.-

~.~b!~hiliPPin~ NATIONAL POLICE COMMISSION

NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE DIRECTORATE FOR PLANS

Camp BGen Rafael T Crame, Quezon City

MEMORANDUM

FOR OIC, PNP

FROM . TOPL

SUBJECT PNP Quality Management System (QMS)

DATE October 24,2019

1. References: a. Republic Act (RA) 3019 or the Philippine Quality Award Act "dated

February 28, 2001;

b. Executive Order No. 605 dated February 23, 2007 entitled "Institutionalizing the Structure, Mechanism and Standards to Implement the Government Quality Management Program, Amending for the Purpose AO No. 161 series of 2006"; and

c. Administrative Order (AO) No. 161 dated October 5, 2006 entitled: "Institutionalizing Quality Management System in the Government".

2. This pertains to the ISO Certification of PNP units/offices as provided in the PNP OMS Program Thrusts for CY 2019.

3. In compliance with the requirements of the ISO 9001 :2015 QMS, attached herewith is the PNP OMS embodying the following:

a. Overview of the ISO 9001 :2015;

b. The PNP Quality Management System; and

c. The PNP ISO Certification Process.

4. The PNP OMS follows the prescribed standard set by the ISO 9001 :2015.

5. In this regard, respectfully request approval and signature on the OMS.

PPDIC281 F1IRiza ISO FileslPNP Quality Management System (QMS)IRVD

~~~ OCPNP ~ In Doc ~9 P456181

111111 111111 111111111111111111111111111111111

Philippine National Police (PNP)

Quality Management System

.-

Table of Contents Chapter 1 ........... ... .... ...... ....... .... .. .... .. ..... .. ............ .... .... .. ...... ......... ..... ...... .... ......... .. .... .... .... 3

Introduction ...... .. ........... ................ .... ................ .. ....... ... ... ... .. .... .... .. .... .. .... ... ...... ........ .. . 3

a. Background .................. ........ ..................... ....... ......... ... .... ... ..... .... .... ...... ..... ........ .. 3

b.Purpo .. ..... ... .. ..... ...... .. ........ ..... .. .... ............... .. ..................................... .. ...... ......... 3

Chapter 2 ............ ....................... .. .. .. ...... .... .... .... .... .... ..... ....... ......... .... .... ..... ...... ....... ..... ...... 5

Introduction to ISO 9001 :2015 ....... .. ............ .... .. .... ... .. ..... ...... ...... .. ..... ......... ....... ...... ... . 5

a. Quality Management System (QMS) .. .. .... .................. ... ......... ..... ............ .... .... .. ... 5

b. Quality Management Principles .. ....... ... ....... .... ............... ... ........ ... ........ ...... .. .. .. ... 6

c. Process Approach .......... .................. ...... .. .... ... ............. ... .......... .......... ...... .... ....... 6

Chapter 3 .................................... ................... ...... ............. ...... .. .. ...... .. .... .. ................ ... .. .... .. 8

The PNP Quality Management System .... ...... .. ..... ..... ..... .. ................................ .. ..... .... 8

Structure Process Approach ...... ................... ... ....... ... ... ... .. .... .. ... ....... ..... ... .... .......... 8

A. Scope of the Quality Management System ................ ....................................... 10

B. Externally-Provided Products, Processes, and Services ...... ............... .. ... .. ..... 11

C. Policy Management ....... .... ... .. .... ...................... ..... .. .. ......... ... .. .. ........... .. ...... .. .... 13

__ PNP Quality Policy .. ........ ........ ........... ... .... ........... ..... .. ................ ... ... .. .... ... ......... 13

D. Perfonnance Evaluation ... .... ... .. .... ............ ........ ................ ............. .... ... ....... ... .. . 14

E. Managing Improvement .......................... .. ... ... ... ......... ........................................ 15

QMS Implementation .... ... .................. ..... .... ........ .... ..... .. ..... ... .... .. ...... .... .... .. ....... .... .......... 29

Chapter 4 .. ..... .. ...... .. ....... ..... ............. ... .. ... .... .......... .... .... ... ... .... ... ... ... ...... .. ..... .. ....... ... ... .... 30

PNP ISO 9001 :2015 Certifying Process .......... ........ ................ ...... ....... .. .. .. .... ......... ... 30

a. Identification of Units to be Certified .. ... .......................................... .. ........ ..... .. 30

b. Identification of Core Processes to be Certified .............. ... .. .............. ....... ....... 30

c. Bidding and Procurement of Third-Party Auditor and ISO Consultant. .. ........ 30

d. Training of Personnel ..... .. ... .. .. ................... .. ... ... .... ...... .... .... ..... ...... ............ .... ... 30

e. Unit Readiness and Preparedness ........... ... .. ............... ............................ ......... 31

f. Third-Party Audit and Certification ....... ...... .. ................... ............. ...... ....... ....... 31

g. Improvement ... ...................... .... .... .. ..... .. .. .. ........ .... ..... .......... .... .. .... .... ...... .... ...... 31

h. Surveillance Audits .. ... ........ ............................................ .................... ........ ....... 31

Chapter 5 ...... ................ ... ............ .. .... ...................... ... .... .... .. ....... ...... .. ................. ..... .. .. ... . 32

Way Forward .............................. ...... ..... .... ..... ................... .. ................... .... .................. 32

Annexes .... ... .................. .. .................................... .............................................................. 33

Operating Guidelines ........... .. ......... .. ... ................................................................... ....... .. ... 34

a. Document Control ......... ..... .......... ...... ................ .......... .............. .... ···· .... · .... ·· .. · .. 34

b. Records Control ........... ................................................ .. ........................... ......... 43

c. Internal Quality Audit ..... ... .... .... .. ......... ...................................................... ..... ... 48

d. Corrective Action .............. ...... .............................................. .... ........ ..... ... .. ........ 55

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Chapter 1

Introduction

8. Background

The Philippine National Police (PNP) as the premier law enforcement agency of the Philippines is gearing towards excellence, professionalism, and transparency in the performance of its mandate. As such, among the PNP Program Thrusts for 2019 is to have a responsive and an International Organization for Standardization (ISO) compliant PNP front line services, at par with other world-class police organizations.

To further enhance the PNP's core processes, especially its frontline services, a bulk of the appropriations for the PNP under the General Appropriations Act 2019 (GAA 2019) was devoted to the ISO Certification of identified PNP units. The primary objective is to instill a Quality Management System (QMS) to the core processes of the PNP units. The establishment of a management system based on international standards will in effect, improve the overall performance of the PNP units.

The Government of the Philippines has adopted the ISO 9001 :2015 Philippine National Standards to build a quality culture that characterizes customer­driven organizations and to further strengthen the global competitiveness of the government sector.

Several presidential directives and other legislative measures were made and enacted such as the Executive Order No. 605, "Institutionalizing the Structure, Mechanisms and Standards to Implement the Government Quality Management Program, Amending for the Purpose Administrative Order No. 161 , S. 2006" and Republic Act No. 9013, also known as the "Philippine Quality Award Act" to ensure that the government agencies will adhere to ISO Certification. Presently, only the PNP Crime laboratory Group's (PNP-ClG's) core processes have been ISO certified. Thus, all PNP units are directed to undergo ISO Certification to compty with the aforementioned statutory requirements.

b. Purpose

This introduces the PNP Ouality Management System (OMS), its principles and approach. It also explains the OMS' implementation and applicability to the PNP. Further, it provides the procedures before, during and after the ISO Certification Process.

This PNP OMS conforms to the ISO 9001 :2015 Standard along with the documents annexed herein, is purported for the following purposes:

1. Serve as reference in the QMS implementation and continual improvement;

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2. Inform the internal and external stakeholders and enable them to observe and implement the OMS that is being maintained in the PNP;

3. Serve as reference for the identified units (OCPNP, DPL, NCRPO, HPG, PSPG, PRBS, HS, and FEO) which shall undergo the 2018 PNP ISO 9001 :2015 Certification Process; and,

4. Serve as a guide for the other PNP Units which shall endeavor to undergo the ISO 9001 :2015 Certification Process.

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Chapter 2

Introduction to ISO 9001 :2015

a. Quality Management System (QMS)

The adoption of a quality management system is a strategic decision for an organization that can help to improve its overall performance and provide a sound basis for sustainable development initiatives.

The potential benefits to an organization of implementing a quality management system based on this International Standard are:

1. The ability to consistently provide products and services that meet customer and applicable statutory and regulatory requirements;

2. Facilitating opportunities to enhance customer satisfaction; 3. Addressing risks and opportunities associated with its context

and objectives; and, 4. The ability to demonstrate conformity to specified quality

management system requirements.

This International Standard can be used by internal and external parties.

It is not the intent of this International Standard to imply the need for:

1. Uniformity in the structure of different quality management system;

2. Alignment of documentation to the clause structure of this International Standard; and,

3. The use of the specific terminology of this International Standard within the organization.

The quality management system requirements specified in this International Standard are complementary to requirements for products and services.

This International Standard employs the process approach which incorporates the Plan-Oo-Check-Act (PDCA) cycle and risk-based thinking.

The process approach enables an organization to plan its processes and their interactions.

The PDCA cycle enables an organization to plan its processes and their interactions.

The PDCA cycle enables an organization to ensure that its processes are adequately resourced and managed, and that opportunities for improvement are determined and acted on.

Risk-based thinking enables an organization to determine the factors that could cause its processes and its quality management system to deviate from the planned results, to put in place preventive controls to minimize negative effects and to make maximum use of opportunities as they arise.

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Consistently meeting requirements and addressing future needs and expectations poses a challenge for organizations in an increasingly dynamic and complex environment. To achieve this objective, the organization might find it necessary to adopt various forms of improvement in addition to correction and continual improvement such as breakthrough change, innovation and re­organization.

b. Quality Management Principles

This International Standard is based on the quality management principles described in ISO 9000. The description includes a statement of each principle, a rationale of why the principle is important for the organization, some examples of benefits associated with the principle and examples of typical actions to improve the organizations performance when applying the principle.

The quality management principles are:

1. Customer focus; 2. Leadership; 3. Engagement of people; 4. Process approach; 5. Improvement; 6. Evidence-based decision making; and, 7. Relationship management.

c. Process Approach

