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PHILIPPINE RETIREMENT AUTHORITY
CERTIFICATIONThis is to certify that the Philippine Retirement Authority (PRetA) has conducted the lnternal Quality Audit(lQA) for the following core, management, and support processes:
The IQA was conducted after the intensive lS0 9001:2008 training series attended by PRetA's Core Teamunder the technical guidance of a certified lS0 9001:2008 Consultant,
To serve as references, attached are the following lSO-related documents:
1. Approved lnternal Quality Audit Procedure (Annex A)2. Approved Audit Plan and ltinerary (Annex B)
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REPUBLIC OF THE PHILIPPINESDEPARTMENT OF TOURISM
2BlF CiiibankTower, ET4l Faseo de Roxas, Makati City 1220, PhilippinesTel. No.: +632.848.1412 Fax No.: +632.846.7'tr06 MCPO Box : 1147
Email address: inquiry@pra.gov.ph Website: www.pra.gov^ph-
RETINEMENT MORE FUX IN THE-
PH #. ffiPI N ES
DATE PROCESS AUDITED TYPE OF PROCESS
20 October 2017
1. Market Development Core2. lmplementation of Market Plan Core
3, Recruitment of SRRV Applicants Core
4. Enrollment of SRRV Applicants Core5. Provision of Membership Services Core
23 October 2017 6. Manaqinq lnfrastructure Support24 October 2017 7. Planning Process Manaqement
8. Performance Monitoring and Assessment ofCorporate Performance
Management
9. Management of Human Resources Support26 October 2017 10. Manage Financial Resources Support27 October 2017 11. Manaoement of Procurement Support
07 November 2017 12. Manaqement of Goods and Services SuPPort
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PHILIPPINE RETIREMENTAUTHOHry Page No. 1of 9
Quality Management System lssue No. 002
Quality Procedurelnternal Quality Audit lssue Date: Ociober 2017
Document Code: PRA-QM-QPRO.OOOs
INTERNALAUALITY AUDIT
PROCEDURE
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PHILIPPINE RETIREMENTAUTHORITY Page No. 2of9
Quality Management System lssue No^ ao2
Quality Procedurelnternal Quality Audit lssue Date: October 2017
Document Code: PRA-QM-QPRO-OOO5
1.0 Purpose
The lntemal Quality Audit procedure is established to ensure that the QualityManagement system (aMS) conforms to the planned arangements andrequirements of lso 9001:2008. This procedure ensures that the eMS iseffectively implemented, maintained and improved.
2.0 Scope
This procedure is implemented within the pRA eMS including themanagement, core, and support processes and shall be conducted by eMSauditors. The procedure shall start from the selection of QMS auditors up tothe monitoring of CAPA.
3.0 References
The following documents are used as references in the implementation of thisprocedure:
3.1 ISO 9001:2008 - QMS Requirements, Clause 8.2.2
3.2 Control of Records Procedure
3.3 Conective and Preventive Action Procedure
3.4 Control of Non-Conformity Procedure
3.4 tSO 1901 1:2011- Guidelines for Auditing Management Systems
3.5 PhilippineGovernmentlntemalAuditing Manuat(pGlAM)
4.0 Definition of Terms
Term DefinitionAudit Checklist A set of criteria which shall serve as a quide to an auditor.Audit Evidence The qualitative or quantitative record, statement of facts or
other information, which shall be verifiable and relevant to theaudit activity.
Audit Finding The result of the evaluation of the collected audit evidenceagainst audit criteria.
Audit Plan Description of activities and arrangements for an audit.Audit Schedule Set of one or more audits planned for a specific timeframe,
directed towards a specific purpose, including the assignmentof auditors.
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PHILIPPINE RETIREMENTAUTHORITY Page No. 3 of 9
Quality Management System lssue No. 002
Quality Procedurelnternal Quality Audit lssue Date: October 2017
Document Code: PRA.QM-QPRO-OOO5
Term DefinitionCAPA Registry A logbooUdatabase used for tracking the status of issued
CAPAS.
Conective Action Action to eliminate the cause of a detected nonconformity orother undesirable situation. Corrective action is taken toprevent recurrence.
CorrectiveAction/PreventiveAction (CAPA) Form
A form used to keep record of any nonconformity (NCyOpportunity for improvement (OFl) and the corresponding rootcause analysis and actions taken to address it.
lnternal Quality Audit(r0A)
A systematic, independent and documented process forobtaining audit evidence and evaluating it objectively todetermine the extent to which criteria are fulfilled.
IQA Report Set of documented findings per particular area issued by eMSauditor as a result of conducting lQA.
Nonconformity (NC) Non-fulfillment of a requirement or deviation from the standard.
