Republic of the Philippines

Department of Public Works and Highways

Strategic Performance Management System (SPMS) User’s Manual

Revision History and Approval

Rev. Nature of Changes Revised by Approved by Date

No.
Table of Contents

I. Introduction 1

1. DPWH Mandate 1

2. Vision 1

3. Mission 1

4. Core Values 2

5. DPWH PGS and OPIF 3

II. Strategic Performance Management System (SPMS) 5

1. What is Performance Management 5

2. Shift to Strategic Performance Management 5

3. Benefits of SPMS 6

4. Key Success Factors for the SPMS 6

5. DPWH SPMS Purpose and Objectives 8

6. Policy Guidelines 8

7. History of SPMS in DPWH 9

8. DPWH SPMS Framework 10

9. Scope of the SPMS 14

10. Key Players and their Roles 14

III. Stages of the DPWH SPMS 22

1. Performance Management Cycle 22

2. SPMS Calendar 24

IV. Stage 1: Performance Planning and Commitment 26

1. Preparing the Workflow and Database Matrices, and Crafting the 26

Performance Success Indicators
2. Filling out the Performance Commitment Forms 38

3. Tips for Performance Planning and Commitment 44

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V. Stage 2: Performance Monitoring and Coaching 47

1. Monitoring Performance 50

2. Tips for Performance Monitoring 53

3. Performance Coaching 57

4. Tips for Performance Coaching 59

VI. Stage 3: Performance Review and Evaluation 61

1. Reviewing, Evaluating, and Rating Performance 62

2. Performance Rating Scale 75

3. Tips for Performance Review and Evaluation 76

VII. Stage 4: Performance Rewarding and Development Planning 79

1. Individual Development Plan 81

2. Tips for Development Planning 86

VIII. Sanctions, Penalties and Appeals 88

1. Appeals 88

2. Sanctions/Penalties 89

IX. Annex 91

1. Annex A: DPWH Scorecard 93

2. Annex B: DPWH Major Final Outputs 94

3. Annex C: Sample Q.E.T. Measures 98

4. Annex D: Workflow Matrix 102

5. Annex E: Database Matrix 103

6. Annex F: Individual Performance Commitment and Review Form 104

7. Annex G: Division/District Performance Commitment and Review 106

Form

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8. Annex H: Office Performance Commitment and Review Form 108

9. Annex I: Daily Performance Monitoring Form 110

10. Annex J: Monthly Performance Monitoring Form 112

11. Annex K: Coaching Journal Form 114

12. Annex L: Coaching Report Form 116

13. Annex M: Summary of Individual Ratings Form 118

14. Annex N: Individual Development Plan 120

15. Annex O: Appeals Forms 123

X. Frequently Asked Questions 125

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Introduction
DPWH Mandate

The Department of Public Works and Highways (DPWH) is one of the three departments of
the government undertaking major infrastructure projects. The DPWH is mandated to
undertake: (a) the planning of infrastructure, such as national roads and bridges, flood
control, water resources projects and other public works, and (b) the design, construction,
and maintenance of national roads and bridges, and major flood control systems.

Vision

By 2030, DPWH is an effective and efficient government agency, improving the life of every
Filipino through quality infrastructure.

Mission

To provide and manage quality infrastructure facilities and services responsive to the needs
of the Filipino people in the pursuit of national development objectives.

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Core Values

1. Public Service: Anticipating and responding to the needs of all the stakeholders and
satisfying their needs through quality effort, DPWH officials and employees shall deliver
the kind of facilities and services that are responsive to the needs of Filipino people.

2. Integrity: Conducting one’s business in a transparent, honest, and ethical manner,

DPWH officials and employees shall maximize the effectiveness of the public’s
resources entrusted to them, practice simple living and have the moral courage to
make tough decisions and to do what is right for the nation. They shall do the right
things the right way.

3. Professionalism: Taking pride in one’s work and committed to the pursuit of the
excellence, DPWH officials and employees shall act competently, ethically, diligently,
with accountability and dignity in their areas of expertise. They shall be given
challenging assignments and training, and promotions shall be based on merit.

4. Excellence: By continuously pursuing the highest quality of work in serving the public,
DPWH officials and employees shall deliver the highest quality results beyond what is
expected and required of them – on time, just-in-time, and all the time.

5. Teamwork: Working together in an environment of trust, fairness, respect,

cooperation and communication, DPWH officials and employees shall focus their efforts
in the attainment of the vision, mission and goals of the Department.

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DPWH PGS and DPIF

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Strategic Performance
Management System
(SPMS)
What is Performance Management

Performance Management is:

1. An Organization-wide process to ensure that:

1.1. Goals are being met in the most efficient and effective manner;

1.2. Employees focus on work efforts towards achieving DPWH’s mandate, vision,
mission, and values.

2. A system utilized to align resources, initiatives, activities and employees to

organizational priorities to deliver the desired tangible results.

3. A systematic approach for continuous and consistent work improvements and individual
growth.

Shift to Strategic Performance Management

Previous appraisal systems used by the Department, such the Management by Objective
and Result Evaluation (MORE), did not clearly establish the link of individual commitments
and performance to the DPWH mandate, vision, mission and Major Final Outputs.

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Benefits of SPMS

The SPMS focuses on total employee development, not just on how well they perform the
job. If implemented correctly, the SPMS can be a source of data that supervisors can use to
enhance the jobs and the competencies of the employee through:

1. Learning and Development

2. Rewards and Recognition
3. Job upgrading
4. Promotions

Key Success Factors for the SPMS

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1. SPMS Champion and Department PMT as the Guiding Team

Senior Management will have the accountability for running the SPMS, keeping it alive
and well. They should model the use of the system from the first to the last Stage.

2. Openness and Acceptance to Change

There must be a change in mind-set from the old Performance Management System to
the new. Sense of urgency has to be created within the Department, in order for them
to meet the 2030 Vision which is for DPWH to be an effective and efficient government
agency, improving the life of every Filipino through quality infrastructure.

3. Continuing Multiple Communication Process

The roll out of the SPMS will be supported by a Change Management and
Communication Plan. Multiple communication vehicles should be used to effectively
communicate the SPMS DPWH-wide.

4. Empowering Leaders and Employees

Accountability will be shared with all levels. Everyone in the organization needs to know
how the objectives will be achieved; allocate accountability across the organization for
each one of the strategic objectives.

Empower everyone to take actions by removing as many barriers to the

implementation of the SPMS.

5. Results-based Performance

The SPMS balances the results and the demonstration of the core competencies of
everyone in the organization. The SPMS is a system that evaluates organization
effectiveness regularly and identifies process improvements. This is done by the
Department PMT.

6. Continuous Organizational Improvement (Process and Person)

The SPMS encourages everyone to have the mind-set to always ask, “How else can I
improve what I am doing? What can I do better today?” Improve the accomplishments
year on year.

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DPWH SPMS Purpose and Objectives

The DPWH SPMS aims to:

1. Ensure that the performance contribution of each employee are geared towards the
attainment of the DPWH vision, mission and strategic performance goals.

2. Improve organizational and individual performance through target setting jointly by the
Head of Office and staff, and supervisors and employees; discussion and agreement of
performance objectives/ targets by supervisor and employee, and continuous
monitoring of performance by supervisor.

3. Provide an effective and objective tool for performance-based personnel actions which
would require the rating for a given period (i.e. promotion, training or scholarship grant
and performance enhanced bonus).

4. Track accomplishments against objectives to determine appropriate, corrective actions

if needed.

5. Provide feedback on employee’s work progress and accomplishments based on clearly

defined goals and objectives.

6. Become a tool for people development.

Policy Guidelines

As stated in Department Order No. 32, s. 2014, the DPWH SPMS has the following policy
guidelines:

1. The DPWH SPMS is an integral part of the human resource management and capacity
development program of the Department.

2. Performance goals and measurements are aligned to national development plans,

agency mandate, vision, mission and strategic priorities, and/or organizational
performance indicator framework. Predetermined standards are integrated into success
indicators as organizational objectives are cascaded down to the operational level.

3. The DPWH SPMS focuses on the Major Final Outputs (MFOs) that contribute to the
realization of the organization’s mandate, vision, mission, strategic priorities, outputs
and outcomes.

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4. Accountabilities and individual roles in the achievement of organizational goals are

clearly defined to facilitate collective goal setting and performance rating. The
individual’s work plan or commitment and rating form is linked to division, unit and
office work plan or commitment and rating form to clearly establish the connection
between organizational and employee performance.

5. The forms for organizational and individual commitments are similar. The Office,
Division, and Individual MFOs and success indicators are aligned to cascade
organizational goals to individual employees and harmonize organizational and staff
performance ratings.

6. Regular monitoring of the performance of offices, divisions, and employees is

important. This needs evaluation mechanisms and tools so that timely and appropriate
steps can be taken towards meeting performance targets and organizational goals.

History of SPMS in DPWH

What has been done so far:

1. The DPWH Strategic Management System was pilot tested for the rating period July –
December 2014 and was strictly implemented effective July 1, 2015.

2. DPWH SPMS was declared approved and functional by the CSC-NCR, effective January
7, 2016.

3. SPMS Orientations were conducted by the Human Resource and Administrative Service
(HRAS) for the Administrative Officers, District Engineers, Section Chiefs and top brass.

4. Workflow and Database Matrices were crafted and submitted to HRAS for review and
approval.

5. Individual, Division/District Engineering Office, and Office Performance Review and

Commitment forms were accomplished for the second semester of 2015.

6. In 2016, DPWH partnered with the Philippine Australian Human Resource and
Organization Development Facility (PAHRODF) to further strengthen the SPMS to
reflect the following outcomes:

6.1. The DPWH SPMS is a complete, functional and effective system that meets the
CSC PRIME-HRM standards.

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6.2. The DPWH SPMS is a tool that measures individual performance as aligned to the
organization’s mandate, vision, and mission.

6.3. The DPWH SPMS, once implemented over time, is an instrument that would
assist supervisors to identify clear-cut outputs of their respective units/offices
through specific success indicators (Quality, Efficiency and Timeliness).

6.4. The culture of performance management and development is reflected and lived
by DPWH leaders and supervisors.

DPWH SPMS Framework

At the top center of the framework, as seen in the succeeding page, is the Vision and
Mission of DPWH.

At the left-hand side is the “What” which refers to results that must be achieved for the
individual, office and organization to succeed. Strategic priorities and goals are broken
down into Organizational outcomes which then are translated into MFOs and objectives,
and individual success indicators. By aligning individual objectives with Organizational
outputs in this way ensures that each individual and unit contributes to organizational
success.

The SPMS focuses on the DPWH Major Final Outputs (MFOs) that contribute to the
realization of the organization’s mandate, vision, mission, strategic priorities and outcomes.
These DPWH MFOs are (1) National Road Network Services, (2) Flood Management
Services and (3) Construction & Maintenance Services of other Infrastructure. The list of
DPWH Major Final Outputs can be found in Annex B.

Major Final Outputs (MFO): refer to the goods and services

that the DPWH is mandated to deliver to external clients
through implementation of its programs, project and activities.
It may be single output or group of outputs that are similar in
nature, targeted at the same organizational sector outcome
and/or being summarized by a common performance indicator.

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At the right-hand side, referred to by the “How”, are the core values of DPWH and the
competencies needed for individuals do their jobs. If individuals and units possess required
competencies and demonstrate values consistent with strategic goals, the organizational
vision will be realized.

The SPMS is being prepared to include competencies because:

1. Competencies help achieve results.

2. Competencies support and influence the DPWH’s culture and values.

3. For DPWH, competencies will be used for development purposes.

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HOW
VISION & MISSION

PERFORMANCE
INDIVIDUAL
EMPLOYEE
DPWH SPMS Framework:

WHAT

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Sample linkage of DPWH Societal Goal to the Office/Division/Individual Goals and

Objectives:

Societal Goal
Rapid, inclusive & sustained economic growth, integrity of the environment and climate
change mitigation and adaption

Sectoral Goals / Outcomes

1. Access to markets and production areas, and physical integration of the country
2. Safe environment through infrastructure facilities

Organizational Outcomes
1. Safe, fast, economical and reliable inter-regional and inter-urban mobility of
people, goods, and services
2. Lives and properties protected against major floods and other disasters.
3. Living condition of population enhanced through other public infrastructure

Major Final Outputs

National Road Network Services

Major Activities per MFO

1. Asset Preservation of National Roads
2. Network Development
3. Road Upgrading based on Gravel Road Strategies, Traffic Benchmarking for
Upgrading to Paved Roads Standards
4. Construction and maintenance of Bridges along National Roads

Office/Division/Individual Performance Goals and Objectives

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Scope of the SPMS

The SPMS shall apply to:

1. Third level positions;

1.1. The performance targets reflected in the OPCR are used to establish final outputs
of individual employees in the organizational unit, but will not be considered in
deriving performance rating in SPMS.

1.2. Managerial competencies are evaluated consistent with CESB requirements.

2. Division Chiefs, Assistant Division Chiefs, District Engineers, Assistant District

Engineers;

3. Staff: Technical and Non-Technical;

4. Job Orders, in the evaluation of their performance when renewing the Contract of
Services.

Key Players and their Roles

1. SPMS Champions

1.1. The Secretary of DPWH has the following responsibilities:

 Together with the Department PMT and Office PMT, the DPWH Secretary is
responsible and accountable for the establishment and implementation of the
SPMS.

