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This Manual conforms to the requirements of ISO 9001:2015

QUALITY MANAGEMENT MANUAL

Department of Justice Quality Manual

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CONFORMS TO ISO 9001:2015

TABLE OF CONTENTS

SECTION TITLE PAGE FOREWORD 4 INTRODUCTION 0.0. THE DEPARTMENT OF JUSTICE 6 0.1. Vision 7 0.2. Mission 7 0.3. DOJ Organizational Structure 7

1. SCOPE OF THE MANAAGEMENT SYSTEM 8

2. NORMATIVE REFERENCES 8

3. TERMS AND DEFINITIONS; ACRONYMS 8 4. ORGANIZATIONAL CONTEXT 4.1. Strategic Direction 10 4.2. Interested Parties 11 4.3. Scope of the QMS 11 4.4. QMS and Processes 12

5.0. LEADERSHIP 5.1. Leadership and Commitment 13 5.1.1. Client/Customer Focus 13 5.2. Policy 5.2.1 DOJ Quality Policy 13 5.2.2. Communicating the Quality Policy 14 5.3. Organizational Roles, Responsibilities and Authorities 14

6.0. PLANNING 6.1. Actions to Address Risks and Opportunities 14 6.2. Quality Objectives and Planning to Achieve Them 16

7.0. SUPPORT 7.1. Resources 7.1.1. General 17 7.1.2. People 17 7.1.3. Infrastructure 18 7.1.4. Environment for the Operation of Processes 18 7.1.5. Monitoring and Measuring Resources 19 7.1.6. Organizational Knowledge 19 7.2. Competence 19 7.3. Awareness 19 7.4. Communication 20


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7.5. Documented Information 7.5.1. General 20 7.5.2. Creating and Updating 20 7.5.3. Control of Documented Information 21

8.0. OPERATION 8.1. Operations Planning and Control 21

9.0. PERFORMANCE EVALUATION 9.1. Monitoring, Measurement, Analysis and Evaluation 9.1.1 General 22 9.1.2 Client/Customer Satisfaction 22 9.1.3 Analysis and Evaluation 22 9.2. Internal Audit 23 9.3. Management Review 9.3.1. General 23 9.3.2. Review Inputs 23 9.3.3. Review Outputs 24

10.0. IMPROVEMENT 10.1. General 24 10.2. Continual Improvement and Corrective Action 24 10.3. Preventive Action 24

WORK INSTRUCTIONS Annex A Case Management System for Complaint for

Preliminary Investigation 1. Case Management System – Receiving of Criminal

Complaints for Preliminary Investigation

27

2. Case Management System –Routing and Assignment of Criminal Complaints for Preliminary Investigation

30

3. Case Management System – Docketing and Recording of Criminal Complaints for Preliminary Investigation

33

4. Case Management System – Filing of Additional Pleadings for Criminal Complaints under Preliminary Investigation

35

5. Case Management System – Service of Subpoena for Criminal Complaints under Preliminary Investigation

38

6. Case Management System – Release of Resolution and/or Information in Court

41


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Annex B Case Management System for Complaint for Inquest Proceedings

1. Case Management System – Receiving of Criminal Complaints for Inquest Proceedings

43

2. Case Management System – Assignment and Routing of Inquest Case

46

3. Case Management System – Docketing and Recording of Inquest Case

49

4. Case Management System – Service, Turnover and Release of Case Documents for Inquest Case

51


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FOREWORD Pursuant to Executive Order No. 605, s. 2007 and Administrative Order No. 161, s. 2006, the Department of Justice (DOJ) commenced the initial implementation of the Government Quality Management Program (GQMP) by making it a part of the 2011-2016 DOJ Development Plan, towards certification for ISO 9001:2015 Quality Management Systems (QMS). Since then, moves have been made to probe into the process which went beyond study and research. This led to an exploratory meeting with the Development Academy of the Philippines (DAP) on August 2014, until finally, an initial activity pursuant to D.O. No. 690 dated 8 September 2014, a half-day Orientation on QMS was conducted by DAP in 01 October 2014 that brought awareness to fifty (50) DOJ officials on QMS. Succeeding QMS Awareness Seminar/Workshop was planned for all DOJ personnel but did not push through. The lull in activity was hindered by financial constraints to fund the honorarium of resource persons and training expenses (meals and snacks) of the remaining DOJ personnel complement. It was only in 19 May 2015 that definitive moves were set when European Union - Philippines Justice Support Programme II Operational Programme Estimate 2 (EP-JUST II OPE 2) considered QMS program qualified for assistance. Thus, from the initial desire of a 100% QMS awareness for all DOJ staff, the dream ballooned to a goal for a QMS ISO 9001:2015 certification by CY 2016. Acceptance to the EP-JUST program entailed a lot of compliance and timely submission of the required documentary requirements and budget proposal with the Department of Interior and Local Government (DILG), the Imprest Administrator of EPJUST. At last, after constant follow-ups, the grant of a P2.5 million assistance was finally approved for the development and implementation of QMS, the implementation period being June 2015 to September 2016. (However, due to financial reason, the target was reset at the last quarter of CY 2017, where funds are provided in the CY 2017 GAA.) Thereafter, a memorandum dated 20 July 2015 was issued by then Secretary Leila M. De Lima institutionalizing Government Quality Management System (GQMS), citing thereof the “implementation of the project is part of the Good Governance Initiative (GGI) of the Department that will develop a culture of quality and integrity characterized by citizen-focused and well-performing government organizations… the objective of which is to improve the processes of selected NPS offices in support of the implementation of the ARTA and Zero-Backlog program of the Department”. From that time on, series of activities were lined-up and implemented – from the preparation of request to Head of Services for a qualified representative/staff to be part


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of the QMS Core Team, to the drafting and finalization of department orders, to the reproduction and collation of training materials, to the coordination with the DILG, to the actual run of seminar-workshops as scheduled in the QMS road map with the assistance of the Organizational Transformation Consultancy (OTC) as resource persons and the Management Division staff as the Secretariat, until finally to the shaping and production of this Manual, that is truly our own!

“Remember, the Ark was built by amateurs, the Titanic by professionals.” Eleven Teachings of the Noah’s Ark

Though, financial constraints caused to reset the target for an ISO certification at the last quarter of CY 2017, where funds will be provided in the General Appropriations Act of CY 2017, the continuous effort and determination of the QMS Core Team in crafting this manual will sail the DOJ to the goal where it envisioned to be - “An office composed of highly professionalized, committed, competent, and morally upright public servants who enjoy the full trust and confidence of the people,” because of the satisfaction and excellent service they received.


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INTRODUCTION

0.0 THE DEPARTMENT OF JUSTICE

Under Executive Order No. 292, the Administrative Code of 1987, the DOJ is the government’s principal law agency which shall be both its legal counsel and prosecution arm; administer the criminal justice system in accordance with the accepted processes thereof consisting in the investigation of the crimes, prosecution of offenders and administration of the correctional system; implement the laws on the admission and stay of aliens, citizenship, land titling system, and settlement of land problems involving small landowners and members of indigenous cultural minorities; and provide free legal services to indigent members of the society. To accomplish its mandate, the Department shall have the following powers and functions: (1) Act as principal law agency of the government and as legal counsel and

representative thereof, whenever so required; (2) Investigate the commission of crimes, prosecute offenders and administer

the probation and correction system; (3) Extend free legal assistance/representation to indigents and poor litigants in

criminal cases and non-commercial civil disputes; (4) Preserve the integrity of land titles through proper registration; (5) Investigate and arbitrate untitled land disputes involving small landowners

and members of indigenous cultural communities; (6) Provide immigration and naturalization regulatory services and implement the

laws governing citizenship and the admission and stay of aliens; (7) Provide legal services to the national government and its functionaries,

including government-owned or controlled corporations and their subsidiaries; and

(8) Perform such other functions as may be provided by law.

Document No.

Section No.

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0.1. VISION

A just and peaceful society anchored on the principles of transparency, accountability, fairness and truth.

0.2. MISSION

Towards an effective, efficient and equitable administration of justice.

