CHAPTER 1

INTRODUCTORY PRINCIPLES

Section 1-1 General

1.1 Purpose. This doctrine prescribes the Philippine National Police’s (PNP) Fundamental Manual. Its
purpose is to guide the Command Group, Directorial Staff, National Support Unit Directors, Regional,
Provincial and City Directors, Chiefs of Police, Police Commissioned Officers, Police Non-Commissioned
Officers (PNCOs) and Non-Uniformed Personnel (NUP) in the pursuit of organizational objectives
primarily designed to support the attainment of established national goals. More specifically, it serves as
a reference for all PNP personnel in discharging their assigned missions, functions and responsibilities.
Furthermore, it serves as a guide and authority for all other manuals to be formulated in the Philippine
National Police.

1.2 Scope

a. The contents of this doctrine include the fundamental principles for the employment of PNP
elements in support of national goals and policies; information materials which could be used
by training schools and units in their instructional functions; information which could be very
useful to internal, as well as public information campaigns; and other material relevant to the
PNP organization such as those which support budgetary and procurement programs and
those which prescribe PNP procedures when confronted with new and contingent mission
and function;
b. This manual applies primarily to the Philippine National Police in dispensing its mandate. With
appropriate modifications, it can also apply to other organizations performing almost the
same functions as the Philippine National Police; and
c. The PNP fundamental doctrine is in accordance with established standards of the PNP and the
National Police Commission.

1.3 Recommended Changes.No changes to this fundamental doctrine shall be made within the next five
(5) years from its promulgation. Users of this manual are encouraged to submit recommended changes
and comments for further improvement. Any suggested revision or comment should indicate the
specific page, paragraph and line of the publication for which it is made in order to provide easy
reference and evaluation. It should be forwarded to the Chief, Philippine National Police (Attn: Director
for Human Resource and Doctrine Development, Camp Crame, Quezon City.)1
 Section 1-2. Manuals and Doctrines

1.4 Definition. PNP Manuals and Doctrines are authoritative statements of principles, policies,
procedures, rules and regulations prescribing the proper acquisition, use and employment of the PNP’s
human and materiel resources to achieve planned objectives. They are authoritative for two reasons.

a. They are prescribed by the Chief, Philippine National Police. Being prescribed by the Chief,
Philippine National Police, they constitute in fact a directive for all PNP personnel to observe and
attain a conscious and orderly management of PNP human and materiel resources. Unless
changed or disproved, they shall remain standing for continuous application; and
b. They are largely based on knowledge gained through time-honored traditions, police
experiences, studies, analyses and tests.

1.5 Characteristics of the PNP Fundamental Doctrine

a. This manual is designed for continuing applicability at all times.

b. It serves as a guide to action, and a reference for the formulation of other manuals within the
PNP. It further provides a common frame of reference across the PNP, facilitates the
standardization of operations, and synchronizes major police functions by establishing common
ways of accomplishing police tasks.
c. It seeks to provide a common framework for offices/units and field operatives given a particular
situation. It serves to answer the following basic questions:
1)What is the PNP all about? Who does it serve?
2)What is its mandate and functions in reference to the State?
3)How must it carry out its missions? To what end?

1.6 Factors to consider in formulating Fundamental Manuals

a) Available Technology
b) Geography
c) Current Peace and Order situation
d) PNP units’ capabilities
e) Community support/participation
f) Laws, Regulations and Policies
g) Latest Trends in international policing

1.7 Categories of PNP Doctrines and Manuals. Different categories of PNP manuals are required due to
the wide range of missions and responsibilities assigned to the PNP. 2

a) Primary Doctrines
1. Fundamental Doctrine. It states the basic principles, policies and bases in the planning,
organization and management of the PNP in support of the PNP vision, mission and strategic
action plan towards the attainment of national objectives. This manual shall be the primary
manual of the PNP and shall therefore be indexed as PNPM-D-0-01.
 2. Ethical Doctrine. It defines the fundamental principles governing the rules of conduct,
attitude, behavior and ethical norms of the PNP. (refer to PNP Code of Conduct and Ethical
Behavior)
b) Secondary Doctrines
1) Operational Doctrines. They consist of principles and rules governing the planning,
organization, direction and employmentand deployment of PNP forces in the
accomplishment of basic security operational mission in crime prevention and solution, law
enforcement, public safety and security. PNP operational doctrines are published in
separate manuals.
Examples of PNP Operations Manuals are: PNP Police Operational Procedures, Criminal
Investigations Manual, Field Manual on Forensic Investigation, etc.
2) Administrative Doctrines. Provide guidance on the accomplishment of general
administrative functions or tasks of the PNP. They set guidelines, formats or general policies
that must be followed in accomplishing periodic administrative tasks.
Examples of PNP Administrative Doctrines/Manuals are: Doctrine on Administrative
Issuances, Doctrine on PNP Issuances, Doctrine on Classified Information, Doctrine on
Complete Staff Work.
3) Functional Doctrines or Administrative and Operations Manual (AOM). Provide guidance for
routine operational and administrative functions of each unit in its fields of interest. They
cover the operational, administrative and technical fields that are functionally relevant to
the PNP unit concerned.
4) Complementary Doctrine - This manual is jointly formulated by two or more
bureaus/agencies/organizations in order to effect a certain operation. With regard to Public
Safety and Peace and Order, this essentially involves inter-agency collaboration with:the
Bureau of Jail Management and Penology (BJMP), the Bureau of Fire Protection (BFP), the
Philippine Public Safety College (PPSC), the National Bureau of Investigation (NBI) and other
law enforcement agencies other than the PNP.3
5) Best Practice Doctrine/Manual – This manual describes or features an initiative, activity,
technique or method adopted outside the usual routine or procedural requirement of police
operations/administration that has been proven to deliver desired results and leads to the
fulfillment of certain police objectives. Best practices are sourced from field experiences,
practices and researches which when applied uniformly produce almost the same results or
outcomes at a particular time.
The objective of adopting best practices is to find and adopt “best ways of doing things” that
have already been proven to achieve desired results. They are usually replicated from
smaller units to larger units and from lower to higher levels of the PNP. Best practices
usually become part of standard procedures when already adopted at a national scale and
mainstreamed as a policy for wider adoption.
Examples of Best practices doctrines are the Regional Peace and Order Councils, the
Barangay Peacekeeping Operations thru Barangay Peacekeeping Action Teams and the
Crime Mapping System.
1.8 Relationship between policies, doctrines and manuals

a. Doctrines provide general guidelines on how personnel must act or behave on a given situation
as manifested by organizational mandate, principles, beliefs, values, traditions and other
dynamics. Doctrines are usually translated into policies to provide more detailed instructions
and prescribe sanctions to its non-adherence. Policies on the other hand become sources of new
doctrines. When put together, policies and doctrines become manuals which are more specific
and focused to a particular police function or task.
b. The doctrine on police presence which states that “by deploying more PNP personnel and warm
bodies to the streets and other strategic and crime-prone areas, crime is deterred and police
service is felt” is an example of a doctrine. A manifestation of this doctrine is the Police Security
Containment Ring System (PSCRS) which started as a best practice and later on modified,
adopted and mainstreamed as a policy through the Police Integrated Patrol System (PIPS). The
PIPS is now part of the PNP’s Police Operational Procedures Manual.
c. In terms of applicability, doctrines are to be continuously applied at all times transcending
political, social and economic changes. Policies are aimed at being applied for a particular period
of time and are impacted by political, organizational and socio-economic developments.
Manuals on the other hand, are dependent on standing policies and current tactical and
strategic trends. 4

Section 1-3. Document Security Classification

1.9 Document Security. Information and material in any form or any nature, the safeguarding of which
is necessary in the interest of national security and is classified for such purpose by the responsible
classifying authority.

PNP Doctrines and documents shall be classified as follows:

1) Top Secret. Information and material the authorized disclosure of which would cause
exceptionally grave damage to the nation, politically, economically and militarily. Top Secret
documents may be copied, extracted or reproduced only when classifying authority has
authorized such action. When so authorized, the reproduction shall be carried out under the
supervision of an authorized officer.
2) Secret. Information and material, the unauthorized disclosure of which would endanger
to the national security, cause serious injury to the interest or prestige of the nation or any
governmentactivity or would be of advantage to a foreign nation. Secret documents may be
copied, extracted or reproduced only when classifying authority has authorized such action.
When so authorized, the reproduction shall be carried out under the supervision of an
authorized officer.
 3) Confidential. Information and material, the authorized disclosure of which would be
prejudicial to the interest or prestige of the nation or government activity or would cause
administrative embarrassment or unwarranted injury to an individual or would be an
advantage to a foreign nation. The copying, extracting from or production of confidential
matter is authorized, unless the originator or higher authority has specifically desired such
authority.
4) Restricted. Information and material which requires special protection other than that
determined to be Confidential, Secret and Top Secret matters.5

CHAPTER 2

POWERS OF THE STATE

Section 2-1 General

2.1 The Right to Self-Preservation. Universally accepted as a moral and legal right of every state, the act
of self-preservation is explicitly mandated in Article II, Section 4, of the 1987 Philippine Constitution that
reads:

“The prime duty of the Government is to serve and protect the people. The Government may call
upon the people to defend the State and, in the fulfillment thereof, all citizens may be required,
under conditions provided by law, to render personal, military or civil service.”