Opportunity forlmprovement (OFl)
An observed situation, not necessarily a deviation of arequirement or standard, that if addressed will lead toimprovement of the process.
Preventive Action Action to eliminate the causes of potential nonconformities orother undesirable situation. Preventive actions shall be takento prevent the occurrence of nonconformities.
Summary of IQAFindings
List of observations and findings during the conduct of the leAand the corresponding actions taken. lt is also a tool used forreporting to the management the evaluation made by the QMSauditors.
5.0 Responsibilities
Designate ResponsibilityManagement Provides supervision or oversight function on a particular unit
and approves the analysis and action required for detectednonconformities.
Quality ManagementRepresentative (QMR)
Oversees the implementation of the IQA Program andapproves the selection of QMS auditors. Renders overallauthority on the disposition of IQA findings/conclusions.
Deputy QualityManagementRepresentative(DQMR)
Assists the QMR in performing assigned duties andresponsibilities and assumes the responsibilities of the QMR inhis absence.
PRA. QMSSecretariat
Provides administrative and logistic support for the auditprocess. a
QMS Auditors / AuditTeam
Conducts audit through proper implementation of lnternalQuality Audit procedure. Composed of the internal qualityauditors representinq all Departments of the Authoritv. The
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AUTHORITY Page No. 4of9
Quality Management System lssue No. 002
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Document Code: PRA-QM-QPRO-OOO5
Designate Responsibilityteam may be composed of team leader, member and/orobserver.
Observer Accompanies the audit team but does not audit, does notinfluence or interfere with the conduct of the audit. lt can befrom or outside the auditee's groupldivision, or an auditor-in-training.
QMS Audit Head Oversees conduct of audit and ensures that activities aie Oonewithin the planned schedule.
Auditee The PRA department/divisionlpersonnel being audited. Alsoreferred as "process owner."Ensures that appropriate correctionlconective actions arecarefully reviewed and implemented and are taken withoutundue delay to eliminate nonconformities identified and theircauses.
6.0 Procedure Outline
Ref.No.
Key Activities Responsible Reference DocumenURecord
6.1 Selecting and Managingthe QMS Auditors
r QMS AuditHead
r QMR
a 201 FilesOffice Ordera
6.2 Planning for the IQA r QMS Auditors. QMRr QMS Secretary
a Audit PlanMemoranduma
6.3 Preparing for the IQA a QMS AuditorsQMRa
r Audit ltinerary Formo Audit Checklist
6.4 Conductins the IQA QMS Auditors6.5 Reporting the IQA r QMS Auditors
r QMR. CAPA Form. CAPA Registryr Control of Nonconformity
Procedureo CAPA Procedurer Audit Summary Report
6.6 Verifying Actions Taken QMS Auditors a CAPA ProcedureControl of RecordsProcedure
a
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7.A Procedure Details
7.1 $electing and Managing the QM$ Auditors
7-1.1 The QMS Auditors shall be selected in accordance withrelevant education training, skills, and experience.l And shallbe formalized through issuance of Office Order.
7 -1.2 A QMS Auditor possesses any or combination of the following:
a. Educational requirements
b. Industry and/or audit experience
c. Completed IQA Training course or other relevantquality trainings
7 .1.3 The competence of the QMS Auditors is enhanced throughconsistent participation in audits, attendance in leA Trainingsand other seminars related to lSO.
7.1.4 The auditors possess and exercise the six (6) principles ofauditing2.
7 .2 Planning for the tQA
7.2.1 Each QMS process shall be audited at least once a year.3
7 -2.2 QMS Auditors and QMS Audit Head prepares the audit plan forthe 12-month period before the start of a ealendar year.
7 .2-3 The QMR reviews the audit plan for the approval of the GeneralManager.
7.2.4 Once approved, QMS Secretary disseminates the copies ofaudit plan to all concerned Departments and Divisions within Sdays through a memorandum from the eMR.
7.2.5 \ldhenever necessary, QMR and eMS Audit Team may changethe approved audit schedule or conduct an unplanned auditbased on, but not limited to, the following:
. a. Unusual increase of quality-related problems. .l lSO 19011:2Afi Clause 7
'? lSO 1901 1:2A11 Clause 43 ISO go01:2008 Clause 8.2.2
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b. lntroduction of new PRA services and programs.
c. Major changes in QMS, personnel, and processes as perstakeholdefs request.
d. Unforeseen/unexpected circumstances.
7.2.5 The QMS Audit Head amends the audit plan within 2 daysafter the date of changes in schedule or unplanned IQA hasbeen finalized. Affected audit area shall be properly informed.
