PNP MARITIME GROUP Quality Management System Guide 1[Page onthe PRONG 6080012015 CNS Gae 2022-04 (Venon onan 2022Table of Contents Chapter 1... Introduction... Chapter 2... ‘The PNP Quality Management System. Structure Process Approach. ‘A.Scope of the Quality Management System. B.Externally-Provided Products, Processes, and Services C.Policy Management..... PNP Quality Policy... D.Performance Evaluation E.Managing Improvement F. Operating Guidelines Document Control . Records Control... Internal Quality Audit... Corrective Action .... 2|Page Cones. PROM 080012015 QMS Gide 2022-00 (Vrson 6 Jenny 2022Chapter 1 Introduction a. Background The Philippine archipelago is composed of 7,641 islands with Exclusive Economic Zone (EEZ) of 200 nautical miles from its shores, and 36,289 Kilometers coastline, which makes it one of the longest coastlines in the world. Based on the current ‘Coastal Data, 81% of provinces and 54% of municipalities of the Philippines are considered coastal. In the year 2000, the total population in the coastal areas is 64.7 Million which translates to 286 persons per square km. With this huge territory, a number of laws, Revised Forestry Code, Water Code, Antililegal Fishing and Wild Life Resources Conservation Act, have been enacted in order to ensure the sustainability and the protection of our environment. Following the doctrine of Parens Patriae and as one of the State Policies enumerated under Article 2 of the 1987 Philippine Constitution, the 2State shall protect and advance the right of the people to a balanced and healthful ecology in accord with the rhythm and harmony of nature. ‘The PNP MG is the primary Unit tasked to perform all police functions over Philippine territorial waters and rivers including ports of entry and exit; ensure public safety and internal security; and sustain the protection of the maritime environment®. The Group was mandated to enforce all laws and ordinances related to the protection of environment specifically maritime environment. Through the years, the PNP Maritime Group has been deeply involved in the protection of our maritime environment and in providing public safety. However, in the performance of its mandated task, various crime incidents have been encountered in the maritime environment especially by its field units. Legal impediments such as human rights violations, violations of Police Operational Procedures and other factors may sometime endanger or compromise the handling of pieces of evidence and apprehended suspects. Hence, the first Maritime Law Enforcement Manual was published in 1999 to address these problems. As the PNP Maritime Group envisions a competent and well-equipped organization capable of maintaining a safe, secure and peaceful maritime environment in partnership with the maritime stakeholders in order to institutionalize modem techniques and best practices in law enforcement, this manual is published to guide Maritime Units and other PNP Operating Units in the successful accomplishment of the PNP Mission aligned with the PNP Performance Governance ‘System P.A.T.R.O.L. Plan 2030 and MG P.A.T.R.O.L. PLAN 2020. 3[Page (niente PRPMG BO80012015 OMS Guide 2022-004 (Yerson 4 nse 222b. Profile of the Unit VISION By the year 2030, the PNP MG shall be a competent and well-equipped organization capable of maintaining a safe secure and peaceful maritime environment in partnership with the maritime stakeholders, MISSION To perform all police functions and ensure public safety and internal security cover Philippine territorial waters and rivers including ports of entry and exit and sustain the protection of the maritime environment. FUNCTIONS 1. To train, equip, mobilize, organize and manage resources for effective maritime law enforcement and intemal security operations; 2. To enforce all laws, rules, regulations and ordinances relative to the protection of lives, properties and the environment; 3. To arrest, investigate and assist in the prosecution of terrorists, smugglers, drug traffickers and other criminal elements; 4. To.conduct search and rescue operations, and 5. To perform other duties as directed by the CHIEF, PNP. ¢. Purpose This introduces the Maritime Group Quality Management System (QMS), its principles and approach. It also explains the QMS’ implementation and applicability to the Maritime Group. Further, it provides the procedures before, during and after the ISO Certification Process. This PNP Maritime Group QMS 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, and 2. Inform the internal and external stakeholders and enable them to observe and implement the QMS that is being maintained in the Maritime Group. 