2.2 National Interest

a. Definition. National interest refers to any or all particular ends from which a nation finds
benefits or advantages for the welfare of its own people. A national interest may consist of an
undertaking or involvement in any particular concern which redounds to the security and well-
being of the people. National interest provides guidance along which a nation acts. They are
secured and enhanced by setting up certain objectives.
b. National Interest of the Philippines. The Constitution of the Philippines clearly indicates the
national interest of the Republic. They include, among others, political independence and
stability, democratic governance, socio-economic well-being, territorial integrity, ecological
equilibrium and cultural-preservation.

2.3 Principles and State Policies. The Philippines is governed by the following principles as set forth
under Article II of the 1987 Philippine Constitution.

a. The Philippines is a democratic and republican State. Sovereignty resides in the people and all
government authority emanates from them.
 b. The Philippines renounces war as an instrument of national policy, adopts the generally
accepted principles of international law as part of the law of the land and adheres to the policy
of peace, equality, justice, freedom, cooperation, and amity with all nations.
c. Civilian authority is, at all times, supreme over the military. The Armed Forces of the Philippines
is the protector of the people and the State. Its goal is to secure the sovereignty of the State and
the integrity of the national territory.
d. The maintenance of peace and order, the protection of life, liberty, and property, and
promotion of the general welfare are essential for the enjoyment by all the people of the
blessings of democracy.
e. The separation of Church and State shall be inviolable.

2.4 National Objectives. National objectives are the aims, goals or ends toward which a national
strategy is directed. They support the national interests and provide the bases for which policies are
formulated and implemented. The Philippinesadopts the following national objectives:

a. To preserve the territorial integrity of the Philippine archipelago in accordance with the
“Archipelago Theory” which states that an archipelago or a group of islands comprising a state
shall be treated as a national unit;

b. To promote the general welfare under a regime of justice, peace, liberty and equality;
c. To establish and maintain friendly and peaceful relations with all nations on the basis of mutual
respect and understanding and of the principles of equal rights and self-determination of all
people;
d. To achieve national unity through the encouragement of involvement by the people and the
exhortation of cooperation of all sectors;
e. To insure internal security by maintaining a high state of law and order and gain people’s
support strong enough to suppress lawlessness and disorder.

2.5 National Strategy

a. Definition. National Strategy is the art and science of employing the political, economic, psycho-
social and military/police powers of a nation in times of peace or war to achieve national
objectives. It is concerned with broad matters that vitally affect the national interest and
objectives. It pays a special attention to relatively uncontrollable environmental factors by the
projection of future events in the light of unexpected eventualities. It is a long range plan that
involves total power and assets of a nation to realize national ends; and
b. National Strategy of the Philippines. “The Philippines renounces war as an instrument of
national policy”. The statement embodies the national strategy of the Republic, that is, it shall
attain its national objectives through peaceful means and reject aggression as an alternative
course of action. However, it shall deter and suppress any form of aggression by utilizing
military/police power if necessary in the exercise of the right to self-preservation.6
 Section 2-2. Police Power of the State

2.6 General Concepts

a. National power refers to the total strength and ability of the state to gain desired objectives. It
involves the various components combined in appropriate mix and magnitudes. They are the
political, economic, psycho-social and police/military components. The degree of strength or
weakness of a nation vis-à-vis each component is a measure of its national power;
b. Political power is largely determined by the stability and credibility of the government in
whatever form it may be, its administrative machinery, the character of its people, and the
soundness of its domestic and foreign policies. The police forms part of the political power;

c. Economic power depends on a variety of economic factors such as magnitude of human and
natural resources, agro-industrial capacity, extent of grade and commerce, communication,
system and others;
d. Psychological power is determined by the nationalistic temperament of the people, the kind of
social and moral fiber they have, the degree of faith they keep towards their own institution, be
it social, religious, educational, or cultural; and
e. Police power depends largely but not solely on the strength of a nation’s police forces. It
likewise depends on the foregoing three components of national power. Therefore, police
power is the combination of both the strength of the psycho-social and political components. A
truism as it appears to be, police powers becomes almost synonymous to national power so that
in the pursuit of the desired national ends, greater reliance is placed on the police. It is
designated to exert legal force or pressure. It becomes a national tool for the implementation of
national goals and objectives and the measure of its effectiveness.

2.7 Objectives of the Political Instrument of National Power

The fundamental objectives of Police power are:

a. To uphold the sovereignty of the state from all threats;

b. To suppress any violation of law that threatens the security of the state; and
c. To insure compliance of the law by everyone.

2.8 Sovereignty and Territory. The Philippines is a friendly and peace-loving nation. It affirms, however,
the right to uphold and defend its sovereignty and7territorial integrity. Its constitution does not waive
the right to self-preservation in case of attack or violation of its sovereignty or territorial domain.

2.9 Adherence
 a. Conceived as the foundation of the overall effort to achieve internal security, compliance to all
laws of the state is given a high bearing -usually all the instruments of national power- this
becomes the most important objective of the political instrument of national power; and
b. Adherence is a state of mind resulting from a religious compliance of the law.

2.10 Program and Missions. In addition to purely police functions, the political instrument may conduct
campaign and execute programs in support of national objectives. Units of the PNP may be employed in
socio-economic programs, in the operation and maintenance of essential public services and utilities,
and in providing public assistance in time of national disasters and calamities.

Section 2-3. Fundamental Principles of Law Enforcement

2.11 General. The consistent application of fundamental principles in law enforcement is necessary to
avoid human rights violation and maintain respect of the profession. Thus, PNP members must be
guided by the following principles (Robert Peele’s,1829):

a. The basic principle for which the police exist is to prevent crime and disorder.
b. The ability of the police to perform their duties is dependent upon public approval of police
actions.
c. Police must secure the willing cooperation of the public in voluntary observance of the law to be
able to secure and maintain the respect of the public.
d. The degree of cooperation of the public that can be secured diminishes proportionately to the
necessity of the use of physical force.
e. Police seek and preserve public favor not by catering to public opinion but by constantly
demonstrating absolute impartial service to the law.
f. Police use physical force to the extent necessary to secure observance of the law or to restore
order only when the exercise of persuasion, advice and warning is found to be insufficient.8
g. Police, at all times, should maintain a relationship with the public that gives reality to the
historic tradition that the police are the public and the public are the police; the police being
only members of the public who are paid to give full-time attention to duties which are
incumbent on every citizen in the interests of community welfare and existence.
h. Police should always direct their action strictly towards their functions and never appear to
usurp the powers of the judiciary.
i. The test of police efficiency is the absence of crime and dishonor, not the visible evidence of
police action in dealing with it.8
 CHAPTER 3

THE PHILIPPINE NATIONAL POLICE

Section 3-1 Mandate, Vision and Mission

3.1 General. It is the policy of the State to establish a highly efficient and competent police force which
is national in scope and civilian in character administered and controlled by a national police
commission. The Philippine National Police (PNP) shall be a community and service oriented agency
responsible for the maintenance of peace and order and public safety. The PNP shall be so organized to
ensure accountability and uprightness in police exercise of discretion as well as to achieve efficiency and
effectiveness of its members and units in the performance of their functions. (Title 1, Section 2, R.A.
8551)

The PNP is adopting the Performance Governance System (PGS) as its strategy in accomplishing its
mandated mission and functions complemented by the Balanced Scorecard system as its management
tool in measuring progress and performance of PNP units and individual personnel. (see Annex E “PNP
PATROL Plan 2030 Roadmap)

3.2 Legal Bases

a. Republic Act 6975 (An Act Establishing the Philippine National Police under a Reorganized
Department of the Interior and Local Government, and for Other Purposes).
b. Republic Act 8551 (An Act Providing for the Reform and Reorganization of the Philippine
National Police and for Other Purposes, Amending Certain Provisions of R.A. 6975).
c. Republic Act 9708 (An Act Extending for Five Years the Reglementary Period for Complying with
the Minimum Educational Qualification for Appointment to the Philippine National Police and
Adjusting the Promotion System Thereof, Amending for the Purpose Pertinent Provisions of R.A.
6975 and R.A. 8551).

3.3 Vision. Imploring the aid of the Almighty, by 2030, we shall be a highly capable, effective and
credible police service working in partnership with a responsive community towards the attainment of a
safer place to live, work and do business. (PNP Patrol Plan 2030 )
3.4 Mission. The PNP is mandated to enforce the law, prevent and control crimes, maintain peace and
order, and ensure public safety and internal security with the active support of the community.