 Sets Department performance goals/objectives and performance measures.

 Determines Department target setting period.

 Approves Office (Bureau, Service, UPMO, Regional Offices) performance

commitment and rating.

 Assesses performance of Offices in the Department.

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1.2. The Undersecretaries, Assistant Secretaries, and Heads of Office have the
following responsibilities:

 Promote a culture of excellent performance in their Office/unit through the

proper execution of the 4 Stages of the SPMS.

 Facilitate the implementation of coaching and mentoring interventions.

2. Performance Management Teams

Key responsibilities of the PMT:

 Reviews the Performance Commitment and Review Forms to ensure alignment with
the Department strategic goals and objectives before recommending for approval.

 Acts as an appeal body and final arbiter for performance management issues of
DPWH and other issues arising from the implementation of SPMS, including
concerns on performance-based incentive system of this Department pursuant to
E.O. No. 80, dated 20 July 2012; and

 Ensures adherence to the guidelines of the SPMS.

There are two groups of PMT in DPWH:

2.1. Department PMT

Chairperson: Undersecretary for Support Services

Vice-Chairperson: Undersecretary for Technical Services
Members: Assistant Secretary for Support Services
Assistant Secretary for Operations
Director, Planning Service
Director, Human Resource and Administrative Service
Director, Finance Service
Director, Information Management Service
Director, Stakeholders Relations Service
Regional Director
UPMO Cluster Director
Representative, DPWH-CO Employees Association

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2.2. Office PMT

2.2.1. Bureaus

Chairperson: Bureau Director

Members: Assistant Bureau Director
All Division Chiefs
Administrative Officer
Bureau Representative, DPWH-CO Employees Association

2.2.2. Services

Chairperson: Service Director

Members: All Division Chiefs
Service Representative, DPWH-CO Employees Association

2.2.3. Regional Offices

Chairperson: Regional Director

Members: Assistant Regional Director

All Division Chiefs

Two (2) District Engineers to be identified by the
Regional Director
President, DPWH-RO Employees Association

2.2.4. UPMO

Chairperson: Cluster Project Director

Members: Assistant Project Director
Division Chief (Engineer V)
Administrative Officer
UPMO Representative, DPWH-CO Employees Association

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2.2.5. District Engineering Offices

Chairperson: District Engineer

Members Assistant District Engineer
All Section Chiefs
Representative, DPWH-DEO Employees Association

3. Planning Office/Corporate Planning and Management Division

The Planning Office/Corporate Planning and Management Division will:

 Monitor submission of Office Performance Commitment and Review Form and

scheduling of the review/evaluation by the PMT.

 Consolidate, review, validate and evaluate the initial performance assessment

based on accomplishments reported against success indicators, and budget against
actual expenses.

 Conduct an Agency Performance Planning and Review Conference annually.

4. Human Resource Management Offices

The Human Resource Management Division (HRMD), Human Resource and

Administrative Service (HRAS), DPWH Central Office, the Administrative Division of the
Regional Offices and Administrative Section in the District Engineering Offices will:

 Have the overall responsibility in overseeing the administration of the SPMS and
the custody of performance rating reports.

 Provide staff assistance to supervisors and initiate and/or coordinate training for
Raters and Ratees to ensure effective implementation of the System.

 Monitor submission of the Performance Commitment and Review Forms.

 Provide analytical data on retention, skill/competency gaps and talent development

plan.

 Coordinate developmental interventions that will form part of the HR Plan.

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5. Raters

Each Raters will:

 Discuss the Department strategic goals and Office objectives and measures with
the Ratees under their supervision.

 Ensures that office performance targets and measures, as well as budget are
aligned with those of the Agency and that work distribution of Offices/Divisions is
rationalized.

 Monitor closely the status of performance of subordinates.

 Provide feedback and corrective actions when a lapse in the Ratee’s performance is
observed.

 Assess Ratee’s performance.

 Discuss the results of the performance rating with the Ratee.

 Recommend individual developmental interventions.

6. Ratees

Each individual Ratee will:

 Act as partners of management and co-employees in meeting organizational

performance goals.

 Set targets collaboratively with Immediate Supervisors, and submit the

Performance Commitment and Review form aligned with strategic objectives and
Major Final Outputs.

 Achieve set targets.

 Provide inputs to their own individual development plans.

 Initiate tracking of their respective signed IPCR by approaching their supervisors

within one week after their submission.

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7. SPMS Resource Persons

The Resource Persons will:

 Be the subject experts of the DPWH SPMS.

 Assist in the implementation and cascade of the SPMS in their respective offices.

 Act as help desk in the clarification, information and explanation of the SPMS
process.

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 Table of Raters and Ratees:

Approving Authority
Ratee Office (Stage 1)

Undersecretary DPWH Secretary

Title: SPMS User’s Manual

Assistant Secretary

Bureau / Service Director / UPMO

Cluster Director Central Office

OPCR
Bureau Assistant Director Undersecretary (Usec)

Strategic Performance Management System

Process Owner: HRAS
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

Regional Director
Regional Office
Assistant Regional Director

Bureau / Service Bureau / Service Director

Rev. No. 0

Division Chiefs,
Assistant Division Chiefs UPMO Cluster UPMO Cluster Director

Regional Offices

DPCR
Regional Director
District Engineers,
Doc. No. DPWH-SPMS-MANUAL

District Engineering Offices

Assistant District Engineers
Page:

Central Office
Eff. Date:

Bureau / Service / Regional Director

Section Chief and positions below
Regional Offices
Section Chief

IPCR
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District Engineering Offices District Engineer

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 Raters (Stage 3)
Ratee Office Initial Rater Final Rater

Undersecretary N/A
DPWH Secretary

SPMS User’s Manual

Assistant Secretary Undersecretary (Usec)
Bureau / Service Director /
UPMO Cluster Director
Title: SPMS User’s Manual

Central Office

OPCR
Bureau Assistant Director
Assistant Secretary Undersecretary
Regional Director
Regional Office
Assistant Regional Director
Process Owner: HRAS

Bureau / Service Bureau / Service Director Assistant Secretary

DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

Division Chiefs,
Assistant Division Chiefs UPMO Cluster UPMO Cluster Director Undersecretary

Regional Offices

DPCR
Rev. No. 0

Assistant Regional
Regional Director
District Engineers, District Engineering Director
Assistant District Engineers Offices

Central Office Bureau / Service / Regional

Doc. No. DPWH-SPMS-MANUAL

Division Chief
Director
Regional Offices
Section Chief
District Engineering
Page:

Assistant District Engineer District Engineer

Offices
Eff. Date:

IPCR
Central Office
21 of 142

Division Chief
Regional Offices
Positions below Section Chief Section Chief
District Engineering
District Engineer
Offices

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Stages of the DPWH SPMS

Performance Management Cycle

The DPWH SPMS follows the four-stage Performance Management Cycle:

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Stage 1: Performance Planning and Commitment

This stage is done at the start of the performance period where the Head of Offices meet
with the supervisors and staff and agree on the outputs that should be accomplished based
on the goals and objectives of the Department/Office. During this stage, success indicators
are determined and targets are set.

Stage 2: Performance Monitoring and Coaching

Performance Monitoring and Coaching is done throughout the performance management

period. This stage involves continuous tracking and documentation of the individual
employee’s or team’s performance and progress towards accomplishment of objectives.

Stage 3: Performance Review and Evaluation

Done at the end of the performance period, this stage aims to assess both individual
employee and Office performance levels based on the performance targets and measures
agreed during Stage 1.

Stage 4: Performance Rewarding and Development Planning

The results of the individual and Office Performance Evaluation shall be a base for rewards
and individual development planning.

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Next
Year

Jan

Dec

Nov

Second Semester
Oct

Sep

Aug
Current Year

Jul

Jun

May

First Semester
Apr

Mar

Feb

Jan

Dec
Previous
Year

Nov
SPMS Calendar

Oct
Rewarding and
and Coaching

Development
Planning and
Commitment
Operational

Review and
Monitoring

Evaluation
Strategic/

Planning

Planning
DPWH

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Prior to Stage 1, the Planning Office/Corporate Planning and Management Division initiates
an overall review and setting of Department MFOs, strategic directions, goals and priorities
for the succeeding year. This involves the review of the DPWH Strategic Roadmap and
plans to ensure that the organizational outcome, outputs and goals are aligned with
government priorities.

The identified strategic directions and priorities for the succeeding year are cascaded down
to the Division and Individual levels. This cascading process ensures that targeted
organizational results are translated from Office to Division to Individual performance goals
and objectives with the aim of ensuring alignment and synergy in performing the mandate
of the Department.

Sample cascade of Office Performance Targets to Individual Staff for the Technical
Services:

Office Performance
Targets and Outputs

Division Performance
Targets and Outputs

Individual
Performance Targets
and Outputs

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Stage 1:
Performance Planning and
Commitment
With the strategic directions, priorities, and final outputs for the year in place, the process
of performance management begins with Performance Planning and Commitment.

Head of Offices meet with the supervisors and staff and agree on the outputs that should
be accomplished based on the goals and objectives of the Department/Office. During this
stage, success indicators are determined and targets are set. The Rater and the Ratee
work together to identify, understand, and agree on what the employee is to be doing, how
it needs to be done, when, and why.

Stage 1 has two important components:

1. Preparing the Workflow and Database Matrices, which includes crafting Performance
Success Indicators

2. Filling out the Performance Commitment and Review Forms

Preparing the Workflow and Database Matrices, which includes crafting

Performance Success Indicators

Once the strategic directions and priorities have been cascaded down to each office, the
Division Chiefs and Section Chiefs can now prepare the Workflow Matrix, Database Matrix,
and identify the Performance Success Indicators. This is done at the last quarter of the
preceding year, during the Strategic/Operational Planning session.

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Flowchart 1. Preparing the Workflow Matrix:

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Preparing the Workflow Matrix (WM)

Purpose:

1. To identify the step-by-step process of the Final Output of each Division/Section.

2. To determine the person/s responsible and the standard measurement for each
activity.

3. To aid the supervisor in determining the distribution of work/activities among the

employees under their supervision.

Positions involved:

1. Division Chief

2. Section Chief

3. Staff

Process:

1. The Division Chief and Section Chief identify the final outputs of the each Division/
Section based on the mandate of the Office and the approved strategic plan.

2. The Division Chief and Section Chief list all the action steps or workflow activities
required in order to produce each final output in the “Activity” column.

3. The Division Chief and Section Chief identify the specific individual/group responsible
for each action step in the “Person/s Responsible” column.

4. The Division Chief and Section Chief determine the minimum standard of performance
using Quality, Efficiency, and Timeliness (Q.E.T.) for each activity. This guides the
employee responsible on the level of performance that is expected for each activity.

5. The Division Chief and/or Section Chief discuss the identified Q.E.T. standards with the
employee/group involved for each activity to verify feasibility and ensure commitment.

6. The Division Chief and/or Section Chief collect, collate, and forward the accomplished
and complete WMs to the Head of Office for review and approval.

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Q.E.T Standard measurements are described as:

Examples of
Dimension Description
Standards
Quality  Refers to the accuracy of the output, or the Minor error
number of rework or revisions made per activity
 The extent to which actual performance compares Minor deficiency
with targeted performance. (Actual vs. Planned)
 How well, in what manner should the output be
accomplished
Efficiency  The extent to which time or effort is well used for 100%-114%
the intended task or purpose. Ability to accomplish acted upon
a job with a minimum amount or quantity of
waste, expense, or unnecessary effort. (Number of Less than 50%
Appointments Acted Upon/ Appointments acted upon
Received)
 Measures the amount of performance in terms of
numbers, percentage or ratio
 How many of the output should be accomplished
Timeliness  Measures whether deliverables were done on time On given
based on the agreed or established timeliness schedule
(requirements of the law and/or clients/
stakeholders) 49 seconds to 1
 When, how long or how soon should the output be minute
accomplished
1 hour

3 working days

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Sample Workflow Matrix (WM):

Person
Output Activity Quality Efficiency Timeliness
Responsible

Prepare
Juana Dela 80%-
Contractor's Minor Error 2 hours
Cruz 89.99%
Clearance
Contractor’s
Clearance Review/Sign
Andrew 80%-
Contractor's N/A 15 minutes
Garcia 89.99%
Clearance

Standard Q.E.T.

Note:

1. Not all activities need complete Q.E.T. Standards, there

should be at least 2 measures per activity

2. Timeliness standards help supervisors distribute workload

and ensure that the workload can be done on time.

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Flowchart 2. Preparing the Database Matrix:

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Preparing the Database Matrix (DM)

Purpose:

1. To serve as a source of input for the Success Indicators in the Performance

Commitment and Review forms.

2. To serve as a basis for rating the performance of the employee.

Positions involved:

1. Division Chief

2. Section Chief

3. Staff

Process:

1. The Division Chief and Section Chief fill out the “Output” column based on the final
outputs identified in the WM.

2. The Division Chief and Section Chief formulate performance success indicators using
the Q.E.T Standards identified for each activity in the WM, and place them in the
appropriate column in the Database Matrix (DM). This is done by following the
sentence pattern:

Output (noun) + Action (verb, past tense) + Q.E.T Standards

A success indicator should incorporate any one, combination of, or all of the three
dimensions.