This International Standard promotes the adoption of a process approach when developing, implementing and improving the effectiveness of a quality management system, to enhance customer satisfaction by meeting customer requirements. Specific requirements considered essential to the adoption of a process approach are included.

Understanding and managing interrelated processes as a system contributes to the organization's effectiveness and effiCiency in achieving its intended results. This approach enables the organization to control the interrelationships and interdependencies among the processes of the system, so that the overall performance of the organization can be enhanced.

The process approach involves the systematic definition and management of processes, and their interactions, so as to achieve the intended results in accordance with the quality policy and strategic direction of the organization. Management of the processes and the system as a whofe can be achieved using the PDCA cycle (Figure 2) with an overall focus on risk-based thinking (Figure 3) aimed at taking advantage of opportunities and preventing undesirable results.

enables; The application of the process approach in a quality management system

1. Understanding and conSistency in meeting requirements; 2. The consideration of processes in terms of added value; 3. The achievement of effective processes performance; and 4. Improvement of processes based on evaluation of data and

information.

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Page 7 of 57

Chapter 3

The PNP Quality Management System

Structure Process Approach

The PNP has adopted a process approach for its QMS. Identification and management of the high-level processes reduce the potential for nonconforming products and services found during final processes or after delivery. Nonconformities and risks are identified and actions are taken within each of the high-level processes.

The following high-level processes have been identified for the PNP:

Management Planning Policy Management Performance Evaluation Managing Improvement

Core Processes Administrative Process of Informationl Communication

Organizational Development Process Commutation of Accumulated Leave Issuance of FEO Licenses and Permits Provision of Protective Security Issuance of Motor Vehicle Clearance Provision of Health Services at the Out Patient

Department of the PNP General Hospital Crime Incident Reporting and Analysis Process

Support Human Resource Management Documentation Management Procurement Management Financial Management Infrastructure and Work Environment

Each process may be supported by sub-processes, tasks, or activities. Monitoring and control of high-level processes ensure effective implementation of all sub-processes, tasks, or activities.

Each high-level process has a process flow which defines:

1. Quality objective; 2. Applicable risks and opportunities; 3. Applicable inputs and outputs; 4. Responsibilities and authorities; 5. Supporting resources; and 6. Criteria and methods used to ensure effectiveness of the process.

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PNP's Continual Improvement Process Model

Context of ~ Manaaement -n PNP

Policy ~ -. ---t

Performance ~ Managing

- -1- PlanninQ Management Evaluation Improvement +- - --• PNP Mandate • PNP Mission • PNP Philosophy t ] • Core Values

• • Responsive and

Clients and dynamic

Interested Administrative Process of Information I I organizational

Provision of Protective Securitv structure Parties Communication · Timely and accurate

I Issuance of Motor Vehicle Clearance I executive deciSions • Internal Oraanizational Develooment Process of the Chief. PNP

(All PNP • Accurate

Offices/units) I Provision of Health Medical Services at Out Patient I computation and

Commutation of Accumulated Leave Oeoartment of the PNP General HOloltal timely release of • External

(Community. I I I Crime Incident Reoort lna and Analvsis Process 1 CAL claims

Issuance of FEO Licenses and Permits ' Timely and efficient NGAs. release of licenses, NGOs. • permits, lGUs.lEAs. • Clearances and & other protective security stakeholders) SUDDort • Provide efficient and

effective health Human service

Resources Documentation Procurement · Maintenance of Manaaement Management ManaRement peace and order

Transparency and accuracy of crime

\ Infrastructure and ) data Financial Work Environment

Manaaement Management

...... - ~ .. Externally·Provlded Products. Services and Processes

(Printing of Cards/Holograms/Ribbons. Janitorial Services. Construction Projects. IT Consultant. Advisory Council)

I q Interaction of these Drocesses are Illustrated In PNP's ContlnuallmDrovement Process Model

A. Scope of the Quality Management System

a.1. Scope Statement

Based on the analysis of the internal and external issues of concern, interests of stakeholders, and in consideration of its services, the PNP has determined the scope of the management system as follows:

The OMS shall apply to the following selected PNP offices and units and their respective core processes as indicated hereunder:

Unit Core Process OCPNP Administrative Process of Information/Communication OPl Organizational Development Process PRBS Commutation of Accumulated leave FEO Issuance of FEO Licenses and Permits PSPG Provision of Protective Security HPG Issuance of Motor Vehicle Clearance HS-OPD PNPGH Provision of Health Services at the Out Patient

Department of the PNP General Hospital NCRPO Crime Incident Reporting and Analysis Process

a.2. Sites within the Scope

The OMS applies to all processes, activities, and employees within the PNP pilot sites and units:

Two sites were identified as the location of the eight (8) selected units/offices of the PNP: Seven (7) Units are located at the National Headquarters, Philippine National Police, Camp BGen Rafael T Crame, Quezon City; and one (1) unit is located at the National Capital Region Police Office (NCRPO) in Camp Bagong Diwa, Bicutan, Taguig City.

The QMS may also be used by other PNP sites.

a.3. Permissible Exclusion

The following clauses of ISO 9001 were determined to be not applicable to the PNP:

ISO 9001 :2015 Title Justification Clause 7.1.5.2 Measurement Applies only to Provision of Medical Services

traceability at the OPO PNPGH. Other seven (7) processes do not use equipment that need to be calibrated or validated at regular intervals to ensure valid results.

8.3 Design and Applies only to Organizational Development Development Division at the DPl. The seven (7) identified

processes operate in accordance with the existing standards and laws.

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B. Externally-Provided Products, Processes, and Services

Any product, process, or service performed by a third party is considered an external provider and must be controlled. The PNP's external providers and the control methods applied for each are defined in the Control of External Providers.

b.1. Management Process

Management Leadership and Commitment

The Chief of the Philippine National Police (CPNP) and respective heads of units provide evidence of its leadership and commitment to the development and implementation of the OMS and continual improvement of its effectiveness by:

• Taking accountability for the effectiveness of the OMS; • Ensuring that the quality policy and quality objectives are established for

the OMS and are compatible with the PNP's context and strategic direction;

• Ensuring the integration of the OMS requirements into the PNP's core processes;

• Promoting the use of the process approach and risk-based thinking; • Ensuring that the resources needed for the OMS are available; • Communicating the importance of effective OMS and of conforming to the

requirements; • Ensuring that the OMS achieves its intended results; • Engaging, directing, and supporting persons to contribute to the

effectiveness of the OMS; • Promoting improvement; and • Supporting other relevant management roles to demonstrate their

leadership as it applies to their areas of responsibility.

b.2. Planning

Strategic Direction

The PNP has reviewed and analyzed its key aspects and stakeholders to determine its strategic direction. This involves:

a. Understanding our mission, vision, core processes, and scope of the QMS.

b. Identifying stakeholders who receive our services, or those who avail these services, or other parties who may otherwise have a significant

Page 11 of 57

interest in the PNP. These parties are identified in the List of Internal and External Stakeholder

Understanding internal and external issues that are of concern to the PNP and its stakeholders. Many such issues are identified through an analysis of risks facing either PNP or the stakeholders using the Strength, Weakness, Opportunities, and Threats (SWOT) and/or Political, Economic, Social, Technological, legal, Environmental (PESTlE) analyses. Such issues are listed in the PNP Internal and External Issues log and are monitored and updated as appropriate, and discussed as part of management reviews. This information is then used by the Top Management to determine our strategies direction. This is defined in records of management review, and periodically updated as conditions and situations change.

b.3. Risk and Opportunities

The PNP considers risks and opportunities when taking actions within the OMS. Risks and opportunities are identified as part of understanding the internal and external issues affecting the PNP and its stakeholders and throughout all other activities of the OMS

Risks and opportunities are managed in accordance with the Risk and Opportunities Register. This document defines how risks are managed in order to minimize their likelihood and impact and how opportunities are managed to improve their likelihood and benefit.

b.4. Quality Objectives

VVhen planning for the OMS, the PNP ensures that each process has at least one objective which is a statement of the intent of the process. Each objective (primary or secondary) is supported by at least one measures or Key Performance Indicator (KPI) which is then measured to determine the process' ability to meet the quality objective. The specific quality objective for each process is defined in the Scorecards of each unit.

These are measured and gathered by process owners or other assigned personnel and are presented to the concerned unit during Management Review (Operational and StrategiC). These data are analyzed by the concerned unit to set goals and make adjustments for the purposes of long-term continual improvement. Review of the performance of these objectives is recorded in the Management Review minutes.

\Nhen a process does not meet a goal, or a problem is encountered within a process, the corrective action process is implemented to resolve the issue.

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b.S. Planning of Changes

When PNP determines the need for changes to the QMS or its processes, these changes are planned, implemented, and then verified for effectiveness.

If the change necessitates creation of new document or revision of an existing one, these documents are changed in accordance with the Operating Guidelines (OG) on Document Control.

C. Policy Management

c.1. Quality Policy

The Top Management recognizes the need for high quality, efficient, effective, and transparent delivery of public service. To this end, the PNP has established and implemented a Quality Policy that is appropriate to its purpose and context and supports its strategic direction.

PNP Quality Policy

Guided by its Mission, Vision, and core values, the Philippine National Police is committed to provide quality police services to the public with integrity, honor, and justice.

To attain this, the PNP commits to:

• Optimize the use of its financial and logistical resources; • Develop competent, motivated, values-oriented and disciplined

personnel; • Develop a responsive and highly professional police organization; • Ensure improvement of crime prevention, crime solution, and

community safety awareness through community-oriented and human rights-based policing;

• Provide efficient enforcement of the law; • Maintain peace and order; • Provide supervision and control the training and operations of

security agencies; and • Continuously improves its systems and procedures in accordance

with ISO 9001 :2015 Quality Management System and in conformity with the provisions of RA 6975 as amended by RA 8551 and further amended by RA 9708, and other applicable laws.