Section 3-2 Philosophy, Core Values and Ethics

3.5 Philosophy. “Service, Honor, Justice”. These words describe the embodiment of ideals of the
officers, men and women of the PNP to insure efficiency, integrity, cohesiveness, camaraderie and
equanimity towards enhancingcommunity acceptance and support and to attain its mission of peace
keeping and law enforcement.

3.6 Core Values. The police service is a noble profession which demands from its members specialized
knowledge and skills, as well as high standards of ethics and morality. Hence, the members of the PNP
must adhere to and internalize the enduring core values of love of God, respect for authority, selfless
love and service for people, sanctity of marriage, and family life, responsible dominion and stewardship
over material things, and truthfulness (PNP Ethics and Values Formation Manual, 2007). These core
values are summarized in the following:

a. MakaDiyos (God-fearing. Pro-God)

b. Makatao (Humane. Pro-People)
c. Makabayan (Patriotic. Pro-Country)
d. Makakalikasan (Environment-friendly. Pro-Environment)

3.7 The Police Officer’s Creed (Chapter II, Section 2 of the PNP Ethical Doctrine: 1995)

I believe in God, The Supreme Being, The Great Provider, and The Creator of all men and
everything dear to me. In return, I can do no less than love Him above all obeying His word, seek His
guidance in the performance of my sworn duties and honor Him at all times.

I believe that respect for authority is a duty. I respect and uphold the Constitution, the laws of the
land and the applicable rules and regulations. I recognize the legitimacy and authority of the leadership,
and obey legal orders of my superior officers.

I believe in selfless love and service to people. Towards this end, I commit myself to the service of
my fellowmen over and above my personal interest.

I believe in the sanctity of marriage and family life. I shall set the example of decency and morality,
shall have high regard for family life and value of marital fidelity.
 I believe in the responsible dominion and stewardship over material things. I shall inhibit myself
from extravagance and ostentatious display of material things. I shall help protect the environment and
conserve nature to maintain ecological balance.11

I believe in the wisdom of truthfulness. I must be trustworthy and I shall uphold the truth at all
times.

3.8 Law Enforcers’ Code of Conduct. (Adopted thru United Nations General Assembly Resolution 34/169
on December 17, 1979)

a. Law enforcement officials shall at all times fulfill the duty imposed upon them by law, by
serving the community and by protecting all persons against illegal acts, consistent with the
high degree of responsibility required by their profession.
b. In the performance of their duty, law enforcement officials shall respect and protect human
dignity and maintain and uphold the human rights of all persons.
c. Law enforcement officials may use force only when strictly necessary and to the extent
required for the performance of their duty. Matters of a confidential nature in the possession
of law enforcement officials shall be kept confidential, unless the performance of duty or the
needs of justice strictly require otherwise.
d. No law enforcement official may inflict, instigate or tolerate any act of torture or other cruel,
inhuman or degrading treatment or punishment, nor may any law enforcement official invoke
superior order or exceptional circumstances such as a state of war, a threat to national
security, internal political instability or any other public emergency as a justification of torture
or other cruel, inhuman or degrading treatment or punishment.
e. Law enforcement officials shall ensure the full protection of the health of persons in their
custody and, in particular, shall take immediate action to secure medical attention whenever
required.
f. Law enforcement officials shall not commit any act of corruption. They shall also rigorously
oppose and combat all such acts.
g. Law enforcement officials shall respect the law and the present Code. They shall also, to the
best of their capability, prevent and rigorously oppose any violation of them.

Section 3-3 Symbols

3.9 PNP Seal Symbolism and Meaning (as registered at the National Historical Institute on December
1991)11
 a. The Native Shield – The symbol of the Philippine
Constabulary, the first National Police by virtue of Organic
Act No. 175, enacted by the Philippine Commission on July 18,
1901. The Philippine Constabulary for the close to 90 years of
service to the nation has performed with honor,
professionalism and courage. The PC has carved out a large
part of the glorious pages of Philippine history, as attested
by its proud and deserving 86 of the total 92 “Medals of Valor” the highest honor that a grateful
Filipino nation can bestow to its gallant sons in the service of the Republic. Most appropriately
therefore, the PC became the nucleus of the Integrated National Police in 1975 to nurture the
then embryonic concept of the nationalization of the country’s local police forces.12
b. The Sun Rays- Symbolizes the flowering, maturing and ultimate realization of the glorious
evolution of the PC/INP into a National Police Organization that is national in scope and civilian
in character as enshrined in the 1986 Constitution. The traditional light rays which represent the
provinces which fought for the country and inspired themembers of the National Police with
ideals of courage and patriotism that all PNP members must possess.
c. Lapu-Lapu – The great Filipino hero of Mactan, the prototype of the best and most noble in
Filipino manhood who is the symbol and embodiment of all the genuine attributes and traits of
leadership, courage, nationalism, self-reliance and a people-based and peoplepowered
community defense. The benevolent and heroic warrior who derived added strength from a
cohesive, determined and loyal people is today a fitting symbol of people power to preserve our
values, customs, traditions, way of life and the rule of law through a solid community-based
police system. Lapu-Lapu also personifies for us today civilian constitutional authority.
d. The Three Stars- Luzon, Visayas and Mindanao and the 1,700 islands and the territorial integrity
wherein the National Police must enforce the law and maintain peace and order with
professionalism, zeal and dedication in keeping with the highest ideals and traditions of service
to our country and people.12
e. Service, Honor, Justice – Added distinct ideals for the officers, men and women of the PNP to
insure efficiency, integrity, cohesiveness, camaraderie and equanimity to enhance community
acceptance and support to attain its mission of peacekeeping and law enforcement.
f. Laurel Leaves- Green laurel leaves symbolizes the Regional Commands. It is also a symbol of the
honor, dignity and the privilege of being a member of a noble organization where the call to
public service par excellence is a commitment to public trust.

3.10 The PNP Badge, Symbolism and Meaning (as registered at the National Historical Institute and
Intellectual Property Office of the Philippines dated January 2012)

a. Philippine Eagle– represent the Philippine national bird-symbol of swiftness, power, courage
and immortality.
b. Shield - symbol of protection of all citizens.
 c. Three (3) Stars - stands for Luzon, Visayas and Mindanao which constitute the Republic's
territorial integrity over which the PNP must enforce the law and maintain peace and order with
professionalism, zeal and dedication in keeping with the highest ideals and traditions of service
to God, country and people.
d. Sun with Eight (8) Rays – derived from the Philippine national flag to which the eight (8) rays
represent the eight provinces whose ideals of courage, gallantry and patriotism led to their
revolt against Spain.
e. Lapu–Lapu - symbolizes the bravery of the Philippine National Police.
f. Scroll with inscription- represents the PNP’s motto:
Service - is the vibrant and cogent deeds and action in response to the needs and wants of the
people in distress.
Honor – is the over-riding criterion and consideration in the performance of their entrusted task
or mission.
Justice – dispensed to everyone whatever is due to him without favoritism or discrimination of
any sort.
g. Laurel Leaves – symbolizes the competency, brilliance and honor expected from each and every
member of the PNP.
h. Philippine National Police inscription – depicts the identity of solidarity.
i. Rank - represents the rank of the police officer.13
j. Serial Number- represents the serial number of the police officer.

Section 3-4 Functions

3.11 Powers and Functions of the PNP. (As defined in Section 24 of Republic Act 6975)

a. Enforce all laws and ordinances relative to the protection of lives and properties;
b. Maintain peace and order and take all necessary steps to ensure public safety;

c. Investigate and prevent crimes, effect the arrest of criminal offenders, bring them to justice and
assists in their prosecution;
d. Exercise the general powers to make arrest, search and seizure in accordance with the
Constitution and pertinent laws;
e. Detain an arrested person for a period not beyond what is prescribed by law, informing the
person so detained of all his rights under the constitution;Issue license for the possession of
firearms and explosives in accordance with laws;
f. Supervise and control the training and operations of security agencies, and issue licenses to
operate security agencies and to security guards and private detective for the practice of their
professions; and
g. Perform such other duties and exercise all other functions as may be directed by law.
3.12 Collateral Functions. A collateral function of the Philippine National Police is always in collaboration
with other law enforcement agencies and police volunteers.

