communication tool to promote the values of good
2
governance, professionalism, fairness, accountability, and
transparency.
• The organization has plans for an integrity governance

program to instil the values of good governance,
3
professionalism, fairness, accountability, and transparency
to its personnel.
26
1. Report and Received Commendation
2. *Recognition of the Office
3. Whistleblowing Policy
4. Anti-Fixer and Anti-Fraud Campaign
5. Code of Conduct Handbook
• The organization has implemented an integrity governance
6. Citizen’s Charter
program to instil the values of good governance,
4 7. Minutes of the meetings re reviews on the
professionalism, fairness, accountability, and transparency
Citizen’s Charter
to its personnel.
8. List of conducted seminars re personnel
accountability and transparency
FYs 2016-2017 Customer Feedback
Reports
9. I-Text Mo si Administrator Program
10. Transparency Seal (pvao.mil.ph)
• The organization has a tool that measures not only the

professional approach to performance of the individual but
5
also the other aspects of life to instil the value of good
personal governance.
Additional Notes:
27
II.3.C Governance Sharing
To cultivate the practice of good governance and continuously achieving breakthrough results, best practices in units or even
individuals should be gathered and shared for possible replication. This same principle of sharing the best practices conducted
in the organization could also work externally as it is able to advocate for the culture of performance and meritocracy to the
rest of the bureaucracy, becoming a source of good governance ready to be replicated for the entire country.
- Process map on best practice identification and

sharing within and outside the organization
- Assessment reports or equivalent documenting the
processes identified as best practices
- Supporting documents on results or impact of the best
practices to the organization
- Certification or awards showing standards of best
practices
II.3.C.a Presence of Best Practice Sharing and Advocacy Sharing - Material showing sharing of best practices
Internal and External to the Organization - Documentation showing proof of referrals
- Documentation of meetings with other agencies
Guide Questions: - Minutes of meeting
i. Is there a system to gather, identify, capture, document, - After-session material showing proof of meetings
share and replicate best practices on strategy - IF applicable, proof showing alignment of strategy
implementation or governance within the organization? 5
ii. Is there a system to assess strategy implementation, identify to the strategy of mother agency
points for improvement and create case studies for lessons
learned? 5 *Items rated with 3s
iii. Is there a system to identify, capture and learn from best strategy to successfully pass through hurdles during its
practices gathered outside the organization? 3 journey on the successful implementation of KR 2022
iv. Has the organization initiated best practice sharing with is thoroughly reviewed and assessed during the
Partners also using the PGS? 3 agency’s quarterly division performance reviews
v. Has the organization shared the merits of using performance (attended by Management Committee) and monthly
governance to a wider audience when invited to forums, strategy reviews (attended by Strategy Management
seminars, etc.? 5 Board for KR 2022).
vi. Has the organization initiated an outreach program to
promote governance improvement in those units closely Advocacy sharing of the agency can be seen more
associated with institutional core operations (e.g. an during its Veterans Advocacy Campaigns, the
outreach to the agencies, bureaus and offices attached to agency’s information dissemination campaign of the
them)? 5 agency across the country re current services and
vii. With its story of transformation, has the organization projects for our country’s defenders. Internally, the
inspired and/or assisted other organizations to adopt the agency share its KR 2022 journey experience during
PGS? 5 the personnel’s semestral Orientation/Reorientation on
the agency’s services and operations, facilitated by the
Human Resource Development Division.
Nevertheless, has yet to initiate seminars or other

related activities on sharing its best practices,
particularly outside the office, as it is still learning and
developing its strategy to successfully implementation
of KR 2022.
Rating Sheet for Governance Sharing

28
• The organization does not identify or share best practices on strategy
0
execution and governance internally or externally.
• The organization already has initial data that can be used to evaluate
the performance of units.
1
• Through this data, the organization also has a system that will
evaluate the performance of its entire first-level strategy.
• The organization is able to track units that are doing well but have
not yet looked into the best practices being used by these units.
2 • The organization is able to track institutional early gains in its PGS
implementation, but have not yet looked in to the organization’s best
practices which can be shared.
• The organization already has a plan on how to gather the best

practices found in the other units.
3 • The organization also has a plan to have avenues in which it can
reach out to other institutions to share the advocacy of good
governance.
1. Mass media information
• There are mechanisms to systematically gather and document the dissemination re KR 2022 and its
best practices identified in its strategy implementation. current milestones (print, radio, and
4 • There are avenues available for the organization to reach out to social media)
closely-associated organizations and local communities for best 2. After-Activity Reports in various
practice and advocacy sharing. provinces
3. List of attended seminars and
workshops re journey for KR 2022
• The organization is able to share the best practices found in different