0.3. DOJ ORGANIZATIONAL STRUCTURE


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1.0. SCOPE of the MANAGEMENT SYSTEM

This Manual applies to case management process of the Department of Justice, National Prosecution Service, starting with the Office of the City Prosecutor of Makati City. Case management is a function that directly supports the Department’s main line services, that is, preliminary investigation and prosecution, which involves the business processes of receiving, docketing/recording, assignment, document routing, mailing/release of documents, monitoring of case status/age and document/record safekeeping and disposal.

2.0. NORMATIVE REFERENCES

This document follows the fundamentals and vocabulary under ISO 9000:2015 and is normatively referenced within the standards of ISO 9001:2015. DOJ as an organization thru its core processes identified in Clause 4.3., follows fundamental concepts and principles for quality management system.

3.0. TERMS and DEFINITIONS

Case Management – involves the receiving, docketing/recording, assignment, routing, and release of documents pertaining to criminal complaints filed before prosecution offices for investigation and prosecution. Complaint- a sworn written statement charging a person with an offense, subscribed by the offended party, any peace officer, or other public officer charged with the enforcement of the law violated. (Sec. 3, Rule 110, Revised Rules on Criminal Procedure).

Information – is an accusation in writing charging a person with an offense, subscribed by the prosecutor and filed with the court. (Sec. 4, Rule 110, supra.)

Preliminary Investigation-is an inquiry or proceeding to determine whether there is sufficient ground to engender a well-founded belief that a crime has been committed and the respondent is probably guilty thereof, and should be held for trial (Sec. 1, Rule 112, Revised Rules on Criminal Procedure).

Probable Cause (for the purpose of filing an Information)-has been defined as a reasonable ground of presumption that a matter is or may be well-founded; such a state of facts in the mind of the prosecutor as would lead a person of


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ordinary caution and prudence to believe, or entertain an honest or strong suspicion, that a thing is so. Resolution – a document written in the official language, personally and directly prepared and signed by the investigating prosecutor that indicates the following: names of all the complainants and all of the respondents; case number/s; the offense/s charged; the date of the filing of the complaint with the office; the date of the assignment of the case to or receipt of the case record by the investigating prosecutor; and the date that the case was submitted for resolution. A resolution also contains a brief summary of the facts of the case; a concise statement of the issues involved; applicable laws and jurisprudence; and the findings, including an enumeration of all the documentary evidence submitted by the parties and recommendations of the investigating prosecutor.

ACRONYMS ARTA - Anti-Red Tape Act

CO – Capital Outlay DAP - Development Academy of the Philippines DBM – Department of Budget and Management DILG - Department of Interior and Local Government DOJ – Department of Justice EPJUST – European Union-Philippines Justice Support Programme II GAA – General Appropriations Act GGI- Good Governance Initiative GQMS - Government Quality Management System ICT - Information & Communication Technology IPCR – Individual Performance Commitment and Review MOOE – Maintenance and Other Operating Expenses NPS – National Prosecution Service OPCR- Office Performance Commitment and Review OTC - Organizational Transformation Consultancy PS – Personnel Services QMS - Quality Management System SPMS-Strategic Performance Management System


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4.0. ORGANIZATIONAL CONTEXT 4.1. Strategic Direction

As part of the good governance agenda of government and DOJ, the Department aims to rationalize/streamline its core and support processes towards quality services for the public, efficient management of resources, and compliance to national and international standards. The said strategic direction is intended to manage the following issues and factors, particularly maximizing the positive and addressing the negative:

Positive Negative

Internal Standard core operating processes in place and documented (i.e. case management)

Legal competency of personnel

Standard operating procedures for core processes not fully complied with

Lack of standard procedures for support processes

Manual processes lacking ICT support/infrastructure

Low productivity No competency-based capacity

development program

Culture of compliance, lacking client focus

External Core services of prosecution offices clearly defined by law and statutes

Local government support

Government resource deficiencies

Dedicated funding for management improvement and process automation

Support personnel in many prosecution offices

Funding support from foreign funders are great opportunities for the realization of a project, while politics might pose a threat on the integrity of the system.


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4.2. Interested Parties Interested parties in the development and implementation of QMS are as follows:

Oversight agencies1 – compliance to overall QMS policy and guidelines, and accountability for funding provided.

Judiciary / courts – adherence to judicial rules and regulations. Top management (consisting of DOJ head and senior officials) –

compliance to QMS/statutory/regulatory/performance requirements, and provision/availability of resources for the purpose.

Employees – streamlining, simplifying, rationalization, improvement and documentation of work processes.

Clients (i.e. general public and client government agencies) – quality services and adequate guidance/information thereon.

Suppliers (e.g. facilities, equipment, supplies, outsourced services) – efficient procurement process.

4.3. Scope of the QMS Criminal investigation and prosecution constitute the core service of the NPS. This consists of legal processes on preliminary investigation and prosecution in court, as well as administrative case management. The QMS in this Manual specifically covers only the Case Management System, which involves the receiving, docketing/recording, assignment, document routing, and mailing/release of documents pertaining to criminal complaints filed before prosecution offices for investigation and prosecution. These documents include complaint affidavits/referrals and pleadings, among others. Effective/efficient case management facilitates the conduct and integrity of legal processes. Legal (i.e. investigative/prosecutorial) procedures are not included as these are governed by law and statutory/judicial requirements. Physical evidence and other administrative/frontline services (e.g. clearances, certifications, document copies) are also not included. Support staff provided by the Local Government Unit (LGU) and Job Orders (JOs) and other external providers such as the involvement of Security Guards and Janitorial Services at the DOJ-Proper shall be covered by a separate Memorandum of Agreement (MOA) defining the parameters

1 Oversight agencies include Department of Budget and Management (DBM), Civil Service Commission (CSC) and Commission on Audit (COA)


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of involvement in the herein scope of QMS. Processes and devices in relation to mailing activities with PhilPost shall be exempt in the herein scope of QMS. For purposes of initial implementation, the herein QMS shall cover OCP Makati City, considering its level of readiness and resource availability.

4.4. Quality Management System and Processes

Quality Management Representative (QMR, from among the top management) – facilitates QMS establishment/implementation/ maintenance, reports to top management on QMS performance and necessary improvements, and ensures that everyone in the agency is aware of client requirements

Quality Management Committee (headed by the QMR with members from core/support/management process-owners) – undertakes the development, implementation, review and improvement of the QMS

The QMS Core Team pursuant to Department Order No. 940 dated 25 November 2015 shall have the following responsibilities:

1. Attend regularly all meetings, workshops and other activities

relative to the implementation of QMS in the Department and preparations for ISO certification;

2. Input to all workshop and post-workshop activities relative to the respective roles of the office/unit represented in the implementation of QMS;

3. Advocate and cascade the principles of QMS in their respective offices/units the member represents;

4. Identify agency systems to be the subject of ISO certification; 5. Formulate and develop GQMS policies, processes and standards for

the agency systems identified for ISO certification; 6. Render continuous assistance in sustaining ISO standards in the

Department; and 7. Perform other functions relative to the implementation of QMS and

preparation for ISO certification.


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5.0. LEADERSHIP 5.1. Leadership and Commitment

Top management of DOJ shall demonstrate leadership and commitment with respect to the quality management system by:

1. ensuring that the resources (PS, MOOE, and CO) needed are available

2. promoting improvement and communicating the importance of QMS

3. engaging, directing and supporting persons to contribute to the effectiveness of the QMS or to demonstrate their leadership as it applies to their areas of responsibility

4. conforming to the QMS requirements all the time 5. taking accountability for the effectiveness of the QMS to achieve its

intended results.

5.1.1. Client/Customer Focus

Top management shall demonstrate leadership and commitment with respect to client satisfaction by ensuring that client’s sentiments are determined, understood, and consistently met through constructive action sourced from survey questionnaires and feedbacks from the DOJ website. Such mode of communication will be left open to enhance and maintain client satisfaction.

5.2. DOJ Quality Policy 5.2.1. We are committed to effective, efficient and equitable

administration of justice through determined leadership and work force guided by the highest standards of integrity, accountability and transparency. Towards this end, we shall ensure: 1) Adherence to laws and regulations; 2) Coherent policies and processes; 3) Optimal resource management; 4) Effective communications; 5) Stakeholders participation; and 6) Continuous review and improvement.