4lPage over. PRP BOSOI015 QMS ile 202-04 ean ary 222Chapter 2 The Maritime Group Quality Management System Structure Process Approach The Maritime Group 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. Nonconfonmities 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 Maritime Group: Management Planning Process ‘System Development Monitoring and Measurement Feedback Management Core Process ‘Management of Seabome Patrol Operations Process ‘Support Human Resource Management Process Logistics Management Procurement and Supply Management Documents and Records Control Outsourced 2 Classification of Outsourced Processes: Process (if any) a. Outside MG but within PNP = Recruitment * Procurement of items within the Unit Ceiling * Inspection and Repair of building and facilities b. Outside PNP = Major Repairs of Watercraft "Provider of Spare parts.office supplies * Resource Person for non-technical or ena special courses such as covid 19 etc. 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 5|Page trae, PHPMG SOB0012015 QMS Gide 2022-004 Veron) Jonson 20222202 heros oan) 400-2202 9 SHO STOzICOGOS OMS HKe9 2HBYOMO| “sseooid oy} Jo ssoueAjoaye einsus o} pesn spo\alW PUB BUDD “9A. Scope of the Quality Management System Based on the analysis of the internal and extemal issues of concern, interests of stakeholders, and in consideration of its services, the PNP Maritime Group has determined the scope of the management system as follows: The QMS applies to the Management of the Seaborne Patrol Operations in the enforcement of maritime laws within the Territorial Waters and rivers of the Philippines, including ports of entry and exit. It has incorporated all aspects of public safety and internal security and sustains the protection of maritime environment. The QMS applies to all processes and activities including support processes within the PNP Maritime Group Headquarters, Camp BGen Rafael T Crame, Quezon City. The QMS may also be used by the Regional Maritime Units (RMUs) and Special Operations Units (SOUs). It has incorporated all aspects of public safety, crime prevention and law enforcement procedures as well as maintenance and safe navigation of watercrafts. However, Clause 7.1.5.2 “Monitoring and Measuring resources” is excluded in the Group processes because there were no equipment issued to the PNP MG that need to be calibrated or verified to determine the equipment status. Further, Clause 8.3 of the ISO 9001:2015 standard “Design and Development of products and services” is not applicable to the MG Processes since all water assets and some equipments of the Group use during the seabome patrol operation were designed and procured by the National Headquarters; henee, the PNP MG is just the end user of the issued equipment. B. Our Business Process Model MANAGEMENT OF SEABORNE PATROL OPERATIONS PROCESS Res Preservation, Protection of 7[Page Contra Re, PREG 5050012015 QS Gide 2022-004 Neon mua 2022B. Description of the Processes The Seabome Patrol Operation is one of the Police activity of the PNP Maritime Group which aims to protect the people and the maritime environment. The intensified campaign and the continuous conduct of police visibility patrol, seaborne patrol operations in major ports, piers, coastals areas, tourist destination and other Vital installation within the Group's area of responsibility had contributed in the reduction and prevention of a crime at sea and in the coastal communities particularly violation of fisheries code, environmental laws and other transnational crimes. C.1 Management Process Management Leadership and Commitment The Director Maritime Group and respective heads of units provide evidence of its leadership and commitment to the development and implementation of the QMS and continual improvement of its effectiveness by: 1. Taking accountability for the effectiveness of the QMS; 2. Ensuring that the quality policy and quality objectives are established for the QMS and are compatible with the PNP’s context and strategic direction; 3. Ensuring the integration of the QMS requirements into the PNP’s core processes; 4. Promoting the use of the process approach and risk-based thinking; 5. Ensuring that the resources needed for the QMS are available; 6. Communicating the importance of effective QMS and of conforming to the requirements; 7. Ensuring that the QMS achieves its intended results; 8. Engaging, directing, and supporting persons to contribute to the effectiveness of the QMS; 9. Promoting improvement; and 10.Supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibilty. C.1.4 Planning Strategic Direction B[Page otro Na PREM 5080012015 QMS Gide 2022-004 Veron Joy 2022The Maritime Group 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 Qs. b. Identifying stakeholders who receive our services, or those who avail these