7.3 Preparing for the IQA
7.3.1 The QMS Audit Head together with the QMS Auditors formsteams based on the cabcaded audit plan.
7.3.2 Each QMS Audit Team prepares audit schedule using theAudit ltinerary form.
7.3.3 QMS Audit Team communicates the audit schedule to theDepartmentlDivision concemed through applicable andavailable media such as electronic or printed copy, and posting' at bulletin boards at least three (3) working days before theIQA activity.
7.3.4 The QMS Audit Team reviews applicable documents such asQuality Manual, Procedures, and Work lnstructions.
7.3.5 The QMS Audit Team reviews the previous audit reports,making notes of any areas that may require particular attentionand checking the actions taken from the last audit.
7.3.6 The QMS Audit Team prepares Audit Checklist based on theaudit objectives, scope and document review.
Conducting the IQA
7.4.1 The assigned QMS Audit Team Leader starts with an openingmeeting to reconfirm audit schedule, audit objective, scopewith the DepartmenUDivision concernedlprocess owner.
7.4.2 The QMS Audit Team gathers data by interviewing personnel,reviewing documents, observing processes, and verifyingrecords.
7.4
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7.4.3 The QMS Audit Tearn records facts as evidences of the auditusing the Audit Findings Repo( fonn. $dhenever necessaryrecording devices may be used with proper notification fromthe auditee.
7 -4.4 The QMS Audit Team evaluates the same ta determine theobjective evidence of nonconformity.
7.4.5 The audit findings is classified as Nonconformity orOpportunity for lmprovement. Cornmendations and strengthsof ihe process or the system are also be noted.
7.4.6 After the audit, the QMS Audit Team conducts closing meetingto present the audii findings to the DepartmenUDivisionconcerned andlor process owner.a
7.4.7 Any disagreementslpoints for clarification are discussed duringthe closing meeting.
7.4.8 lf not resolved at this level, QMS Audit Team raises the issueto the QMS Audit l-'lead. lf still unresolved, this is raised to theQMR andlor GM.
Reparting the nQA
7.5.1 QMS Audit Team documents audit findings through the CAPAform.
7.5-2 QMS Secretary assigns reference number to the CApA fsrrnfor rnonitoring purposes and records in the CAPA Registry.
7.5.3 The QMS Audit Teanl issues the CAPA fonn to the auditeewithin five (5) working days after the conduct of audit.
7.5.4 The auditee acknowledges by signing on the CAPA form uponreceipt. ln case t*e CAPA issued was lost, auditee shallrequest a copy of CAPA from the QMS Secretariat.
7.5.5 The auditee conducts Root Cause Anatysis per audit findingsper Control of Nonconfsrmity Procedure.
7.5.6 The auditee formulates and implement appropriate conectionsand/or conective actionls according tc Conective andPreventive Action Procedure.
4 pctAlt Parr ll- Chapter II * Audit Process
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PHILIPPINE RETIREMENTAUTHORITY
Page No. 8of9
Quality Management System Issue No. 002
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7.5.7 The auditee returns the accomplished CAPA form to the QMSSecretariat within five (5i working days from the date ofreceipt.
7.5.8 The QMS Secretariat updates the CAPA registry based on thesubmitted CAPAform.
7.5.9 The QMS Audit Head and QMS Auditors prepares and submitsa summary report of findings to the Management including itsconesponding conections, conective actions, and their statuswithin twenty (20) working days after the end of IQA cycle'
7.6 Verifying Actions Taken
7.6.1 The QMS Auditors verifies the implementation andeffectiveness of the actions taken according to Conective andPreventive Action procedures.
7.6.2 QMS Secretary files and maintains records obtained accordingto Control of Records Procedure.
8.0 Related Documents
8.1 Office Order
8.2 Control of Nonconformity Procedure
8.3 Conective and Preventive Action Procedure
8.4 Control of Records Procedure
9.0 Records Generated
9.1 CAPA Report
9.2 CAPA Registry
9.3 IQA Reports
9.4 Summary of IQA Findings
10.0 Provision for Amendment
This procedure shall be amended anytime whenever necessary'
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PHILIPPINE RETIREMENTAUTHORIry Page No. 9ofO
Quality Management System lssue No. 002
' Quality Procedurelnternal Quality Audit lssue Date: October 2017
Document Code: PRA.QM.QPRO-OO05
Prepared by:
PR.A QMS Corc Team
-'#* l. UlMARCELINA T. CARBONEL
-=6#PALMos
/*-ftct-.. ,f"4 -u{MERVIN A. MAGBUHAT
ffi65ffi'€'iu'{'
Reviewed by:
@/DESIREE M. SANTOSGLAI
FRANCI REY L. MARASIGAN
Representative
VANES
Philippine Retirement AuthorityQuality Management System
lnternal Quality Audit Plan
Audit Area: PRA Head Office
CORE PROCESS
Market Dev€lopment
?Oocl-17
20-CreL-L7 CRPD
Jaqueline Elic./ Divina O.Hernandezlmplemenlation of Marketing PIan 20-OcL-L7 CRPD, APD
Recruitment of SRRV APp,icants 20-CrcL-t7 SRPD
Enrolment of SRRV ApPlicants20-Oct-17
20-kt-L7 Proc.Jaqueline Elic/ Divina o.