They are:

a. To maintain forces and establish police volunteers to sustain the need of law
enforcement;
b. To maintain readiness in mobile forces and police volunteers, trained and equipped for
employment in emergencies;
c. To provide adequate, timely and reliable intelligence for use by the PNP, and in
assistance to other agencies;
d. To organize, train and equip a force for assignment to an insurgentaffected area;
e. To prepare and submit budgets to NAPOLCOM Chairman for the PNP units and offices;
justify before the competent authority budget request14as approved by NAPOLCOM; and
administer funds for maintaining, equipping and training the forces of the Police Regional
Offices (PROs)including the National Support Units;
f. To conduct research and develop doctrines, procedures, tactics, techniques, develop
and procure weapons, equipment and supplies essential to the fulfillment of the functions
assigned;
g. To develop, supply and maintain police camps/bases and other installations including
lines of communication; and
h. To assist other law enforcement agencies when called/requested/directed.

i. To support the AFP through information gathering and performance of its ordinary
police functions, on matters involving the suppression of insurgency. (Title II, Section 3, RA 8551
amending RA 6975)
j. To support the AFP in combat operations involving the suppression of insurgency and
other serious threats to national security. (Executive Order No. 546 Directing the Philippine
National Police to Undertake Active Support to the Armed Forces of the Philippines in Internal
Security Operations for the Suppression of Insurgency and Other Threats to National Security,
Amending Certain Provisions of Executive Order No. 110 Series of 1999 and for Other Purposes
dated July 14, 2006)

Section 3-5 The Organization

3.13 Organization. The Philippine National Police includes the National Headquarters Philippine National
Police, PNP National Support Units - Operational and Administrative, Major Subordinate commands and
such other units as may be established to meet the necessary requirements in the execution of the PNP
mission and functions. (Title III, Section 25 of RA 6975)
 a. National. At the national level, the PNP shall maintain its office in Metropolitan Manila which
shall house the directorial staff, service staff and special support units.
b. Regional. At the regional level, the PNP shall have regional offices, including that of the National
Capital Region, which may be divided into two (2) separate regions without prejudice to the
pertinent provisions of the Organic Act for the Autonomous Regions of the Cordilleras and
Muslim Mindanao relative to the creation of a regional police force in the area of autonomy.
Each of these regional offices shall be headedby a Regional Director for peace and order.
c. Provincial. At the provincial level, there shall be a PNP office, each headed by a Provincial
Director. In the case of large provinces, police districts may be established by the Commission to
be headed by a District Director.
d. City or Municipal. At the city or municipal level, there shall be a PNP station, each headed by a
Chief of Police.

CHAPTER 4

ORGANIZATION, COMMAND AND STAFF PRINCIPLES

Section 4-1 General Concepts in Organization

4.1 Definition of Organization

a. An organization is a system of coordinating activities of a group of people working in a

concentrated manner towards a common goal under authority and leadership.
b. A system of coordinated activities means that all organizations are composed of parts and
relationships. The parts of organization are the activities or functions being performed and they
are organized when they assume certain logical relationships.
c. In all organizations, a group of people are needed to implement or execute the activities or
functions.
d. Cooperation towards a common goal is important in an organization. Cooperation is strictly a
human phenomenon. For rational behavior, cooperation among individuals always has a
purpose. Objectives of the organization spell out that purpose. Its general purpose is to obtain
organizational efficiency.
 e. Organizations are normally structured on a superior-subordinate relationship. Therefore,
authority is a universal element of all organizations. Leadership is a personal quality which
exhorts willing collaboration towards a common goal.

4.2 Four Primal Conditions of Organizations. Organizations as mentioned above provide unity of action
to realize a common purpose. However, before any unity of action is possible, four primal conditions
must exist:

a. Authority. This is the supreme source of government for any particular organization. It is the
right exercise, to decide and to command by virtue of rank and position.
b. Mutual Cooperation/Coordination/Consultation. An organization exists because it serves a
purpose. This purpose is viewed by society as beneficial to it. This becomes the social legitimacy
for the organization to perform its functions in the society. It constitutes recognition by an
agreement with the public on the rationality of its existence.
c. Doctrine. This defines the organization’s objectives. It also provides the very source of various
actions which are performed to assure organizational coordination. Hence, policies, procedures,
rules and regulations of the organization are based on the statement of doctrines.
d. Discipline. In any organization, discipline is necessary to promote coordination. Understood as
comprising behavioral regulations, it is imposed either by command or self-restraint to insure
supportive behavior from people composing the organization.

4.3 Principles of Organization. The primal foundations stated above are broad enough to apply to any
organization regardless of structural design and form. However, certain principles of organization find
particular application in the rational structuring of organizations.

a. Principle of Unity of Objective. An organization structure is effective if it enables individuals to

contribute to the organizations/unit objectives.
b. Principle of Organizational Efficiency. An organization structure is effective if it is structured to
aid the accomplishment of the organization’s objectives with a minimum, of unsought
consequences or costs.
c. The Scalar Principle. It prescribes the vertical hierarchy of organizations. It defines an unbroken
chain or scale of units from top to bottom describing explicitly the flow of authority. This
principle demands the following conditions to achieve effective coordination:
1. Unity of Command. It defines a hierarchical system in which a subordinate is accountable to
one and only one immediate superior. This is indispensable to achieve effective
coordination. Any violation to this principle undermines authority, jeopardizes discipline,
disturbs order and threatens stability in the organization.
2. Span of Control. This relates to the number of subordinates a superior can effectively
supervise. There is no exactmathematical ratio in superior-subordinate relationship. A
satisfactory span of control is instead determined by the four (4) factors combined:
i. Managerial ability of superior;
ii. Effectiveness of organizational communication system;
iii. Effectiveness of management control exercised over operations; and
 iv. Organizational Philosophy on centralization versus decentralization of authority and
function.
3. Delegation of Authority. Scalar process refers to the growth of the chain of command
resulting in the creation of additional levels in the organizational structure. Span of control
necessitates delegation of authority.
d. Functional Principle. Prescribes the horizontal growth of theorganization. The growth referred
to here is applicable to the line as well as to the emergence of staff functions in organizations.
The dynamic foundation of the functional process is called the division of labor. It simply means
the breaking up of work units to achieve specialization. As the organization grows, the job must
be divided sothat it won’t become so inclusive to an extent that it could hardly be performed.
Such division must be defined to identify clear areas of specialization. The division of work will
support the operational performance of the organization.
e. Line and Staff Principle. Organizations must provide an orderly arrangement of functions so that
objectives can be accomplished effectively. The line and staff principle provides two basic
structures in organization: 1) the line structure and 2) the staff structure. A line organization
refers to the direct accomplishment of objectives. The staff on the other hand, refers to
organizations operating in an advisory or facilitative capacity. Another viewpoint contends that
those having relatively unlimited authority over those to whom orders are given are considered
line officials while those having authority restricted to their functional area are called staff
officials.
f. Directorial Staff Principle. Prescribes the directorial authority of the Directorate in the national
and regional levels and other equivalent units.
g. Principle of Balance. In every structure there is a need for balance. The application of principles
or techniques must be balanced to ensure the overall effectiveness of the structure in meeting
the organization’sobjectives.
h. Principle of Delegation. Authority delegated to all individual managers should be adequate to
ensure their ability to accomplish the expected results.
i. Principle of Absoluteness of Responsibility. The responsibility of subordinates to their superiors
for performance is absolute, and superiors are accountable for their subordinates’ activities.
j. Principle of Parity of Authority and Responsibility. The responsibility for actions cannot be
greater than that implied by the authority delegated, nor should it be less.
k. Authority-Level Principle. Maintenance of intended delegation requires that decisions within
the authority of individual commander should be made by them and not be referred upward in
the organizational structure.
l. Principle of Flexibility. The more provisions are made for building flexibility in an organizational
structure, the more adequately an organization’s structure can fulfill its purpose. Devices and
techniques for anticipating and reacting to change must be built into every structure. Every unit
moves toward its goal in a changing environment, both external and internal. The unit that
develops inflexibilities, whether these are resistance to change, too-complicated procedures, or
toofirm department lines, is risking inability to meet the challenges of behavior, technical,
biological, political and social change.
 m. Principle of Leadership Facilitation. The more an organization’s structure and its delegation of
authority enable leaders/commanders to design and maintain an environment for performance,
the more they will help the leadership abilities of those in command.
If the authority allocation and the structural arrangements create a situation in which heads of
departments tend to be looked upon as leaders and in which their task of leadership is aided,
organization structuring has accomplished an essential task.