services, or other parties who may otherwise have a significant interest in the Maritime Group. These parties are identified in the SWOT Analysis and TOWS Matrix document. c. Understanding internal and extemal issues that are of concem to the Maritime Group and its stakeholders. Many such issues are identified through an analysis of risks facing either Maritime Group 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 SWOT Analysis document 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 strategic direction and is periodically updated as conditions and situations change. Risk and Opportunities ‘The Maritime Group considers risks and opportunities when taking actions within the QMS. Risks and opportunities are identified as part of understanding the intemal and external issues affecting the Maritime Group and its stakeholders and throughout all other activities of the QMS 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 likelinood and benefit. Quality Objectives ‘When planning for the QMS, the Maritime Group ensures that each process has established its functional objectives which is a statement of the intent of the process. Each functional objectives (primary or secondary) is supported by at least one measure to determine the process’ ability to meet the quality objective. The specific quality objective for each functions, levels, and process is defined in the Charter Statement Scorecards and dashboards of each Regional Maritime Units, Special Operations Units and Maritime Police Stations. These are monitored and gathered by process owners or other assigned personnel and are presented to the Management during Management Review (Operational and Strategic). These data are analyzed 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. g|Page onrotn PRPMEG 509001205 QMS Ge 2022-004 (eran 4 Janse) 2022When 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. Planning of Changes When Maritime Group 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.1.2 Policy Management Quality Policy The Director, Maritime Group recognizes the need for high quality, efficient, effective, and transparent delivery of public service. To this end, the Maritime Group has established and implemented a Quality Policy that is appropriate to its purpose and context and supports its strategic direction. Maritime Group Quality Policy The Maritime Group as one of the National Operational Support Units (NOSU) of the PNP, is mandated to perform all police functions, ensure public safety and intemal security over Philippine territorial waters and rivers including ports of entry and exit and sustain the protection of the maritime environment. To attain these, the PNP MG commits to: 1. Train, equip, mobilize, organize and manage resources for effective maritime law enforcement and internal security operations; 2. Respond to problems with respect to the protection, preservation and maintenance of the maritime environment and conduct search and rescue operation; 3. Initiate projects and programs towards community development and continually improve the Quality Management System; 4. Deliver timely and effective seabome patrol operations to ensure public safety and intemal security, prosecution of terrorists, smugglers, drug traffickers and other criminal elements; 5. Enforce all laws, rules, regulations and ordinances relative to the protection of life, property and the environment; 6. Negate all forms of destructive activities that harm the environment and natural resources; and 10|Page ‘otra, PRPS 505001205 QS Gide 2022-004 eran 4 Jnsoy 2227. Transform into a highly mobile and well equipped organization capable of maintaining a peaceful maritime environment in partnership with the maritime stakeholders by continually satisfying applicable requirements and complying with the QMS standards The quality policy is released as a separate document and is communicated and implemented throughout PNP Maritime Group. Organizational Roles, Responsibilities and Authorities The Director Maritime Group ensures that all relevant function in Maritime Group has assigned responsibilities and authorities. These are communicated through a combination of organizational structure, job description, and in other QMS documentation. C.1.3 Performance Evaluation Customer Satisfaction As one of the measurements of the performance of the QMS, the Maritime Group monitors information relating to customer perception as to whether the Maritime Group has met customer requirements. The methods for obtaining these information includes the following feedback mechanisms: 1. Client Satisfaction Survey; 2. Awards and Certificate of Commendations from clients and stakeholders; and 3. TRIMP (Television, Radio, Intemet, Messaging and Print). The