Hernandez
Provision of MembershiP SeMces io-ocr-tl Serv.
MANAGEMENT PROCESS
Planning Process
Strategic Planning
23-oct-17 (AM)
24-bt-17Corplan, ICTD
Deskee Santos/ RandyAvil€sPerformance Agreement Negotialion 24-kL-L7
Determine ICT Requiremenis 24-kt-L7Performance Monitoring and Assessment
Corporate Performance 24-Oct-17 (PM) 24-kL-L7 Corplan
Annalyn A. Eria/ RandyAvilegManagement Committee (ManComMeetings) 24-Oct-17 (PM) 24-CrcL-L7 Executive Assisiant
lntemalAudit 24-Oct-17 (PM) 24-Oct-t7 IAD
lmprovement Management Process
Policy Formulation & Revielr, ALL
Client Feedback (lnternayExtemaD ALL
Corrective/Preventlve Action ALL
conhol of Non-Conformity ALL
SUPPORT PROCESS
Manage Human Resources
Recruit and Hire Employees
24-Oct-17 (PM)
24-Oct-L7
Annalyn A. Eria/ MeruinMagbuhat
Develop and Train Employees 24-bt-L7
Periodic Performance Evaluation24-OcE-17
Personnel Action 24-Oct-L7
PRA-QM-rQAP-0002 Issue DaLe: Octobe: 2017 Issue No. : 0001
LPROGESS TARGET DATE ACTUAL DATE
DIVISIONS / DEPARTMENTTO BE A.UDITED
AUDITORS
Admin.
Manage Financial Resources
Budget Managenaent
Oct. 27 ,2017
26-kt-L7
Finance Marcelina T. CaboneliFrancis Jeftey Marasigar
hlanage Expenses 26-Oct-L7
Revenue Management 26-OcL-L7
Financial Reporting and Analysis 26-OcL-17
Management of Procurement
Requisition of Goods and Services
Oct.25,2017 (AM)
27-bt-L7
BAC Vanessa Olivas/ RemusErlan Palmos
Evaltntion and Seleetion of Supplier 27-Oct-L7
lssuance of Purchase Order/Notice to Proceed 27-Oct-77
Acceptance from Supplier 27-kr-17
lranagement of Goods and Services
lssuance to End User
od.26,2011
07-Nov-17
Admin Jaqueline Elic/ VanessaOlivas
lnventory and Storage 07-Nov-17
Disposal of Unserviceable Properties 07-Nov-17
Manage lnformation and lT Resources
Managing lnformdtion/Datd
Control of Documents ALL
Control of Records -lt r
M on o g i n g I nf rastructu re
lnventory
Oc|.23,2017
23-Oct-17ICTD, Admin Desiree Santos/ Divina O
Hernandez
Corective Maintenance )?-Oor-17Preventive Maintenance 23-Oct-L7
Prepared by:
PM-QM-rQAP-0002 Issue DaLe: Oetober 2017 Issue No: 0001
Reviewed by:
ANNALYN A. ERIA
Qualil5$anagf mentRepreseii-50
-
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 1 of3
q.
Audit Purpose:To determine the extent and effectiveness of QMS implementationTo prepare for the ISO 9001 CertificationTo determine areas for improvementAudit Scope:Core Process (Market Development up to Provision of Membershtp Services)
Audit Dates: Oct 20, 2016
ProcessDepartment
/ OfficeAudit Criteria Auditor Auditee
Date /Time
MarketDevelopment
CRPDD ISO Clauses
7.1. Planning ofProductRealization7.2.1.Determination ofRequirementsrelated to theproduct7.2.3. CustomerCommunication
8. MeasurementAnalysis, andlmprovement
* ISO Clauses 4.2.3,4.2.4(Control of Docs andRecords);6.4 (WorkEnvironment)
Quality Manual Section V-A
DivinaHernandezandJaquelineElic
Mervin A.Magbuhat
Ketslynn T.Quiletorio
Oct.20,201719AMonwards
lmplementation ofMarketing Plan
CRPDAPD
ISO Clauses7.2.3. CustomerCommunication
8. MeasurementAnalysis, andlmprovement
* ISO Clauses 4.2.3,4.2.4(Control of Docs andRecords);6.4 (WorkEnvironment)
Quality Manual Section V.B
DivinaHernandezandJaquelineElic
Mervin A.Magbuhat
Ketslynn T.Quiletorio
Nazareth Delas Alas andCamille AnneMaitem
Oct.20. . "2o1ql ,/"JA9AMonwards
Document Code Document lssue No. Document lssue Date
PRA.QM-FORM.O12 001
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARY
h.