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5.2.2. Communicating the Quality Policy We ensure that documented information is made available through:

1) The issuance of Department of Orders, Office Orders,

Memorandums and Department Circulars etc.

2) Seminars, meetings and other formal conventions

3) Creation of manuals for case management and prosecution of

cases and code of ethics for prosecutors and support services

4) Information campaigns to ensure public awareness

5) Posting in the bulletin boards

5.3. Organizational Roles Responsibilities & Authorities The Senior Management Team has assigned responsibilities and authorities for all relevant roles in DOJ. These are communicated through the combination of the [Org Chart Title] and [Position Description Title]s. With this, the Senior Management Team accepts responsibility and authority for:

a) ensuring that the management system conforms to applicable standards;

b) ensuring that the processes are delivering their intended outputs; c) reporting on the performance of the management system; d) providing opportunities for improvement for the management

system; e) ensuring the promotion of customer focus throughout the

organization; and f) ensuring that the integrity of the management system is

maintained when changes are planned and implemented.

6.0. PLANNING

6.1. Actions to Address Risks and Opportunities

6.1.1. The Department of Justice considers the external and internal

issues that are relevant to its purpose and its strategic direction and that affect its ability to achieve the intended result(s) of its QMS. In planning the QMS, the DOJ top management provides direction, authorization, and resources when developing process controls through sound policies focusing on meeting client’s regulatory requirements.


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A Risk-based Thinking is applied in identifying risks and opportunities in the core processes. The Department addresses risks and opportunities through plan for actions highlighting the issues and requirements in Clause 4 focusing on the objectives of the QMS. This method is measured, monitored, communicated, aligned and consistent to the policy of the management and updated when needed. The Department establishes quality management at relevant functions and levels ensuring conformity with the standards giving quality service to stakeholders.

6.1.2. A risk register is formulated to analyze the risks involved in each

process steps identified in the core processes which contains existing control measures, effectiveness, proposed control, validation and monitoring, and a corresponding rating scale to measure the degree of likelihood and severity of the event of risk to happen. The Department in QMS planning stage determines the categories of risks impacting its ability to its operations providing client satisfaction and achieving sustained success. The methodology includes the following steps:

Identify each potential risk; Describe the potential outcome of the risk; Identify potential cause/s of risk outcome;

Rate the consequence or severity of the outcome; Rate the likelihood of the cause occurring; Rate the probability of early detection of the outcome should it

occur;

Categorize each risk into critical, high, medium or low based on using a combination of severity and likelihood to establish an overall risk score to all risks listed establishing priority in addressing identified risks;

Determining appropriate controls to respond to each identified risk; and

Provide and use risk management information for strategic decision-making and managing operations.

The Department develops a plan based on the result of the risk matrix to include in its operations planning and control under Clause 8.1. It shows the extent or scope of management system to


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address a certain risk whether or not to retain documented information as evidence of its determination. A monitoring and measurements of these planned actions, gathering, analyzing and evaluating of appropriate data shall be done periodically and are thereby determined if such action is effective, hence, reviewed and updated, as necessary, during corrective actions and management review in conformity of client’s satisfaction.

6.2. Quality Objectives and Planning to Achieve Them

The Department adopts the following quality objectives, as applicable to

relevant functions, levels, and core processes:

1. Adherence to laws and regulations 2. Coherent policies and processes

a. Keep all concerned offices and employees informed of relevant laws, regulations and policies

b. Strengthen leadership and management capability through continuing education and training

c. Institutionalize a mechanism that will encourage all concerned to adhere to all laws, policies and regulations

d. Through IT solution, proper dissemination, trainings, and regular meetings

3. Optimal resource management

a. Institute planning of activities, expenditures and procurements b. Strengthen human resource management

4. Effective Communication

a. reduce the incidents of non-compliance b. reduce incidents of red tape c. reduce incidents of finger pointing and blaming session d. effective tracking and monitoring e. pinpoint the key person responsible f. Information Dissemination Campaign- to notify the public of the

processes, what to expect in the system g. Continuous review and improvement of DOJ website

i. (external) ii. my.doj.gov.ph also known as DOJ portal (internal)

h. Dialogue with different agencies and close coordination with Barangay, law enforcement, justice sector.


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5. Stakeholders Participation

a. To have an effective feedback mechanism. b. To enable us to adjust/improve the process through the feedback

of the public c. Sensitive, mindful of doing our functions well in consonance with

the mission of the DOJ d. Continuous involvement of civil society organization/clients to DOJ

activities. eg: Public Bidding, Public Auction, Integrity Management Program

6. Continuous Review and Improvement

a. To sustain quality management b. To adjust and develop the management system c. To institutionalize the QMS d. This will compel everyone to measure up to the standards of the

office e. To raise the bar of work excellence

These are consistent with the quality policy based on applicable

requirements and relevant to conformity and enhancement of customer

satisfaction. It shall be monitored, communicated and updated as

appropriate.

7.0. SUPPORT

7.1. Resources

7.1.1. General The Department in pursuance for excellence in the delivery of quality service shall provide the needed resources to ensure the continuous implementation, maintenance, and continual improvement of the quality management system through inclusion of the needed resources in the annual budget. QMS Projects not funded in the General Appropriations Act will be sourced from foreign countries currently offering financial assistance for trainings and equipment. On the other hand, additional support staff and supplies may be sourced from Local Government Units (LGU).

7.1.2. People To guarantee the best excellent service are rendered to the public, competent people shall be provided for the effective


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implementation of the quality management system. Competency (such as knowledge, skills, and behaviour) shall be enhanced through appropriate trainings, coaching, statutory benefits released on time, and giving of incentives and rewards as prescribed in the SPMS for outstanding performance.

7.1.3. Infrastructure The following offices shall provide and maintain the following infrastructure necessary for the effective implementation of quality management system: a. For Buildings and Facilities, Equipment, and Vehicles

The Administrative Service - in the DOJ Proper and Field Offices (LGU counterpart) shall provide the appropriate office space, furniture and fixtures, equipment and service vehicles.

b. For Information Technology Management The Planning and Management Service (PMS) - Management Information Systems Division (MISD) shall provide technical support services and information technology (IT) solutions for information and data management of cases.

7.1.4. Environment for the Operation of Processes

The Department shall provide and maintain a work place and work environment that will facilitate employee productivity, process efficiency, and client satisfaction through the following:

a. Clean, orderly, and well maintained office space /work stations; b. Appropriate/comfortable facilities for personnel and clients; c. Wellness program for employees; d. Provision of space for clients (with priority lanes for the disabled

and elderly); e. “No lunch break” policy and conformance with the requirements

of ARTA.


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7.1.5. Monitoring and Measuring Resources

QMS for Case Management System are documented in Record Books with back-up files on computer, numerically docketed as received, and reported as accomplished upon receipt of resolution and/or information. Duplicate copies of all documents released are retained, filed, and properly kept in the Docket Section for easy retrieval upon request of party concerned. Monitoring and traceability of documented procedures in all stages of the quality management system are reflected in the routing slip with back-up files (case management system) that will adequately identify the status/step or stage of the case.

7.1.6. Organizational Knowledge

The Department shall maintain and made available all information (conformity or non-conformity; successes or failures; gains or losses; triumphs and struggles; etc.) on quality management system are shared and disseminated for organizational knowledge through department circulars and orders, e-mailed or fax, to offices concerned.

7.2. Competence The Department shall ensure qualified personnel are placed in the implementation of quality management system. Competency requirements shall be checked to ensure that personnel are competent on the basis of appropriate education, training, or experience; provide the necessary intervention to acquire the needed competence and evaluate the effectiveness of the actions taken; and keep the appropriate document as evidence of competence.

7.3. Awareness

To assure the success of the implementation of quality management system, training/roll-out of QMS in the DOJ-Proper and the National Prosecution Service (NPS) will be scheduled twice a month to ensure 100% awareness of the QMS quality policy and objectives; role, responsibilities, participation, contribution of each staff in the effectiveness of Department’s QMS, including the benefits of improved


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performance and the corresponding sanctions or implications of not conforming with the requirements of quality management system.