Examples of success indicators include:

 10 kms. of concrete roads completed in accordance with DPWH specifications and
standards EO 1st semester

 5 kms. of concrete road from Km2 to Km7 in Sariaya, Quezon Province completed
in accordance with DPWH specifications in 6 months or from February 1 to August
31, 2016.

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3. The success indicators for each output are placed under the second column of the
Database Matrix, and the Q.E.T Standard measures established in WM are placed under
the “Satisfactory (3)” column (except for 5/1 type of gradation or for Fixed Targets).

4. The Division Chief and Section Chief then calibrate the Q.E.T. standard measures and
reflect them under the remaining “Performance Rating” columns (Outstanding, Very
Satisfactory, Unsatisfactory and Poor). The calibrated Q.E.T. will be used in the
evaluation of the actual accomplishment of performance targets and giving of
performance rating at the end of the rating period.

5. The Division’s or Section’s operational definition of the calibrated Q.E.T. standards

should be attached to the Database Matrix. Please refer to Annex C for a sample of the
operational definition of Q.E.T standards.

6. The Division Chief, Section Chief, and the employee/group involved agree on the due
dates of each activity by indicating the exact period when the output must be
completed (days, weeks or months). This may not be filled out for performance targets
that can be done immediately or those activities that can be completed/accomplished in
minutes, hours, within the day or within the week.

7. The Division Chief and Section Chief discuss the calibrated Q.E.T. standards with the
employee/group involved to secure commitment.

8. The Division Chief and Section Chief forward the accomplished and complete DM to the
Head of Office for review and approval.

When calibrating Q.E.T. standards:

1. Numerical Ratings for Q.E.T. must be whole numbers only.

2. Quality standards for some Success Indicators may follow a 5/1 Rating (Outstanding or
Poor rating)

Example:

Checks for funds prepared with no error in 7 minutes after receipt of Disbursement
Voucher.

Quality is either 5 (Outstanding) – No Error or 1 (Poor) – With error

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3. For Efficiency standards, rating may depend on the nature of the output or target:

3.1. Fixed Targets – these are targets that cannot be exceeded; “as they come”
targets. These targets involve transactional activities or critical and mandated
outputs, such as governmental requirements and non-negotiable reports. The
Efficiency standard measures for these targets are placed under the
“Outstanding” or “5” column but are written as “100%” in the Success Indicator.
Calibration for Fixed Targets, particularly for critical and mandated outputs, may
follow a 5-2-1 rating where anything below 100% will immediately be considered
“Unsatisfactory” or “2”, since non-submission or non-accomplishment of the said
outputs indicates violation to an issued policy or order.

Example:

Recorded incoming documents

The exact number of incoming documents cannot be determined during Stage 1.

3.2. Quota-based Targets – the targets set during Stage 1 that can be exceeded over
the course of the performance period. The Efficiency standard measures for
Quota-based targets are placed under the “Satisfactory” or “3” column and are
written as “100%” in the Success Indicator. These targets can be calibrated to
130% for “Outstanding” efficiency rating.

Example:

Project implementation

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Note:

1. The WM and DM will cover all mandated/core and support

functions of each Division/Section.

1.1. Mandated/core functions are found in

Organizational Charts of Offices and in the Position
Description Forms (PDF) of employees.

1.2. Support functions are not included in the regular

duties and responsibilities of employee but are
assigned in addition to their mandated/core functions
(e.g. membership in committees, special projects,
inclusion in pool of trainers, etc.)

2. The Office of the Secretary/Undersecretary/Assistant

Secretary/ Director will have its own WM and DM.

3. In the Bureaus where there is an Assistant Bureau Director,

the WM and DM of the Bureau Director will include the
Office of the Bureau Assistant Director.

SPMS User’s Manual Stage 1: Performance Planning and Commitment

 Sample Database Matrix for Fixed Targets:

Performance Rating

Success Due Date Very

Output Outstanding Satisfactory Unsatisfactory Poor
Indicator (Timelines) Satisfactory
(5) (3) (2) (1)
(4)
Title: SPMS User’s Manual

Major
Q No error Minor error
100% error
Contractor's
Clearance Below
prepared E 100% 90-99.99% 80-89.99% 70-79.99%
70%
with minor
error in 1
Process Owner: HRAS

1 hour 30 2 hours 30 Beyond 3

Stage 1: Performance Planning and Commitment

day T 1 hour 2 hours
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

min. min. hours

Contractor’s
Clearance Q n/a n/a n/a n/a n/a
100%
Rev. No. 0

Contractor's Below
Clearance E 100% 90-99.99% 80-89.99% 70-79.99%
70%
reviewed
and signed
in 45 Beyond
minutes T 10 minutes 12 minutes 15 minutes 18 minutes 20
Doc. No. DPWH-SPMS-MANUAL

upon receipt minutes

Page:
Eff. Date:

Standard
Calibrated Q.E.T. Measures
36 of 142

SPMS User’s Manual

 Sample Database Matrix for Quota-based Targets:

Performance Rating

Success Due Date

Output Very

SPMS User’s Manual

Indicator (Timelines) Outstanding Unsatisfactory Poor
Satisfactory Satisfactory (3)
(5) (2) (1)
(4)
Title: SPMS User’s Manual

Not in
Completed in
accordance
accordance to
40% of 100 with DPWH
Q DPWH
km road standards
standards and
network and
specifications
specifications
Process Owner: HRAS

completed in
Completed
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

accordance to
Road Project
DPWH
standards and
specifications E 130% 115-129.99% 100-114% 51-99.99% Below 50%
Rev. No. 0

in 60 days.

Less than 50 More than 70

T 50-59 days 60 days 61-70 days
days days
Doc. No. DPWH-SPMS-MANUAL

Standard

Calibrated Q.E.T. Measures

Page:
Eff. Date:

37 of 142

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Flowchart 3. Stage 1 – Office Performance Commitment and Review Form
Filling out the Performance Commitment and Review Forms

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Office Performance Commitment and Review Form (OPCR) – SPMS

Form No. 3

The OPCR is a planning and evaluation tool to be used by all Third level Official in
indicating their individual performance commitment and targets of their respective Office.
The final outputs, success indicators, and the Division/individual/s responsible that were
identified in the approved WM and DM are summarized in the OPCR.

Positions involved:

Ratees Approving Authority

Undersecretary DPWH Secretary
Assistant Secretary
Bureau/Service/UPMO Cluster/Regional
Directors Undersecretary
Bureau/Service/UPMO Cluster/Regional
Assistant Directors

Process:

1. The Undersecretary, Assistant Secretary and Head of Office, as Ratees, fill out the
“Output,” “Success Indicator” and “Division Accountable” columns at the beginning of
the year, based on the WM and DM of each Division / Section.

2. The Ratees indicate the detailed budget requirements/allocation per activity in the third
column. The allotted budget will not include those under the General Appropriations Act
(GAA).

3. The Ratees submit the OPCR to the Approving Authority for approval of the
commitment.

4. The Approving Authority forwards the approved OPCR to the Planning Office/ Office of
Strategic Management.

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Flowchart 4. Stage 1 – Division/District Performance Commitment and Review Form

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Division/District Performance Commitment and Review Form

(DPCR) – SPMS Form No. 2

Based on the approved outputs of the Office, the Division Chiefs/District Engineers develop
their performance commitments and fill out the Division Performance Commitment and
Review Form (DPCR) at the beginning of each performance planning period.

Positions involved:

Approving
Ratees Office
Authority
Bureau / Service Bureau / Service Directors
Division Chiefs,
UPMO Cluster UPMO Cluster Director
Assistant Division Chiefs
Regional Offices
Regional Director
District Engineers,
District Engineering Offices
Assistant District Engineers

Process:

1. The Ratee fills out the “Output” and “Success Indicator” columns at the start of each
planning period (January and July) based on the WM and DM.

2. The Ratee lists the “Person/Group Accountable” and the “Allotted Budget” for each
output/activity in the appropriate columns.

3. The Ratee signs the DPCR at the top-right hand corner of the form, then submits the
DPCR to the Approving Authority for review and approval.

4. The Approving Authority forwards the approved and signed DPCR to the appropriate
Administrative Officer within two weeks from submission.

5. The Administrative Officer forwards copies of the DPCR to the Initial Rater and Ratee
for monitoring purposes, and retains the original DPCR for safekeeping until the start of
the rating period (June and December).

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Flowchart 5. Stage 1 – Individual Performance Commitment and Review

Form

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Individual Performance Commitment and Review Form (IPCR) –

SPMS Form No. 1

Based on the approved outputs of the Division/District Engineering Offices, the Section
Chiefs and individual employees develop their performance commitments. These individual
performance commitments are reflected in the Individual Performance Commitment and
Review Form (IPCR) at the beginning of each performance planning period.

Positions involved:

Ratees Office Approving Authority

Central Office Bureau/Service/UPMO/
Section Chiefs and positions Regional Office Regional Director
below Section Chief
District Engineering Office District Engineer

Process:

1. Raters and Ratees must conduct a planning meeting to jointly establish and agree
upon individual performance commitments based on the approved outputs and targets
of the Division/District Engineering Offices reflected in the DM.

2. The Ratee fills out the “Output” and “Success Indicator” columns at the start of each
planning period (January and July).

3. The Ratee signs the IPCR at the top-right hand corner of the form, then submits the
IPCR to the Approving Authority for review and approval.

4. The Approving Authority forwards the approved and signed IPCR to the appropriate
Administrative Officer within two weeks from submission.

5. The Administrative Officer forwards copies of the IPCR to the Initial Rater and Ratee
for monitoring purposes, and retains the original IPCR for safekeeping until the start of
the rating period (June and December).

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Note:

In Modifying the Performance Commitment and Review

Forms

If there is a need to adjust the performance targets, employees

must accomplish a new DPCR or IPCR and label it as “amended” to
document any change in the performance targets. Amended IPCR/
DPCR will be subject for approval of the Office PMT. The previous
IPCR/DPCR must be attached to the amended IPCR/DPCR.

Tips for Performance Planning and Commitment

Identifying Outputs

1. Identify your targets/responsibilities by answering the following question: what major

results/outputs am I responsible for delivering?

2. Always remember that Outputs have the following characteristics:

2.1. Tangible

2.2. Described in 3-5 words

2.3. Within your duties and responsibilities

2.4. Support your Departmental goals/Organizational unit

2.5. Identical for jobs that are similar

2.6. Does not change unless your job changes

Crafting Success Indicators (Targets + Measures)

1. Success Indicators incorporate any one, combination of, or all three of the Q.E.T.
Standards, and is written following the sentence pattern:

Output (noun) + Action (verb, past tense) + Q.E.T Standards

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2. For outputs with no definite number (e.g. outputs that rely on other divisions/offices or
external factors outside of your control), use percentage.

Example: 100% of complaints received acted upon

3. Clearly written, specific success indicators:

3.1. Give the employee clear accountability. They will know what is expected of them.
During the year, they will know how their results/accomplishments measure up
to those expectations.

3.2. Enable employees to easily track and document performance better. Help to
ensure that jobs are rewarding, value-adding and manageable.

4. A success Indicator should be written using the S.M.A.R.T. criteria:

4.1. Specific: It should clearly indicate what should be achieved within the scope of
the job. Well written indicators are stated in specific terms to avoid confusion
about what is to occur or what is to improve.

Example: 5 kms of concrete road from Km2 to Km7 in Sariaya, Quezon Province
completed in accordance with DPWH specification in 6 months or from February
1 to August 31, 2017.

4.2. Measurable: It should be quantifiable or verifiable; defines quality, efficiency or

timeliness (Q.E.T.). It is important to define measurements that enable progress
to be determined and results to be measured.

Example: 5 kms of concrete road from Km2 to Km7 in Sariaya, Quezon Province
completed in accordance with DPWH specification in 6 months or from February
1 to August 31, 2017.

4.3. Achievable/Attainable: It should be realistic; something the person can

influence to affect change or ensure results. It should be challenging yet
attainable, something the person can influence to effect, change or ensure
results

Example: 5 kms of concrete road from Km2 to Km7 in Sariaya, Quezon Province
completed in accordance with DPWH specification in 6 months or from February
1 to August 31, 2017.

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4.4. Results-Oriented/Relevant: Focused on the realization of Departmental

goals and outcomes; aligned with the directions of the Office.

Example: 5 kms of concrete road from Km2 to Km7 in Sariaya, Quezon Province
completed in accordance with DPWH specification in 6 months or from February
1 to August 31, 2017. (A major part of the Agency’s Mandate)

4.5. Time bound: Success indicators must be time bound.

Example: Respond to all correspondences one week after receipt;

5 kms. of concrete road from Km2 to Km7 in Sariaya, Quezon Province

completed in accordance with DPWH specifications in 6 months or from
February 1 to August 31, 2016.