gathered data are then analyzed and fed to the relevant management for the purpose of continual improvement. Internal Quality Audit The Maritime Group conducts internal quality audits at scheduled intervals to verify whether quality activities and related results conform to its QMS requirements, the requirements of ISO 9001:2015 and to determine if the QMS is effectively implemented and maintained. ‘Audit activities shall be planned, taking into consideration the readiness, status and importance of the processes to be audited and 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, 1 Page oot. PMG SO0012015 QMS Gale 202-004 enon 2082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. Management Review The Maritime Group shall conducts management reviews at scheduled intervals to determine suitability and effectiveness of the QMS. The review shall be led by the Director, Maritime Group, Chief Regional Maritime Units and Commander, Special Operational 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 extemal and intemal issues that are relevant to PNP Qs; 3. The effectiveness of actions taken to address risks and opportunities; 4. Information on the performance of the PNP QMS, including trends Customer satisfaction and feedback from stakeholders; Monitoring of planned targets; Nonconformities and corrective actions; Audit results; e. Performance of external providers; aogp 5. Adequacy of resources; and, 6. Opportunities for improvement. Review Output The outputs of management review shall include decisions, actions, and commitments related to opportunities for improvement, any need for changes for QMS or needs for resources. Approved items for improvement are documented as action plans. Notes are taken, retained a minutes, and made available to the concemed process owners. Records of management review are retained. €.1.4 Managing Improvement Continual Improvement The Maritime Group ensures continual improvement through suitability, adequacy, and effectiveness of its QMS based on the results of evaluations conducted and the outputs of management reviews. 12|Page onto PREM 8090012015 OMS Gute 2022-004 (Veron onary 2022Nonconformity and Corrective Action The Maritime Group has established, implements and maintains Nonconformity and Corrective Action Process 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 nonconformities, subsequent actions, any concessions obtained and identified authority who will decide on the actions to be taken, will be maintained. C.2 Operations €.2.1 SIPOC To provide a quick understanding of the core processes, a Supplier- Input- Process-Output-Customer (SIPOC) model and a brief description of the processes are shown below. The SIPOC model 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. Perret ae Co cea na nc a. Pins and alnlomaton a. Pre-deployment Bring a. Fling ofcasesin 8. Cty Targets ofthe Report (R) (Centingency Pan) courother quasi Posecuts end PNEMS (soda media, jusical bodes Buoauot etc) . Seabome Patio Pian; ree b. Walken Coordination to LGUs b.Ater Seabome uate compianant Daly and otter NGAs) ParotRepon—Resmuces Ineigence : eve ere eae eee Re cere, 4.Local Fishing Vessel. Seaborne Patol er Government Clearance Operations ittigere an Unis System (Valdatonveicaton, invesinain, ‘est of vlators and POR ana NH. e.Coastal Enhance ‘niiscation of evidence) (00) ‘Communes Management Polce Operation e. Post.operaton check © Gone Pate {. NHo,T00 {. De-refng of operating team Coniralte Monitor and Measures Performance Measure | Tndicate Performance moaures reors to scorecards and Dasboard Griteria and | Siandard Operating Procedures for Seabome Palrol Operations and Methods Maritime Group Law Enforcement Manual 13 | Page ont FROM 6080012015 QMS Ga 2022-04 (Ven ary 2022INPUTS MEASUREMENTS. Information Report (UR) Gocial mesia, ‘Strategy Review ec) b. Operation Review Dally Intetigence Performance evaluation rating to RMUs and Report (DIR), sous Fishing Voss! Clearance System eves) Request Letter Enhance Management Potce Operation Regular submission of reports RESOURCES PROCESSES . Water Pre-deployment Briefing Assets (Contingency Plan) b. POL . Seaborne Patrol Plan 7 5 (coordination w/ LGU & Allocation other NGAs) c. Personnel Pre-operation Check d, Seaborne Seaborne Patrol Operation(Validation/Verifi Patrol 0 E cation, Arrest of violators aulpment: and confiscation of e. Scuba evidence) Gears Post operation check f. Protective De-briefing of operating team Gears . Firearms Seaborne Patrol Operation The PNP Maritime Group follows the aforementioned Process Model during the Seabore Patrol Operations. Upon receipt of information (in any form such as Investigation Report, Daily Intelligence Report, etc.), the Seabome Patrol Team will