7.4. Communication

All relevant issuances pertaining to the quality management system and in relation to Clause 7.1.6 are available for access with the QMS Documentor and may be published in the DOJ website as deemed appropriate by the Quality Management Representative, and posted in bulletin boards and conspicuous places to all interested internal and external stakeholders.

7.5. Documented Information

7.5.1. General DOJ has defined and documented quality procedures consistent with the requirement of the standard. The quality procedures further describe criteria, detail activities, responsibilities and the quality assurance measures that are required to ensure the effective operation and control of the department’s work processes. All sectors/ divisions of the Department of Justice also includes other documents and records required by the institution to ensure the effective operation and control of the work processes. The degree of documentation is consistent with the methods used, the complexity and interaction of the work processes, and the skills needed and the training required by the personnel involved in carrying out these activities. DOJ has established a master index of records and documents. This master indexes of records and documents includes procedures, work instruction, forms etc. and are disseminated thru memorandums, memorandum circulars, Department Orders, Notices in compliance with implementing rules and regulations of the CSC. The creation of manuals for case management and prosecution of cases, code of ethics for prosecutors and support service, procurement manual etc. Information campaign to ensure more public awareness and gather/solicit feedback from the outside world to sustain work service excellence and quality management.


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7.5.2. Creating and Updating

All existing documents and information of DOJ are continually maintained, updated, monitored, improved and controlled (external and internal) to ensure coherent policies and processes are achieved thru effective communication of stakeholders’ participation and continuous review and Improvement, documents content are accurately reviewed to ensure that it is precise and appropriate before they are utilized.

7.5.3. Control of Documented Information

For the control of documented information, DOJ shall control documents to the requirement standards of each service. All documents and data that relates to the QMS and the standard are further reviewed and approved for suitability by authorized personnel prior to use/ release. Documents and files are computerized/electronic-based, where special attention is paid to appropriate approval and access, distribution, and archiving procedures. Currently, DOJ has a mixed media documentation system for documents/records within its control. (For internal Memorandums, Memorandum Circulars, Department Orders, Notices etc. And for External DOJ website, PHILGEPS, newspaper, bulletin boards etc.) All QMS documents are stored in protected folders. Updated access privileges to these folders are limited to the designated document control administrator. Appropriate documents are STORED/RETAINED and CONTROLED in all core/sectors readily obtained in such a manner that they are readily and EASILY RETRIEVED.

8.0. OPERATION

8.1. Operations Planning and Control The Department shall facilitate operations planning and control by sustained implementation and continuous improvement of the following systems: a) Strategic Performance Management System (SPMS) pursuant to Civil

Service Commission Memorandum Circular No. 6, s. 2012; and b) Planning, programming and budgeting system in line with public

expenditure and financial management policies of the national government.


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The said systems will enable operating units concerned to undertake the following: a) Determine and commit their activities and outputs in terms of service

efficiency, timeliness and quality standards or targets in line with respective functional mandates and strategic/quality objectives;

b) Determine resource requirements and maximize the utilization of available resources including manpower and finances;

c) Develop, review, improve and implement management activities/mechanisms including process controls in accordance with established standards;

d) Document and evaluate actual performance in terms of compliance to committed targets as well as established standards/requirements; and

e) Continually review and update strategies, priorities, targets, standards and internal processes, and propose/program the necessary resources.

9.0. PERFORMANCE EVALUATION 9.1. Monitoring, Measurement, Analysis and Evaluation

9.1.1 General The Department evaluates the performance and effectiveness of the QMS on a quarterly and semi-annual basis as set forth in the SPMS-OPCR and IPCR. Appropriate documented information shall be retained as evidence of the results.

9.1.2 Client’s/Customer Satisfaction The Department monitors client’s perceptions to determine the degree of fulfillment of client’s satisfaction through Feedback Form/Survey Questionnaire available after each transaction. Feedback Form is also available at the DOJ website, available to any interested parties who would like to give comments, suggestions and commendations. The Department retains appropriate documented information as evidence of the results.


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9.1.3 Analysis and Evaluation The Department analyzes and evaluates the client’s feedback which will serve as basis in the evaluation of: degree of client’s satisfaction, performance and effectiveness of the QMS, the performance of external providers, the need for improvement, the effectiveness of actions taken to address risks and opportunities.

9.2. Internal Audit

An Internal Audit of the Quality Management System is conducted at least semi-annually to ensure that the QMS continually conforms to the requirements of the Department and ISO 9001, and that it is effectively implemented and maintained. The results of the Internal Quality Audit serve as input to the Management Review.

To ensure that the audit considers the importance of the processes, changes affecting the organization and the results of previous audits, this is performed in accordance with a formulated audit program that defines the audit criteria, scope, methods, and responsibilities, among others. The audit program shall uphold the objectivity and impartiality of the audit process at all times.

The results of the audit are reported to Management so that the appropriate corrections and corrective actions are taken without undue delay. Documents related to the implementation of the audit program and audit results are retained.

9.3. Management Review

9.3.1. General A Management Review of the Quality Management System is conducted at least semi-annually to ensure its continuing suitability, adequacy and effectiveness. The review ensures that the QMS is continually aligned with the strategic direction of the Department.

9.3.2. Review Inputs The review may be based on the status of actions planned during previous reviews, the adequacy of resources, the effectiveness of actions taken to address risks and opportunities, changes in external and internal issues affecting the QMS, and opportunities for improvement.


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In addition, the review may consider other information on the QMS, including the attainment of the quality objectives, customer satisfaction and feedback, and monitoring and measurement results, such as: process performance, nonconformities and corrective actions, audit results, and the performance of external providers.

9.3.3. Review Outputs

The Management Review results in decisions and actions on resource requirements, and changes and improvements in the quality management system and its various processes. The Department retains documented information related to Management Reviews as evidence.

10.0. IMPROVEMENT

10.1. General

The DOJ shall pursue excellence by continually improving the suitability, adequacy and effectiveness of the quality management system. It shall consider the results of analysis and evaluation, and the outputs from management review, as basis for needs or opportunities that must be addressed for continual improvement.

10.2. Continual Improvement and Corrective Action

The Department will address nonconformities and take immediate corrective action to align processes and procedures to QMS. Proper documentation shall be taken, filed, and maintained as evidence of the action, including the results of any corrective action taken.

10.3. Preventive Action

The Department will ensure potential nonconformities will not recur by: (1.) reviewing and analyzing the nonconformity; (2.) determining the causes of the nonconformity; (3.) determining if similar nonconformities exist, or could potentially occur. Thereafter, make changes to the quality management system, if necessary.


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Periodic annual management review as set in the Guidelines for Management Review will be used as a guide, properly documented in a QMS Management Review Record to further improve the performance and effectiveness of the quality management system, to meet client’s requirements and enhance client’s satisfaction.


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ANNEX “A”

WORK INSTRUCTION Case Management System – Receiving of Criminal Complaints for Preliminary Investigation 1. PURPOSE

1.1. This is to define the procedures, records, documents and other details relating

to the said process as part of the case management system, in relation to the Quality Manual, v. 2016-1.

1.2. This also provides further details and structured documentation of pertinent procedures and steps under the 2008 DOJ Administrative Case Management Handbook.

2. SCOPE

2.1. This covers the standard procedures for receiving of criminal complaints filed

before DOJ prosecution offices for preliminary investigation.