Page 2 of 3
Recruitment ofSRRV Applicants I
CRPDD ISO Clauses7.2.3. CustomerCommunication7.5.1 Controlofproduction andservice provision7.5.2Yalidation ofprocesses forproduction andservice provision7.5.3 ldentificationand Traceability7.5.4 CustomerProperty8. MeasurementAnalysis, andImprovement
* ISO Clauses 4.2.3,4.2.4(Control of Docs andRecords);6.4 (WorkEnvironment)
Quality Manual Section V.C
Citizen's Charter/ ARTA
I DivinaI HernandezI unaI JaquelineI etic
Mervin A.Magbuhat
Ketslynn T.Quiletorio
GeraldineThereseAgustin
Oct.20,zArct9AMonwards
Enrollment ofSRRV Applicants
Processing ISO Clauses7.2.3. CustomerCommunication7.5.1 Controlofproduction andservice provision7.5.2 Validation ofprocesses forproduction andservice provision7.5.3 ldentificationand Traceability7.5.4 CustomerProperty7.5.5. Preservationof Product8. MeasurementAnalysis, andlmprovement
* ISO Clauses 4.2.3,4.2.4(Control of Docs andRecords);6.4 (WorkEnvironment)
Quality Manual Section V.D
Citizen's Charter/ ARTA
DivinaHernandez
JaquelineElic
FrancisJeffrey L.Marasigan
Glenez Buna
MichelleMolinyawe
Oct.20.2A1q,tl*b1PMonwards
I
Document Code Document lssue No. Document lssue DatePRA-QM.FORM-o,I2 001
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 3 of 3
DivinaHemandez
JaquelineElic
Desiree M.Santos
Paul ManfredAmparo
RomichelleTuralba
Oct.20,201qr1PMonwards
Clauses7.2.3. Customer
r Communication7.5.1 Controlofproduction andseryice provision7.5.2 Validation ofprocesses forproduction andseryice provision7.5.3 ldentificationand Traceabili$7,5.4 CustomerProperty7.5.5. Preservationof Product8. MeasurementAnalysis, andlmprovement
** ISO Clauses 4.2.3,4.2.4(Control of Docs andRecords);6,4 (WorkEnvironment)
Quality Manual Section V.D
Citizen's Charter/ ARTA
Enrollment ofSRRV Applicants
Servicing
ffiffi+#
Document Code Document lssue No. Document lssue Date
PRA.OM-FORM-o12 001
q
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARY
Document Gode Document lssue No. Document Issue DatePRA.QM.FORM-o12 001
Page 1 of 2
To determine the extent and effectiveness of QMS implementationTo prepare for the ISO 9001 CertificationTo determine areas for
Audit Dates: Oct 23, 2016
PRA Quality Manual
ISO Clauses:
6.1. Provision ofresources
6.3. lnfrastructure
8. MeasurementAnalysis, andlmprovement
4.2.3,4.2.4Control of Docsand Records
6.4 WorkEnvironment
Relevant Office Orders
Desiree M.Santos
DivinaHernandez
Ruby D,Abriol
MelaroseRogan
Oct.23,2417t1PMonwards
vvl l sguvg
MaintenancePRA Quality Manual
ISO Clauses:
6.3. lnfrastructure
L MeasurementAnalysis, andlmprovement
4.2.3,4.2.4Control of Docsand Records;
6.4 Work. Environment
Relevant Office Orders
DivinaHernandezandJaquelineElic
Abriol
MelaroseRogan
Oct.23,2017t1PMonwards
L,
Auclit scope:Managinq lnfrastructure
Process Department/ Office Audit Criteria Auditor Auditee Date /
Time
lnventory ASL)
ICTD
ASD
ICTD
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 2 of 2
PreventiveMaintenance
ASD
ICTD
PRA Quality Manual
ISO Glausds:
6.3. lnfrastructure
B. MeasurementAnalysis, andlmprovement
4.2.3,4.2.4Control of Docsand Records;
6.4 WorkEnvironment
Relevant Office Orders
DivinaHernandez
JaquelineElic
Ruby D,
Abriol
MelaroseRogan
Oct.23,2017t1PMonwards
M. SANTOS
Reviewed by: Approved by:
Date: Date: Date:
Document Code Document lssue No. Document lssue DatePRA-QM-FORM-012 001
L.
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 1 of 1
L.