The quality policy is released as a separate document and is communicated and implemented throughout PNP.

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c.2. Organizational Roles, Responsibilities and Authorities

The CPNP has assigned responsibilities and authorities for all relevant functions in the PNP. These are communicated through a combination of organizational structure, job description, and in other OMS documentation.

D. Perfonnance Evaluation

d.1. Customer Satisfaction

As one of the measurements of the performance of the QMS, the PNP monitors information relating to customer perception as to whether the PNP has met customer requirements. The methods for obtaining this information include among others:

Feedback Mechanism;

Client Satisfaction Survey;

Awards and Certificate of Commendations from clients and stakeholders; and,

TRIMP (Television, Radio, Internet, Messaging and Print)

The gathered data are then anatyzed and fed to the relevant management within the PNP for the purpose of continual improvement.

d.2. Internal Quality Audit

The PNP conducts internal quality audits at scheduled intervals to verify whether quality activities and related results conform to its own QMS requirements, to the requirements of ISO 9001 :2015 and to determine if the QMS is effectively implemented and maintained.

Based on the Operating Guidelines on Internal Quality Audit, audit activities shalt be planned, taking into consideration the readiness, status and importance of the PNP processes to be audited and also the results of the previous audits. The criteria for audit, scope, frequency and methods will be defined including the selection of auditors who shall perform audits with objectivity and impartiality.

The results of audits are recorded and reported to relevant management and the responsible personnel in the audited area. The management responsible in the area being audited shall take appropriate correction and corrective actions without undue delay.

Follow-up activities are conducted to verify and record the implementation and effectiveness of the actions taken. The summary of audit and results of verification activities are discussed during management reviews.

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d.3. Management Review

The PNP shall conduct management reviews at scheduled intervals to determine suitability and effectiveness of the OMS. The review shall be led by the CPNP and/or Heads of other PNP Units.

Inputs to this review include, at a minimum, the following:

1. The status of actionable items and other matters arising from previous management reviews;

2. Changes in external and internal issues that are relevant to PNP OMS;

3. The effectiveness of actions taken to address risks and opportunities;

4. Information on the performance of the PNP OMS, inctuding trends in:

5. Customer satisfaction and feedback from stakeholders; 6. Monitoring of planned targets; 7. Nonconformities and corrective actions; 8. Audit results; 9. Performance of external providers; 10.Adequacy of resources; and, 11. Opportunities for Improvement.

d.4. Review Output

The outputs of management review shall incJude decisions, actions and commitments related to opportunities for improvement, any need for changes for OMS or needs for resources. Approved items for improvement are documented as action plans. Notes are taken, retained as minutes, and made available to the concerned process owners. Records of management review are retained.

E. Managing Improvement

e.1 Continual Improvement

The PNP ensures continual improvement through suitability, adequacy, and effectiveness of its OMS based on the results of evaluations conducted and the outputs of management reviews.

e.2 Non-Confonnity and Corrective Action

The PNP has established, implements and maintains Nonconformity and Corrective Action Procedures to ensure that corrections and corrective actions are identified and implemented to eliminate the cause/s of nonconformities to prevent recurrence or occurrences elsewhere. Records of the nature of nonconfonnities,

Page 150f57

subsequent actions, any concessions obtained and identified authority who will decide on the actions to be taken will be maintained.

e.3 Operations

To provide a quick understanding of the selected core processes, an Input-Process-Output (IPO) model and a brief description of the processes are shown below. The IPO models and descriptions of the processes may be supported by other PNP documentations such as Memorandum Circulars (MCs), Command Memorandum Circular (CMCs), Operating Guidelines (OGs), among others.

Page 16 of 57

Administrative Process of CommunlcatlonllnformaUon at the OCPNP

INPUTS • Internal docum ent • External

document

RESOURCES • Administrative

Personnel • Hardware and

software (CTIS) system

• Computers, Pr inters, Scanners, Photocopier

• Office Supplies • Barcodes • Hologram • Workplace • Funds

-.....

--~ I

MEASUREMENTS

• Accomplishment Report • Scorecard • Feedback Mechanism

PROCESSES Receipt. barcoding, encoding and scanning of documents Sonlng of documents With Routing Slip and placing of Action Stamp Screening Of documents by Chief C lerk

Reviewing and checking of documents for accuracy. completeness, and legal com pliance Screening and Signature of documents by AOMO on action stamp Screentng of documents by EA and signature on the action stamp ReView of documents by SEA and Signature on the action stamp Approval and Signang of documents by CPN P Attac hing of new barcode and hologram of approved/signed documents A ttaching of rout ing slip to documents With HWI Scanning of outgoing document.s at the Message Center Dispatching of outgoing documents to OTCOS

Client S.tlafllctlon

... - - - - - - - - - - - - - - - - - - - - - - --.

OUTPUTS Barcoded documents encoded In the CTIS Sorted barCOOed documents wttn routing slip Chief C lerk s countersign on the document Proofreader and SLO's countersign on the document

AOMO's countersign on the document

EA's countersign on the document

SEA's countersign on the reviewed document CPNP approved and signed documents CPNP signed documents with new barcode and hOlogram HWI documents with routing slip

Scanned copies of CPNP signed documents nled In the CTiS Receiving copy or dispatched documents

The Office of the Chief, PNP follows an Administrative Process of communication/information to ensure the provision of timely and accurate executive decisions of the Chief, PNP to effectively carry out the mission and functions of the PNP.

Upon receipt at the Message Center, documents are logged in the Communication Tracking and Information System (CTIS). The documents are then reviewed for accuracy, completeness, and legal compliance prior to the signature/approval of the CPNP. Signed/approved documents are attached with new barcodes and hologram to ensure the authenticity of the documents and once again logged in the CTIS for scanning . Original signed/approved documents are then dispatched to the Office of the Chief Directorial Staff (OTCDS) for distribution to appropriate PNP office/unit concerned.

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Organizational Development Process (DPL)

INPUTS

• Result of organizational audit and amendment of eXIsting plans , polic ies system and procedures and organizational structures

• Emerging threats and Inputs to policing

• Submitted proposals • Records and Crime

Statistics

RESOURCES

• PNP·DPL Personnel • Computer Hardware

and Software • PNP Policies and

Guidelines/Issuance s/General Orders/ Napolcom Resolutions

MEASUREMENTS

• Periodic Reports • Performance Reports • Recommendations from Offices/Units • Table top review and audit

PROCESSES

• Review and assessment of proposals for activation , deactivation, restructuring and strengthening of units

• Preparation of complete staff work • Consultative meetings and coordination with

concerned PNP units • Monito ring of 00 proposals for approval of

OCPNP & NAPOLCOM • Dissemination of approved for

Implementation proposals

Client Satisfaction

--------------------------,

OUTPUTS

• Approved organizational structure and staffing pattern

• Approved recommendations • Accomplishments Report

The IPO model of the Directorate for Plans represents the existing framework of the Organizational Development Process flow. It is the framework that presents the requirements, processes and the outputs of the Organizational Development Division. It also specifies the resources and tools needed to make the 00 process flow.

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Commutation of Accumulated Leave (PRBS)

INPUTS /' MEASUREMENTS

For Retiring/Separated Personnel - ~ Accomplishment Report • Retirement Order

• Latest Promotion Order Scorecard

• Service Record Feedback Mechanism • Breakdown of Leave Credits • Commutation Order .. • DUDC Clearance, ...... • SALN of Preceding Vear PROCESSES

For Deceased Personnel · Record the document for monitoring • Posthumous Order • PSA Death Certificate · Verification on PAI5-RMS • Service Record · Preparation of Computation Sheet by the • Br .. kdown of L .. ve Credits Processor • Approved Line of Duty Status (LOD)

I · Checking and Validation by the Division Chief Proceedings - Preparation of Voucher • Commutation Order · Signing of Voucher by the D. PRBS • DUDC Clearances • Endorsement of Voucher to DC • SALN of Preceding Vear • PSA Documents

Record the document for monitoring • If Married: · • Marriage Contract: · Verification on PAI5-RMS • Advisory on Marriage (Husband & 'Mfe) · Preparation of Computation Sheet by the • Birth Certificate of children Processor • Birth Certificate of'Mfe · Checking and Validation by the DIvision Chief

• If single (Additional "equiremant): · Endorsementto Adjudication Section for the • Marrl_ge Contract of Parents wi OR determination of Legal Beneficiaries and • Certificate of Single Blessedness preparation Decree of Entitiement and Distribution

For Dismissed Personnel Preparation of Voucher • DismlssaVSeparation Order · Signing of Voucher by the D. PRBS • Latest Promotion Order • Service Record · Endorsement of Voucher to DC

• Breakdown of Leave Credits • Commutation Order · Record the document for monitoring • OUOC Clearances · Veriflcation on PAI5-RMS • SALN of Preceding Vear · Preparation of Computation Sheet by the

Processor r · Checking and Validation by the Division Chief

RESOURCES

~ · Preparation of Voucher Computer EqUipment and Databa~e, · Signing of Voucher by the D. PRBS Tral(\l.'d Pt'r~onnt' l , Form~, Fatlhtlt'~ · Endorsement of Voucher to DC

- ---~-- ----- ---

,r

OUTPUTS

A~~urate computation and llineiv release 01 CAL l.Ialln~

........

......

./

-, I

Page 19 of 57

Issuance of Licenses and Permits (FEO)

INPUTS • Application • Submission of

Documentary Requirements

RESOURCES

PersonneVProcesso r IT Equipment

• Office Supplies • Work Environment

..!

MEASUREMENTS

Scorecard Feedback Mechanism

PROCESSES

• Pre-Evaluation • Issuance of commitment slip • Receiving! Verification (CVC) • EnCoding transmittaVendorsement for

approval • ApprovaVDlsapproval • Issuance of Order of Payment • Payment validallon • Releasing of Licenses/permits

~------------------------,

OUTPUTS

" approved: License (Certificate/card)

" dls.pproved: Notice of disapprovavreturn of submitted documents

I

_I

The IPO model provides the general structure and procedures to be followed in the issuance of FEO licenses and permits from receiving applications and documentary requirements from the applicants (Inputs) to the release of the approved Licenses or Permits. It also includes the measurements use to evaluate the process as well as the resources needed to ensure effective and quality delivery of FEO services

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Provision of Protective Security (PSPG)

INPUTS

PROTECTEES

Requests or Directives

RESOURCES • Man: Protective Security

Personnel • Machine/Materia .. :

Move Shoot Communicate Office Equipment Infrastructure~

• Methods: PSP: Recruitment 81 Of PSPs. Protecr/v~ Security Tra ining. Deployment

• Customer' Intelligence .. TA. 551. Area and Convoy Paneling. Documents Submission

• Environment: PSPG HO (Admll1lstratlVe Tralmng) Tactical Operations Center (TOC) Major Events vs Individual / Small Team

MEASUREMENTS Accomplishment Report Scorecard Feedback Mechanism

PROCESSES

Process of Requests / Directives FORMULA: Number of LO issued divided by requests or Directives