3. RECORDS

3.1. General Requirements 3.1.1. Referral letter by the law enforcement agency and other Government

Agencies clearly stating that it is a commencement of criminal action for a particular offense

3.1.2. Complaint-affidavit/sworn-statement of complainant/victim (5 copies plus number of respondents)

3.1.3. Affidavit/sworn-statement of witness/es (5 copies plus number of respondents) Investigation Data Form (NPS INV Form No. 1); duly accomplished and certified under oath by complainant (2 copies)

3.2. Supporting Documents, When Required: (5 Copies Plus Number of Respondents) 3.2.1. Certificate to File Action, for offenses covered by the Katarungang

Pambarangay 3.2.2. Medical certificate showing the nature and extent of the injury, in cases of

frustrated or attempted homicide, murder, parricide, and physical injuries 3.2.3. Police Investigation Report 3.2.4. Police Sketches, in cases of vehicular collision 3.2.5. Photographs, in cases of vehicular collision 3.2.6. Inventory/List of articles/Items subject of the offense with their respective

values, in cases of theft, robbery, violation of P.D. 532 (Anti-Piracy and Anti-Highway Robbery), and violation of P.D. 1612 (Anti-Fencing Law)


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3.2.7. Gambling paraphernalia or its photograph, if any, item/cash money (bet/wager), in cases of illegal gambling (P.D. 1602)

3.2.8. Certification from the Traffic Management Group or LTO, for violation of the Anti-Carnapping Law (R.A. 6539)

3.2.9. Certification from the Firearms and Explosives Office (FEO), in cases of illegal possession of firearms, ammunitions and explosives (P.D> 1866, as amended by R.A. 8294)

3.2.10. POEA Certification of Non-Licensee or Non-Holder of Authority, in illegal recruitment cases

3.2.11. Chemistry Report/Laboratory examination report signed by forensic chemist, in cases of violation of Dangerous Drugs Law/Comprehensive Dangerous Drugs Act (R.A. 9165)

3.2.12. Death Certificate, in cases of parricide, murder, homicide 3.2.13. Authority to File Complaint signed by the Commissioner of Customs or

Commissioner of Internal Revenue, for violation of the Tariff and Customs Laws or National Internal Revenue Code, respectively.

3.3. Log/docket books 3.4. Electronic database

4. ASSOCIATED DOCUMENTS

4.1. DOJ Administrative Case Management Handbook (v. 2008) 4.2. Investigation Data Form (IDF) (v. 2008) 4.3. Checklist of requirements 4.4. Citizen’s Charter of the office 4.5. Process flowchart (attached)

5. DEFINITIONS

5.1. Complaint – A sworn written statement charging a person with an offense,

subscribed by the offended party, any peace officer, or other public officer charged with the enforcement of the law violated (Sec. 3, Rule 110, Revised Rules on Criminal Procedure)

5.2. Case Management – is the handling or processing of cases by an office or individual person primarily in terms of internal legal/administrative procedures. Case management begins from the time of receipt up to final action such as issuance/release of resolution, filing of information in court and turnover of the case (DOJ Handbook on Administrative Case Management).

5.3. Citizen’s Charter – All government agencies including departments, bureaus, officers, instrumentalities, or government-owned and/or controlled corporations, or local government or district units shall set up their respective service standards to be known as the Citizen’s Charter in the form of information


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billboards which should be posted at the main entrance of offices or at the most conspicuous place, and in the form of published materials written either in English, Filipino, or in the local dialect that detail:

(a) The procedure to obtain a particular service; (b) The person/s responsible for each step; (c) The maximum time to conclude the process; (d) The document/s to be presented by the customer, if necessary; (e) The amount of fees, if necessary; and (f) The procedure for filing complaints.

(R.A. No. 9485, "Anti-Red Tape Act of 2007".)

6. RESPONSIBILITY

6.1. NPS Docket Sections 6.2. Personnel responsible for receiving complaints

7. INSTRUMENTS

7.1. Automatic Date and Time Receive Stamp or Manual Date Receive Stamp with

name of office.

8. INSTRUCTIONS

8.1. The receiving/docket staff of Docket Section checks the documents attached to the complaint based on the checklist of requirements and the number of copies. 8.1.1. If submitted documents are complete – receive the complaint. 8.1.2. If submitted documents are incomplete – Do not receive and advice the

complainant to complete the required documents and/or number of copies. 8.2. The receiving/docket staff of Docket Section forwards the complaint to the Head

of Docket Section.

Prepared by:

Approved by:

Date

Date


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WORK INSTRUCTION Case Management System –Routing and Assignment of Criminal Complaints for Preliminary Investigation 1. PURPOSE




2. SCOPE

2.1. This covers the standard procedures for assignment and routing of criminal

complaints filed before DOJ prosecution offices for preliminary investigation.

3. RECORDS

3.1. Case Record 3.2. Log/docket books 3.3. Electronic database


4.1. DOJ Administrative Case Management Handbook (v. 2008) 4.2. Investigation Data Form (IDF) (v. 2008) 4.3. Citizen’s Charter of the office 4.4. Process flowchart (attached)

5. DEFINITIONS

5.1. Assignment of cases – the process of assigning of cases to a prosecutor using

any one or a combination of the recommended methods, for the conduct of preliminary investigation.

5.2. Case – refers to the complaint filed and docketed to a particular NPS office. 5.3. The Head of Office - refers to the City Prosecutor, the Provincial Prosecutor, the

Regional Prosecutor, the Head of the Task Forces, or the Prosecutor General. 5.4. Raffling – prosecutors or cases/pleadings are randomly matched by raffling, with

or without consideration of prosecutor case load and/or specialization.


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5.5. Round Robin – cases/pleadings are assigned in a sequential manner with pre-determined pattern among prosecutors in the office, with or without consideration of prosecutor case loads and/or specialization.

5.6. Designation – cases/pleadings are assigned to a prosecutor to handle particular types of cases or pleadings.

5.7. Team or Task force approach – cases/pleadings are assigned based on the appropriate and existing team of prosecutors or existing task force.

5.8. Discretion by the head of office – cases are assigned simply by discretion or choice of the head of office as to who among prosecutors he/she deems appropriate to handle the case without definite system or procedure.

6. RESPONSIBILITY

6.1. Head of Office 6.2. Task Force 6.3. Raffle Committee 6.4. Administrative Staff

7. INSTRUMENTS

7.1. Appropriate instrument for raffling, as necessary. 7.2. Computer

8. INSTRUCTIONS

8.1. The Head of Office/Raffle Committee Head/TF or Head assigns the case to a Prosecutor using any of the following methods: 8.1.1. Raffling 8.1.2. Round robin 8.1.3. Designation 8.1.4. Prosecutor Specialization 8.1.5. Team or Task Force Approach 8.1.6. Discretion by the Head of Office Notes: a. The process of assigning a case to a prosecutor shall be strictly confidential and shall not be divulged to any of the parties involved.

b. The Office shall designate the frequency of assignment of cases to prosecutors as the circumstances warrant.

8.2. The Head of Office/Raffle Committee Head/TF or Head shall forward the complaint/s to the Docket Section for recording/encoding of the case assignment to prosecutor.

8.3. The Designated Docket Encoder logs or encodes the case assignment to a prosecutor.


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8.4. The Designated Docket Encoder after encoding forwards to the designated docket staff for the distribution.

8.5. The Designated Docket Staff forwards the case to the assigned investigating prosecutor.

8.6. The Investigating Prosecutor/representative or administrative staff receives the case.

8.7. The Investigating Assigned Prosecutor to evaluate whether or not the case will undergo preliminary investigation or summary procedure to determine the existence of probable cause.

Prepared by:

Approved by:

Date

Date


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WORK INSTRUCTION Case Management System – Docketing and Recording of Criminal Complaints for Preliminary Investigation 9. PURPOSE




10. SCOPE

10.1. This covers the standard procedures for docketing and recording of

criminal complaints filed before DOJ prosecution offices for preliminary investigation.

11. RECORDS




13. DEFINITIONS

13.1. Docketing – the assignment of an identification code/number to a new

complaint filed before the prosecution office after all documentary requirements have been complied with. Docketing also includes the recording of the receipt and disposition of a complaint/case in the office docket book (or any other appropriate logbook) and electronic database, if any.

13.2. Docket Number – number assigned to a new complaint, now termed as “NPS docket number” (formerly “Investigation Sheet number/I.S. number). NPS


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docket number is a code that contains five parts, separated by hyphens. The parts and codes are explained in the tables and examples attached in Annex ___

13.3. Date Received Stamp - an implement or device for stamping a date and often (as on postal matter) related information (as place of origin or receipt)

14. RESPONSIBILITY

14.1. Docket Section 14.2. Docket Staff

15. INSTRUMENTS 15.1. Computer for database entry

16. INSTRUCTIONS

16.1. The docket staff assigns the appropriate NPS docket number to the complaint received using the prescribed codes assigned to the office and the succeeding number designated to a cases filed during a month. (e.g. XV-01-INV-08L-01000).