Audit Purpose: To determine the extent and effectiveness of the QMS implementation.To prepare for the ISO 9001 CertiFrcationTo determine areas for improvement
Audit Scope: Planning Process
Audit Dates: October 24,2017
Process Department /Office Audit Criteria Auditor Auditee Date / Time
Strategic Planning CorporatePlanning
Clauses: 4.2.3, 4.2.4, 5.3,5.4, 5.4.1, 5.4.2, 6.4, 8.2.1,8.2.3, 8.2.4, 8.3, 8.4, 8.5.1,8.5.2 and 8.5.3
Quality Manual Clause 4.3
Desiree M.SantosRandy L. Aviles
Divine O.HemandezEdward Allan N.Litao
October 24,20178:30 AM
PerformanceAgreementNegotiation
CorporatePlanning
Clauses: 4.2.3, 4-2.4, 5.3,5.4, G.4, 9.2.1, 9.2.3, 8.2.4,8.3, 8.4,8.5.1, 8.5.2 and8.5.3
Desiree M.SantosRandy L. Aviles
Divine O.HemandezEdward Allan N.Litao
october 24,2017
Determine ICTrequirements(.crD)
-.- !&s&
ICTD wT.F,*'
ufuffi#Clauses: 4.2.3, 4.2.4, 6.3,6.4, 7 .2.2, 8.2.1, 8.2.3,8.2.4, 8.3, 8.4, 8.5.1 , 8.5.2and 8.5.3
Desiree M.SantosRandy L. Aviles
Remus Erlan S.PalmosMelarose R.Rogan
October24,2417
Prepared by:
d/'DESTREE fr/snruros
See##k,
Reviewed by:
:'lI: . ." ,,'/ -('i.trtuLL
ttEibrc. sALESAiidit Team Head
ANNAI:QMR
date: octo8e r29,2017 Date: October 23,2017 Date:
Document Code , Document lssue No. Document lssue DatePRA.QMS.FORM-o12 001 AUGUST20lS
j
:i
ll
I
ilI
i
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 1 ofl
Audit Purpose:To determine the extent and effectivenessTo prepare for the ISO 9001 CertiflcationTo determine areas for improvement
of QMS implementation
Audit Scope:Performance MonitoringlnternalAudit
and Assessment of Corporate Performance, Management Committee (ManCom Meetings) and
Audit Dates: October 24,2017
Process Department iOffice Audit Criteria Auditor Auditee Date / Time
CorporatePerformance
ISO Clauses 5.4.1 &5.4.2,8.1 & 8.2
Annalyn A.Eria/RandyAviles
Divine O.Hernandez,OlC, Corplan
OcL24,2017,9:00 amonwards
ManagementCommittee(ManComMeetings)
OGM ISO Clauses 5.6.1,5.6.2 &5.6.3
Annalyn A.Eria/RandyAviles
Maridel Dones,ExecutiveAssistant
Oct.24,2017,9:30 amonwards
lnternalAudit IAD ISO Clause 8.2.2 Annalyn A.Eria/RandyAviles
Vanessa Olivas,Acting lnternalAuditor lV.
Oct.24,2017,10:00 amonwards
by:
Reviewed by: Approved by:
Deppty Quality ManagementRepiesentative
Date: D Date: Date:
Document Code Document lssue No. Document lssue DatePRA-QM-FORM-013 001 October 2016
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage I of 2
Audlt Purpose:To determine the extent and effegtiveness of QMS implementationTo prepare for the ISO 9001 Certification -To determine areas,for improvement
Audit Scope:Management of Human Resources (Recruitment & Hiring, Development & Training and Periodic Performance Evaluationof Emplopes ineluding Personnel Action
Audit Dates: October 24,2017
ProcessDepartment /
OfficeAudit Criteria Audltor Auditee Date / Time
Recruit & HireEmployees
Admin ISO Clauses 6.2.1 &6.2.2CSC Rules & Regulations
Annalyn A.Eria/MervinMagbuhat
Randy Aviles,HRMO III
Ocl,24,2017,10:30 amonwards
Develop and TrainEmployees
Admin ISO Clauses 6.2.1 &6.2.2CSC Rules & Regulations
Annalyn A.Eria/MervlnMagbuhat
Shiela Mariano,Admin staff
Oct.24,2017,11:00 amonwards
PeriodicPerformanceEvaluation
Admin ISO Clauses 6.2.1 &6.2,2CSC Rules & Regulations
Annalyn A.Eria/MervinMagbuhat
Marcelina T.Carbonel, DC-Admin
Oct.24,2017,11:30 amonwards
Personnel Action Admin ISO Clauses 6.2.1 &6.2.2CSC Rules & Regulations
Annalyn A.Eria/MervinMagbuhat
Marcelina T.Carbonel, DC-Admin
OcL24,2017,'l 1:30 amonwards
Prepared by:
/+cL*y'HlMervin MagbuffatTeam Membsr
Reviewed by:
Wr,f.q*-H6fdi C. SalesKuditTeamHeaa Deput! Quality Management
Reprdsentative
o"t"l Dete: Date:
Document Code Document Issue No. Document lssue DatePM-QM-FORM.O13 001 October 2016
,ili#\\'w PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 1 of2
i Audit Purpose:
I
j To determine the extent and effectiveness of the QMS implementationi l'o prepare for the ISO 9001 certification i -