Pre-deployment Activities FORMULA: Number of Protective Plans submitted divided by pre-deployment activities

Monitoring of Deployment FORMULA: Number of Inspection ReportdiVtded by number of deployments

Evaluation of services rendered FORMULA: Number of Lessons learned and best practices submitted divided by number of deployments

Number of feedbacks processed and addressed divided by number of deployments

cnent Satisfaction

OUTPUTS

Letter Orders Protective Security Plans Inspection Report/ Attendance

(UPERIIPER ) Lessons - Learned and Best Practices:

Processed and Addressed Feedbacks from Protectees - PNP units/offices

_I

Provision on Protective Security Services described the competency and equipped PSPs for the safe and security of the protectees to a reliable and trustworthy reputation.

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Issuance of Motor Vehicle Clearance Process (HPG)

INPUTS

Brand New WNIMC ( Local and Imported)

- Certlficlte of Stock Report -Sales Invoice 'Original and photocopy of documents from Burelu of Customs (BOC) such IS the Certificate 01 Payment. Informal Entry . Bill 0 1 Lading and Packing Ust 'OrIglnal Stencil of Engine and Chlssls Numbers

·Second Hand ·Transfer of Ownership 'Change of Color 'Rebullt -Chlnge Engine

RESOURCES

Computer Equipment and Database. Trained Personnel. Forms. SBR. Order of Payment and Certificate. EPP. FaCilitate and Parking Space

MEASUREMENTS Accomplishment Report Scorecard Feedback Mechanism

PROCESSES

Initial examination documents presented Bank Payment (Personal or Online Physiclliinspectlon and Macro etching examinal/on of vehicle Encoding and Printing of Motor Vehicle Clearance Certificate (MVCC ) Final processing and signing

Client Satisfaction

OUTPUTS

Issuance of Order of Payment and Application form Special Bank Receipt! confirmation slip VIMS verification results and Issuance of PNP CRIME LAB's issuance of Physical Identlfication Macro etching form/certificate Printed MVCC for signature of Cleerance officers Release of MVCC

The IPO Model process is the process necessary on all requests pertaining to motor vehicles such as placing a certain vehicle on Alarm Status. issuance of certificate of non-recovery of hot vehicles, lifting of motor alarm. re-stamping of chassis and engine numbers and institute proper action on all motor vehicles concerns.

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Health Service

INPUTS

• Medical Records

• Referrals • Walk-in

Patients

RESOURCES

Trained personnel Computer Data base Diagnostics and Laboratory equipment's Medical supplies

-1-> MEASUREMENTS Accomplishment Report Scorecard Feedback Mechanism

PROCESSES

Duty personnel provide queuing number at the information area upon entry. Upon queuing, HIMS personnel then provides their medical records and properly endorsed to TRIAGE section Duty personnel to TRIAGE area will notify clients for taking vital signs and initial assessment Triage nurse will endorse patient with his/her medical record to the nurse or nursing attendant of the concerned department. Family Medicine Internal Medicine Surgery Obstetrics and Gynecology Pediatrics Dermatology ENT Ophthalmology Orthopedics Medical OffICer will assess, diagnose and manage the patient and refer to other department as deemed necessary.

Client Satisfaction

~-------------------

OUTPUTS • Patients Queuing number • Vital signs, chief complaints • Initial diagnosis • Prescription of medicines/Referral

to other department/Laboratory or diagnostic results

• Patient could either be for observation and follow-up, referral to other department or home with medications.

1 I 1

The PNP General Hospital-Out Patient Department (PNPGH-OPD) is one of the frontliners of the Health Service (HS) in rendering comprehensive health and medical services to PNP personnel and their dependents. and authorized civilians.

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Crime Incident Reporting and Analysis (NCRPO)

INPUTS 1 Complaints 2 Investigator

Crime Registrar Desk Officer

3 CIMS (System)

4 Computer and internet

RESOURCES 1. Investigator

Crime Registrar. Desk Officer

2. CIRAS (System)

3 Computer and internet

4 Police Blotter. Incident Report Form (IRF)

MEASUREMENTS

PNP MC No. 2018-050 Guidelines and ProcedlX9S in Reporting Crime Incidents LOI 02-09 Unit Crime Perlodc Report (UCPER) Validation

4 . Scorecard

PROCE SSES 1Qr.

ed __ lo CIRAS.

II_ lion co"""." <*'1

Iylis in h it

crim.,t.tittiot lOt

"

-------,

OUTPUTS , . Incident Record Form (IRF) 2. Real-time reports & monitoring of crime Incidents 3. Data base of crime incidents

. Crime Statistics by Districts. Stations. and w hole NCRPO.

. Crime Analysis a. 1.1 0dus Operandi.

Place of Commission . Crime Clock of the crime incidents

b. Suspects and V ictims profde

c. Crme 1.lapping d. Cnme Cha

Crime Incident Reporting and Analysis Process (CIRAP) is the NCRPO core process that mandates the procedure in reporting crime that starts from the moment the crime has been reported to the police station to encoding of the said incident to the Crime Incident Reporting and Analysis System (CIRAS) up to generation of crime statistics for consumption of the Internal and External Stake Holders.

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e.4 Support

The PNP determines and provides the resources needed to implement, maintain, and continually improve the OMS. Resource allocation is done with consideration of the capability and constraints on existing internal resources, as well as what needs to be obtained from external providers.

Resources and resource allocation are assessed during Performance Review Analysis.

e.5 Human Resource Management

The PNP through its Directorate for Personnel and Records Management (DPRM) and its counterparts ensure that it provides sufficient personnel for the effective operation of the management system, as well as its identified processes. Currentiy, the PNP follows the PNP reievant Memorandum Circulars in the recruitment, selection, hiring, placement of its personnel and promotion.

The PNP ensures that personnel performing work affecting quality of products and services are competent on the basis of appropriate education, training, skills and experience. Where applicable, the PNP takes actions to acquire the necessary competence and evaluate the effectiveness of the actions taken.

The PNP through the Directorate for Human Resource and Doctrine Development (DHRDD) and its counterparts ensures that personnel required to undergo mandatory courses are properly vetted using the lineal list and endorsed accordingly. Specialized courses approved by DHRDD are conducted by concerned training units.

Further, the PNP conducts Field Training Program as a mandatory requirement for Orienting new recruits and officers.

Through the above-mentioned interventions and subsequent communication, the PNP ensures that personnel are aware of:

• The quality policy; • Relevant quality objectives; • Their contribution to the effectiveness of the management system,

including the benefits of improved performance; and, • The implications of not conforming to the management system

requirements.

e.6 Organizational Knowledge

The PNP determines the knowledge necessary for the operation of its processes and to achieve conformity of services. This may include knowledge and information obtained from:

(1) Internal sources, such as lessons learned from success and failures, feedback from subject matter experts, intellectual property, knowledge gained from experience, and

Page 2S of 57

(2) External sources such as standards, academia, conferences, or information gathered from customers or suppliers.

This knowledge is maintained through documents such as MCs, CMCs, OG, and other statutory requirements and made available to the extent necessary.

When addressing changing needs and trends, the PNP considers its current knowledge and determines how to acquire or access the necessary additional knowledge.

e.7 Facilities and Work Environment

The PNP through its Directorate for Logistics, Directorate for Information and Communications Technology, and their counterparts, ensure that the facilities necessary for the operations of its processes and to achieve conformity of services are determined, provided, and maintained. These facilities include:

Buildings and associated utilities;

Equipment, including hardware and software;

Transportation resources; and

Information and Communications Technology.

Where equipment is used for measurement activities such as inspection or testing, and traceabi'ity of measurement is a requirement, these are property identified to determine their status, safeguarded from adjustments, damage or deterioration that would invalidate the calibration status and subsequent measurement resu tts , and calibrated or verified at specified intervals or prior to use.

The PNP a'so ensures that a suitable environment necessary for the operation of its processes and to achieve conformity of services, are determined, provided, and maintained. Human factors are considered to the extent that they directly impact the quality of products and services.

e.8 Documentation Management

The PNP's OMS documentation includes both documents and records. The PNP does not use the term "documented information", but instead uses the terms "document" and "record" and undergo different controls as stated herein. The extent of the documentation has been developed based on:

The size of the PNP;

Complexity and interaction of the processes;

Risks and opportunities; and,

Competence of personnel.

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e.9 Documents Control

The PNP maintains Operating Guidelines on Document Control to ensure that the staff have access to the latest approved document and to restrict the use of obsolete document. Documents are drafted and distributed to concerned offices, different directorates to be reviewed and approved for adequacy by authorized personnel prior to issue. The procedure also ensures that documents are identified, prepared, and where applicable, revised, in a uniform manner and that they give clear guidance and direction to their users.

Upon approval, copies of the documents are provided to concerned offices/directorates where operations essential to the effective functioning of QMS are performed. Original copies are kept and maintained in appropriate storage locations. All electronic copies are stored in protected folders.

Master lists of documents identifying the current revision status are maintained and are readily accessible in order to prevent the use of invalid or superseded documents. Superseded documents retained for legal, reference or knowledge preservation purposes are suitably identified and are held in archive files.

e.10 Control of Records

The PNP maintains an Operating Guidelines on Records Control to define the controls needed for the identification, storage, retrieval, protection, retention time, and disposition of quality records.

These controls are applicable to those records which provide evidence of conformance to requirements; this may be evidence of service requirements, contractual requirements, procedural requirements, or statutory and regulatory compliance.

All hardcopy records are stored in archive boxes for an established and recorded period in such a way that prompt retrieval is possible and the records are protected from damage, loss and deterioration due to environmental condition. All electronic records are stored in protected folders and subject to periodic back-up procedure.

At the end of nominated retention time, records are disposed in accordance with the disposal method set out by applicable laws.

e.11 Procurement

The PNP through its Directorate for Logistics and its counterparts ensure that purchased products and services conform to specified purchase requirements. The type and extent of control applied to the suppliers and the purchased products are dependent on the effect on subsequent product realization or the final product.

The PNP evaluates and selects suppliers based on their ability to supply product and service in accordance with the PNP's requirements. Criteria for selection, evaluation and re-evaluation are established.