16.2. The receiving staff writes down or stamp the NPS docket number to the appropriate space in the two (2) copies of the Investigation Data Forms.

16.3. The receiving staff attaches one copy of the Investigation Data Form to the case record; gives one copy of the complaint with the IDF to the complainant or representative.

16.4. The receiving staff records and/or encodes the complaint in the appropriate logbook and electronic database, if any.

16.5. The receiving staff forwards to the Head of Office or designated raffling committee/Task Force in charge of the assignment of case.

Prepared by:

Approved by:

Date

Date


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WORK INSTRUCTION Case Management System – Filing of Additional Pleadings for Criminal Complaints under Preliminary Investigation 1. PURPOSE




2. SCOPE

2.1. This covers the standard procedures for the filing of additional pleadings for

criminal complaints filed before DOJ prosecution offices for preliminary investigation.

3. RECORDS

3.1. Additional pleadings may either be:

3.1.1. Motion for Admission of Additional Evidence 3.1.2. Inhibition 3.1.3. Consolidation 3.1.4. Early Resolution 3.1.5. Reopening 3.1.6. Reconsideration 3.1.7. Affidavit of Desistance



4.1. DOJ Administrative Case Management Handbook (v. 2008) 4.2. Checklist of requirements 4.3. Citizen’s Charter

5. DEFINITIONS


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5.1. Plea - is the reply of the accused to the charged. In criminal prosecution, the accused has to plead to the indictment, which he may do (1) by pleading to the jurisdiction, that is, alleging that the court has no jurisdiction to try him; (2) by a demurrer; and (3) by some plea in bar, either a general plea, “guilty” or “not guilty” (Osborn’s Concise Law Dictionary, 15th Ed. John Burke, p. 254). - The successive statement delivered alternately by plaintiff and defendant until issue is joined.

6. RESPONSIBILITY 6.1. DOJ Management Division 6.2. DOJ Records Section 6.3. DOJ Library 6.4. DOJ Personnel Division 6.5. All prosecution offices 6.6. Personnel responsible for receiving complaints

7. INSTRUMENTS


name of office 7.2. Computer for database entry

8. INSTRUCTIONS

8.1. The Designated Receiving Staff receives the pleading, check completeness of supporting documents and verify the nature of the pleading, the case reference number, the purpose of the filer and if copy was furnished to the other party.

8.2. The Designated Receiving Staff releases a copy of pleading to the client with stamped “Received” with name and signature, time and date it was received. If the documents are incomplete return the pleading and advise the concerned party to submit the lacking documents.)

8.3. The Designated Docket Staff and Record Staff records the additional pleading in the appropriate logbook and electronic database, if any; and update the index file of the case.

8.4. The Designated Record Staff routes the pleadings to the head of office. 8.5. The Head of Office assigns the additional pleading to a prosecutor for

appropriate action. 8.6. The Assigned Prosecutor studies the pleading and issue resolution (within the

required number of days as stated in the court order) either for Dismissal or Filing of an Information in Court.


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8.7. The Head of Office either approves or disapproves the recommendation of the assigned prosecutor.

8.8. The Designated Docket Staff and Record Staff immediately transmits copy of the resolution to the concerned parties after the required recording and docketing procedures have been done.

8.9. The Designated Docket Staff and Record Staff files the receiving copy in the case record of the concerned party.

Prepared by:

Approved by:

Date

Date


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WORK INSTRUCTION Case Management System – Service of Subpoena for Criminal Complaints under Preliminary Investigation 1. PURPOSE

1.1. This is to define the procedures, records, documents and other details relating to the said process as part of the case management system, in relation to the Quality Manual, v. 2016-1.


2. SCOPE

2.1. This covers the standard procedures for service of subpoena for criminal

complaints filed before DOJ prosecution offices for preliminary investigation.

3. RECORDS

3.1. Signed subpoena together with copy of the complaint affidavit 3.2. Other documents relating hereto, as necessary 3.3. Log/docket books 3.4. Electronic database


4.1. DOJ Administrative Case Management Handbook (v. 2008) 4.2. Subpoena Form Template 4.3. Process flowchart (attached)

5. DEFINITIONS

5.1. Subpoena - the usual writ for the summoning of witnesses or the submission of

evidence, as records or documents, before a court or other deliberative body.

6. RESPONSIBILITY 6.1. DOJ Management Division 6.2. DOJ Records Section


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6.3. DOJ Library 6.4. DOJ Personnel Division 6.5. All prosecution offices 6.6. Personnel responsible for receiving complaints

7. INSTRUMENTS

7.1. Computer and printer for preparation of subpoena, as available

8. INSTRUCTIONS

If the case as determined by the prosecutor should undergo preliminary investigation: 8.1. The investigating prosecutor forwards the records of the case to the

administrative staff for preparation of subpoenas to the parties. 8.2. The administrative staff of the prosecutor prepares the subpoena/s to the

parties/witness in such a number of copies required by the office using the prescribed forms in the manual or as the circumstance warrants. 8.2.1. The subpoena will be addressed to the parties stating the offense charged

and the date/time/place of hearing. 8.2.2. The administrative staff of the prosecutor prepares mailing envelop for the

subpoena and attachment, if any. 8.2.3. The Administrative staff of the prosecutor forwards the subpoena/s with

attachment, if any, together with the case records to the investigating prosecutor for signature.

8.3. The Investigating Prosecutor signs and gives the subpoena/s with attachment, if any, to the administrative staff to be forwarded to the Process Server/Mailing Personnel of the Docket/Records Section. 8.3.1. Personal Service/delivery – the process server secures a signed Certificate

of Service or copy of the subpoena (whether acknowledge or not by the recipient).

8.3.1.1. The Process Server/Mailing Personnel of the Docket/Records Section serves the subpoena and all supporting documents within two (2) days after receipt of respondents/complainant.

8.3.1.2. The Process Server/Mailing Personnel of the Docket/Records Section forwards the secured documents relating to the serving of subpoena to the secretary of the assigned investigating prosecutor notifying him/her that subpoena has been served.

8.3.2. Registered Mail – the Mailing Personnel of the Docket/Records Section

secures the return card or registry receipt.


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8.3.2.1. The Process Server/Mailing Personnel of the Docket/Records Section classifies the subpoena/s to be mailed for destination.

8.3.2.2. The Process Server/Mailing Personnel of the Docket/Records Section stamps the corresponding mailing number to the envelop or subpoena/s.

8.3.2.3. The Process Server/Mailing Personnel of the Docket/Records Section prepares a list stating the following data:

8.3.2.3.1. Mailing/Registry receipt assigned by the Post Office. 8.3.2.3.2. NPS docket number 8.3.2.3.3. Name and Address of the party/ies

8.3.2.4. The Process Server/Mailing Personnel of the Docket/Records Section forwards the subpoena/s to the Post Office for mailing.

8.3.2.5. The Process Server/Mailing Personnel of the Docket/Records Section secures the duly received transmittal list of subpoena/s for filing.

8.4. The Administrative staff of the prosecutor returns the copy of transmittal list of subpoena/s to the investigating prosecutor to be attached to the case record.

Prepared by:

Approved by:

Date

Date


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WORK INSTRUCTION Case Management System – Release of Resolution and/or Information in Court 1. PURPOSE



1.2. This also provides further details and structured documentation of pertinent procedures and steps under the 2008 DOJ Handbook on Administrative Case Management.

2. SCOPE

2.1. This covers the standard procedures for the release of Resolution and or filing of

Information in Court on criminal cases.

3. RECORDS 3.1. Resolution 3.2. Information (if there is any) 3.3. Case Records or complete records of the case


4.1. Record log book.

5. DEFINITIONS

5.1. Information in Court – is an accusation in writing charging a person with an

offense, subscribed by the prosecutor and filed with the court (Revised Manual for Prosecutors, 2008).

5.2. Process Service – serves the subpoenas and resolutions or transmits documents (e.g. file Information in court) in connection with a complaint/case (DOJ Handbook on Administrative Case Management).