, To determine areas'ior improvementI
i - .------
| ;iudit Scope: Manage Financial Resources from Budget Management to Financial Reporting and Analysis
I Audit Dates: October 26,2017
Process Department /Office
Audit Criteria Auditor Auditee Date I Time
iiucigeiManagement
FinancialManagementDivision
ISO Clauses:
4.2.3 Control of documents5.6.3 Review output6.1 Provision ofresources6.4 Work environment4.2.2 Quality manual
Joint DBM and COAcirculars
Marcelina T.Carbonel
Francis JeffreyL. Marasigan
Mari TheaVasquez
Angela MerGeneroso
10t26t17
9:00 amonwards
Manage Expenses FinancialManagementDivision
ISO Clauses
4.2.3 Control of documents4.2.4 Conlrol of records6.1 Provision ofresources8.2. 1 Customer satisfaction8.3 Control of non-conforming products8.4 Analysis of data8.5 lmprovement (CAPA)
Marcelina T.Carbonel
Francis JeffreyL. Marasigan
HeidiSales
Kelvin Mares
10t26t17
9:00 amonwards
RevenueManagement
FinancialManagementDivision
ISO Clauses
4.2.3 Control of documents4.2.4 Control of records8.4 Analysis of data8.5 lmprovement (CAPA)
Marcelina T.Carbonel
Francis JeffreyL. Marasigan
Edna Dichoso
Kelvin Mares
10t26t17
9:00 amonwards
FinancialReporting and
tqil:i:
FinancialManagementDivision
ISO Clauses:
4.2.3 Control of documents4.2.4 Conlrol of records8.4 Analysis of data8.5 lmprovement (CAPA)
Marcelina T.Carbonel
Francls JeffreyL. Marasigan
Kelvin Mares
Fermin TrinidadJr.
10126t17
9:00 amonwards
Preoared bv:o;a-_ '1 .
MARCELINA T. CTeam Leader
Document Code Document lssue No. Document lssue DatePRA-QM.FORM-013 001 October 2016
l
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 2 of 2
JEFFREY L. I\NARASIGAN
II
Document lssue No.
i sam
i..ri]te:
PHILIPPINE RETIREMENT AUTHORIWQuality Management System
AUDIT ITINERARYPage 1 of2
Audit Purpose:
To detennine the extent and effectiveness OJ eMS implementationTo determine the areas for improvemdntTo prepare for the ISO 9001 Certification
Audrt ttcope: Management of Procuremenl (Requisition of Goods and Serwbes up to eccepiance of OeMertes tromSupplier)
Audit Dates; Oclober 27,2017
Process Department /Office Audit Criteria Auditor Auditee Date / Time
Requisition ofGoods andServices
Bids and AwardsCommittee(BAC)
ISO Clauses 7.4.1and7.4.2RA 9184 Rule ll
RA 9184 Rule lll
RA 9184 Rule V
RA 9184 Rule Vl
RA 9'184 Rule Vll,vilt& tx
ISO Clause 4.2.3,4.2.4 (ControlofDocuments andRecords);6.4(Work Env't)
PRA QualityManual
GCGMemorandumCircular No. 2017-A1 (Posting toPhiIGEPS)
Remus Erlan S.Palmos and
Vanessa Olivas
BAC Chair andmembers
BAC Sec
ocl..27,2017
lOAMonwards
Evaluation andSelection of
Supplier
BAGTWG
BAC
ISO Clauses 7.4.1and7.4.2
RA 9184 Rule lX(Bid Evaluation)
RA 9184 Rule X(Post Qualifcation)
RA 9184 Rule XlSec.37
ISO Clauses4,2.3,4.2.4(ControlofDocumenis andRecords);6.4(WorkEnvironment)
PRA QualityManual Sectiontv-c
Remus Erlan S.Palmos and
Vanessa Olivas
BAC TWGmembers
Oct.27,2017
lOAMonwards
Document Code Document lssue No. Document lssue DatePRA-QM-FORM-o13 001 I 6ctober 20 b
t.-
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 2 of 2
lssuance ofPurchaseOrder/Notice toProceed
AdministrativeSupport Division
. ISO Clauses 7.4.1atvlt.q.Z
r RA 9184 Rule XlSec.37
. ISO Clause 4.2.3,4.2.4 (ControlofDocuments andRecords);6.4(WorkEnvironment)
PRA QualityManual Sectiontv-c
Remus Erlan S.Palmos and
Vanessa Olivas
BAC Chair andmembers
BAC Sec
oel'27,2017
lOAMonwards
Acceptance ofDeliveries fromSuppliers
AdministrativeSupport Division
. ISO Clause 7.4.3
r COA Rules andRegulations
. iso Clause 4.2.3,4.2.4 (ControlofDocuments andRecords);6.4(WorkEnvironment)
PRA QualityManual Sectiontv-c
Remus Erlan S.Palmos and
Vanessa Olivas
Admin-SupplyOfficer
lnspectionTeam
Oct.27,2417
lOAMonwards
Prepared by:
PALMOS
ffy;{fu;''"^'
Reviewed by: Approved by:
Date: nl* [ p Date: Date:
Document Code Document Issue No. Document lssue DatePRA.OM.FORM.O13 001 October 2016
&.