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Purchases are made through the release of formal purchase orders and/or contracts which clearly describe what is being purchased. Received products and service are then verified against requirements to ensure satisfaction of requirements. Suppliers who are not providing conforming product and service may be requested to conduct formal corrective action.

e12. Production and Service Provision

Control of Provision of Products or Services

To control its provision of products or services, the PNP considers, as applicable, the following:

a) the availability of documents or records that define the characteristics of the products or services as well as the results to be achieved;

b) the availability and use of suitable monitoring and measuring resources;

c) the implementation of monitoring and measurement activities; d) the use of suitable infrastructure and environment; e) the appointment of competent persons, including any required

qualifications; f) the implementation of actions to prevent human error; and g) the implementation of release, delivery and post-delivery activities

Identification and Traceability

VVhere appropriate, the PNP identifies its product or service or other process outputs by suitable means. Such identification includes the status of the product or service with respect to monitoring and measurement requirements. Unless otherwise indicated as nonconfonning, pending disposition, or some other similar identifier, all products or services shall be considered conforming and suitable for use.

Property Belonging to Third Parties

The PNP exercises care in handling the property of customer or supplier while it is under the PNP's control or being used by the PNP. Upon receipt, such property is identified, verified, protected and safeguarded. If any such property is lost, damaged or otherwise found to be unsuitable for use, this is reported to the customer or supplier and its records shall be maintained.

The data fumished by the customers which were used in the provision of products and services are identified, maintained and preserved to prevent accidental loss, damage or inappropriate use.

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Preservation

The PNP preserves confonnity of product or other process outputs during internal processing and delivery. This preservation includes identification, handling, packaging, storage, and protection. Preservation also applies to the constituent parts of a product.

QMS Implementation

In the implementation of the Quality Management System, the following Operating Guidelines (OG) shall be observed: (See Annexes)

a. OG on Document Control; b. OG on Records Control; c. OG on Internal Quality Audit; and d. OG on Corrective Action,

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Chapter 4

PNP ISO 9001 :2015 Certifying Process

a. Identification of Units to be Certified

The PNP ISO 9001 :2015 Certification Process shall commence with the identification of the offices/ units which shall undergo the certification process. The identification of the offices/units shall be based on its function and its impact to the PNP and the community. The Directorate for Plans, with the guidance from the PNP Command Group and the PNP ISO Technical Working Group, shall facilitate the identification of the PNP units/offices.

b. Identification of Core Processes to be Certified

Once the PNP units/offices have been identified, the said units shall identify their core processes to be ISO certified. The core processes to be identified should have a huge impact on the overall mandate of the said units/offices.

c. Bidding and Procurement of Third-Party Auditor and ISO Consultant

Simultaneous with the identification processes is the conduct of bidding for the procurement of a third-party auditor. The bidding for the procurement or direct procurement for an ISO Consultant shall also be conducted, if needed. Pertinent laws, rules and regulations of the PNP shall be applied during the bidding or direct procurement process.

d. Training of Personnel

After the offices/units have been identified including their respective core processes, said office/units' top management along with their Quality Management Team (QMT) shall be oriented with the Quality Management System.

Series of seminars, workshops, and trainings will have to be undergone by the Quality Management Team to bolster their knowledge on the QMS. Each unit's QMT shall be organized as follows:

1. Quality Management Representative -a. PNP Command Group/ D-Staff - Administrative Officer b. National Support Units - Deputy Admin Officer

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c. Police Regional Office

d. Police Districts

- Deputy Region Plans and Strategy Management Division (RPSMD)

- Deputy Region Plans and Program Division (RPPD) for PROARMM only

- Chief, District Personnel

2. Assistant Quality Management Representative - Non-Uniformed Personnel (NUP) (preferably with SG 11 and up)

3. Internal Auditor - Police Commissioned Officer (PCO) not lower than Police Major

4. Assistant Internal Auditor - NUP (preferably with SG 11 and up) 5. Training Manager - PCO 6. Training Facilitator - PCO or Police Non-Commissioned Officer

8. Unit Readiness and Preparedness

To test the unit's readiness and preparedness, an ISO Technical Guidance on Enhancement of Operational Control and Procedures shall conduct office visit and inspection at least twice prior to the third-party audit and certification. Said office visit and inspection shall be conducted by a team of ISO­trained PNP Personnel or ISO Consultants.

f. Third-Party Audit and Certification

After all the trainings, orientations and other ISO-related activities, the third-party audit and certification shall follow. This shall determine whether or not the said unit shall be granted the ISO 9001 :2015 Certification.

g. Improvement

The concerned unit shall continually improve its core process in accordance with the ISO 9001 :2015 Standards.

h. Surveillance Audits

SUNeillance Audits shall take place after the third-party audit and certification. Said sUNeillance audits hall be conducted every 6 months after the audit and certification up until the third year.

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Chapter 5

Way Forward

Among the PNP Program Thrusts for CY 2019 is the ISO Certification of the core processes of the different PNP offices/units. As such, a bulk of the appropriations for the PNP under the General Appropriations Act 2019 was dedicated for the ISO Certification. Thus, for the year 2019, another set of PNP offices/units is expected to undergo the ISO 9001 :2015 Certification Process.

The current trend in the management of different government departments, agencies and offices, to include the different directives and executive orders mandating ISO Certification, would convey that the PNP will continue the ISO Certification of the different core processes of the PNP offices/units most especially the frontline offices.

In line with this, the PNP expected that on year 2020, all PNP offices and units shall also undergo the ISO Certification process.

Effectively

This Philippine National Police Quality Management System (PNP QMS) shan take effect upon approvaL

..; v~\ 2m~

FRANCISCO F GAMBOA leutenant General

-In-Charge, PNP

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Annexes

Page 33 of 57

Operating Guidelines

8. Document Control

1. BACKGROUND:

Executive Order (EO) No. 605, dated February 23,2007, "Institutionalizing the Structure, Mechanisms and Standards to Implement the Government Quality Management Program, Amending for the Purpose Administrative Order No. 161 Series 2006, was issued to effect actual improvements in public governance in recognition of the International Organization for Standardization (ISO) 9000 series which ensures consistency of products and services through quality processes.

The Philippine National Police (PNP) in compliance with the aforementioned EO and to cope with the emerging trends in policing, recognizes the importance of a more comprehensive and up to date procedure in the creation, amendment, revision, and distribution of documents.

The control of these documents (internally generated or from external sources) must be implemented in accordance with existing laws, policies, rules and regulations, and ISO 9001 :2015 Quality Management System (QMS) requirements. The organization has existing issuances in the control of documents which win be adopted in this procedure.

2. PURPOSE:

This procedure aims to define a uniform and standard system in controlling internally-generated and externally-generated documents determined by the PNP as necessary for the effectiveness of its Quality Management System as required by the International Standard and those necessary for the organization to attain its objectives.

It also outlines existing and pertinent PNP issuances purposely to prescribe guidelines to all offices/units in the promulgation of their respective policies andl or issuances which include their exchange of information to both internal and external stakeholders.

It defines the controls required in approving documents for adequacy prior to issue; in reviewing and updating; in ensuring that changes and current revisions are identified and unintended use of obsolete documents is prevented; relevant versions of documents are available when needed and remains legible; and in ensuring that external documents are identified and their distribution controlled.

4. SCOPE OF APPLICATION:

This procedure applies to all PNP documented information in-line with ISO-QMS implementation.

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5. DEFINITION OF TERMS:

a. Administrative Issuances - policies, guidelines, rules, regulations and procedures promulgated pursuant to existing laws, standard operating procedures, and implementing instructions from other government agencies and the like, issued by the Chief, PNP.

b. Approving Authority/Authority to Approve - the designated office/unit or person authorized to approve a document/issuance.

c. Classification - the individual identification of documents categorized under various types.

d. Complete Staff Work - is the study of a problem, and presentation of a solution, in such form that all that remains to be done by the Manager/Staff is to indicate their approval or disapproval of the completed action.

e. Document - refers to recorded information regardless of medium or characteristics. Frequently used interchangeably with "records".

f. Effectivity/Duration - refers to the life span of a particular issuance.

g. Frequency- the interval of time wherein the document shall be reviewed.

h. Issuing Authority/Authority to Issue - the designated office/unit or person authorized to issue such document/issuance.

i. Manual - a reference book that contains approved policies, procedures, guidelines or information that is made up of a body of police strategies, techniques, and procedures that translate or support the principles and functions of the PNP.

j. PNP Issuances -are issuances that include but not limited to Implementing Guidelines, General Orders, Command Memorandum Circulars, Letter Directives, Memorandum Circulars and Standard Operating Procedures, among others.

k. Routing Slip- an official form attached to a document that contains the subject, sender, recipient, signatory, date signed, and action requested. This is used for internal circulation especially when requesting approval.

I. Standard Operating Procedure - a set of instruction regarding the procedures to be followed on a routinary basis as desired by the Chief of Office.

m. Subject/Coverage - refers to the scope to be covered by an issuance.

n. Technical Working Group - refers to a group organized by the issuing authority and tasked to initiate, plan, and develop a PNP doctrine or manual.

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o. Tracer - a document issued to follow-up feedback on a specific requirement.

p. Type - the category of the document such as Issuance, Letters; Administrative Orders; Operational Order; and Manual/Bulletin and other related publications.

6. POLICIES:

The process for controlling all PNP documents shall be in accordance with existing laws, policies, procedures, and ISO 9001 :2015 OMS requirements. All documents shall be thoroughly reviewed and approved prior to issuance and shall be available and suitable for use when needed. It shall be protected from loss of confidentiality, improper use, or loss of integrity as provided. (References: "Memorandum Circular (MC) No. 2017-015, "Revised Doctrine on PNP Issuances':· and PNP MC No. 2014-020, "Revised Guidelines and Procedures in the Development of PNP Doctrines and Manual').