6. RESPONSIBILITY 6.1. Docket Staff 6.2. Liaison Officer/Process Server 6.3. Head of the Prosecution Office (?)


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7. INSTRUMENTS

7.1. None

8. INSTRUCTIONS

8.1. The Records/Docket Staff receives the complete records of the case and resolution signed by the Investigating Prosecutor (IP), the immediate head and Head of Office.

8.2. The Records/Docket Staff checks the resolution if approved/disapproved by the Head of Office.

8.3. Records/Docket Staff updates the appropriate logbooks, index file and/or the electronic database, if any.

8.4. Records/Docket Staff reproduces/arranges case documents for release and internal records keeping

8.5. Records/Docket Staff releases the resolution and case documents to the Process Server for transmittal

8.6. Process Server transmits copies of the resolution to the parties and to the office of the respondent (if respondent is a government official/employee) 8.6.1. If resolution is for dismissal, deliver the resolution by mail or personal

delivery 8.6.2. If resolution is for filing of Information in Court, files the Information

together with copies of the Resolution and supporting documents before the proper court.

8.7 Process Server forwards to the Records Staff a copy of the resolution and information duly acknowledged by the Court.

8.8 Records/Docket Staff attaches a duly acknowledged copy of the Resolution and Information in the case record.

8.9 Records/Docket Staff files the complete case record in the office.

Prepared by:

Approved by:

Date

Date


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ANNEX “B”

WORK INSTRUCTION Case Management System – Receiving of Criminal Complaints for Inquest Proceedings 1. PURPOSE

1.1. This is to define the procedures, records, documents and other details relating to

the Receiving of Criminal Complaints for Inquest process as part of the case management system, in relation to the Quality Manual, v. 2016-1.


2. SCOPE

2.1. This covers the standard procedures for receiving of criminal complaints filed

before DOJ prosecution offices for inquest proceedings.

3. RECORDS

3.1. Sworn Statement or Complaint Affidavit 3.2. Affidavit of Arrest 3.3. Affidavit of Turnover (in case of citizen’s arrest) 3.4. Log/docket books 3.5. Electronic database (if any)

4. ASSOCIATED DOCUMENTS 4.1. DOJ Administrative Case Management Handbook (v. 2008) 4.2. Investigation Data Form (IDF) (v. 2008) 4.3. Citizen’s Charter of the office 4.4. Process flowchart (attached)

5. DEFINITIONS

5.1. Arrest – the taking of a person into custody in order that he may be bound to

answer for the commission of an offense. 5.2. Case Management – is the handling or processing of cases by an office or

individual person primarily in terms of internal legal/administrative procedures. Case management begins from the time of receipt up to final action such as


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issuance/release of resolution, filing of information in court and turnover of the case (DOJ Handbook on Administrative Case Management).

5.3. Citizen’s Charter – All government agencies including departments, bureaus, officers, instrumentalities, or government-owned and/or controlled corporations, or local government or district units shall set up their respective service standards to be known as the Citizen’s Charter in the form of information billboards which should be posted at the main entrance of offices or at the most conspicuous place, and in the form of published materials written either in English, Filipino, or in the local dialect that detail:

(a) The procedure to obtain a particular service; (b) The person/s responsible for each step; (c) The maximum time to conclude the process; (d) The document/s to be presented by the customer, if necessary; (e) The amount of fees, if necessary; and (f) The procedure for filing complaints. (R.A. No. 9485, "Anti-Red Tape Act of 2007".)

5.4. Complaint – A sworn written statement charging a person with an offense, subscribed by the offended party, any peace officer, or other public officer charged with the enforcement of the law violated (Sec. 3, Rule 110, Revised Rules on Criminal Procedure)

5.5. Information – is an accusation in writing charging a person with an offense, subscribed by the prosecutor and filed with the court. (sec. 4, Rule 110, supra.)

5.6. Inquest – an informal and summary investigation conducted by a public prosecutor in criminal cases involving persons arrested and detained without the benefit of a warrant of arrest issued by the court for the purpose of determining whether or not said persons should remain under custody and correspondingly be charged in court.

6. RESPONSIBILITY 6.1. Prosecution Offices 6.2. NPS Docket Sections 6.3. Prosecutor-in-charge 6.4. Personnel responsible for receiving complaints

7. INSTRUMENTS


name of office.


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8. INSTRUCTIONS

8.1. The designated Receiving Staff receives the following documents: 8.1.1. Affidavit of Arrest (and Affidavit of Turnover, in case of citizen’s arrest); 8.1.2. Two copies of the standard Investigation Data Forms duly accomplished by the

law enforcer or citizen effecting the arrest; 8.1.2.1. Affidavit of the complainant and witnesses. 8.1.2.2. If no affidavit of Arrest (and Affidavit of Turnover, in case of citizen’s

arrest) and the accomplished Investigation Data Forms are submitted, advise the law enforcer to submit the same. Until the said requirements are submitted, the complaint shall not be received.

8.1.2.3. If the Affidavit of Arrest (and Affidavit of Turnover, in case of citizen’s arrest) and the accomplished Investigation Data Forms are submitted, but some of the other documentary requirements are not complete, advise the law enforcer to immediately submit the other required documents later but forward the complaint to the docket staff.

Prepared by:

Approved by:

Date

Date


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WORK INSTRUCTION Case Management System – Assignment and Routing of Inquest Case 1. PURPOSE

1.1. This is to define the procedures, records, documents and other details relating to

the Assignment and Routing of Inquest Case process as part of the case management system, in relation to the Quality Manual, v. 2016-1.


2. SCOPE 2.1. This covers the standard procedures for assignment and routing of case filed

before DOJ prosecution offices for inquest proceedings. 3. RECORDS

3.1. Case Record 3.2. Log/docket books 3.3. Electronic database 4. ASSOCIATED DOCUMENTS


5. DEFINITIONS

5.1. Assignment of cases – the process of assigning of cases to a prosecutor using

any one or a combination of the recommended methods, for the conduct of inquest proceedings and/or preliminary investigation.

5.2. Case – refers to the complaint filed and docketed to a particular NPS office. 5.3. The Head of Office - refers to the City Prosecutor, the Provincial Prosecutor,

the Regional Prosecutor, the Head of the Task Forces, or the Prosecutor General.


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5.4. Raffling – prosecutors and cases/pleadings are randomly matched by raffling, with or without consideration of prosecutor’s case load and/or specialization.

5.5. Round Robin – cases/pleadings are assigned in a sequential manner with pre-determined pattern among prosecutors in the office, with or without consideration of prosecutor caseloads and/or specialization.

5.6. Designation – cases/pleadings are assigned to a prosecutor to handle particular types of cases or pleadings.

5.7. Team or Task Force Approach – cases/pleadings are assigned based on the appropriate and existing team of prosecutors or existing task force.

5.8. Discretion by the head of office – cases are assigned simply by discretion or choice of the head of office as to who among prosecutors he/she deems appropriate to handle the case without definite system or procedure.

6. RESPONSIBILITY

6.1. Head of Office 6.2. Task Force 6.3. Raffle Committee 6.4. Administrative Staff

7. INSTRUMENTS

7.1. Appropriate instrument for raffling, as necessary. 7.2. Computer

8. INSTRUCTIONS 8.1. The Head of Office/Raffle Committee Head/TF or Head assigns the case to a

Prosecutor using any one or a combination of the recommended methods for the conduct of inquest proceedings:

8.1.1. Raffling 8.1.2. Round robin 8.1.3. Designation 8.1.4. Prosecutor Specialization 8.1.5. Team or Task Force Approach 8.1.6. Discretion by the Head of Office

Notes: a. The process of assigning a case to a prosecutor shall be strictly confidential and shall not be divulged to any of the parties involved. b. The Office shall designate the frequency of assignment of cases to prosecutors as the circumstances warrant.

8.2. The Head of Office/Raffle Committee Head/TF or Head forwards the case documents to the assigned inquest prosecutor.


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8.2.1. The result of the inquest proceeding conducted by the assigned prosecutor will be a Resolution recommending any or a combination of:

8.2.1.1. Order of release of the respondent if the case is no longer proper for inquest or evidence is insufficient to support the charge

8.2.1.2. Filing of an Information in court 8.2.1.3. Issuance of subpoena to the parties for the conduct of further preliminary

investigation together with the order to release the detained Respondent. 8.3. The assigned inquest prosecutor forwards the recommendatory documents

to the head of office or duly designated assistant for review and appropriate action.