Section 4-2. Broad Bases of Organizations

4.4 General. The Philippine National Police observes several broad bases in organizing units of the
command. Organizations comprising the command are not organized out of vacuum but are determined
using bases. In most cases, two or more of these bases are equally applied in actual situations, they are
as follows:

a. Area basis. Organization according to area is defined as the grouping of subordinate units or
elements under a commander who is maderesponsible by higher authority for some continuing
operations within a specified geographic area. Reasons for organizing on area basis are:
1) To provide centralized direction among units within the area;
2) To provide a medium of coordination between higher levels of the command and the
command organization itself in the area;
3) To establish the specific responsibility of the commander;
4) To maximize coverage of the overall command, thus enabling it to accomplish its missions
and functions more effectively; and
5) To serve as an integrative force for all units within the area.
b. Functions basis. Organization according to function is defined as the grouping together of
subordinate units or elements under a commander who is charged with specific functions
without respect to any geographic area. Reasons for organizing on functions basis are:
1) To obtain expeditious performance of a given task or solution to a given problem without
restriction to a given geographic area;
2) To achieve concerted actions toward the accomplishment of objectives by avoiding
overlapping or duplication of functions;
3) To fix responsibility to a specific functional area; and
4) To effect proper coordination for specialized logistics support required for particular
operations.
In some instances, organizations are created on the bases of both area and function
depending on the nature of missions and responsibilities confronting the commander.
c. Clientele basis. Under special circumstances, organizations, maybe established to serve a
particular sector of the client public. Such organizations are created on a clientele basis usually
without respect to geographical area or to functions for which they have been specifically
 dedicated. Normally, these organizations are also created with respect to work processes to
effect satisfactory service to public demands. Reasons for organizing on a clientele basis are:
1) To concentrate on a specific service required by client;
2) To fix the responsibility of the commander;1919
3) To make the organization responsive in delivering its assigned tasks.
d. Work process basis. Organization on the basis of work processes means the grouping together
of subordinate units or elements primarily trained to practice a given or related job. Reasons for
organizing on the basis of work processes are:
1) To maximize utilization of up-to-date skill derived from training;
2) To obtain more effective coordination as a result of homogeneous training and skill; and
3) To make the organization responsive in delivering its assigned tasks.
e. Contingency basis. Organization on the basis of contingency means the creation of a contingent
small unit in a short term period comprising the organic elements tactically organized to address
a specific situation or phenomenon occurring in the area of responsibility. Reasons for
organizing on the basis of contingency are:
1) To maximize utilization of existing elements whose expertise or technical knowledge are
needed and applicable;
2) To obtain facts and immediate solution of the existing problem by which the unit was
tactically organized; and
3) To support generally the organization of various bases as mentioned above.
The nature of the missions, functions and responsibilities assigned to a command
organization determine which basis should apply in its creation.
The boundaries of these bases when applied are vague. In any case, however, the more
dominant reason should be considered.

Section 4-3. Application of Principles

4.5 Fundamental considerations in Command Organization

a. The primary concerns in organizing command organization are:

1. Determination of specific activities that are necessary to accomplish the pre-determined
objectives; and19
2. Grouping and assigning the activities to specific positions and people.
b. A sound command organization should provide for:
1) Centralized direction;
2) Decentralized execution; and
3) A common doctrine
c. Centralized direction is necessary to coordinate as well as to integrate the total efforts of the
component forces. This underscores the importance of central planning and control. Equally
important is the decentralized execution because no commander is physically and mentally
 capable of knowing and executing every detailed action of a large organization. This simply
means delegation of authorities and assignment of various categories of responsibilities to lower
commanders in view of the span of control. A common doctrine is likewise indispensable to
promote mutual understanding and confidence between a director and his subordinates and to
provide guidelines in the absence of specific instructions.

4.6 The Chain of Command. It is the hierarchal relationship of positions through which the primary
functions of the organization are performed. It is a line or chain of superior from the top to bottom; the
route taken for all communications which may either start from or go to thru top authority in the chain.
A Unit Director exercises his authority and responsibility through a “chain of command.” It consists of
different levels as follows:

a. Top Echelon. The top most level in the chain where the overall responsibility and authority over
subordinate commands and units is placed.
b. Middle Echelon. The next lower echelon constitutes subordinate commands/units apportioned
by the commander in order to accomplish his tasks. Each of these subordinate commanders is
responsible to the common superior for the accomplishment of his assigned task. The Regional
Commands and the National Support Units, Provincial/City Commands/NCR Districts belong to
the middle echelon. However for purposes of clarity, this echelon is further categorized as
follows:
1. Police Regional Offices/NSU’s – Top-middle echelon

2. Provincial/City Police Offices /NCR District Offices –intermediary– middle echelon.

3. Municipal Police Offices/Numbered Police Stations – lower middle echelon
c. Lower Echelon. The lower echelon is comprised of the subordinate units further apportioned by
subordinate commanders, such as the municipal and city police stations. A commander may
apportion his tasks to subordinates to an extent dictated primarily by the nature of the task and
the availability of material and human resources.

4.7 Principles in Structuring Command Organizations

a. Division of Work. The process of dividing work shall be guided primarily by the break-up of work
into its fundamental components andincrease specialization at the lower levels of command.
The lowest unit should be constituted into a complete job to be occupied by one or more
persons at a given time.
b. Goal Orientation. The grouping of functions when setting up the structural framework of an
organizational unit should be oriented towards the accomplishment of the goals of the whole
organization.
c. Levels of Authority. The levels of authority should be as minimal as possible so that the chain of
command will be short. This can be done by eliminating all unnecessary intermediate levels of
authority provided that the span of control will not be unreasonably wide.
d. Simplicity. A structurally simple organization is defined by its adequate size and targeted
positions, functions or units.
 e. Unity of Command. This requires that a subordinate is responsible to only one commander. It
also provides that for a responsive work direction, an organizational unit, position, or element
should be responsible for policy directions without impairment, however, the free exchange of
ideas and information at all levels is encouraged.
f. Responsibility and Authority. The areas of responsibility should be clearly delineated and the
location of authority logically established at every level throughout the organization without
impairing the responsibility and authority in the highest executive of the organization.
g. Span of Control. The limits of effective supervision should be observed on the basis of the
nature of the work, the capabilities of commanders and subordinates, organizational
communication system and physical lay-out of the organization so that the span of control
Balance and Symmetry.
h. Balance and symmetry in organizational structuring particularly in the proportional
relationships of line and staff, central headquarters and field elements, hierarchy and
nomenclature of organizational units, and levels of authority and titles or positions should be
consistently observed together with the other principles of organization.
i. Equality. For every responsibility there should always be a commensurate authority and vice-
versa to specify limits of power to avoid its abuse.
j. Homogeneity. Homogeneous grouping of work should give way to necessary divisions where
grouping will result in focusing resources towards the upholding of basic organizational
interests.
k. Duplication and Overlap. Overlapping of work functions and duties should continually be
avoided. Accountabilities and responsibilities must be clearly identified for every work function.

4.8 Delegation of Authority and Assignment of Responsibility. It is the action by which the Chief, PNP
assigns part of his authority to his Deputies, Directorial Staff, Regional Directors and NSU Directors. The
act of delegating authority and assigning responsibility to subordinate elements of the PNP is considered
a necessary prerequisite to the organization of these elements into units. The commander therefore
must:

a. Clearly state the mission or tasks to enable subordinates to determine their individual
contribution to the overall mission of the command organization.
b. Allocate to his subordinate, resources necessary for the accomplishment of their assigned tasks.
c. Delegate sufficient authority and functions to subordinates commensurate to the assigned
responsibility.
d. Provide an adequate communication system between him and his subordinates to ensure
subordinates’ conformity to pre-established plans and policies and avoid abuse of authority.
e. Provides an effective control procedure without stifling innovativeness.
f. Create special committee when undertaking special projects. In assigning committee
chairmanship and membership, it must be on a positional designation basis rather than
individual designation basis.21of every commander is not overly extended.21
 Section 4-4 Command and Staff Principles

4.9 Purpose. The purpose of this is to outline selected basic principles and procedures of command staff
applicable to the organizational set up of the Philippine National Police.

4.10 Definitions

a. Command. Within the context of this chapter, the term "Command" shall be taken to mean the
authority vested in an individual of the police service over his subordinates by virtue of his rank
or assignment.
b. Staff. It is a coordinating body assigned to help the commander accomplish his missions. It is
composed of the officers exercising directorial authority, each having a functional area or
responsibility which the commander is interested in.
c. Authority. It is the right to decide and command.
1) In a police organization, authority consists of rights such as to:
a. Make decisions within the bounds of his authority;
b. Assign tasks to subordinates; and
c. Expect and require satisfactory performance from subordinates.
2) Authority must be coupled with commensurate responsibility for planning, organizing,
directing, coordinating, and controlling police forces for the effective accomplishment of
assigned mission.
a. Responsibility. It is the obligation to do something.Responsibility is the duty that one
has to perform in the organizational tasks, functions and assignments.
b. Accountability. This refers to the obligation to account for the authority delegated and
tasks assigned to subordinates. Subordinates must answer to his commander with
regard to the discharge of his authority granted him by his superior. In other words,
each subordinate is obligated to support to his superior measured by the manner he
exercised his responsibility and the use of the authority delegated to him.
c. Mission. The term refers to a duty assigned to a police unit or an individual. In a larger
sense, it may refer to the effect desired through the discharge of one or more functions
by a PNP unit or an individual.

Section 4-5. Command Principles and Procedures

4.11 Command Authority. This provides the commander with the right to plan, organize, direct,
coordinate and control PNP forces or units in order to accomplish an assigned mission or task.
Essentially, this inextricably goes with a commensurate responsibility not only on the foregoing function
but also on matters of health, welfare, morale, training and discipline of subordinates.