7. PROCEDURES:

S DOC iTA: ITR C Rf

I R

r----------------------:~---------------

----------------------------------------

I_~ _________________________________ _

A. CREATION

1) Format

PNP Communications shall follow the standard format prescribed by The Chief of Directorial Staff (TCDS). In case an office/unit proposes any recommendation for revision of existing standard format for communications, it shall be forwarded to TCDS for review and approval.

a.1 Standard contents of the PNP Memorandum Circular are the following:

a) References;

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b) Rationale;

c) Situation;

d) Purpose;

e) Definition of T enns;

f) Guidelines;

g) Repealing Clause; and

h) Effectivity

a.2 Standard contents of the Command Memorandum Circular are the following:

a) References;

b) Purpose;

c) Situation;

d) Mission;

e) Execution; and

f) Effectivity

a.3 Standard contents of an Operating Guidelines are the following:

1) Background;

2) Purpose;

3) Scope of application;

4) Definition of Tenns;

5) Policies;

6) Procedures;

7) Responsibilities;

Other prescribed fonnats for documents that are not covered in the above references are attached in this SOP. (References: "PNP Memorandum Circular No. 2019: dated March 5, 2019, "Guidelines for the Standard Preparations and Communications, " and "Memorandum Circular No. 2017-015, "Revised Doctrine on PNP Issuances").

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All forms used by the PNP shall maintain the standard format details; however. the other contents shall be based on the requirements of respective offices/units (peculiar on their process).

2) Issuing Authority

1) Originating office/process owner per type of document follows the guidelines on PNP issuances. (Reference: Memorandum Circular (MC) No. 2017-015. "Revised Doctrine on PNP Issuances1·

2) Document should follow the existing policy on complete staff work (CSW) to be considered as official prior to its adoption and implementation. A routing slip showing the actions taken. person/office responsible/date when action was taken among others must be attached to the document during its review.

3) Documents from subordinate offices/units shall be coursed thru their functional supervisors and other D-Staff concerned. before they are endorsed to the CPNP through the Command Group as appropriate. based on the existing policy on CSW. unless there is a specific instruction.

4) The person delegated with the authority to approve shall have the right to make decisions or final action on matters within their inherent or perfunctory function.

5) Issuing authority of the office/unit is limited only to the formulation of a particular issue.

3) Identification

All documents should be identified. Identification should include the document title. document type. issuing office, approving authority among others.

Series numbering/coding system for the PNP documents established and generated by their respective issuing office are reflected in the Table of PNP Issuances. (Reference: "MC No. 2017-015, "Revised Doctrine on PNP Issuances'1.

To facilitate filing and retrieval per office, hard copy documents are property filed and labeled. as applicable:

• per document type

• per subject

• perunit

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4) Review and Approval

a) Documents shall be reviewed and approved prior to dissemination and implementation in accordance with "Me No. 2017-015, "Revised Doctrine on PNP Issuances".

b) Designated PNP personnel and approving authority shall have access to pertinent information upon which to base the review and approval.

c) Approving authorities are identified in Me No. 2017-015, "Revised Doctrine on PNP Issuances".

d) For documents requiring approval of the CPNP, the document shall be returned to the originating office which shall be responsible for the promulgation of the policy, to include reproduction, distribution, and filing. A copy of the approved document shall be sent to the PNP Command Library, and as necessary, for subsequent submission to the University of the Philippines Law Center for publication. (Reference: Me No. 2017-015, "Revised Doctrine on PNP Issuances').

B. DISTRIBUTION AND MAINTENANCE OF DOCUMENTS

1) The PNP Command Library controls and assigns numbers to all documents signed by the CPNP. It maintains a master list of all of these documents as the official repository of CPNP-approved documents.

2) Copies of issuances originating from other offices/units shall be kept in the respective issuing office/unit. These offices shall maintain a master list of documents and forms they authored or created which shall be stored in a database in MS Excel or MS Word containing basic information, as follows:

• document title

• document type

• effectivity/issue date

• reference code/series number, if applicable

• revision history, if applicable

• revision number and date, if applicable

3) Distribution of issuances to copy holders shall be made in accordance with existing policies or as identified by the issuing office/unit. (Reference: Me No. 2017-015, "Revised Doctrine on PNP Issuances j.

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4) Documents are distributed to concemed offices/units through hard and/or softcopies by means of courier, e-mail, fax, other medium of communication. Distribution must be indicated in the document. Receipt of such shall be documented.

5) Offices/Units shall designate a qualified Records Officer and Record Custodian who shall ensure the maintenance, retention and disposition of hard and electronic copies of documents based on the requirements of RA 9470 "An Act to Strengthen the System of Management and Administration of Archival Records, Establishing for the Purpose the National Archives of the Philippines, and for other Purposes ("National Archives of the Philippines Act of 2oo7j.

6) To ensure security and restriction for classified documents, the following are observed:

• Covered;

• Only authorized PNP personnel are allowed to carryltransportldeliver/receive;

• Labelled/marked with TOP Secret, Secret, Confidential and Restricted as applicable and kept separately from the general files in secured file containers; and

• Only authorized personnel with security clearance shall have access to these documents.

These are all in accordance with Philippine National Police Regulations No. 2000-012, "Promulgating Rules Governing Security of Classified Matters in al/ Philippine National Police Offices and Units".

C. CONTROLS FOR REVIEW AND AMENDMENT OF PNP DOCUMENTS

PNP documents shall undergo review for continued suitability and applicability. The reviewing authority and the frequency of review are stated in the table below.

TYPES OF REVIEWING FREQUENCY

DOCUMENT AUTHORITY

PNP Memorandum Issuing Office/Unit Every 3 years or as necessary Circular

PNPCommand Issuing Office/Unit N/A Memorandum Circular

Standard Operating Issuing Office/Unit Every 3 years or as necessary

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Procedure

Manuals BDD-DHRDD Every 3 years or as necessary

Superseded documents shall be identified and stipulated in the repealing or amendatory clause to preclude the use of invalid and obsolete documents.

D. CONTROL OF EXTERNAL DOCUMENTS AND COMMUNICATION

1) External documents received by any PNP office are disseminated to the concerned office/PNP personnel through their respective message centers, where a code number is assigned per document.

2) For actionable external communication, this is assessed or evaluated by the receiving office/unit and referred to concerned action office.

3) The following are used as means/method to retain documented information on the source, copy holders and action status of external documents, as applicable:

• Official logbook

• Database

• Barcode system

4) Feedback on the status of action taken by the concerned action office is forwarded to external stakeholder/source copy furnished concerned PNP office/unit Management.

5) Concerned office/unit issued a memorandum for tracing their action taken.

8. RESPONSIBILITIES:

a. The Directorate for Human Resource and Doctrine Development (DHRDD), through the PNP Command Library, shall be responsible for controlling and assigning numbers to all administrative issuances and/or circulars signed by the CPNP. It is the repository of PNP issuances (manuals, circulars, among others).

b. Administrative Officers of offices/units are responsible for disseminating PNP issuances to PNP personnel through PICE and written communication, and for external stakeholders through TRIMP (Television, Radio, Internet, Messages and Publication). Offices concerned shall craft OPLANSIIMPLANS to issuances that need implementation.

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c. Records Officer and Record Custodian shall be responsible for maintenance, retention and disposition of hard and electronic copies of documents based on the requirements of RA No. 9470 dated May 21 , 2007, "An Act to Strengthen the System of Management and Administration of Archival Records, Establishing for the Purpose the National Archives of the Philippines, and for other Purposes ("National Archives of the Philippines Act of 2oo7j.

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b. Records Control

1. BACKGROUND:

Executive Order No. 605 dated February 23, 2007, Institutionalizing the Structure, Mechanisms and Standards to Implement the Government Quality Management Program, amending for the purpose Administrative Order No. 161 was issued to improve and shift the performance of the public sector recognizing the International Organization for Standardization (ISO) 9000 series which provides International Standards on Quality Management and ensures consistency of products and services being offered.

Records provide evidence of the PNP's activities and functions. Proper records management will serve as safeguard from unauthorized users ensuring the preservation, integrity and confidentiality of PNP records. This will also allow easy accessibility of relevant records and serve as back-up data for Mure reference on management decisions and planning. Proper management of PNP records will improve its efficiency, provide better traceability and ensure regulatory compliances.

2. PURPOSE:

The purpose of Records Control is to ensure that all records of the PNP generated by the Quality Management System are properly maintained and are readily available for use. To provide the organization with the documentation of the Records Management System as well as the procedures and guidelines for its implementation.

3. SCOPE:

This procedure applies to records generated by the PNP OMS processes.

4. DEFINITION OF TERMS:

a. Archiving - The transfer of records to other repository or storage area or transfer to other offices for safekeeping.

b. Current or Active Records - Records that are being maintained, used and controlled. These records are normally kept in desklworkstation drawers or nearby filing cabinets, shelves or racks for easy access and retrieval.

c. Non-Current or Inactive Records - Records that are rarely or no longer referred to, and must be transferred to another place. These records have already served its purpose but must be kept for legal requirements or some compelling reasons. These are destroyed upon expiry of active retention period.

d. Permanent Record or Archives - Defined as archival records, a document whose long-term value justifies its permanent retention.

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e. Record - refers to a collection of data, information or reports stating results achieved or providing evidence/proof of activities performed.

f. Records Custodian -refers to the employee with responsibilities over a particular set of records and must keep the Records Officer informed of any issues regarding the records in their custody.

g. Records Disposition Schedule (RDS) - refers to the matrix of the different types of records, their corresponding retention period and disposition methods.

h. Records Officer - refers to the employee responsible for overseeing the records management program and providing guidance on adequate and proper record keeping.