prepare all its resources to be used in the operations. Before the actual operations, the team will abide with the Standard Operating Procedure enumerates in the processes. Thereafter, if the team apprehended violators they will file a cases in court or in any quasi-judicial bodies. Subsequently, an After Seabome Patrol Report will be submitted to the PNP MG Headquarters. To continuously monitor and | Page ont Ne PRPMG 503001201 OS Gide 2002-004 Yeon) Janay 222gauge the customer satisfaction the PNP MG headquarters will conduct a regular Strategy and Operational Review. Meanwhile, the PNP MG had determined five support process such as: Human Resources, Logistics Management, Supply Management/Procurement Management , Financial Management and Documents and Record Management. The primary responsibility of the human resources management is to evaluate and analyse the organizations staffing pattem, hiring of personnel, utilization of work force, measurement and appraisal of work force performance, implementation of reward system for employees, and Professional Development of Workers. Based on the recruitment program, the PNP MG was granted by the DPRM an authority to recruit qualified patroiman/patrolwomen to filled-up the organizational quota of the MG pursuant to the approved organizational structure. On the other hand, the PNP MG had also determined and scheduled speacialize and mandatory schooling for their personnel. The knowledge and Skills that will be acquired by the MG personnel will serve as their weapon in the exercise of their duties and responsibilities. Furthermore, to uplift the morale and welfare of the MG personnel, the top management had established a parameter in giving awards and commendation to the deserving PNP MG personnel. ‘The Logistics, Supply/Procurement Management plays a vital role in the core process of the PNP MG. To ensure the continuous performance of the PNP MG's mandated task and for the safety of its personnel, the logistics management shall regularly conduct a maintenance check on its water assets and other equipment use during the conduct of seaborne patrol operations. It is also imperative to include in the Annual Project Procurement Management Plan the procurement of a highly sophisticated equipment for the group to coup-up with the revolutions of technology, because most of the criminals at present are quickly adapting and integrating a new technology specifically the use of sophisticated water assets. Futher, the Financial Management is incharge in the planning, organizing, directing and controlling of the financial activities of the Group, such as the procurement and utilization of funds to support its activities especially in the management and conduct of seabome patrol operation. The Documents and Records Management can be considered as the critical and vital part of the support process because this will safeguard, protect and preserve the documents and records of the organization. It is also the application of systematic and scientific control of records and information. 2.2 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 achieve 15|Page (virco, PHPMG BOS0012015 QMS Guide 2022-004 erson 4 Java 222b) the availability and use of suitable monitoring and measuring resources; c) the implementation of monitoring and measurement activities; ) the use of suitable infrastructure and environment; @) 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 Where appropriate, the Maritime Group identifies its product or service or other process outputs by suitable means. Such as identification that includes the status of the product or service with respect to monitoring and measurement requirements. Unless otherwise indicated as nonconforming, 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 Maritime Group exercises care in handling the property of customer or supplier while it is under the PNP’s control or being used by the Maritime Group. 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 furnished 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. Preservation The Maritime Group preserves conformity 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. €.3 Support The PNP Maritime Group determines and provides the resources needed to implement, maintain, and continually improve the QMS. Resource allocation is done with consideration of the capability and constraints on existing intemal resources, as well as what needs to be obtained from extemal providers. Resources and resource allocation are assessed during Performance Review Analysis. 