Prepared by:

Approved by:

Date

Date


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WORK INSTRUCTION Case Management System – Docketing and Recording of Inquest Case

1. PURPOSE

1.1. This is to define the procedures, records, documents and other details relating to the Docketing and Recording of Inquest Case process as part of the case management system, in relation to the Quality Manual, v. 2016-1.


2. SCOPE 2.1. This covers the standard procedures for docketing and recording of case filed

before DOJ prosecution offices for inquest proceedings. 3. RECORDS

3.1. Sworn Statement or Complaint Affidavit 3.2. Affidavit of Arrest 3.3. Affidavit of Turnover (in case of citizen’s arrest) 3.4. Log/docket books 3.5. Electronic database (if any) 4. ASSOCIATED DOCUMENTS


5. DEFINITIONS

5.1. Docketing – the assignment of an identification code/number to a new

complaint filed before the prosecution office after all documentary requirements have been complied with. Docketing also includes the recording of the receipt and disposition of a complaint/case in the office docket book (or any other appropriate logbook) and electronic database, if any.

5.2. Docket Number – number assigned to a new complaint, now termed as “NPS docket number” (formerly “Investigation Sheet number/I.S. number). NPS


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docket number is a code that contains five parts, separated by hyphens. The parts and codes are explained in the tables and examples.

5.3. Date Received Stamp - an implement or device for stamping a date (as on postal matter) and other related information (as place of origin or receipt)

5.4. Case Document – consists of the complaint-affidavit and annexes

6. RESPONSIBILITY 6.1. Docket Section 6.2. Docket Staff

7. INSTRUMENTS 7.1. Computer for database entry

8. INSTRUCTIONS 8.1. The docket staff assigns the appropriate NPS docket number to the complaint

received using the prescribed codes assigned to the office and the succeeding number designated to the cases filed during a month. (e.g. e.g. XV-01-INV-08A-0001 for the first case received by the office in January).).

8.2. The receiving staff writes down or stamp the NPS docket number to the appropriate space in the two (2) copies of the Investigation Data Forms.

8.3. The receiving staff attaches one copy of the Investigation Data Form to the case record; gives one copy of the complaint with the IDF to the law enforcer or the private complainant.

8.4. The receiving staff records the complaint in the appropriate logbook and electronic database, if any.

8.5. The receiving staff forwards the case document to the designated records staff.

8.6. The designated records staff creates an index file for the complaint. 8.7. The records staff forwards the records to encoder who will key in the data

contained in the IDF 8.8. The encoder after encoding the data forward records together with the list of

cases encoded for the day. 8.9. The designated records staff forwards the case document and list to the

head of office or the duly designated assistant or unit for assignment.

Prepared by:

Approved by:

Date

Date


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WORK INSTRUCTION Case Management System – Service, Turnover and Release of Case Documents for Inquest Case

1. PURPOSE

1.1. This is to define the procedures, records, documents and other details relating to the Service, Turnover and Release of Case Documents for Inquest Case process as part of the case management system, in relation to the Quality Manual, v. 2016-1.


2. SCOPE 2.1. This covers the standard procedures for service, turnover and release of case

documents for inquest proceedings. 3. RECORDS

3.1. Case Record 3.2. Log/docket books 3.3. Electronic database 3.4. Resolution 3.5. Order of release of the respondent 3.6. Information for filing in court 3.7. Partial resolution for the conduct of further preliminary investigation 3.8. Supplemental Resolution after the conduct of further preliminary investigation 3.9. Index File 4. ASSOCIATED DOCUMENTS


5. DEFINITIONS

5.1. Information – an instrument containing a formal accusation of a crime that is issued by the prosecutor and that serves the function as an indictment of the person/accused charged in court. as


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5.2. Resolution – a document containing the brief summary of the facts of the case; a concise statement of the issues involved; applicable laws and jurisprudence; the findings including an enumeration of all the documentary evidence submitted by the parties; and, the recommendations of the prosecutor relating to the existence or absence of probable cause that respondent may have committed the crime charged.

6. RESPONSIBILITY

6.1. Head of Office 6.2. Task Force 6.3. Designated records and docket staff 6.4. Designated process server 7. INSTRUMENTS

7.1. Computer

8. INSTRUCTIONS 8.1. For partial resolution to conduct further preliminary investigation 8.1.1. The designated records and docket staff, immediately upon receipt of the

case documents, checks whether the partial resolution has been approved/disapproved and signed by the head of office.

8.1.2. The designated records and docket staff updates the appropriate logbooks, index file and/or the electronic database, if any.

8.1.3. The designated records and docket staff reproduces/arranges case documents for further preliminary investigation of the inquest case.

8.1.4. The designated records and docket staff immediately transmits copies of the following:

8.1.4.1. Partial resolution to the parties and to the office of the respondents (if respondent is a government official/employee).

8.1.4.2. Order of release of respondent to the law enforcer concerned. 8.1.4.3. Subpoena to the parties to appear during preliminary investigation. 8.1.5. The designated records and docket staff forwards the case documents

together with the resolution to the head of office or duly designated assistant or unit for assignment/routing to an investigating prosecutor. (I have some reservations regarding the assignment/rerouting of inquest case for further preliminary investigation because the case is supposed to be retained in the Inquest Prosecutor for continuation of proceedings in preliminary investigation. If we agree on having it assigned to another prosecutor, there is a tendency of duplicity of case numbers of one complaint. If that happens, there is no final disposition on the matters involved in the inquest case, while the case for preliminary investigation is


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ongoing. In the end, there might be confusion in the database of cases subject for inquest proceedings and preliminary investigation.)

8.2. For resolution for dismissal 8.2.1. The designated records and docket staff, immediately upon receipt of the

case documents, checks whether or not the resolution has been approved/disapproved and signed by the head of office.

8.2.2. The designated records and docket staff updates the status of the case in the appropriate logbooks, index file and/or electronic database, if any.

8.2.3. The designated records and docket staff reproduces/arranges case documents for internal records keeping.

8.2.4. The designated records and docket staff immediately transmits/sends to the process server the following:

8.2.4.1. Resolution to the detained respondent and to the office of the respondent (if respondent is a government official/employee which presented the case for inquest)

8.2.4.2. Order of release of respondent to the law enforcer concerned. 8.2.5. The process server returns the proof of service of the Resolution and

Order of Release to the records staff 8.2.6. The designated records attach copies of the resolution, order of release of

respondent and the proof of transmittal/service/receipt in the case record. 8.2.7. The designated records and docket staff updates the appropriate

logbook/s, index file and/or the electronic database, if any. 8.2.8. The designated records and docket staff files the complete case record in

the office.

8.3. Filing of Information in Court 8.3.1. The designated records and docket staff, immediately upon receipt of the

case documents, checks whether the resolution and Information have been approved/disapproved and signed by the head of office.

8.3.2. The designated records and docket staff updates the status of the case in the appropriate logbooks, index file and/or electronic database.

8.3.3. The designated records and docket staff reproduces/arranges case documents for release/filing in court and internal records keeping.

8.3.4. The designated records and docket staff immediately transmits by way of registered mail copies of the resolution to the parties and to the office of the respondent (if respondent is a government official)

8.3.5. The designated process server files the Information, together with copies of the resolution and supporting documents before the proper court.

8.3.6. The designated process server forwards to the records staff a copy of the resolution and Information duly acknowledged by the court.


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8.3.7. The designated docket and records staff enters the criminal case number of the Information filed in court in the appropriate logbooks, index files and/or the electronic database, if any.

8.3.8. The designated docket and records staff attaches duplicate copy of the Information filed in court duly acknowledged by the Office of the Clerk of Court.

8.3.9. The records staff will return to the office of the clerk of court, after the case was raffled by the office of the executive judge to get the court assignment of the Information by the office.

8.3.10. The designated encoder enters the criminal case number and court assignment of the Information filed.

8.3.11. The designated docket and records staff files the complete case record in the office.

Prepared by:

Approved by:

Date

Date