i. Retention Period - refers to the specific period of time as duration of safekeeping of records as per PNP RDS following the guidelines of the National Archives of the Philippines (NAP).

5. POLICY

The retention and disposition of PNP records are in accordance with the National Archives of the Philippines General Circular No. 1 and 2 dated January 20, 2009 with subject "Rules and Regulations Governing the Management of Public Records and Archives Administration.

Accessibility to PNP records is in accordance with the applicable provisions in the PNP People's Freedom of Information Manual and other existing laws, rules and regulations.

6. PROCEDURE:

a. Designation of Records Officer and Records Custodian

Each PNP office shall have their Records Officer and Records Custodian to manage its records which include identification, storage, protection, retrieval, retention and/or disposition of records in any form or medium.

b. Record Creation

All records are arranged according to the date and year they were approved and/or published. Filed, labelled and classified as Current or Active, Non-Current or Inactive, and Permanent or Archive Records.

The records that can be created are generally categorized, but not limited to the following:

1) 201 Files; 2) Superseded Circulars, SOPs, Policies, Directives; 3) Administrative Orders and Records;

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4) Memorandum and Letter Correspondence; 5) MOAlMOU/Agreements; 6) Reports; 7) Minutes of the Meeting, Conference Notice; 8) Worksheets, forms, charts; photo documentation; 9) Financial Records; 10) Reference Documents; and 11) Specific Classified documents (Top Secret, Secret,

Confidential and Restricted).

c. Storage, Protection and Retention of Records

Appropriate filing and labelling system are implemented for ease of access with the following guidelines:

1) Records are placed in a binder andlor folder in their designated storage area and as necessary are protected from damage and deterioration. They are properly filed in the respective folders, which are well protected and stacked in filing cabinets with locks and keys as necessary.

2) Current Records are filed in a manner that enhances accessibility. All records are filed systematically with proper labelling of storage cabinets, boxes, envelopes, folders and among others where they are protected from physical deterioration, damage, loss, tampering and unauthorized reproduction. As applicable, records may also be converted to electronic files and may be stored in existing data base and backup devices.

3) The retention of records shall be in accordance with the National Archives of the Philippines (NAP) General Circular Nos. 1 and 2 as well as the General Records Disposition Schedule.

4) Specific Classified documents (Top Secret, Secret, Confidential and Restricted) will be stored, retained and disposed in accordance with the Office of the President Memorandum Circular No. 78 series 1964.

d. Records Inventory

Records Inventory is conducted annually by the Records Custodian to determine which records are due for retention and disposal. (NAP Form No. 1 Inventory and Appraisal).

e. Request for Copy of Records

1} Reproduction of Hard Copy

Hard copy of Records except for Specific Classified Documents may be reproduced by the Records Custodian and can be issued to an authorized requesting PNP personnel upon approval of the Records Officer.

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Other interested parties may be given hard copy of a requested record except for Specific Classified Documents upon approval of the head of office or higher authority.

2) Electronic File

Electronic copy of Records except for Specific Classified Documents may be transferred/copied to an external drive by the Records Custodian and can be issued to an authorized requesting PNP personnel upon approval of the Records Officer.

Other interested parties may be given an electronic copy of a requested record except for Specific Classified Documents upon approval of the head of office or higher authority.

f. Records Disposal

Record disposal shall be in accordance with the National Archives of the Philippines (NAP) General Circular No. 2 dated January 20, 2009 and/or shall be prescribed by the PNP. The Records Custodian identifies records subject for disposal and shall accomplish the Records Disposition Schedule NAP Form No. 2 Records Disposition Schedule and NAP Form NO. 3 Request for Disposal).

g. Archival

Archival of permanent records is managed by the Records Custodian for proper safekeeping and disposition. Archive Records maybe converted to electronic file as necessary.

7. RESPONSIBILITIES:

a. Records Officer

1) Ensures that control procedures are effectively implemented;

2) Certifies the correctness of data in the Control Records document; and

3) Reviews and approves the request for copy of records, consolidated records disposal plan, records retention schedule, and records inventory.

b. Records Custodian

1) Identifies, labels, classifies records to be kept in the designated filing boxes/cabinets and establishing the retention period of the records generated, as well as storage and maintenance of records for the duration of the retention period;

2) Responsible for the reproduction of hard and soft copy of records following the guidelines for Request for Copy of Records;

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3) Prepares the consolidated records disposal plan, records retention schedule, and records inventory for review and approval of the Records Officer;

4) Updates master list after inventory;

5) Ensures that records needed are properly maintained and are readily available;

6) Safeguards the keys to record cabinets and electronic back-up; and

7) Accountable for damage and loss of records.

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c. Internal Quality Audit

1. BACKGROUND:

Executive Order No. 605 dated February 23. 2007. Institutionalizing the Structure. Mechanisms and Standards to Implement the Government Quality Management Program. amending for the purpose Administrative Order No. 161 was issued to improve and shift the performance of the public sector recognizing the International Organization for Standardization (ISO) 9000 series which provides International Standards on Quality Management and ensures consistency of services being offered.

As part of the commitment of the PNP to provide quality public services. Internal Quality Auditors shall conduct an Internal Quality Audit to confirm the effectiveness of the management system and to obtain information for the improvement of its QMS.

2. PURPOSE:

To establish guidelines and procedures in the conduct of intemal quality audits to verify whether quality activities and related results conform to the standards set forth by the PNP QMS requirements, to the ISO 9001 :2015 QMS requirements and to determine if the OMS is effectively implemented and maintained.

3. SCOPE OF APPLICATION:

This OG applies to all PNP units, particularly, internal auditors in the conduct of Internal Quality Audit. This OG provides guidelines for the planning, execution, reporting and follow-up procedures that should be undertaken by the internal quality auditors.

4. DEFINITION OF TERMS:

a. Audit- refers to the systematic. independent. documented process of obtaining audit evidence and evaluating objectively to determine the extent to which requirements are fulfilled.

b. Auditee - refers to the PNP office/unit being audited.

c. Auditor- refers to the person who has the competency to conduct the Audit.

d. Audit Criteria - set of policies. procedures or requirements used as a reference against which audit evidence is compared. It includes statutory requirements, organizational charts, policies and procedures (SOPs), unit scorecards, special and office orders, job descriptions, minutes of management meetings, correspondences and information, and other specific QMS requirements.

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e. Audit Evidence -records, statements of fact, or other information which is relevant to the audit criteria and verifiable

f. Audit Findings-results of the evaluation of the collected audit evidence against audit criteria. This indicates conformity or nonconformity.

g. Audit Methods - include a variety of methods such as direct auditor to auditee interaction in the form of interviews, inquiries and review, inspections and confirmation, through the use of checklist, questionnaires, document reviews, and observations.

h. Audit Itinerary - states how to conduct a particular audit. It describes the activities to be carried out in order to achieve the audit objectives.

i. Audit Scope - refers to the extent and boundaries of an audit.

j. Audit Team leader - responsible for leading the Audit Team in conducting the lOA

k. Audit Team - one or more internal auditors conducting an audit. Responsible for ensuring that the auditees conform to the PNP and ISO QMS requirements.

I. Audit Plan - is a set of arrangements intended to achieve a specific audit purpose within a specific timeframe. It includes all of the activities and resources needed to plan, organize, and conduct one or more audits.

m. Conformity - the fulfillment of a requirement.

n. Correction - refers to action taken to eliminate the detected nonconformity.

o. Corrective Action - refers to action taken to eliminate the cause/s of the detected nonconformity to prevent recurrence or occurrence elsewhere.

p. Correction and Corrective Action Report (CCAR) Form - refers to the document that describes the nonconformity, correction, corrective action plans, timetables, and responsibilities.

q. Internal Quality Auditor - responsible for ensuring that internal quality audit procedure is implemented. Internal Auditors will form part of the Audit Team.

r. Internal Quality Audit Head -is responsible for the supervision, review, and approval of lOA activities. The Executive Officer, DPl is designated as the lOA Head.

s. Nonconformity (NC) - refers to non-ulfillment of a requirement.

t. Opportunity for Improvement (OFI) - refers to the recommendation for further enhancement of the QMS.

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u. Top Management - refers to the PNP Command Group and the Head of the Directorial Staff

5. POLICIES:

As general guidelines, the policies in the internal quality audit procedure are as follows:

a. Internal Quality Audit (lOA) shall be conducted at planned intervals to provide information on whether the PNP QMS:

1) Conforms to its own organizational requirements;

2) Conforms to the requirements of ISO 9001 :2015; and

3) Is effectively implemented and maintained.

b. lOA activities shall be planned, taking into considerations the status and importance of the PNP processes to be audited and also the results of the previous audits. It shall be conducted at least once a year or as deemed necessary.

c. Budgetary requirements and logistical resources shall be allocated for the conduct of lOA.

d. Auditee takes appropriate correction and corrective actions without undue delay.

e. Records generated by these procedures are maintained according to the Records Control Procedure.

6. PROCEDURES:

a. Prepare the Audit Program

1) The lOA of the PNP QMS shall be conducted at least once a year.

2) The lOA Head prepares an Internal Quality Audit Plan for the following year and submits to the Top Management for review and approval (Refer to lOA Audit Plan Form).

3) The preparation of the lOA Audit Plan shall take into consideration, among others, the status and importance of the processes to be audited, changes affecting the PNP, and the results of previous audits. The lOA Audit Plan consists of a work schedule and shall also include budget and resource requirements to achieve a specific audit purpose.

b. Manage the Auditor Pool

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1) The PNP shall compose a pool of Internal Quality Auditors originating from different PNP Units through Letter Orders.

2) Selected Internal Quality Auditors are not allowed to audit his/her own work to ensure impartiality and objectivity of the audit process.

3) The pool of selected Internal Quality Auditors shall undergo at least one (1) internal audit training or other QMS-related training. This training would also serve as a refresher course to the existing members of the lOA Team.