Steps in Reaching Agreement during Planning Meetings

1. Rater discusses the following with the Ratee:

1.1. SPMS Objectives

1.2. The overall goals of the organization as a review

1.3. How the office/unit contributes to those goals

1.4. How the employee individually contribute to the office/unit’s goals (individual
performance objectives) – roles, responsibilities, accountabilities, performance
indicators for each output, competencies

1.5. Performance Rating Scale (Q.E.T. Standards)

2. Agree on skills, resources and procedures in attaining the objective

3. Check for understanding and commitment

4. Build confidence in employee’s ability to achieve the goals

5. Recap and set a follow-up date for clarifications and progress review.

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Stage 2:
Performance Monitoring and
Coaching
Performance Monitoring and Coaching is the core of the SPMS. This is done regularly
throughout the year by the Undersecretaries, Assistant Secretaries, Directors, Division
Heads, Section Heads, HRAS Section and staff. The focus is on creating an enabling
environment to improve and reinforce individual and team performance and develop
individual potentials.

Performance Monitoring and Coaching is not a one-time event, but a continuing process
that tracks both the performance gaps and the effectiveness of corrected actions taken to
address these gaps. Once feedback has been given and corrective actions committed to,
the Supervisor/Rater must continue to monitor the employee and/or team to ensure that
the gaps in performance are properly addressed.

Supervisors/Raters, as coaches, play a critical role at this stage.

Stage 2 has two components:

1. Monitoring Performance

2. Performance Coaching

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Flowchart 6. Stage 2 – Performance Monitoring

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Monitoring Performance

Monitoring is the act of consistently observing outputs for the purpose of measuring
performance. It involves keeping track of and documenting the output and behaviors of
employees, and checking the progress of committed performance plans.

Performance Monitoring is important because it:

1. Is a key input to performance measures. “What gets measured gets done;”

2. Facilitates feedback;

3. Clearly defines opportunities for improvement;

4. Provides evidence;

5. Provides objective basis of the rating.

Performance targets as reflected in DPCR and IPCR are continuously monitored to track
progress.

At the individual level, monitoring is a continuing process that is managed by the

Immediate Supervisor or Rater. The Immediate Supervisor/Rater (Undersecretary, Assistant
Secretary, Director, Division Chief, and Section Chief) monitors accomplishment of
performance targets and demonstration of identified competencies by:

1. Observing subordinates perform their tasks;

2. Reviewing reports, documents and other outputs for Quality, Efficiency and Timeliness;

3. Tracking and accessing progress of assigned projects/activities;

4. Observing how subordinates relate with employees of other Offices, Divisions, sections,
internal and external stakeholders;

5. Observing level of responsiveness to and soliciting feedback from internal & external
stakeholders.

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Depending on the nature and scope of the work, Immediate Supervisors can monitor the
individual employee’s progress and performance at a daily, weekly or bi-monthly basis.
Each employee is also encourage to have their own monitoring mechanism like the use of
quadrants, journal, etc.

There are two types of Monitoring Forms prescribed:

Daily Performance Monitoring Form – SPMS Form No. 4

Depending on the nature and scope of work of the employees (i.e. transactional activities),
the Daily Performance Monitoring Form can be used on a daily, weekly or bi-monthly basis
by Immediate Supervisor/Rater to track assignments and documents routed to officials/
employees concerned.

Process:

1. The Immediate Supervisor/Rater and/or the individual employee/Ratee fill out the
following:

1.1 Task ID No.: the control number of the document based on the Office recording
system.

1.2. Subject/Signatory: the subject of the document and the name of the signatory of
the document received.

1.3. Action Officer: the official/employee to whom the document was routed for
appropriate action.

1.4. Date Assigned: date when the document was routed/given to the action officer.

1.5. Date Accomplished: date when the appropriate correspondence report/position

paper/documentary requirement/action required was completed and submitted to
the superior official/Immediate Supervisor for approval/appropriate action.

1.6. Status of Assigned Task: status of the assigned task or final action taken on the
document/task, i.e. not yet submitted with 2 days delay, submitted on due date
but returned for revision, submitted on due date with incomplete supporting
documents, submitted on due date, etc.

1.7. Remarks: any observation on the status of completed assigned tasks.

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Monthly Performance Monitoring Form – SPMS Form No. 5

This form is used by Immediate Supervisor/Rater to summarize the daily/weekly activities

of employees handling transactional/routinary tasks and the monthly accomplishments of
employees who handle/are assigned project-based activities, based on the approved DPCR
and IPCR.

Process:

1. The Immediate Supervisor/Rater and/or the individual employee/Ratee fill out the
following:

1.1. Tasks: the target activities to be done as reflected in the column of Success
Indicator in the DPCR and IPCR.

Example:

Success Indicator: 10 drafts of responses to queries prepared 2 days upon

receipt.

The task to be done is prepare drafts of responses to queries.

1.2. Assigned to: the official/employee to whom the tasks are assigned.

1.3. Duration: target date of accomplishment of the tasks assigned. This can be seen
in the Success Indicator reflected in the DPCR and IPCR.

In the sample Success Indicator, the duration of the task is 2 days.

1.4. Remarks: the Immediate Supervisor/Rater indicates the observable deviation –

whether exceeded or did not meet performance targets. If no deviation is
observed, indicate the actual performance.

Example:

Remarks: 10 drafts in 1 day or 8 drafts in 2 days; or No deviation in efficiency

time.
Quality: with minor errors in grammar

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2. At the end of month, the Rater meets with the Ratee and discusses the
accomplishments of the Ratee.

3. The Rater keeps the Monthly Performance Monitoring form of the Ratee as reference
for Stage 3: Performance Review and Evaluation.

Tips for Performance Monitoring

How to monitor performance

MEASURES MONITORING MECHANISMS

Achievement of objectives or deliverables Reports – status, accomplishments

Output vs. input; daily output report;

Productivity
documented data and incidences

Cost Management Budget variance

Complaints received; commendations
Employee relations
received

Some tips for tracking and documenting:

1. Make sure you focus on outputs/targets and competencies that are important to
success.

2. Compare actual performance with expectations.

3. Show where Ratees are making progress and where improvements can be made.

4. See patterns and trends in performance so that plan can be adjusted as necessary.

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Common Tracking Sources:

1. Reports

2. Surveys

3. Informal interview data

4. Evaluations

5. Quality specifications

6. Time logs

7. Complaint logs

8. Manager observation

9. Audit results

10. Certificates of completion

Note:

A good tracking source verifies results. If a tracking source doesn’t

exist for your objective, you have to create one.

Two Important Ways to track Success Indicators

1. Feedback from others (Team members, co-workers, and the manager)

1.1. When looking for feedback, ask people who:

1.1.1. Have the opportunity to observe the employee;

1.1.2. Are familiar with competencies and understand them;

1.1.3. Will be honest;

1.1.4. Want the employee to be successful.

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2. Self-reporting

2.1. Who has better or more frequent opportunity to observe the person in action
than the person himself?

2.2. The key to successful self-reporting is taking the time to (briefly but honestly)
asses and document how one has performed in the key actions, and plan hoe to
improve.

2.3. Ask the people around you for feedback.

Reducing subjectivity

1. Establish clear and specific basis for assessment

2. Keep track of outcomes

3. Logging critical incidents (STAR approach)

4. Feedback from internal clients and team members

Critical Incidents

1. Critical incidents are an effective substitute in the absence of quantifiable data, and
observed evidence of desired attribute or trait.

2. It is always good to document Critical Incidents, both positive and negative.

3. Throughout the year, managers and employees do a lot of value-adding activities but
fail to capture them.

4. Usually these are outside the usual functions of the employee.

5. On the other hand, we also see a lot of underperformance in the organization. If we

don’t capture these incidents, it will be difficult to resolve issues like underperformance.

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STAR Approach

Critical incidents are noted down in the STAR format, which uses the following questions as
a guide:

What situation/tasks or event required a response? Or

S/T
What was the task that the employee needed to accomplish?
What the employee do or say to respond to the situation?

A What action did the employee take?

What needed action was not taken?

What happened as a result or consequence of the employee’s action or
R inaction?

Sample of a Critical Incident Report using the STAR format:

Situation Last April 5, during the Division meeting,

One of the issues raised was the different ways of preparing a
Task
report,
You took the initiative to document our processes so that we
Action
can have a standard operations manual.
As a result, whenever we have new hires, we can easily orient
Results
them because of that manual.

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Performance Coaching

Performance Coaching is at the core of the DPWH SPMS. It is an interactive and continuing
process by which an Immediate Supervisor/Rater/Coach helps an employee/team/Ratee/
Coachee learn to perform assigned task through direct discussions and guided activities. It
requires the skill of facilitating learning, development and performance of an employee. It
aims to engage the subordinate in recognizing their lapses/gaps in performance, identify
possible causes and prepare a plan of action to address them. Through Coaching, the
Supervisor/Rater/Coach helps the employee/Ratee/Coachee enhance their performance
and develop their knowledge and skills.

Performance Coaching is also done when critical incidents are observed and reported.
Critical incidents are specific events or situations when the employee/Ratee is observed to
have deviated from expected performance behaviors that have to be recognized right
away. The Immediate Supervisor/Rater must give immediate feedback to the employee
and/or team by conducting one-on-one and face-to-face discussion with them as necessary
to identify causes of performance gaps or issues. These critical incidents may be recorded
using the STAR (Situation, Tasks, Action, Results) format as a guide.

Written notice of these critical incidents must be submitted to Human Resource and
Administrative Service (HRAS) Director or Human Resource Management Division (HRMD)
within the week after the Supervisor/Rater has talked to the employee and/or team
involved. These critical incident reports will be included in the employees’/Ratees’ 201 Files.

Coaching Forms

Process:

1. The Immediate Supervisor/Rater monitors and tracks the performance of the individual
employee/team/Ratee in accomplishing assigned tasks.

2. The Rater observes and identifies performance gaps and/or critical incidents.

3. The Rater, as the Coach, gives feedback to the individual employee/team/Ratee, as the
Coachee, through one-on-one and face-to-face discussions.

4. The Rater/Coach, fills out the Coaching Journal Form (SPMS Form No. 6A) after
every coaching activity is conducted to document the discussion.

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4.1. Coaching Goal: the objective/s of the coaching session. The aim of coaching is to
engage the employee/team/Ratee/s, as the Coachee/s, in addressing the
ineffective performance, identify possible causes, and generating a plan of action
to address the performance gap/deficiency.

4.2. Situation/Issue: the deviation in performance of the Coachee/s concerned and

identification of the possible causes.

4.3. Options/Opportunity: the possible actions that will address the Coachee’s
performance gap. The Coach and the Coachee/s must be able to generate and
share ideas to address the gap between target and actual performance.

4.4. Committed Action: the agreed measurable plan of action that the Coachee/s
would do in able for them to deliver the results they are committed to do.

4.5. Who will do: the employee/team who will commit to the execution of the action
plan.

4.6. Resources Needed: the required resources in order to accomplish the action plan.

4.7. Date that Coachee/Team commits to: date when the agreed action should be
accomplished/completed.

4.8. Key Points of What was Shared: the summary of ideas presented/generated
during the coaching session.

4.9. Process Observation of the Coach: the observation on the behaviors of the
Coachee/s being coached, general disposition, level of coping with the demands
of work, and/or changes in attitude since the last coaching, if any.

5. The Coach and Coachee/s agree on a follow-up session and indicate the date on the
space provided.

6. The Coach keeps the Coaching Journal Form as reference for Stage 3: Performance
Review and Evaluation.

7. At the end of every quarter, the Immediate Supervisor/Rater fills out the Coaching
Report Form (SPMS Form No. 6B) to record and monitor all the coaching and/or
mentoring activities done for that quarter.

7.1. The Immediate Supervisor/Rater, as the Coach, places a check on which quarter

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the coaching/mentoring was conducted in the appropriate box provided found in

the upper portion of the form, and fills in the Name of the Division, their name,
and number of personnel in the Division or Office in the space provided.

7.2. The Coach monitors the number of times the activities (e.g. Mentoring,
Coaching) were conducted and indicates the tallied number per activity under the
specified type of meeting, either one-on-one or by group.

7.3. The Coach also tallies all memoranda and other types of correspondence/
communication that were issued in line with the coaching/mentoring activity. The
number of memorandum or other documents released will be placed in the box
provided.

7.4. The “Remarks” column reflects comments regarding the coaching/mentoring

activity. For example, the Coach may indicate whether the coaching/mentoring
activity was conducted. If not conducted, identify the factors that prevented the
conduct of activity.

8. The Coach signs the Coaching Report form then forwards the form to the Head of
Office for review and signature.

Tips for Performance Coaching

Guideposts for Effective Feedback

1. Specific and factual

2. Timely and immediate

3. Focused on behaviour not the person

4. Actionable by the receiver

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When to coach

1. When to seek coaching:

1.1. Before performing a task that you think will be different/unfamiliar/difficult.

1.2. Before having a difficult discussion with someone.

1.3. When learning something new in the job.

1.4. After you’ve handled new/important task and want to know how you did and
how to improve.

2. When to provide coaching:

2.1. When monitoring someone learning a new job.

2.2. If you notice someone struggling with a task, responsibility or situation.

2.3. When someone asks for your help.

Principles for Effective Coaching for Coaches

1. Prepare well – notes on performance observations/critical incidents; defined goal and

structure of the discussion.

2. Create proper atmosphere – private, relaxed, calm, quiet, non-threatening and

supportive.