4.12 Command Responsibility. The commander is responsible for all that his unit does or fails to do. This
responsibility can never be delegated otherwise it would constitute an abdication of his role as a
commander. He alone answers for the success or failure of his command in all circumstances.

4.13 The Commander

a. The commander exercises command authority and responsibility over subordinates by virtue of
his rank and assignment. Such authority should be within the scope of law, policies and PNP
service regulations.
b. He discharges his responsibilities through a chain of command. All orders are issued by the
commander of the highest unit to commander(s) of subordinate units.
Only in urgent situations when intermediate commanders may be bypassed. In such instances,
intermediate commanders should be notified of the context of the order as soon as possible by
both the commander issuing the order and the commander receiving it.
c. The commander alone is responsible for what his unit does or fails to do. He can delegate
authority but not his responsibility.
d. He performs vital functions such as planning, organizing, motivating, communicating and
controlling the command organization. 23

4.14 Responsibility and Authority of a Commander

a. A commander is responsible for the satisfactory accomplishment of the functions and missions
assigned to his command. His authority shall be commensurate with his responsibilities subject
to law, Civil Service Commission (CSC), National Police Commission (NAPOLCOM) and PNP rules
and regulations. He exercises authority normally through the Directorial Staff and his immediate
subordinate commanders may communicate directly with any of his subordinate should he
deems it necessary.
b. Subject to the policies and orders of higher office/headquarters, a commander may issue such
regulations and instructions as may be necessary for the proper administration and operation of
his command.
c. A commander is responsible for the care, preservation, and proper utilization of all equipment
issued to his command and for the proper observation of supply discipline. As such he is
expected to inventory the equipment and materials in his unit prior to his relief and should
properly turn over to the incoming commander.
d. A commander shall encourage among his officers’ harmonious relations and a spirit of
camaraderie in the performance of their duties.

e. A commander shall be responsible for the security and strict observation of secrecy discipline
within his command.
 f. Commander shall be responsible for the assignment of his personnel based on the positional
qualification standard.

4.15 Impossibility of Delegation of Responsibility. A commander may assign duties to his subordinates
accompanied by an appropriate authority. The responsibility over the satisfactory performance of these
duties however, remains with the commander. A commander's own responsibility is not in the least
diminished when he delegates authority to his subordinates. In other words, no amount of delegating
authority will reduce the commander's responsibility. Delegation of authority may even actually increase
the burden/risk of commander's responsibility because he should then be held responsible for the
personal supervision of subordinates in addition to his responsibility of seeing that the work of his
organization is accomplished. In extreme cases, the commander may choose to do the work himself and,
therefore, he does not have to supervise his subordinates. In either event, the commander retains
complete responsibility for the accomplishment of his work.

4.16 Source of Responsibility. Responsibility is created within a commander when he accepts an

assignment together with a delegation of appropriate authority. It is not the act of delegating authority
or assignment of tasks that creates responsibility. Rather, responsibility is created by the commander
within himself when he agrees to perform a task. If the commander is not agreeable to the conditions of
his assignment, and is, therefore, unwilling to accept responsibility, then he should reject the
assignment. An unjustified rejection of an assignment, amounting to a refusal to be responsible, could
lead to disciplinary action or even dismissal from the service.

4.17 Guiding Principles of Responsibility

a. Position of Major Responsibility (PMR). A position that has a major decision-making prerogative
and ultimate assumption of responsibility or a key position of leadership. It is the one that
assumes the primary responsibility as a Commander or Director. The position of major
responsibility encompasses: Chief PNP; Director of Directorial Staff NHQ-PNP; Regional Director
(Regular or Special Police Regional Offices; Director of National Support Units; Provincial/City
Police Office Director; District Director-NCR); and Regional Public Safety Battalion Commander.
b. Position of Collateral Responsibility (PCR). A position that has direct bearing on the
accomplishment of the mission/function of an officer holding the position of major
responsibility. It is a position that assumes the secondary responsibility to the officer holding the
position of major responsibility. The position of collateral responsibility includes: Chief of
Division of the Directorial staff NHQ-PNP; Directorial staff of the Regional
Commands/NSU's/Districts; Personal Staff; and the Chief Executive Senior Police Officer of NHQ,
PROs and National Support Units.
c. Position of Supervisory Responsibility (PSR). A position that assumes a primary responsibility to
supervise and orchestrate the activities of the command/unit or office supportive/vital to the
accomplishment of the mission/function of the officer holding the position of major
responsibility. The Position of Supervisory Responsibility includes: Deputies of CPNP; TCDS;
Deputies and Executive Director of the Directorial Staff, NHQ-PNP; Deputies and Regional Chief
Directorial Staff of PROs/NSU's/Districts; and Deputies of Provincial/City Offices/Districts.
 d. Position of Front-Line Responsibility (PFLR). A position that assumes the: primary field
command responsibility. The position of Front-Line Responsibility includes: Public Safety
Battallion Comdrs; Chiefs of Police; Directors of Provincial District Office; Chief of Special
Units/Office of PROs and NSU's; Section Chief of the Divisions of the Directorial Staff NHQ-PNP
and Regional offices and Staff of NSU's; 25Provincial and city office staff officers; and Command
Police NonCommissioned officer of the Provincial/City District, Special Units/Office of
PROs/NSUs.
e. Position of Hands-on/Lineman Responsibility (PHLR). A position that has the immediate hands-
on responsibility in the machine/equipment operation, clerks, resources operation or plan
execution such as lineman, fieldman, streetman, operator, beatman and patrolman. It includes
all personnel assigned in the Police Districts, Police Stations, Public Safety Battallions, Provincial
Offices, National Support Units, and NHQ-PNP who are not included in the definition of the
other categories of Responsibility.

4.18 Acceptance of Responsibility and Accountability. To avoid organizational ineffectiveness and

friction, commanders of police organizations must accept responsibility and accountability.

4.19 Flow of Accountability. Since responsibility is largely retained with the commander it does not flow
downwards or upwards in the organization. However, accountability does flow upwards in the
organization for the reason that a commander's responsibility is not enough to ensure coordinated
performance in organizations in the same manner that a commander cannot reduce his responsibility. In
delegation of authority, he also cannot reduce his accountability to his subordinates.

4.20 Balance of Authority, Responsibility and Accountability. An important task of a superior is to

continuously seek an acceptable authority, responsibility and accountability both for himself and his
subordinates in order to promote an equilibrium in his organization. Authority must not exceed
responsibility or accountability. The extra authority might be used arbitrarily, capriciously, or without
due consideration on the effect on others. Likewise, responsibility or accountability must not exceed
authority otherwise a commander might be held accountable for things he cannot change or control.

4.21 The Chain of Command

a. Effective Police operations require strict adherence to the established Chain of Command. This
consists of a hierarchy of officers given respective command authority at varying levels through
which command action should be channeled.
b. Under extraordinary circumstances, the chain of command may be bypassed when such
adherence becomes impractical or may cause unacceptable delay. The senior commander, by-
passing the chain of command, assumes responsibility for the order he has given to a
subordinate commander. Intermediate commanders who have been25by-passed should be
informed of such orders and action taken at the first practicable opportunity.
 c. The chain of command should be institutionalized by having all commanders of the various
echelons of command to make provisions of succession of command in case of contingencies
like absence or death of commander.

4.22 Command and Communication

a. The maintenance of an effective communication system is a function and a direct responsibility

of the command. Success or failure of police operations depends greatly on the ability of
commanders to observe the closest coordination possible among force employed. The key to an
effective coordination is the reliability of the communication system between forces.
b. The purposes of communication in command organization are classified into five (5) broad
areas:
1) Becoming informed, or informing others. This is the basic purpose of routine day to day
communication events. Communication enables all subordinates to affirm their purposes in
command organizations so that they can all work towardscompatible objectives. All
decisions shall only be implemented or reflected in command operations after all
subordinates involved are properly informed.
2) Evaluating one's own inputs, or another's outputs, or some ideological scheme. The
dynamic nature of command organizations demands that constant evaluation be made of
the activities which can be attained. Thus, the effective communication system includes a
feedback of the effectiveness of one's own decisions, other decisions and actions and
evaluation of alternate proposals to keep the organization on the right track. Evaluation
involves many recurring communications. Detailed plans, budgets and formal report all aid
in the evaluation of internal and external factors affecting the organization.
3) Directing others or being directed or instructed. Communication between the commander
and the human and physical resources of his command is imperative so that he can direct
them toward organizational objectives. Job training depends on communication Delegation
of authority is impossible without communication.26
4) Influencing others or being influenced. Motivation is provided and stimulated by the
commander through communication. The balance between efficiency lies on the ability to
motivate and influence

4.23 Mutual Responsibility for Coordination

a. In any given echelon, coordination among commanders is required. Each commander is

responsible to the common superior for the performance of his assigned tasks. Coordination of
effort among these commanders is the duty of both the common superior and the individual
commander.
b. As far as conditions would permit, commanders should keep each other informed of their
positions, movements and intentions, and of contacts with enemies/ criminals. It is not
necessary to burden the communication system with frequent report when operations are being
executed as planned, or with reports on the enemy/ criminal containing no information value. It
 is essential however, to report new information on the enemy/criminal and to report delays or
modifications in the execution of certain parts of a directive.