4) Coinciding with the refresher course, the lOA Head shall conduct a review of the auditors' performance to provide feedback and tips on improving the audit process of the auditors. A filled-up Auditors Performance Evaluation Form shall be the basis of this evaluation (Auditors Performance Evaluation Form).

5) 'nternal Auditors must also have knowledge on the following:

a) Auditing concepts;

b) ISO 9001 :2015 requirements and other requirements that the PNP QMS must comply with;

c) Auditing Management Systems based on ISO 19011 standard; and

d) Auditing Methods: d.1) Plan and organize the work effectively;

d.2) Collect information through effective inquiry; listening observing and reviewing documents, records, and data;

d.3) Evaluating audit evidence against criteria; and

d.4) Document audit findings and prepare appropriate audit reports.

c. Plan for Audits

1) Planning the Audit

a) The Audit Team Leader prepares Audit Itinerary which details specific audit objectives, areas, processes to be audited, date and duration of the audit (Audit Itinerary Form).

b) The lOA Head approves the Audit Itinerary. Audit Team Leader furnishes Auditee with the approved Audit Itinerary for notification. The Internal Quality Audit Head prepares audit notifications letter, notification is made as far in advance, at least a month before the audit schedule.

2) Develop the Audit Checklist

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I

I I I

a) The Audit Team develops the Audit Checklist to serve as a guide during the audit process. The Audit Checklist is used to organize the set of criteria to be audited to determine their extent of conformance (Audit Checklist Form).

b} The Audit Team reviews appropriate data and pertinent information which includes, but not limited to, the following:

b. 1) Quality Manual;

b.2) Policies and procedures (SOPs);

b.3) Minutes of Management Meetings;

b.4) Organizational chart;

b.5) Job descriptions;

b.6) Correspondence and information; and

b.7) Unit Scorecard and UCPER.

3) Conduct Audits

a) Conduct of the Internal Quality Audit

a.1) The Audit Team holds an entrance briefing to clarify audit scope, objectives, and schedule of audit activities.

a.2) The Audit Team executes the approved Audit Itinerary. The Audit Team may employ one or more audit methods during the Internal Audit Act.ivity. Such methods include, but are not limited to, the following:

a.2.1) Observation and inquiry;

a.2.2) Analysis and review;

a.2.3) Inspection; and

a.2.4) Confirmation.

a.3) The Audit Team holds an exit briefing to the Auditees to present the audit findings.

b) Documentation of Internal Quality Audit Findings

b.1} The Audit Team prepares and issues to the auditee the Audit Findings Report and the Correction and Corrective Action Report (CCAR) Form, for any nonconformities, within seven (7) days after the audit. These details the audit work accomplished to perform each step of the Audit Itinerary.

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Conclusions and results are supported by audit evidence (Audit Findings Report Form).

b.2) Based on the Audit Findings Report, the Auditee shall fill up the CCAR Form and return the same to the Auditor within seven (7) days after receipt. Issuance, verifications. and closure of these shall be consistent with the Corrective Action Procedure.

c) Reporting of lOA results to Top Management

c.1) The Audit Team Leader prepares the draft Audit Report.

c.2) The lOA Head reviews and approves the Final Audit Report.

c.3) The lOA Head reports the results of the lOA to the Top Management.

c.4) The lOA Head shall maintain the Audit results of lOA for reference during management reviews.

d) Review Audit Results and Status

d.1) The Audit Team monitors the status of the results of the audit communicated to the Top Management. As appropriate, the auditee keeps the Audit Team informed of the status of these actions. The completion and effectiveness of these actions are verified by the auditors. This verification may be part of a subsequent audit.

d.2) The results of verification are reported to the Top Management for review.

7. RESPONSIBILITIES:

a. lOA Head

1) Ensure the conduct of a timely and effective lOA;

2) Coordinate the whole Audit Plan to the Audit Team and the Auditee;

3) Report to the Top Management the updates of the lOA;

4) Monitor and give feedback to the performance of the internal auditors; and

5) Ensure that this Operating Guidelines being implemented and maintained .

b. Audit Team Leader

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1 ) Take charge of the preparation of the Audit Itinerary and the supervision and monitoring of its implementation;

2) Preside over the entrance briefing to discuss audit objectives, scope, method, duration and requirements; and exit briefing to discuss audit findings to the Auditee;

3) Assist auditors in preparing audit reports;

4) Finalize the Team's Audit Report findings and submit to lOA Head;

5) Resolve problem(s) with auditees (if there are any); and

6) Perform audit-related tasks as may be required from time to time.

c. Audit Team Members

1) Assist the Team Leader in the preparation of the Audit Itinerary;

2) Cooperate and actively participate in meetings and discussion sessions to be organized by the Audit Team Leader in all matters of the audit;

3) Prepare the handouts, forms, and other lOA-related documents;

4) Document data gathered including interview(s) with auditees;

5) Verify the accuracy of the collected information;

6) Maintain security and confidentiality of records;

7) Collate all evidence gathered during the internal quality audit;

8) Supply information on a template for NCs and OFls;

9) Prepare audit findings and audit report; and

10) Perform audit-related tasks as may be required from time to time.

d. Auditees

1 ) Ensure availability of all relevant documents and of all relevant staff particularly a list of statutory and regulatory requirements applicable to the processes! offices;

2) Prepare correction and corrective action plan on the basis of the audit report without undue delay; and

3) Coordinate with the audit team as may be required from time to time.

e. Top Management

1) Use the audit to review PNP courses of action in its programs and activities during Management Review.

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d. Corrective Action

1. BACKGROUND:

Executive Order No. 605 dated February 23, 2007, Institutionalizing the Structure, Mechanisms and Standards to Implement the Government Quality Management Program, amending for the purpose Administrative Order No. 161 was issued to improve and shift the performance of the public sector recognizing the International Organization for Standardization (ISO) 9000 series which provides International Standards on Quality Management and ensures consistency of products and services being offered.

As part of the commitment of the PNP to continual improvement, a corrective action process is established to ensure that conformities are identified and appropriate actions are determined to ensure that nonconformities are prevented from recurrence or occurrence elsewhere.

2. PURPOSE:

a. To serve as guide for all PNP Units involved in the implementation of PNP QMS processes, systems and procedures.

b. To take responsibility in performing Corrective Action Procedures for all identified non conformities.

c. To establish a procedure that defines a system on provision of necessary actions to eliminate the causes of nonconformities to prevent recurrence or occurrence elsewhere.

3. SCOPE OF APPLICATION:

This Operating Guidelines applies to all non conformities identified during the implementation of PNP QMS processes, systems and procedures.

4. DEFINITION OF TERMS:

a. Correction - refers to action taken to eliminate the detected nonconformity;

b. Corrective Action - refers to action taken to eliminate the cause/s of the detected nonconformity to prevent recurrence or occurrence elsewhere;

c. Correction and Corrective Action Report (CCAR) - refers to the document that describes the correction and corrective action plans, timetables and responsibilities;

d. Initiator - refers to PNP personnel who identifies the nonconformity. In case of nonconformity found during audit, the initiator is the auditor.

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-- -

e. Nonconformity (NC) - refers to non-fulfilmentlfailure to meet the requirement. NCs include product and services that do not conform to requirements, client complaints, supplier complaints, non-achievement of objectives and targets, non-compliance to statutory and regulatory requirements;

5. POLICIES:

This OG is applied to non conformities found during Internal Quality Audit, valid internal and/ or external customer complaints, and regular monitoring and measurement activities.

6. PROCEDURES:

a. When a nonconformity occurs, the PNP shall take action to control and correct it or deal with its consequences in an appropriate manner;

b. Upon determination of the need for the corrective action (e.g. through internal audit, customer complaints, and the like), Initiator accomplishes Section 1 (i.e., details of nonconformity) of the CCAR and shall issue a copy of same to the concerned UnitlDivision/Section where the nonconformity is found.

The concerned Unit/Division/Section Head reviews the nonconformity stated in the CCAR Form and determines the correction/s to be made and assigns the unit staff who will be involved in determining the root cause(s) of the nonconformity. If necessary, a Technical Working Group (TWG) will be created to address the nonconformity;

c. By using appropriate analysis techniques (such as: Brainstorming, Cause and Effect Analysis, "Why-Why technique", among others), and considering the different factors contributing to the nonconformity, the Unit StafflTWG determines the possible causes of the nonconformity, and eventually, identifies the root cause(s). The Unit StafflTWG, likewise, assesses the risks associated with the recurrence of the nonconformity (or the possible occurrence of the nonconformity in other areas of the PNP) and uses the assessment results as guides in developing the appropriate corrective actions to be taken;

d. The Unit StafflTWG develops, plans, and recommends corrective actions. The results of the root-cause analysis and the description of the necessary corrective action(s) are entered in the corresponding portions of CCAR Form Section 2 which have to be approved by the Unit/Division/Section Head;

e. Upon approval of the corrective action plan, the concerned Unit/Division/Section Head shall have the corrective actions stated in the CCAR Form Section 2 completed within seven (7) days and submitted to the Internal Quality Audit Team;

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f. The Internal Quality Audit Team and/or concerned Unit/Division/Section Head shall verify the effectiveness of the corrective actions and fill out Section 3; 1. If the corrective actions are verified to be effective as supported by

monitoring and measurement data, the CCAR Form will be marked as "Closed" under the remarks portion;

2. If ineffective, the Unit StafffTWG shall conduct another analysis and revise the corrective action as necessary;

g. Corrective actions proven to be effective may necessitate amendments of existing policies or creation of a new one;

h. The lOA Team Head reports the actions taken and results of verification to the PNP Command Group;

i. The PNP Command Group reviews and monitors, during its Executive Committee Meetings, the actions taken and results of verification for continual improvement; and

j . Records generated by this procedure are maintained in accordance with the Records Control Procedure.

7. RESPONSIBILITIES:

1.) Internal Quality Audit Head shall ensure that this OG is being implemented and maintained.

2.) Unit/Division/Section Head and Staff/lWG

a. Review the Nonconformity stated in the CCAR Form;

b. Apply immediate correction to Nonconformity;

c. Analyze the Root Cause of Nonconformity;

d. Evaluate the need for corrective action; and

e. Implement and monitor effectiveness of the corrective action.

8. SANCTIONS

Non-compliance to this procedure shall require correction action, and corrective action as necessary. Moreover, noncompliance to this procedure shall subject the person or office responsible to administrative sanctions as embodied under existing laws, rules and regulations.

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