3. Preserve self-esteem.

4. Be factual not judgmental; refrain from opinions/criticisms.

5. Practice empathic listening; elicit suggestions.

6. Engage in dialogue – not sermon.

7. Encourage frank assessment of the situation and be specific.

8. Create and agree on an action plan and follow through on progress.

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Stage 3:
Performance Review and
Evaluation
The Performance Review and Evaluation is done at the end of every semester (June and
December) to assess both Office and individual employee’s performance based on the
agreed and approved objectives/targets and measures reflected in the Performance
Commitment and Review Forms (OPCR, DPCR, IPCR).

Stage 3 has the following components:

1. Reviewing Performance

2. Evaluating Performance

3. Rating Performance

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Flowchart 7. Stage 3 – Individual Performance Commitment and Review Form

Reviewing, Evaluating, and Rating Performance

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Individual Performance Commitment and Review Form (IPCR) –

SPMS Form No. 1

Positions involved:

Ratees Office Initial Raters Final Raters

Central Office Bureau/Service/
Division Chief
Regional Office Regional Director
Section Chief
District Engineering Assistant District
District Engineer
Office Engineer
Central Office
Division Chief
Positions below Regional Office
Section Chief
Section Chief
District Engineering
District Engineer
Office

Process:

1. The Administrative Officer returns the IPCR to the Ratee at the start of the
performance rating period (June and December).

2. The Ratee fills out their actual accomplishments for each output that they committed to
in the appropriate column and attaches records/evidences of accomplishments (such as
reports, documents or any outputs as proofs of actual performance).

3. The Ratee submits to the Initial Rater for review and evaluation.

4. The Initial Rater:

4.1. Evaluates individual employee performance based on the commitments made at

the beginning of the rating period.

4.2. Rates the performance of the Ratee using the approved calibrated Q.E.T.
standards and operational definitions found in the Database Matrix.

4.3. Computes for the following:

4.3.1. Average rating per output: add the ratings and divide it by the number
of dimensions (Q.E.T.) used.

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4.3.2. Total rating: add all the average ratings.

4.3.3. Final average rating: add all the average ratings vertically and divide the
sum by the number of accomplishments/outputs.

4.4. In the “Remarks” column, the Initial Rater may describe the documents, records
or other evidences of performance (such as the performance monitoring forms,
coaching journal, or the individual/professional development). The Initial Rater
may also include other remarks, such as:

4.4.1. The whereabouts or events regarding the employee’s engagement.

4.4.2. The number of accomplishments out of the total accomplishment with

no error or with minor error.

4.4.3. The reason why an output/target was not accomplished.

4.4.4. External factors affecting the attainment of the target.

5. The Initial Rater indicates qualitative comments, observations and recommendations in

the space provided to include competency assessment, performance gaps, and critical
incidents which shall be used for human resource development purposes, such as
promotion and other interventions. All Initial Raters must accomplish this portion.

6. The Initial Rater conducts performance discussions with the Ratee to discuss their
assessment and performance rating. If the Ratee agrees with the performance rating,
both the Ratee and Initial Rater affix their signatures to the IPCR.

7. The Initial Rater then forwards the signed IPCR to the Final Rater for signature.

8. After signing the IPCR, the Final Rater forwards the form to the Administrative Officer.

9. The Administrative Officer gives the individual employees/Ratees and Initial Raters
copies of the approved performance rating.

10. The Administrative Officer submits the approved and signed IPCR to appropriate HR/
Administrative Office:

Central Office Human Resource Management Division (HRMD)

Regional Office Human Resource and Administrative Division
District Engineering Office Human Resource and Administrative Section

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Flowchart 8. Stage 3 – Division/District Performance Commitment and Review Form

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Division/District Performance Commitment and Review Form

(DPCR) – SPMS Form No. 2

Positions involved:

Ratees Office Initial Raters Final Raters

Bureau /
Bureau /
Service / UPMO Assistant Secretary
Service
Division Chief, Directors
Assistant Division UPMO Cluster
Chief UPMO Cluster Undersecretary
Director
Regional Office

District Engineer, Assistant Regional

District Engineering Regional Director
Assistant District Director
Office
Engineer

Process:

1. The Administrative Officer returns the DPCR to the Ratee at the start of the
performance rating period (June and December).

2. The Ratee fills out their actual accomplishments for each output that they committed
to in the appropriate column and attaches records/evidences of accomplishments (such
as reports, documents or any outputs as proofs of actual performance).

3. The Ratee submits to the Initial Rater for review and evaluation.

4. The Initial Rater:

4.1. Evaluates individual employee performance based on the commitments made at

the beginning of the rating period.

4.2. Rates the performance of the Ratee using the approved calibrated Q.E.T.
standards and operational definitions found in the Database Matrix.

4.3. Computes for the following:

4.3.1. Average rating per output: add the ratings and divide it by the number
of dimensions (Q.E.T.) used.

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4.3.2. Total rating: add all the average ratings.

4.3.3. Final average rating: add all the average ratings vertically and divide the
sum by the number of accomplishments/outputs.

4.4. In the “Remarks” column, the Initial Rater may describe the documents, records
or other evidences of performance (such as the performance monitoring forms,
coaching journal, or the individual/professional development). The Initial Rater
may also include other remarks, such as:

4.4.1. The whereabouts or events regarding the employee’s engagement.

4.4.2. The number of accomplishments out of the total accomplishment with

no error or with minor error.

4.4.3. The reason why an output/target was not accomplished.

4.4.4. External factors affecting the attainment of the target.

5. The Initial Rater indicates qualitative comments, observations and recommendations in

the space provided to include competency assessment, performance gaps, and critical
incidents which shall be used for human resource development purposes, such as
promotion and other interventions. All Initial Raters must accomplish this portion.

6. The Initial Rater conducts performance discussions with the Ratee to discuss their
assessment and performance rating. If the Ratee agree with their performance ratings,
both the Ratee and Initial Rater affix their signatures to the DPCR.

7. The Initial Rater then forwards the signed DPCR to the Final Rater for signature.

8. After signing the DPCR, the Final Rater forwards the form to the Administrative Officer.

9. The Administrative Officer gives the individual employees/Ratees and Initial Raters
copies of the approved performance rating.

10. The Administrative Officer submits the approved and signed DPCR to appropriate HR/
Administrative Office:

Central Office Human Resource Management Division (HRMD)

Regional Office Human Resource and Administrative Division
District Engineering Office Human Resource and Administrative Section

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Flowchart 9. Summary of Individual Ratings Form – Central Office/Regional Offices

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Flowchart 10. Summary of Individual Ratings Form – District Engineering Offices

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Summary of Individual Ratings – SPMS Form No. 7

For Central Office (Bureau/Service/UPMO Cluster) and Regional Office

Positions involved:

1. Division Chief

2. Bureau/Service/UPMO Cluster/Regional Director

Process:

1. The Division Chief collates all approved IPCRs of their respective Division and fills out
the Summary of Individual Ratings form:

1.1. The name of Office and the Performance Period of the Rating is indicated in the
spaces provided.

1.2. The name of the Division is indicated in the space provided; the names of each
staff in Division, and their numerical and qualitative ratings are listed in the space
provided, including the Division Chief’s own performance rating.

1.3. The “Numerical Rating” is the Final Average Rating of the employee as reflected
in the IPCR. The “Qualitative Rating” column reflects the corresponding
Adjectival Rating of the Average rating of the employee using the following scale:

Numerical Rating Adjectival Rating

5.00 Outstanding

4.00-4.99 Very Satisfactory

3.00-3.99 Satisfactory

2.00-2.99 Unsatisfactory

1.00-1.99 Poor

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For example:

Staff Name Numerical Rating Qualitative Rating

Dela Cruz, Juana 4.33 Very Satisfactory

2. The Division Chief gets the Average Rating of the Division by dividing the total
individual ratings by the number of individuals in the Division. The Division Chief’s
performance rating in the DPCR is also included in the computation of the Average
Rating.

3. The Division Chief forwards the Summary Ratings form and Average Rating of the
Division to the Bureau/Service/ UPMO Cluster/Regional Director.

4. The Bureau/Service/UPMO Cluster/Regional Director consolidates the Summary of

Ratings Forms of their Office.

5. Using a separate Summary of Ratings form, the Bureau/Service/UPMO Cluster/Regional

Director computes for the Average Office Rating by getting the average of the Average
Ratings of all the Divisions. The Office Rating will be used only as reference for
Rewards and Incentives.

For District Engineering Office

Positions involved:

1. Section Chief

2. District Engineer

3. Regional Director

Process:

1. The Section Chief collates all approved IPCRs of their respective Sections and fills out
the Summary of Individual Ratings form:

1.1. The name of Office and the Performance Period of the Rating is indicated in the
spaces provided.

1.2. The name of the Section is indicated in the space provided; the names of each
staff in Section, and their numerical and qualitative ratings are listed in the space

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provided, including the Section Chief’s own performance rating.

1.3. The “Numerical Rating” is the Final Average Rating of the employee as reflected
in the IPCR. The “Qualitative Rating” column reflects the corresponding
Adjectival Rating of the Average rating of the employee using the
aforementioned scale.

2. The Section Chief gets the Average Rating of the Section by dividing the total individual
ratings by the number of individuals in the Section.

3. The Section Chief forwards the Summary of Individual Ratings and the Average Rating
of the Section to the District Engineer.

4. The District Engineer consolidates the Summary of Ratings Forms and gets the Average
Rating of the District Engineering Office using a separate Summary of Ratings form.
This is computed by getting the average of the Average Ratings of all the Sections. The
District Engineer’s performance rating in the DPCR is also included in the computation
of the Average Rating.

5. The District Engineer forwards the Summary Ratings form and Average Rating to the
Regional Director.

6. The Regional Director collates the Summary Ratings forms of the District Offices under
their supervision.

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Performance Rating Scale

A five-point rating scale is used in the DPWH SPMS:

Q.E.T. Rating Numerical Rating Adjectival Rating

5 5.00 Outstanding
4 4.00-4.99 Very Satisfactory
3 3.00-3.99 Satisfactory
2 2.00-2.99 Unsatisfactory
1 1.00-1.99 Poor

Note:

1. Numerical Ratings for Q.E.T. of the Actual Accomplishments must

be whole numbers only.

2. Average Final Ratings may have up to two (2) decimal points.

Employees with Unsatisfactory or Poor Performance Rating:

Written notice shall be given to subordinates who obtain unsatisfactory performance during
a rating period not later than one (1) month from the end of the rating period, with a
warning that a succeeding unsatisfactory performance shall warrant his separation from the
service.

Supervisors shall inform employees with poor performance, in writing and no later than the
4th month of the Rating period, that failure to improve his performance shall warrant his
separation from the service.

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Tips for Performance Review and Evaluation

Performance Review Meeting

1. A successful review session should:

1.1. Be a positive experience

1.2. Have no surprises

1.3. Be a two-way discussion

1.4. Well prepared (both sides)

2. Some pointers on conducting the review meeting:

2.1. Manage the meeting

2.1.1. Prepare for the meeting

2.1.2. Create the right atmosphere

2.1.3. No interruptions; no surprises

2.2. Enhance or maintain self-esteem

2.2.1. Express appreciation

2.2.2. Encourage self-appraisal

2.2.3. Focus on the performance issue, not on the person

2.3. Be fair and objective

2.3.1. Base assessments on evidence

2.3.2. Change the behaviour, not the person

2.3.3. Focus on problem solving or correcting a behaviour

2.4. Empower the employee

2.4.1. Ask him for ideas on how to resolve a problem or improve performance

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2.4.2. Adopt a joint problem-solving approach

2.4.3. Re-establish goals

2.4.4. Be supportive

Pitfalls in Performance Rating

1. Halo or Horn Effect: Inappropriate generalizations from one aspect of a person’s

performance on the job to all aspects of their performance.

2. Bias or Prejudice: Rater’s dislike for Ratee’s political leaning union affiliation, religion,
race and even physical features.

3. Overemphasis on isolated events: The danger of letting a recent event, favourable or

unfavourable, color the Rater’s judgement (recency or primacy effects).

4. Similar-to-me effect: Tendency for Rater to judge more favourably those whom they
perceive similar to them.

What performance evaluation is and is not

1. Performance evaluation is:

1.1. A dialogue between leaders and employees aimed at improving future

performance.

1.2. Summary of performance feedback and coaching discussions done throughout

the year.

2. Performance evaluation is not:

2.1. An attack on the employee’s personality: Authority as Rater should be used

properly. Be factual about your evaluation.

2.2. Monologue: Engage the employee in a dialogue. Give him/her a chance to

explain him/herself.

2.3. A chance to wield power and authority: Performance reviews often make people
uncomfortable and defensive. Make the discussion positive. The key themes are
continuous improvement and development, even if a person wasn’t able to meet

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objectives or demonstrated competencies effectively.

2.4. Paper activity: Do not simply comply but manage the SPMS as a process and not
a one-time event.

2.5. An opportunity to gain “pogi points” with staff: the goal of the SPMS is to
improve performance and develop people.

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Stage 4:
Performance Rewarding
and Development Planning
The results of the individual and Office Performance Evaluation will be a basis for rewards
and development planning.