4.24 Announcement of Assumption of Command. Upon assuming command and likewise units under
his command, when appropriate, the commander shall also inform the senior commanders of other PNP
units and officials of other government agencies and foreign government agencies located within his
area of responsibility about his assumption of command.

4.25 Readiness. A commander/Director shall take practicable steps to maintain his command in a state
of readiness. In conformity with the orders and policies of higher authority, he shall:

a. Organize all personnel under his command and assign mission and duties to his subordinate
commanders.
b. Prepare plans for the employment of personnel to meet all prevailing and future situation.
c. Coordinate on a wide range of important matters with the commanders of other PNP units and
with appropriate government officials located within the area covered by his command.
d. Make or cause an inspection to insure discipline and efficiency in his command.27

4.26 Observance of International Law

a. In the event of war between nations with which the Republic of the Philippines has peaceful
relationships, a commander shall observe or require his command to observe the principles of
international law. He shall make all efforts consistent with prescribed principles to preserve and
protect the lives and properties of the citizens of the Republic.
b. When the Republic is at war, he shall observe and require his command to observe the
principles of International Law. He shall respect the rights of neutral nations pursuant to
International Law and the pertinent provisions of treaties.

4.27 Information and Reports. A commander should keep his superior appropriately informed of:

a. The organization of his command, the prospective and actual movement of the units of his
command and the location of his headquarters; and
b. The plan of employment of his forces.

Section 4-6 Leadership and Development

4.28 Introduction. To any organization nothing could be more important than the responsibility for
leadership and its development. The PNP recognizes this fact, for without leadership, it is a muddle of
men, weapons, and machines. Nothing but leadership can bind together the officers and men and
motivate them towards goals. The Commander's functions of planning, organizing, directing, controlling
and deciding become dormant and meaningless until he triggers the power of leadership among his men
and guides them toward the accomplishment of his mission.
"Leadership therefore transforms potential into reality. It is the ultimate act which brings to success all
the clusters of potentials that are in the organization and its members” (Morrison: 1994, p.47).
Leadership is so important to the Philippine National Police and this is the very reason why it is being
treated separately under this section.

4.29 Definition of Leadership

a. Leadership is a part of command functions, but not all of it. A commander is required to
discharge his functions, like planning and deciding, but no less important, he must also get
others to follow. The fact that he can influence others to follow him is no guarantee that he is
going in the right direction. This implies that a strong leader can be a weak commander for the
reason that he is lacking strength in some other managerial abilities like planning and organizing.
He may be able to motivate his command to keep on moving but only tangential to
organizational objectives. The reverse is also possible. It is therefore imperative that a
commander should have an excellent managerial capability and reasonably high leadership
ability.
b. Leadership is something an individual does, not something he has. Leadership, however,
should not be confused with mere activity as may be implied herein. Dynamic interactions with
people will not necessary result into leadership. What could be more appropriate as a
leadership action is "to stay in the background keeping pressures off the group, to keep quiet so
that others may talk, to be calm in times of uproar, to hesitate and to delay decisions”.
c. The quality of a person's leadership is appraised in practice by studying his followers. The
number and kind of followers and the strength and stability of their commitment to
organizational goals can define the quality of leadership in a person.
d. Leadership is situational. Different problems, different groups and different attitudes within the
same organization demand different leadership qualities and styles.

4.30 Personal Traits of a leader. Personal traits, although they exist in person, shall only become active
when a certain group or situation calls for them. It must be understood, therefore, that these traits can
only be shown or measured after a person becomes a leader. On the other hand, there are various traits
of a person which do not necessarily make him a leader. It appears that several traits of most leaders are
likewise found among non-leaders. These traits consequently do not define a cause-and-effect
relationship with leadership. However, the following personal traits have been found to be the most
correlated to successful organizational leadership.

a. Intelligence. Leaders usually possess higher intelligence than the average of his followers. The
difference may not be so great but still it normally exists, he needs an excellent analytical ability
and communication capacity to tackle the board problems and complicated relationships in
organizations.
b. Social Maturity and Breadth. A leader usually has broad interests and activities. He is
emotionally matured and possesses a high frustration tolerance. His anti-social tendencies are at
a minimum and he prudently displays a reasonable self-assurance and self-respect.2828
 c. Inner Motivation and Achievement Drives. A leader has a strong personal motivation to keep
on accomplishing things. He is an achiever. After reaching one goal, he strives to attain a higher
level of goal to satisfy his inner drives. He always keeps in mind that the essence of leadership is
the acceptance of responsibility.
d. Human Relations Attitude. A leader preserves and develops a healthy respect for people. He
maintains the dignity and mutual interest among his followers realizing that the job is always
done through them. He approaches problems and identify solutions in consultation with
thepeople involved. In short, he is a subordinate-oriented leader.

4.31 Leadership as Role Behavior

a. Strong leadership has become increasingly evident that it is the result of an effective role
behavior. Leadership is tangibly shown by a person's acts more than by his traits. It is true that
traits considerably influence acts but so do the subordinates, goals, and the environment where
the acts occur. In short, there are a number of variables highly influencing the acts of a leader.
b. Leadership therefore is a role behavior which unites and stimulates subordinates toward
particular objectives in particular environment.
c. In his role behavior, leaders use three different skills. In application, these skills are interrelated
and used in combinations.
1) Technical. Knowledge or proficiency in any type of process. A leader deals with things.
2) Human. Ability to interact effectively with people and exhort teamwork or cooperation. A
leader is concerned about the people.
3) Conceptual. Ability to deal with long-range plans, broad relationships and other attractions.
A leader deals with ideas.

4.32 Some Leadership Functions in Practice. In a dynamic organization such as the police, it is not
enough that the commander performs his functions as required by his authority and responsibility. The
vital functions of planning, organizing, motivating, communicating, and controlling command or units
describe the core of the commander's job. However, there are other functions which may influence the
success or failure of the organization. These are called leadership functions. They are as follows:

a. Arbitrating. In every organization, conflict among members often arises. An effective leader will
resolve such disagreement by arbitrating or making a decision on the matter. While it is always
expected that the leader will make the right decision, it becomes more important that his
decisions redounds to making the organization more productive and efficient.
b. Suggesting. A skillful leader applies the power of suggestion in making decisions. Suggesting
often permits the subordinate to retain decisions and allow him to preserve his dignity. In this
manner, a subordinate feels empowered compared to being given a direct order.
c. Supplying Objectives. A leader usually supplies the objectives of the organization by clearly
defining them. This enables the subordinate to work together towards it. Normally,
organizational objectives do not appear automatically and therefore unknown to members of
the organization. Thus, it must be supplied by the leader together with suitable objectives and
measures of performance.
 d. Catalyzing. In organizations, some kind of force is needed to stir subordinates into action. A
leader must provide that force. When he does, he is acting as a catalyst.
e. Providing Security. One very important factor to members of an organization is personal
security. A leader can provide a large measure of security by maintaining stability under
pressure or assuming a positive or optimistic attitude even in the face of adversities. A leader
challenged by difficulties yet exhibits a positive attitude can contribute to a successful
leadership. Subordinates under this kind of leadership tend to assimilate the attitude of their
leader.
f. Representing. A leader represents the entire organization. He serves as its symbol. As such, the
impression he creates impacts the image of the organization he represents.
g. Inspiring. Subordinates work more productively when their leader gives them due recognition
on their job. When they are inspired, they work more enthusiastically towards the
accomplishment of organizational objectives. A leader must let his subordinates know that their
work is worthwhile and important.
h. Praising. Being considered as important in an organization is a human need of every
subordinate. He wants his work to be appreciated. A leader can satisfy this need not by an
empty flattery but by a sincere pat on the back for a job well done. This will make subordinates
pleased and more involved in his work.30

Section 4-7. Staff Principles and Procedures

4.33 Staff Authority. It is the commander that delegates authority to a particular staff officer to take
action on matters within the bounds of command policies. The staff issue orders in the name of the
commander who retains responsibility for such.The authority delegated to individual staff officers varies
with the level and mission of the command, the urgency of operations and the relationship of the staff
officer’s functional area with the primary mission of the command.

4.34 Staff Responsibility. Staff officers are each assigned with a functional areas of interests. Each is
responsible for the accomplishment of all staff actions within his area of interest. This does not carry,
however, command authority over other staff officer or other elements of the command.