units for replication. By communicating and developing knowledge
sharing internally, the organization can assess its strategy
implementation and identify points for improvement.
5
• There are formal mechanisms to regularly reach out and share its
best practices to other organizations. At the same time, it is able to
contribute its expertise and resources for the progress of the local
community and the country.
Additional Notes:
II. BREAKTHROUGH RESULTS
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.
To become an Island of Good Governance, the organization must produce (1) at least one breakthrough result that has (2) an
impact to its stakeholders.
29
II. 1. A. Presence of Breakthrough Result Below are samples of some indicative documents:
At the minimum, the organization must be able to show the
attainment of at least one commitment in the Islands of Good - Updated copy of the Governance Scorecard, Strategy Map,
Governance initiative or through transformative improvements and Strategic Initiatives or a similar performance
indicated by the organization in its governance scorecard (or a management tool containing the goals of the organization
similar management tool). and its year-to-year accomplishments
- Actual data from baseline to current year
Guide Questions: - Supporting validation reports, presentations, or assessments
i. Is there at least one documented breakthrough result to verify actual data
reflected in the governance scorecard of the organization - Alignment Tree to show contribution of lower level units to
or based on the tracking of its IGG commitments? 5 the enterprise
ii. Are these results directly related or is contributory to the
service that must be provided by the organization, based
on its mandate? 5
iii. Since the implementation of its transformation program,
have there been marked improvements in the
organization’s operations? 5
iv. Was the organization able to implement initiatives or
action plans that are within its direct control in order to
attain its targets for the breakthroughs? 5
v. Were the lower-level units able to achieve unit
breakthroughs that directly contribute to the first-level
strategy? 5
II. 1. B. Impact of the Breakthrough Results to the Stakeholders - Documented reports or stories that show impact of
More than the achievement of targets, it is imperative that the breakthrough results to stakeholders
transformation has been felt by the internal and external - Verified anecdotes from stakeholders and members of the
stakeholders of the organization to show that the improvement on organization
systems, processes, or operations have a positive impact for the
greater good of all.
Guide Questions
i. Are there stories from the ground that indicate the
impact of process improvements or breakthrough results
of the organization? 5
ii. Do these improvements indicate a better organization
for a better Philippines? 5
Rating Sheet for Breakthrough Results

• The organization does not have any breakthrough results.

0 • The organization does not have any breakthrough results
that are felt by its internal or external stakeholders.
• The organization has identified its breakthrough goals and

1 how it will be able to achieve results with a corresponding
strategic plan.
• The organization is getting started on monitoring and

implementing its strategy in order to achieve its
2 breakthrough goals.
• Lower-level units have identified ways in which it can
contribute to the success of the breakthrough goals.
30
• Emerging results seen through the progress of the targets Documentary evidence:
in the scorecard or the project milestones which are Accomplishment Reports
predictive of the organization’s attainment of the • FYs 2016-2017 Program Performance and
breakthrough goals are present. Budget Execution Reports
• There is success found in the lower-level units that are • FYs 2016-2017 Presentations of the
directly or indirectly aligned to the organizational Performance and other Accomplishments
breakthrough goals. of Divisions during its Division
Performance Review
3
2. Performance Commitment Forms
• Divisions Office Performance and
Commitment Reviews
• Individual Performance and Commitment
Reviews
3. Presentations on the Initiatives
Accomplishments during Strategy
Reviews
• The organization has achieved its targets for the year

through the successful implementation of its strategic
4 initiatives and the performance of its lower-level units.
• The breakthrough results can be shown to have impact to
its internal and external stakeholders.
• The organization has been able to achieve breakthrough

results for at least two years, showing a trend of success
brought about by transformational performance across the
5 organization.
• The breakthrough results achieved by the organization are
palpably felt by its internal and external stakeholders
through documented stories of its impact.
Additional Notes:
31

Governance Assessment Tool PGS

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Governance Assessment Tool PGS

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This Governance Assessment Tool looks at the maturity of the Performance Governance System (PGS) elements across the

Essential Elements of the Performance Governance System

1. Validated Breakthrough Results

2.Basic Governance Documents

3.Technical Working Group (TWG)

5. Office for Strategy Management

8. Governance Culture Program

How to Assess Your Organization

(b) Rating Sheet–composed of the following:

0 There is no presence or indication of functionality of the element.

1 There is presence of initial plans to establish the element.

The organization is capable of operationalizing the element, which in turn is seen

I.1. STRATEGY DESIGN (Basic Governance Documents)

Sub-Components of the Element Possible Documentary Evidence

I. 1. A. Charter Statement - Formal document to identify the Vision,

Rating Sheet for Strategy Design (Basic Governance Documents)

• There is no Charter Statement, Strategy Map, Governance

• There is a written document that clearly states the

• These basic governance documents have been communicated

• The Charter Statement, Strategy Map, Governance Scorecard,

• The organization’s basic governance documents provide the

II. GOVERNANCE MECHANISMS

II.2 STRATEGY EXECUTION

II.2.A Technical Working Group

Sub-Components of the Element Possible Documentary Evidence

II.2.A.a Presence of a Technical Working Group

Rating For Technical Working Group (TWG)

• The TWG is able to participate in the initial strategy execution either

• The TWG is able to assist the Office for Strategy Management

I.2 STRATEGY EXECUTION

Sub-Components of the Element Possible Documentary Evidence

II. 2. B. b OSM as scorecard manager

II.2.B.d OSM as alignment manager

• The organization has officially set up an Office for Strategy

• The Office for Strategy Management is seen to be sustainable. There

• Through the continuous operations and strategy reviews, the OSM is

• The OSM is able to track the overall performance of the organization

II.2 STRATEGY EXECUTION

Sub-Components of the Element Possible Documentary Evidence

Rating Sheet for Cascading

• The organization has identified the units who will be directly

• All its operating units have a cascading tool (scorecards,

• Members of the operating units fully understand and pursue

II. 3. A Universalizing Cascading

Sub-Components of the Element Possible Documentary Evidence

II.3.A.a Functional Lower-Level Scorecards or Unit Scorecards

- Performance evaluation tools for individuals (ex.

*Item rated with 1,2, and 3

With the ongoing implementation and review of

• All second-level units in the main office have a functional

• All the units within the organization have functional performance

II.2 STRATEGY EXECUTION

Sub-Components of the Element Possible Documentary Evidence

Rating Sheet for Unit Governance Practices

Rating Rating Description Manifestation/ Evidence

• There are no monitoring, reporting, validating, and

• The organization’s leadership team with its operating units

• The organization holds regular and consistent assessment of

• The organization holds regular and consistent operations

• The organization has a clear and documented alignment tree

II. GOVERNANCE MECHANISMS

II.3 STRATEGY SUSTAINABILITY

II. 3.A Multi-Sector Governance Council (MSGC)