The results of the performance evaluation/assessment will serve as inputs to the:

1. Heads of Offices in identifying and providing the kinds of interventions needed based
on the development needs identified;

2. Human Resource Management Division, HRAS and Human Resource and Administrative
Division, Regional Office and Human Resource and Administrative Section, District
Engineering Office in consolidating and coordinating development interventions that
will form part of the HR Plan and the basis for rewards and incentives;

3. Department and Office PMT in identifying potential Program on Awards and Incentives
for Service Excellence (PRAISE) Awards nominees for various awards categories; and

4. PRAISE Committee in determining top performers of the Agency who qualify for awards
and incentives, in relation to:

4.1. Performance-Based Bonus

4.2. Promotion or scholarship

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Flowchart 11. Individual Development Plan

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Individual Development Plan

The primary purpose of an individual development plan is to help employees reach short
and long term career goals. This includes improvement in their current job performance in
relation to what is expected of them. Development Planning is a shared responsibility of the
Individual, Supervisor, HR and the Department.

Individual Development Plan (IDP) – SPMS Form No. 8

The IDP is used to indicate the needed developmental interventions in terms of learning
and development, education and mentoring/coaching, and to record knowledge, skills,
attitudes (KSA)/competencies and development priorities over a 1-2 year period. It may be
derived from the Operations Plan of the Division concerned. It is mandatory for all
supervisors to fill out the IDP of their subordinate.

Process:

1. At the start of the year (January), the Immediate Supervisor, as the Rater, and the
individual employee, as the Ratee, discuss and jointly fill out the following fields:

1.1. Key Strength Demonstrated: knowledge, skills, attitudes (KSA)/competencies that

are consistently demonstrated and manifested leading to the accomplishments of
performance outputs and targets.

1.2. Areas for Development: knowledge, skills, attitudes (KSA)/competencies that are
not demonstrated leading to non-attainment of performance outputs and targets.

1.3. Development Targets: knowledge, skills, attitudes (KSA)/competencies which

needs to be developed or improved.

1.4. Development Activity: one or more specific actions the Ratee can take to meet
the development target. Consider a variety of developmental approaches.

1.5. Support Needed/Involvement of Others: assistance the Ratee will need to

accomplish each development activity (resources, feedback, permissions, tools,
coaching, other assistance).

1.6. Tracking Method/Completion Date: how will the Ratee track the completion of
development activities (one or more observable results that will indicate success).

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2. If applicable, the Rater may propose actions based on Ratee’s performance rating by
putting a check in the appropriate box in the “Rater Recommendation” portion.

3. The Rater and Ratee discuss and agree on the development activity, timelines, and
support needed, and sign the IDP.

4. The Ratee attaches the IDP form to their IPCR for the succeeding rating period, and
submits it to the Administrative Office.

5. The Administrative Officer collates and summarized the IDPs of all employees in the
Section/Division, and submits the summary to HRAS for training needs and budget
monitoring purposes.

6. The Individual Development Plan is reviewed at the end of every semester/year and
updated, as needed.

Stage 4: Performance Rewarding and Development Planning SPMS User’s Manual

 Sample Individual Development Plan:

Strength lies in Recruitment and Selection. Richard uses all methods available in sourcing of
Key Strength
applicants, e.g., job fairs, referral system, social media, to meet the manpower requirements

SPMS User’s Manual

Demonstrated: of the different Offices. For 2016, his unit was able to fill-up 100% of all vacancies in the
Department.
Title: SPMS User’s Manual

Needs to improve in the following areas:

1. Presentation Skills – Richard is not comfortable speaking before a large audience. In job
fairs, he does not participate in career talks because of his lack of skills and confidence in
making an effective presentation.
2. Time Management – Although he and his team met Efficiency target in filling-up vacant
Areas for
Process Owner: HRAS

positions, Richard almost did not meet standard set for Timeliness. He has to hone his
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

Development: skills in time management

3. Computer Literacy – Richard relies on his staff for preparation of reports, memos, slide
presentations because he is not computer savvy. Although this does not impact output
Rev. No. 0

of his team, it would be good for him to be knowledgeable in MS Word and PowerPoint.

Competencies that needs to improve on:

1. Presentation Skills
Development
Doc. No. DPWH-SPMS-MANUAL

Target: 2. Time Management

3. Computer Literacy
Page:
Eff. Date:

83 of 142

Stage 4: Performance Rewarding and Development Planning

 Tracking Method/Completion Date
Support Needed/
Development
Involvement of
Activity Accomplished Accomplished
Others Planned
Mid-Year Year End

1. To improve his 1. Budget to attend 1. Attend Effective 1. Attended Effective 1. Submitted 2nd
presentation a public seminar Presentation Presentation Quarter
Title: SPMS User’s Manual

skills, he will on Effective Workshop by Workshop last 25 Recruitment and

attend a Presentation end 1st Q of -26 February Selection
workshop on 2. Support of 2017 2017 Activity Report
Effective immediate 2. Timelines of 2. Timeline of in MS Word
Presentation superior in terms Recruitment and Recruitment and format and
2. To improve his of monitoring of Selection Selection slide
skills in time timelines in activities for activities presentation of
Process Owner: HRAS

the same report

DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

management, he Recruitment and 2017 to be submitted on Jan

will come-up with Selection and submitted by Jan 30,2017; in MS
timelines in coaching if 30, 2017; monitoring of PowerPoint last
July 8, 2017

Stage 4: Performance Rewarding and Development Planning

Recruitment and timelines are not monitoring of activities done
Rev. No. 0

Selection. met activities to be every end of the

Immediate 3. Availability of handled by month by
superior will laptop in order Immediate Immediate
closely monitor if for Richard to do Superior Superior
timelines are a self-study even 3. Self-study on MS
met.
Doc. No. DPWH-SPMS-MANUAL

at home Word and

3. To hone his skills PowerPoint by
in MS Word and end of 2nd Q of
Page:

PowerPoint, 2017; prepare

Eff. Date:

Richard will do a 2Q Recruitment

self-study. and Selection
84 of 142

Activity Report
in Word
document, and
slide

SPMS User’s Manual

 Tracking Method/Completion Date
Support Needed/
Development
Involvement of
Activity Accomplished Accomplished
Others Planned
Mid-Year Year End

SPMS User’s Manual

presentation of
the report in MS
Title: SPMS User’s Manual

PowerPoint with
minimal
assistance from
staff – to be
submitted by
July 10, 2017.
Process Owner: HRAS
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

Rev. No. 0
Doc. No. DPWH-SPMS-MANUAL

Page:
Eff. Date:

85 of 142

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Tips for Individual Development Planning

Steps in Individual Development Planning

1. Identify development needs

2. Set goals for these needs

3. Prepare action plans for meeting the development need

3.1. Learning Development activities

3.2. Resources/support

3.3. Measures of success

4. Implement Plans

5. Evaluate

Note:

It is ideal to conduct a Skills Assessment to identify current

strengths and development needs:

1. Strength – Projects/assignments/tasks/behaviour you have

worked on where you have consistently met or exceeded
expectations; an area that people often compliment you on as
they see you as an “expert” in that field.

2. Development Needs – An area you can improve; projects/

assignments/tasks/behaviour you have worked on where you
have not met the expectations; an area you don’t feel confident
working in.

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Present strengths, or the lack of it, will be an input in identifying sets

of competencies that are needed in a particular job position.

Example:

Good use of the English language is part of communication

competence

Activities for Employee Development

1. Benchmarking

2. Seminars/workshops

3. Formal education/classes

4. Assignment to task forces/committees/special projects

5. Job enhancements/redesign

6. Functional cross-posting/reassignment

7. Geographical cross-posting/reassignment

8. Coaching/mentoring

9. Departmental/lateral career moves

10. Self-managed learning

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Sanctions, Penalties and Appeals

Appeals

Who can appeal:

1. Individual employees who feel aggrieved or dissatisfied with their final performance
rating.

2. Office or Unit where it is believed that the overall rating does not represent a true
evaluation of work performance.

Note:

1. An office/unit or individual employee shall not be allowed to

protest the performance ratings of other office/unit or co-
employees.

2. Ratings obtained by other office/unit or employees can only be

used as basis or reference for comparison in appealing one’s
office or individual performance rating.

3. Any issue/appeal of an Office shall be discussed and decided

during the performance review conference.

4. Office performance assessment discussed in the performance

conference shall be final and not appealable.

5. Employee assessments shall be discussed by the supervisor

with the concerned Ratee prior to the submission of the IPCR to
the Head of Office.

Stage 4: Performance Rewarding and Development Planning SPMS User’s Manual

Process:

1. Informal appeal shall be done within 5 working days upon receipt of the signed copy of
the performance rating, the employee should meet with the Immediate Supervisor, in
attempt to resolve the disagreement before filing a formal appeal.

2. The employee will use the Performance Rating Appeal Form during the discussion with
the Immediate Supervisor, wherein the employees:

2.1. Identify the Performance Success Indicator/Criteria being contested;

2.2. Identify the rating given;

2.3. Identify the propose rating by the employee;

2.4. Describe the specific facts and evidences that supports the appeal.

3. The immediate supervisor will use the Performance Rating Appeal Report to indicate:

3.1. Performance Success Indicator being contested;

3.2. Solution/s agreed during the discussion; or

3.3. Whether they did not resolve the appeal and recommends it to be elevated to the
PMT.

4. If not resolved in by informal discussion, the employee may formally appeal to the
Office PMT. The Formal Appeal should be within 10 working days after the informal
discussion.

5. A copy of the duly accomplished IPCR/DPCR with ratings must be submitted together
with the accomplished Performance Appeal Form, Performance Appeal Report and
Evidence to support the appeal.

6. The Office PMT shall decide on the appeals within 15 working days from receipt of the
appeal. If it cannot decide, the appeal may be forwarded to the Department PMT and
decide within 15 days upon receipt.

7. Appeals lodged to the PMT shall follow the hierarchical jurisdiction of various PMTs in
the Department. For example, the decision of the DEO PMT is appealable to the
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Regional PMT which decision is in turn appealable to the Department PMT in the
Central Office.

Appeal on Separation

Officials or employees separated from the service due to Unsatisfactory or Poor

performance rating can appeal to the CSC or its Regional Office within 15 working days
from receipt of the order or notice of separation.

Sanctions/Penalties

Unless justified and accepted by the Department PMT, non-submission of the DPCR and
IPCR to the HRM Office within the specified dates shall be a ground for:

1. Employee's disqualification for performance-based personnel actions which would

require the rating given such as promotion, training or scholarship grants and
performance enhancement bonus, if the failure of the submission of the report form is
the fault of the employee.

2. An administrative sanction for violation of reasonable office rules and regulations and
simple neglect of duty for the supervisors or employees responsible for the delay and
non-submission of the division and individual performance commitment and review
report.

3. Failure on the part of the Head of Office to comply with the required notices to their
subordinates for the unsatisfactory or poor performance during a rating period shall be
a ground for an administrative offense for neglect of duty.

4. Non-submission of agency SPMS to CSC for review/approval shall be aground for

disapproval of promotional appointments issued by concerned agency heads.

Sanctions, Penalties and Appeals SPMS User’s Manual

Annex
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Annex A: DPWH Scorecard

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Annex B: DPWH Major Final Outputs

MFO 1: National Road Network Services

MFO 1 covers the following programs, activities and projects that are being delivered by
the DPWH in terms of the construction and maintenance of the national road network.

The major activities include the following:

1. Asset Preservation of National Roads

1.1. Preventive Maintenance based on Pavement Management/ Highway Development

and Management- 4 (HDM-4) (Intermittent Section) - Reblocking of Shattered
Blocks (4.5m/block) without asphalt overlay;

1.2. Rehabilitation/Reconstruction/Upgrading of Damaged Paved National Roads

including drainage based on Pavement Management System/Highway
Development and Management-4 (HDM-4) (Intermittent Section);

1.3. Rehabilitation/Reconstruction of National Roads with Slips, Slope Collapse, and

Landslide;

1.4. Construction/Upgrading/Rehabilitation of Drainage/along National Roads.

2. Network Development

2.1. Widening of National Roads;

2.2. Construction of By-passes/ Diversion Roads, including Right-of Way (ROW);

2.3. Construction of Missing Gaps connecting National Roads, including ROW;

2.4. Construction of Flyovers/ Interchange/ Underpasses Off Carriageway

Improvement.