16 [Page etre PPG 5030012015 OMS Cie 022-004 (Merion i aa 2022C.3.1 Human Resource Management The Maritime Group through its Personnel and Records Section ensure that it provides sufficient personnel for the effective operation of the management system, as well as its identified processes. Currently, the Maritime Group follows the PNP relevant Memorandum Circulars in the recruitment, selection, hiring, placement of its personnel and promotion. The PNP MG 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 MG takes actions to acquire the necessary competence and evaluate the effectiveness of the actions taken by means of information sharing thru cascading and reecho of acquired knowledge. The PNP Maritime Group through the Training Doctrine Development Section (TDDS) 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 concemed training units. Further, the Maritime Group 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: 1. The quality policy; 2. Relevant quality objectives; 3. Their contribution to the effectiveness of the management system, including the benefits of improved performance; and 4. The implications of not conforming to the management system requirements. .3.2 Organizational Knowledge The Maritime Group 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) Intemal sources, such as lessons leamed from success and failures, feedback from subject matter experts, intellectual property, knowledge gained from experience, and (2) Extemal sources such as standards, academia, conferences, or information gathered from customers or suppliers. This knowledge is maintained through documents such as MCs, CMCs, 0G, After Seaborne Patrol Operations Reports, Standard Training Package, Certifications of Trainors, Instructors Development Course, Mandatory Schooling and other statutory requirements and made available to the extent necessary. 17 |Page anon PRPMG 6080012015 ONS Cue 2022-004 (Venn Jamar 2022When addressing changing needs and trends, the Maritime Group considers its current knowledge and determines how to acquire or access the necessary additional knowledge. C.3.3 Facilities and Work Environment The Maritime Group through its Logistics and Watercraft Management Division, Information Technology Section 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: a. Buildings and associated utilities; b. Equipment, including hardware and software; c. Transportation resources; d. Water Assets; and e. Information and Communications Technology. Where equipment is used for measurement activities such as inspection or testing, and traceability of measurement is a requirement, these are properly identified to determine their status, safeguarded from adjustments, damage or deterioration that would invalidate the calibration status and subsequent measurement results, and calibrated or verified at specified intervals or prior to use. The Maritime Group also 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. €.3.4 Documentation Management The Maritime Group QMS documentation includes both documents and records. The Maritime Group 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: a. The size of the Maritime Group; b. Complexity and interaction of the processes; c. Risks and opportunities; and, d. Competence of personnel. Documents Control The Maritime Group maintains a document control process 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 concemed offices 18 [Page owe, PHP BOSODI215 QMS Gide 2022-004 Veron 4 nuary 222for review and approval for adequacy by authorized personnel, prior to issue. This further 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 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. Control of Records The Maritime Group maintains a records control process that defines the controls needed for the identification, storage, retrieval, protection, retention time, and disposition of records. The controls shall apply to 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 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. C.3.5 Procurement The Maritime Group ensures 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 Maritime Group 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. Purchases are made through the release of formal purchase orders and/or contracts which clearly describe what is being purchased. Received products and services are then verified against requirements to ensure satisfaction of Tequirements. Suppliers who are not providing conforming product and service may be requested to conduct formal corrective action. 