C. SALES
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 1 of3
ArJdit PUipoSe:
To determine the extent and effectiveness of-QMS implementationTo determine the areas for improvemeirtTo prypare forthe ISO 9001 Certification
Audit Scope:
Audit Dates:
Management of Goods and Services
November 7,2017
Process Department /Office Audit Criteria Auditor Auditee Date / Time
lssuance to end-user
AdministrativeSupport Division-Procurement
PRA QualityManual Vanessa Olivas Ms. Marcelina I Nov 7,2017
T. Carbonel I
I ro nrvrRuby Abriol I onwards
PD 1445 Chapter I Jaqueline Elic3sec63 I
ISO Clause 7.4.3 I
-Veritication of I
purohased proOud I
(by end user) I
Process ror retum I
of items and I
documentatio" I
lntemal I
stakeholder I
feedback I
Required records I
generated (both I
for capital outlays I
end i60uteii I
items/supplies) |
ISo Clause 4.2.4 I
Conirol of I
Records I
I
lSo iiause a.i I
Control of Non- |
Conforming IProducts I
ISO Clause 8.5.2 I
Conective Action I
lSo Clause 6.4 i
Work Environment I
-d lllllq"Lq$+'
Document Code Document lssue No. Document lssue DatePRA-OM-FORM:013 001 October2016
h.
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 2 of 3
lnventory andStorage
AdministrativeSupport Division
PRA QualityMdnuallV-D
PD 1445 Sec 2
lnventory andstoragesystemlprocess(manner ofstorage, conductof inventory &monitoring, re-order point, etc)
lnventory report
lnventory masterlist
ISO Clause 4.2.3Control ofDocuments
ISO Clause 4.2.4Control ofRecords
ISO Clause 8,3Control of Non-ConformingProducts
ISO Clause 8.5.2Correittive Action
ISO Clause 6.4Work Environment
Vanessa Olivas
Jaqueline Elic
Ms. MarcelinaT. Carbonel
Ruby Abriol
Nov 7, 2017
1O PMonwards
DisposalofUnserviceableProperties
AdministrativeSupport Division
PRA QualityManuaiiv-b
PD 1445 Sec79
Determination ofitems for disposal
Disposal Process
Required recordsgenerated
ISO Clause 4.2.3,4i2i4 (GentrolofDocuments andRecords);6.4(WorkEnvironment)
COA CircularNo.86-264 s. 1986
Vanessa Olivas
Jaqueline EIic
Ms. MarcelinaT. Carbonel
Ruby Abriol
Nov 7, 2017
1O PMonwards
Document Code Document lssue No. Document tssue DatePM.QM-FORM.O13 001 October 2016
PHILIPPINE RETIREMENT AUTHORIryQuality Management System
AUDIT ITINERARYPage 3 of 3
Acceptance ofDeliveries fromSuppliers
AdministrativeSupport Division
r ISO Clause 7.4.3
.l c6A Rules anoRegulations
. lS9 Clquse 42.3,4.2.4 (eontrotofDocuments andRecords);6.4(WorkEnvironment)
PRA QualityManual SectionIV-D
Remus Erlan S.Palmos and
Vanessa Olivas
Ms. MarcelinaT. Carbonel
RubyAbriol
Nov 7, 2017
10 PMonwards
Prepared by:
nrrg$:,,,^,
Oa*.r^l.qi^L h'&vJAAtI,ELINE gLICTeam Member
Approved by:
Document Code Document lssue No Document lssue OateI"KA-QM-F(Jt<M-o',I3 001 October 2016
t.-
Reviewed by:
Date: Date: Date:
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