3. Road Upgrading (unpaved to paved) based on Gravel Road Strategies, Traffic

Benchmark for Upgrading to Paved Road Standards (HDM-4 Project Analysis)
(Intermittent Sections)

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3. Construction and Maintenance of Bridges along National Roads

4.1. Replacement of Bridges from Temporary to Permanent;

4.2. Replacement of Permanent Weak Bridges;

4.3. Retrofitting/ Strengthening of Permanent Bridges;

4.4. Rehabilitation/ Major Repair of Permanent Bridges;

4.5. Widening of Permanent Bridges;

4.6. Construction of New Permanent Bridges.

MFO 2: Flood Management Services

MFO 2 covers the following programs, activities and projects that are being delivered by
the DPWH in terms of the construction and maintenance of the structures for flood
management:

1. Construction/ Maintenance of Flood Mitigation Structures and Drainage Systems;

2. Construction/ Rehabilitation of Drainage/ Protection;

3. Construction/ Rehabilitation of flood mitigation facilities along Major River Basins and
Principal Rivers;

4. Construction/ Rehabilitation of Small Water Impounding Projects (SWIP).

MFO 3: Maintenance and Construction Services of Other

Infrastructures

The projects included under MFO 3 are those funded under the local roads and other
infrastructure funded under the Convergence Programs with Other National Government
Agencies (NGAs). MFO 3 covers the following programs, activities and projects that are
being delivered by the DPWH in terms of construction and maintenance of other
infrastructure:

1. Construction/Improvement of Access Roads leading to Airports;

2. Construction/Improvement of Access Roads leading to Seaports;

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3. Construction/Improvement of Access Roads leading to Declared Tourism Destinations;

4. Construction of water supply/septage and sewerage/rain water collectors;

5. Construction of Various Infrastructure including local projects;

6. Construction of Accessibility facilities for physically challenged persons;

7. Basic Education Facilities;

8. Health Facilities Enhancement Program.

Support to Operations (STO)

Support to Operations refer to activities that provide technical and substantive support to
the operations and projects of DPWH. By themselves, these activities do not produce
MFOs but they contribute or enhance the delivery of goods and services.

Examples:

 Planning and policy formulation

 Program monitoring and evaluation

 Public information program

 Research and standards

 Statistical services

 Information systems development

 Preparation of plans

 Procurement construction equipment management

 Equipment Management

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General Administration and Support Services

General Administration and Support Services refers to activities that deal with the provision
of overall administrative support to the agency operation.

Examples:

 Human resource management

 Financial and administrative service

 Human resource development

 Legal service

 Legislative liaison service

 Building and facilities management

 General administration and supervision

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Annex C: Sample Q.E.T. Measures

Sample Quality Standards

For Preparation of Correspondence:

Minor error Error in sentence structure such as verb agreement, inappropriate

use of pronoun, wrong spelling, wrong punctuation, simple grammar
error, organization.

Major error Means irrelevant citation of legal basis, inappropriate entry of names,
erroneous recommendation of period accredited/not accredited/
resolution/opinion, and inappropriate recommendation.

For Building Plans, A and E Plans

Minor error Typographical error and detailing errors in design

calculations and drawings involving secondary and miscellaneous
building components usually not affecting overall safety and stability,
architectural and other engineering aspects/components.

Major error Incomplete drawings, detailing errors, computational errors

in calculations which necessitates revision of primary structural and
other engineering components.

Non-compliance to project’s TOR/MPSS/Space Allocation Standards

and PD 1096 and its referral codes.

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General (Gradation): 5/1 Ratings: pass or fail ratings

(5) – no error (5) – no error

(4) – with 1-3 minor errors (1) – with error
(3) – with 4-6 minor error
(2) – with 1-2 major errors
(1) – with more than 2 major
errors

Examples of 5/1 Ratings:

 Driving Services rendered upon instruction/request:

Quality: 5 (Outstanding) – No Negative Feedback

1 (Poor) – With Negative Feedback

 Checks for funds prepared with no error in 7 minutes after receipt of Disbursement
Voucher:

Quality: 5 (Outstanding) – No Error

1 (Poor) – With error

 Plans:

Quality: 5 (Outstanding) – if no deviation from DPWH Standards and Specification or in

accordance with the DPWH Standards and Specification
1 (Poor) – if there is deviation from DPWH Standards and Specifications or Not
in accordance with the DPWH Standards and Specification

Note:

Outputs may be categorized based on its complexity and

use different Q.E.T. measures.

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Simple Correspondence: routinary in nature; correspondences/documents that follow a

template and only require minor revisions or changes in grammar, sentence structure and
proper use of conjunctions.

(5) – no error
(3) – with minor error
(1) – with major error

Complex Correspondence: correspondences/documents that require further research,

citations and references.

(5) – no error
(4) – with 1-3 minor errors
(3) – with 4-6 minor error
(2) – with 1-2 major errors
(1) – with more than 2 major errors

Sample Efficiency Standards

For Quota-based targets:

(5) – 130% acted upon

(4) – 115% to 129% acted upon
(3) – 100% to 114% acted upon
(2) – 51% to 99% acted upon
(1) – Below 50% acted upon

For Fixed targets:

(5) – 100% acted upon

(4) – 90-99.99% acted upon
(3) – 80-89.99% acted upon
(2) – 70-79.99% acted upon
(1) – Below 70% acted upon

Annex SPMS User’s Manual

 Sample Timeliness Standards
5 4 3 2 1
More than 41% 40% - 20% earlier More than 41% late
40% - 20% late with
earlier with the given with the given on given schedule with the given

SPMS User’s Manual

the given schedule
schedule schedule schedule
< 35 mins 36 mins – 48 mins 49 mins – 1.19 hrs 1.2 hr - 1.4 hr > 1 hr 25 mins
Title: SPMS User’s Manual

< 1 hr 46 mins 1.4 hrs – 1.8 hrs 1.81 hrs – 3.59 hrs 3.6 hrs - 4.2 hrs > 4 hrs 14 mins

< 4 hrs 43 mins 4.8 hrs – 6.4 hrs 6.41 hrs – 1.19 wd 1.2 wd – 1.4 wd > 1 wd 3.28 hrs

< 2 wd 7.6 hrs 3 wd – 4 wd 4.1 wd - 5.59 wd 6 wd - 7 wd > 7 wd 24 mins

< 4 wd 1.4 hr 4.2 wd– 5.8 wd 5.81 wd – 6.39 wd 6.4 wd – 9.8 wd > 9 wd 7 hrs
Process Owner: HRAS
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

< 5 wd 7.2 hrs 6 wd – 8 wd 8.1 wd – 11.99 wd 12 wd - 14 wd > 14 wd 48 mins

< 8 wd 6.8 hrs 9 wd – 12 wd 12.1 wd – 17.99 wd 18wd - 21 wd > 21 wd 1.2 hrs

Rev. No. 0

< 11 wd 6.4 hrs 12 wd – 16 wd 16.1 wd – 23.99 wd 24 wd - 28 wd > 28 wd 1.6 hrs

30 secs 45 secs 1 min 1 min 15 secs 1 min 30 secs

1 min 30 secs 2 mins 3 mins 4 mins 5 mins

2 mins 3 mins 5 mins 7 mins 8 mins

Doc. No. DPWH-SPMS-MANUAL

30 mins 45 mins 1 hour 1 hr 15 mins 1 hr 30 mins

Page:

1 hr 2 hrs 3 hours 4 hrs 5 hrs

Eff. Date:

4 hrs 6 hrs 1 wd 1 wd and 2 hrs 2 wd

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2 wd 3 wd 5 wd 7 wd 8 wd

4 wd 5 wd 7 wd 8 wd 10 wd

5 wd 7 wd 10 wd 13 wd 15 wd

Annex
 Annex D: Workflow Matrix

Annex
Workflow of Activities

Office: ___________________________
Section/Division: ___________________
Title: SPMS User’s Manual

Person/s
Output Activities Q E T
Responsible

1.1

1.2
Process Owner: HRAS

1.3
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

1.4

1.5

1.6
Rev. No. 0

1.7

2.1

2.2

2.3
Doc. No. DPWH-SPMS-MANUAL

2.4

2.5
Page:

2.6
Eff. Date:

3.1

3.2
102 of 142

3.3

3.4

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 Annex E: Database Matrix

Database Matrix

SPMS User’s Manual

Office: ___________________________
Section/Division: ___________________
Title: SPMS User’s Manual

Due Date PERFORMANCE RATING / STANDARDS

Output Success Indicator
(Timeline) 5 4 3 2 1
Q
E
Process Owner: HRAS

T
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

Q
E
T
Rev. No. 0

Q
E

T
Q
Doc. No. DPWH-SPMS-MANUAL

E
T

Q
Page:

E
Eff. Date:

Q
103 of 142

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Annex F: Individual Performance Commitment and Review Form

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Annex F: Individual Performance Commitment and Review Form

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Annex G: Division/District Performance Commitment and Review Form

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Annex G: Division/District Performance Commitment and Review Form

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Annex H: Office Performance Commitment and Review Form

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Annex H: Office Performance Commitment and Review Form

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Annex I: Daily Performance Monitoring Form

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Annex I: Daily Performance Monitoring Form

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Annex J: Monthly Performance Monitoring Form

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Annex J: Monthly Performance Monitoring Form

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Annex K: Coaching Journal Form

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Annex K: Coaching Journal Form

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Annex L: Coaching Report Form

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Annex L: Coaching Report Form

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DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS Doc. No. DPWH-SPMS-MANUAL Eff. Date:

Title: SPMS User’s Manual Process Owner: HRAS Rev. No. 0 Page: 118 of 142
Annex M: Summary of Individual Rating Form

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DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS Doc. No. DPWH-SPMS-MANUAL Eff. Date:

Title: SPMS User’s Manual Process Owner: HRAS Rev. No. 0 Page: 119 of 142
Annex M: Summary of Individual Rating Form

SPMS User’s Manual Annex

DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS Doc. No. DPWH-SPMS-MANUAL Eff. Date:

Title: SPMS User’s Manual Process Owner: HRAS Rev. No. 0 Page: 120 of 142
Annex N: Individual Development Plan

Annex SPMS User’s Manual

DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS Doc. No. DPWH-SPMS-MANUAL Eff. Date:

Title: SPMS User’s Manual Process Owner: HRAS Rev. No. 0 Page: 121 of 142
Annex N: Individual Development Plan

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DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS Doc. No. DPWH-SPMS-MANUAL Eff. Date:

Title: SPMS User’s Manual Process Owner: HRAS Rev. No. 0 Page: 122 of 142
Annex N: Individual Development Plan

Annex SPMS User’s Manual

 Annex O: Appeals Forms

SPMS User’s Manual

PERFORMANCE RATING APPEAL FORM

Name of Employee: Date:

Title: SPMS User’s Manual

Position: Name of Supervisor:

Office: Designation:
Rating Period: Date Received

PERFORMANCE SUCCESS INDICATOR / PERFORMANCE CRITERIA REASONS FOR APPEALING

Process Owner: HRAS
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

Rev. No. 0

ACTUAL ACCOMPLISHMENT IMMEDIATE SUPERVISOR’S RATING EMPLOYEE’S PROPOSED RATING

Doc. No. DPWH-SPMS-MANUAL

DESCRIPTION AND EVIDENCE

Page:
Eff. Date:

123 of 142

___________________________________ ____________________
Signature of Appellant Date

Annex
 Annex O: Appeals Forms

Annex
PERFORMANCE RATING APPEAL REPORT
Title: SPMS User’s Manual

Name of Employee: Date:

Position: Name of Supervisor:
Office: Designation:
Rating Period: Date Received
Process Owner: HRAS
DEPARTMENT OF PUBLIC WORKS AND HIGHWAYS

The following solution/s was/were agreed during the discussion of the appellant and immediate supervisor:

PERFORMANCE SUCCESS INDICATOR / PERFORMANCE CRITERIA

SOLUTION/S
CONTESTED
Rev. No. 0
Doc. No. DPWH-SPMS-MANUAL

We have not resolved the appeal: The appeal may be elevated to the Performance Management Team
Page:
Eff. Date:

Immediate Supervisor’s
Appellant Signature:
Signature:

Date: Date:
124 of 142

SPMS User’s Manual

Frequently Asked
Questions
 FREQUENTLY ASKED QUESTIONS

DPWH SPMS Framework

VISION &
MISSION
WHAT HOW

EMPLOYEE

INDIVIDUAL

What is the DPWH Strategic Performance Management System

(SPMS)?

It is an organization-wide process to ensure that employees focus on work efforts that are
contributing to the achievement of the DPWH mandate, vision, mission and values. It has 4
stages:

1. Performance Planning and Commitment

2. Performance Monitoring and Coaching

3. Performance Review and Evaluation

4. Performance Rewarding and Development Planning

Why shift to SPMS?

Previous appraisal systems used by the Department, such MORE did not clearly establish
the link of individual commitments and performance to the DPWH mandate, vision, mission
and Major Final Outputs.

DPWH SPMS User’s Manual 127

FREQUENTLY ASKED QUESTIONS

What are the objectives of the SPMS?

1. Ensure that the performance contribution of each employee are geared towards the
attainment of the DPWH vision, mission and strategic performance goals.

2. Provide an effective and objective tool to track accomplishments and provide feedback
on employee’s work progress

3. Basis for performance-based personnel actions and people development interventions

The WHAT in the DPWH SPMS:

The “What” are results that must be achieved for the individual, office and organization to
succeed.

The HOW in the DPWH SPMS:

The “How” are the core values of DPWH and the competencies needed for individuals do
their jobs.

Who should use the SPMS?

All employees of DPWH.

What is my role in the SPMS?

Refer to pages 21-22 of the User’s Manual.

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 FREQUENTLY ASKED QUESTIONS

What is a Performance Management Team (PMT)?

A PMT is an ad hoc committee that convenes to:

1. Review the Office Performance Commitment and Review Form (OPCR) to ensure
alignment with the Department strategic goals and objectives before recommending for
approval.

2. Acts as an appeal body and final arbiter for performance management issues /
concerns of DPWH and other issues arising from the implementation of SPMS, including
concerns on performance-based incentive system of this Department pursuant to E.O.
No. 80, dated 20 July 2012

3. Ensures adherence to the guidelines of the SPMS.

Why is there a Department PMT and an Office PMT?