4.35 Staff Functions

a. The staff is organized as a Directorial body to assist the commanders to discharge his functions.
It is composed of staff officers specifically ordered or detailed to take charge of the various
broad fields of interests over which the commander is concerned with.
b. The staff is commanded by the commander. It is supervised by the Chief Directorial Staff.
The following are the five (5) functions which are common to all staff officers:
1) Provide the commander with pertinent and evaluated information in usable form;
2) Make estimates to assist the commander in deciding on a course of action;
3) Make recommendations to assist the commander in reaching decisions and in formulating
policies;
 4) Convert the commander's decisions into plans and orders; and
5) Supervise the execution of plans and orders.

4.36 Relationship between the Staff and Commanders and Staff of Subordinate Commands31

a. Staff officers should avoid usurping the prerogatives and responsibilities of commanders and
staff of subordinate commands to promote coordination and avoid unnecessary friction.
b. Staff officer may contact a subordinate commander to transmit orders and instructions of higher
commanders, to provide pieces of advice and recommendations or to disseminate or exchange
information. This condition is applicable in the following situations:
1) When the higher commander specially authorizes staff members to issue orders and
instructions;
2) When the commander delegates operational control of a unit to a staff officer;
3) When the technical or professional nature of certain activities requires a special
relationship; and
4) When the command organization includes a subordinate unit that is assigned or attached
for administrative control only.
c. The advice or recommendation of a staff officer may be accepted or rejected by a subordinate
commander in the same manner he handles such with his own staff.
d. Respective staff officers of higher and lower commands may take staffto-staff contact for
purposes of coordination and cooperation only. In this case, the higher headquarters staff may
not exercise independenauthority over the subordinate headquarters staff.

4.37 Staff Procedures

a. Staff officers should at all times closely follow standard procedures and techniques in
discharging their functions. These are the methods used to accomplish staff functions or the
"how’s" of staff operations.
b. Staff procedures expedite the accomplishment of staff and techniques used in good staff work.
More particularly, they must know the detailed procedures and techniques applied in their
respective areas of interests.
c. In accordance with scalar arrangements, staff officers must always remember that the bases for
all their actions are the command mission and the commander's responsibilities, and that all
their actions are only means to accomplish an end and not the ends themselves.

4.38 Completed Staff Action. Actions of staff officers must be complete staff actions. A completed staff
action includes a thorough analysis of a problem, consideration of all feasible courses of action, and his
recommended solution in finished form which the commander can approve or disapprove. This
procedure usually gives more work for staff officers, but provides the commander more freedom to
think and decide.

4.39 Staff Coordination

a) Three reasons for coordination within a staff.

 1) To insure expeditious and harmonious staff action in carrying out the commander's plan;
2) To delineate particular tasks within the staff in order to avoid conflicts and duplications; and
3) To make the necessary adjustments in plans and policies before their implementation.
b) The Chief of Directorial Staff establishes procedures of coordinating the various directorial staff's
operations.
c) In specific staff action, the action officer assigned to a particular task is responsible for staff
coordination.
d) Staff coordination may be achieved through the following methods;
1. Informal and formal conferences of various staff members;
2. Briefings;
3. Prompt distribution of essential information, decisions and orders within or among
headquarters staff division/sections;
4. Formal routing of staff papers to appropriate directorial staff for comment and concurrence;
and
5. Close contact and exchange of information by each staff division/section with the
corresponding staff at higher, lower, adjacent and supporting headquarters.
e) Staff coordination is time consuming. Obtaining complete coordination or concurrence from the
staff members when immediate action is desired is not always possible. In such cases, the action
officer presents the plan or recommendation to the proper authority explaining the urgency of a
quick action on the matter. The referral authority may call all concerned parties to obtain their
concurrence or may approve the recommendation without it. However interested staff
elements are later on informed of the action taken.

4.40 Staff Supervision

a. The staff must constantly supervise the execution of plans and order issued by, or in the name
of the commander to insure proper implementation or compliance.
b. Staff supervision may be conducted through:
1) Analysis of reports;
2) Staff visits; and
3) Staff inspections.

c. Through the analysis of reports, the staff can determine the progress of command operations.
Staff visits to subordinate units are made to provide the guidance and assistance in their
respective areas of responsibilities. Staff inspections are conducted by staff officers as directed
by the commander.

4.41 Means of Communication by Staff

a. In accomplishing their functions and responsibilities, staff officers avail of the following means of
communication:
1) Personal contact as in the case of staff visits and inspections;
 2) Police communication networks like telephone and radio;
3) Written communication like memorandum, letters, endorsements, radio messages, etc.; and
4) Liaising. Liaising duties are not restricted to liaison officers specifically designated as such;
any staff officer may also perform these duties.
b. Channels which may be used by staff in communicating with subordinate units are the following:
1. Command Channels. These are used for commander-tocommander interaction where all
orders are issued in the name of the commander;
2. Staff Channels. These are used for coordination and exchange of information between
counterpart staff element; and
3. Technical Channels. These are used by special staff officers and by functional specialists of
the coordinating staff for routine technical reports and instructions as prescribed by the
commander.33

4.42 Procedures for Making Estimates

a. Estimates are prepared to meet particular requirements. A staff officer can make a rapid mental,
oral or written estimate depending on the time available and the specific requirements of the
commander.
1) A rapid mental estimate is made whenever a new item of information is considered
significant. It is limited in scope and is intended for his use only.
2) An oral estimate is usually presented to the commander and other staff officers upon
request or during a briefing.
3) The written estimate which is normally more formal and comprehensive is made for
planning purposes of the commander.
b. An estimate may have to be prepared before the availability of extensive information in order to
formulate tentative plans for future operations. Such preliminary estimate is largely based on
current information and a number of assumptions on factors which cannot be definitely
established. These assumptions are usually about the disposition and capabilities of friendly and
hostile forces, the resources available, and the material time needed to accomplish a certain
course of action. It is very important that the staff officer informs the commander when the
estimate is usually made to ascertain the feasibility factors that point towards a decision on a
certain course of action.
c. The preparation of estimates is a continuing process. As new items of information are received,
estimates are revised to improved the quality of recommendations and decisions of the
commander.

4.43 Procedures for Presenting Recommendations

a. A staff officer should always be prepared to make a recommendation to the commander on

matters within his functional areas of interest. Such recommendation should be based on the
thorough analysis of alternatives presented. Any observation concerning a functional area which
is not his primary responsibility is normally endorsed to the appropriate staff officer.
 b. In the analysis of problems and presentation of recommendations, a staff officer may follow
both the formal and informal procedures, provided they are systematic. He must clearly explain
the advantages and disadvantages of each alternative and then present his recommendation
candidly and objectively.
c. Whether the procedure is formal or informal, a staff officer must carefully analyze and compare
all feasible alternatives based on accurate information available. He must clearly define the
procedure which may consist of written estimates, staff studies, or formal briefings. An informal
procedure may be verbal or on a person-toperson basis.
d. The staff officer must be thoroughly prepared to make positive recommendations when desired
by the commander. When such recommendation affects the functional areas of other staff
officers, he should coordinate with them. He should clearly identify the best alternative from his
point of view and state it in an appropriate forum which requires the approval of the
commander.

4.44 Procedures of Preparing Plans and Orders

1. The over-all responsibility in the preparation of plans is given to a single staff officer. The other
staff officers provide some elements or positions of the plan or order that are applicable to their
respective functional scope.
2. Staff officers supplying some portions of the plan or order must interpret the commander's
desire with respect to their areas of interest, prepare initial drafts, conduct necessary
coordination and submit final draft to staff officer responsible for the overall preparation.
3. The staff officer having responsibility for over-all preparation reviews the component elements
to insure consonance with the commander's decision. He then assigns identification numbers to
the plan or the order and to annexes and appendixes, as needed; accomplishes final staff
coordination and submits the complete document to the Chief Directorial Staff for command
approval and signature. When the plan or order has been signed, the responsible staff officer
authenticates copies as necessary and reproduces and distributes the document
4. Staff officers may prepare and issue fragmentary/supplementary orders, either orally or in
writing. Usually, these orders concern immediate operational requirements. The Staff officer
confers informally with other staff officers concerned, and secures the Chief Directorial Staff's
guidance. When time is critical, staff officers with delegated authority write and issue
fragmentary/supplementary orders in the name of the commander, then promptly inform the
Chief Directorial Staff and any other concerned staff officers about suchorders.

4.45 Briefings. Briefings are made by the staff to keep the commander informed with the current
situation and problems facing the command.

4.46 Staff Studies. A staff study is a study technique in command organizations depicting an analysis of
problems and their corresponding solutions.

4.47 Reports and Summaries

a. Reports and summaries are used frequently to disseminate information to higher, lower, and
adjacent commands. Every staff division, section or branch extensively prepares reports and
summaries. The format and time of distribution should be standardized within a command.
b. Only the minimum number of reports and summaries consistent with the commander's need for
information are required of subordinate commands.
c. Reports and summaries should be submitted on time for the commander to be able to use them
in decision making.35