The PMT, whether Department or Office, serves as the “clearing house” for all issues/
concerns regarding the SPMS.

The Office PMT serves as the first escalation level for SPMS issues/concerns and if the
issue/concern needs to be addressed by the Department, this will be escalated to the
DPMT.

Am I part of the PMT?

Refer to pages 16-18 of the SPMS User’s Manual.

When is the SPMS done?

The SPMS is an annual cycle covering the calendar year. Two performance ratings will be
conducted within the year, January to June and July to December. Final Rating will be on
December of the calendar year.

Refer to page 25 of the SPMS User’s Manual.

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FREQUENTLY ASKED QUESTIONS

What are the Immediate Superior’s / Initial Rater’s

responsibilities?

1. Ensuring that all forms are filled out correctly.

2. Assuring that the Workflow Matrix (WM) and Database Matrix (DM) covers all
mandated/core and support functions of each Office/Division/District/Section.

3. Rationalizing distribution of targets and tasks to offices/individual employee based on

the Organization Charts and Position Description Forms (PDF) of employees.

4. Monitoring and assessing individual employees’ performance.

5. Introducing appropriate developmental interventions to enhance skills and address

competency-related performance gaps.

Is the DPWH SPMS approved by the Civil Service Commission

(CSC)?

Yes. DPWH SPMS was declared approved and functional by the CSC-NCR, effective January
7, 2016.

What are the four stages of the SPMS?

Phase 1: Performance Planning and Commitment

This is done at the start of the performance period where supervisors and subordinates
agree on:

1. Outputs and targets to be accomplished

2. Success Indicators

Forms used: Workflow Matrix, Database Matrix, Performance Commitment and Review
Forms (IPCR, DPCR, OPCR)

Phase 2: Performance Monitoring

This is done throughout the year and it involves continuous tracking and documentation of
performance and progress.

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 FREQUENTLY ASKED QUESTIONS

Forms used: Daily Monitoring Form, Monthly Monitoring Form, Coaching Forms, other
monitoring documents / mechanisms

Phase 3: Performance Review and Evaluation

This is done at the end of the performance period and aims to assess both individual
employee and Office performance levels based on the performance targets and measures
agreed during Stage 1.

Forms used: Filled-out Performance Review and Commitment Forms (IPCR, DPCR, OPCR),
Summary of Individual Ratings

Phase 4: Performance Rewards and Development Planning

The results of the individual and Office Performance Evaluation shall be a base for rewards
and individual development planning.

Forms used: Individual Development Plan (IDP)

What are Major Final Outputs (MFOs)?

MFOs are goods and services that the DPWH is mandated to deliver to external clients
through implementation of its programs, project and activities. It may be a single output or
group of outputs that are similar in nature, targeted at the same organizational sector
outcome and/or being summarized by a common performance indicator.

How do I write Outputs?

Always remember that Outputs have the following characteristics:

1. Tangible

2. Described in 3-5 words

3. Within your duties and responsibilities

4. Support your Departmental goals/Organizational unit

5. Identical for jobs that are similar

6. Does not change unless your job changes

DPWH SPMS User’s Manual 131

FREQUENTLY ASKED QUESTIONS

What are Success Indicators?

Success Indicators are benchmarks for the targeted outputs and criteria for rating actual
accomplishment. It is characterized by three (3) performance standards: Quality, Efficiency,
and Timeliness.

How do I write Success Indicators?

Output (noun) + Action (verb, past tense) + Q.E.T Standards

Example of a poorly written Success Indicator:

Approximately 10km road in Quezon completed within 6 months.

How do I know a Success Indicator is specific?

1. Clearly indicate what can be achieved within the scope of the job

2. Avoid confusion about what to occur or improve

Example:

5 kms of concrete road from Km2 to Km7 in Sariaya, Quezon Province completed in
accordance with DPWH specification in 6 months or from February 1 to August 31,
2017

How do I know a Success Indicator is measurable?

Measurable outputs are:

1. Quantifiable, observable, verifiable

2. Defines Quality, Effectiveness, Timeliness

3. Defines progress made and results to measure

Example:

5 kms of concrete road from Km2 to Km7 in Sariaya, Quezon Province completed in

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 FREQUENTLY ASKED QUESTIONS

accordance with DPWH specification in 6 months or from February 1 to August

31, 2017

How do I know a Success Indicator is attainable/achievable?

Achievable outputs are:

1. Realistic

2. Within the person’s influence to change or ensure results

3. Challenging yet achievable

Example:

5 kms of concrete road from Km2 to Km7 in Sariaya, Quezon Province completed in
accordance with DPWH specification in 6 months or from February 1 to August 31,
2017

How do I know a Success Indicator is results-oriented/relevant?

Results-oriented outputs:

1. Focused on the realization of Agency Goals

2. Aligned with the directions of Office

Example:

5 kms of concrete road from Km2 to Km7 in Sariaya, Quezon Province completed in
accordance with DPWH specification in 6 months or from February 1 to August 31, 2017.
(a major part of the Agency’s Mandate)

DPWH SPMS User’s Manual 133

FREQUENTLY ASKED QUESTIONS

How do I know a Success Indicator is time-bound?

Time-bound outputs:

1. Within specific time frame

2. Clear beginning and end

Example:

5 kms of concrete road from Km2 to Km7 in Sariaya, Quezon Province completed in
accordance with DPWH specification in 6 months or from February 1 to August 31,
2017.

Do I need to fill out all the Q.E.T. fields for each activity?

If not applicable, not all activities need complete Q.E.T. Standards, there should be at least
2 measures per activity.

What are Fixed Targets and how are they rated?

Fixed Targets are targets that cannot be exceeded. They are also known as “as they come”
targets. These targets involve transactional activities or critical and mandated outputs, such
as governmental requirements and non-negotiable reports. For Fixed Targets, an
Outstanding score (5.00) will be given for Efficiency if the performance meets 100% of the
planned targets. Calibration for Fixed Targets, particularly for critical and mandated
outputs, may follow a 5-2-1 rating where anything below 100% will immediately be
considered “Unsatisfactory” or “2”, since non-submission or non-accomplishment of the
said outputs indicates violation to an issued policy or order.

Example:

5 (Outstanding) = 100% Incoming documents recorded

The exact number of incoming documents cannot be determined during Stage 1.

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 FREQUENTLY ASKED QUESTIONS

What are Quota-based Targets?

Quota-based Targets are the targets set during Stage 1 that can be exceeded. These
targets follow the Rating Scale, where 100% completion of the target will merit a
“Satisfactory” rating.

Will it be possible to have a combination of Fixed and Quota-based

Targets?

Yes, depending on the workflow activity and the output.

Can Success Indicators be adjusted?

During mid-year performance rating, Success Indicators may be adjusted, especially for
Outputs affected by approved by the Initial and Final Rater.

Is the Allocated Budget column required in the DPCR and OPCR?

Any expected expense, outside of the General Appropriations Act (GAA), is required to be
included here. These include operational and maintenance costs (supplies, fixed
expenditures, travel allowances, overtime pay, etc.), and total cost of expenses in the
division/office. This will serve as basis for computing fixed expenditures, manpower
requirements such as job orders, and other expenses at the end of the year.

Can the Performance Commitment Forms (IPCR / DPCR) be

modified?

If there is a need to adjust the performance targets, employees must accomplish a new
IPCR or DPCR and label it as “amended” to document any change in the performance
targets and the corresponding approval by the Office PMT.

DPWH SPMS User’s Manual 135

FREQUENTLY ASKED QUESTIONS

What is Monitoring?

1. The act of observing over a period of time for the purpose of measuring performance.

2. Keeping track, documenting output and behavior.

3. Checking progress of plans.

Why is Monitoring important?

1. It is the key input to performance measures.

2. It facilitates feedback.

3. Clarifies and defines opportunities for improvement.

4. Provides evidence of performance.

5. Provides objective basis for performance rating.

How should I Monitor Performance?

1. Observe how employee relate with other employee of other Offices Divisions, Sections,
internal and external stakeholders and customers.

2. Observe level of responsiveness to and asking for feedback from you and others.

3. Prepare and submit Monitoring Form.

What are the common monitoring mechanisms?

1. Informal Interview Data

2. Evaluation Reports

3. Quality Specifications

4. Time Logs

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 FREQUENTLY ASKED QUESTIONS

5. Complaints and Compliments

6. Manager Observations

7. Audit Reports

8. Certificates of Completion

9. Others

How can I reduce subjectivity when monitoring performance?

1. Establish clear and specific basis for assessment.

2. Keep track of outcomes

3. Log critical incidents (STAR Approach)

4. Feedback from internal clients and team members

Why is feedback important?

1. Feedback on what one has done well reinforces effective performance.

2. Feedback on things done less effectively redirects to a more effective approach.

3. Provides guidance.

4. Builds enthusiasm.

5. Enables people to learn from successes and from their mistakes.

DPWH SPMS User’s Manual 137

FREQUENTLY ASKED QUESTIONS

How and when should feedback be given?

1. Feedback must be specific, timely, balanced

2. Specific – STAR formula

3. Timely

3.1. Know immediately that they are on track

3.2. If needed, they can make changes and act quickly

4. Balanced – Lets people know what they are doing well and what they can improve on

When is coaching done?

When there is a deviation from expected performance:

1. Below standard vs. on standard

2. Above standard vs. on standard

What is performance evaluation?

Performance Evaluation is a dialogue between Rater and Ratee aimed at assessing current
work performance and behavior and improving these in the future work performance and
behavior. It is a summary of feedback and coaching discussions done throughout the year.

Can I change the range of the numerical ratings in the Rating

Scale?

The Rating Scale is non-negotiable. This is mandated by the Civil Service Commission
(CSC) for all government agencies.

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 FREQUENTLY ASKED QUESTIONS

If the Ratee has another assigned task/work from another

Section/Division, who rates their performance?

The Rater in the other Section/Division will rate the Ratee’s performance for that specific
task/work.

What if there are external factors beyond our control, i.e.

contractors. How will our performance be rated?

The Ratee will not be faulted but must create an incident report/memo and submit the
incident report and the evidences of their along with their IPCR/DPCR. The Ratee should
also reflect in the “remarks” column of the IPCR/DPCR the external factors that affected
the attainment of the output.

Can we print a new IPCR to fill out with Actual Accomplishments

during Stage 3?

You may print the form with your accomplishments and attach it to the original IPCR. It is
preferred that the accomplishments be written in the original IPCR.

How do you compute for the Average Performance Rating?

Central Office and Regional Offices: The Division Chief gets the average rating of all
employees under their Division. The Head of Office then gets the average rating of all
Divisions under their supervision.

District Engineering Office: The Section Chief gets the average rating of all employees
under their Section. The Division Chief then gets the average rating of all Sections under
their supervision and forwards the Average Rating to the Regional Director.

The office performance rating is only used as basis for giving rewards and incentives.

DPWH SPMS User’s Manual 139

FREQUENTLY ASKED QUESTIONS

Does the average rating of the Office/Division/Section serve as the

rating of the Head of Office/Division Chief/Section Chief?

No, the Average Ratings are only used for incentives and rewards purposes. The Heads of
Office and Division/Section Chiefs are rated based on their actual accomplishments on their
own targets and commitments.

How should I start evaluating performance?

1. Gather all of your information.

2. Get the big picture – the core message clearly in mind by asking:

2.1. What is the single most important message I want to communicate about the
individual’s performance through the IPCR?

3. Identify the three key elements:

3.1. Particular strengths demonstrated;

3.2. Most critical needs for improvement;

3.3. Most important development need.

4. Muster your courage to tell the truth:

4.1. Most accurate rating category for each individual objective.

4.2. Most accurate narrative description.

How should I open the meeting during the Performance Review?

1. Welcome the individual.

2. Describe the meeting’s importance to you.

3. Provide the overall time frame for the meeting.

4. Tell the employee where you’d like to start.

5. Make your kick-off statement.

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 FREQUENTLY ASKED QUESTIONS

How do I write development plans?

1. Identify development need

2. Set goals for the needs

3. Prepare action plans to meet the needs

3.1. Learning activities

3.2. Resources and support

3.3. Measures of success

4. Implement plans

5. Follow up and evaluate

Aside from classroom training, what other activities that can be

considered for employee development?

1. Benchmarking

2. Seminars/workshop

3. Formal Education/Classes

4. Assignment to Task Forces, Committee, Special Projects

5. Job enhancement/redesign

6. Functional/Geographical Cross-posting/Reassignment

7. Coaching/counselling

8. Lateral career moves

9. Self-managed learning

DPWH SPMS User’s Manual 141

FREQUENTLY ASKED QUESTIONS

What can a Ratee do to prepare for the performance evaluation

meeting?

Some suggestions include:

1. Prepare personal performance assessment for the performance period covered.

2. Assess agreed-upon individual performance, accomplishments, outputs, results,

behavior as set in performance plans and measures.

3. Prepare list of accomplishment, achievements, critical incidents, supporting documents.

4. Prepare self-assessment.

5. Consider revisions and changes in IPPs, responsibilities, goals, behaviors manifested,

development plans

6. Prepare for the performance review meeting (physically, psychologically, emotionally)

142 DPWH SPMS User’s Manual