19|Page one PRPMG BO30012015 OMS Gus 2022-004 (Veron Jamar 2022C. Externally-Provided Products, Processes, and Services ‘Any product, process, or service performed by a third party is considered an extemal provider and must be controlled. The PNP’s external providers and the control methods applied for each are defined in the Extemal Providers Matrix. ‘Annexes PNP QMS Correlation Matrix 4 CONTEXT OF THE ORGANIZATION | = SWOT Analysis | ‘+ SOP on Risk 44 | Context of the Organization Management | + Risk and Opportunity | Register / Requirements of Relevant interested 42 eae ‘+ Customer Analysis | © GMS Guide, RAG5EO as 43 | Soope of the GMS | Seaman ehiosel | © AOM, RA 8550 as 44 | QMS and its Processes | eoendadey Re tOGEd | 5 LEADERSHIP © Weekly Staff Conference | 5A | Leadership and Commitment | * Gemmand Conference | + Strategy Review | © Operational Review + PNP MG Quality | Policy 52 Policy | © PNP MG Operational | | Manual | © Designation Order Ba "Assigning roles, responsibilities, [© Job Description : authorities | | |__+ MC (Policies and 20|Page contro PRONG 5090012015 QMS Gude 2022-04 (Vein sony 2022T Guidelines on the Utilization of Water Craft * MCs and CMCs ‘* Designation Orders 6 PLANNING | > SWOT | + Oppurtunity Register a Actions to address risks and + Risk Regie * IMPLANS + COPLANs © Covid 19 Actions Pian © MG Scorecards * Annual Procurement Plan | ae | Quality objective and actions to achieve them + Plans, Project and Activity + Recruitment Process * IMPLAN | ‘© Memo Directives 63 | Planning of Changes of the Conference) | * Conference (Minutes | * Coordinating meetings e ‘SUPPORT Plan (MTAP) | Annual Procurement | Plan 7 i Resoures * Recruitment Plan CY 2020 * AOPB | Le | | MTAP, 72 Competence Standard Training 21|Page Contra. PRG 5050012015 QMS Gide 2022-004 Meron Joey 222] "Package (STP) Information Drive © Conduct of Pulong/Pulong in the Stakeholders 73 Awareness © Distritubution of EC * PICE ‘+ SocMed pages * CMS: * MG Bulletin Board ‘© Communication Plan * Orders 74 Communication * CMC © Memorandum + Hotline * Email © Social Media Te QMS Guide '* OG Documents Controt * OG on Records Control 75 Documented information © OG for QA © OG on Corrective Action Guidelines: ‘+ National Achieve of L 8 | OPERATION + RA 6550 as amended by RA 10854 84 Operational Planning and Control ar IMeLaN | + COMPLAN | | © APP 2 [Page onto PRPMG 6020012015 GMS Gate 2022-004 (Ven amar 2022| Services 83 Design and Development Extemally Provided Products, — Processes, Services Requirements Related to Products and — = PPMP * Maintenance Plan © IQAPlan |e PNP MG Operational | Manual NIA © Supply Contract 85 Production and Service Provision | 86 Release of Products and Services 87 Control of Nonconforming Outputs + PNP MG Operational | Manual + AOM + sop |. Pop + SPP SOP on conduct of SPO * SPP © Other Environmental Laws Manual © SOP in the Conduct of ‘Seabome Patrol Operation | © 0G Corrective Actions © PNP MG Operational a PERFORMANCE EVALUATION | * RMUs Rating © Strategy Review ot Measurement, Analysis, Evaluation * Operations Review | © Customer Satisfaction | | ‘Survey I | 92 ) internal Audit | * OGon Internal Audit L otra PRPS 8090012015 QMS Ce 2022- CO Vein} aaa 2022 23|Page{ ] Audit Plan | | + CCAR | © Audit Checklist | © Audit itinerary ‘Command Conference | * Monthly Operations. | | | Reviews |93 Management Review © Quarterly Strategy Review | | * Minutes of the MR 10 IMPROVEMENT /101 | General Improvement [amie Pee eee | + CCAR | * 0G Corrective Actions | 10.2 | Nonconformity and Corrective Action © Revisions on PNP MG Manual © Customer Complaints | + Customer Satisfaction Survey | + Strategy Review | 10.3 Continual Improvement Command Conference * Gon Corrective Actions Operating Guidelines a. 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. 24 [Page otal PMPME BOB0D!215 QMS Gide 2022-004 Vrion 4) sony 222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 will be adopted in this procedure. 2. PURPOSE: This procedure aims to define a uniform and standard system in controlling intemally-generated and externally-generated documents determined by the PNP Maritime Group (PNP MG) as necessary for the effectiveness of its Quality Management System as required by the Intemational Standard and those necessary for the organization to attain its objectives. It also outlines existing and pertinent PNP MG issuances purposely to prescribe guidelines to all offices/units in the promulgation of their respective policies and/ 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 extemal documents are identified and their distribution controlled. 3. SCOPE OF APPLICATION: This procedure applies to all PNP MG documented information in line with 1SO-QMS implementation. 4. 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 and the Director, Maritime Group. b. Approving Authority/Authority to Approve - the designated office/unit or person authorized to approve a documentiissuance. . 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 25|Page otra PRPS 5030012015 OMS Ge 2022-004 Vein anny 2022Manager/Staff is to indicate their approval or disapproval of the completed action. . 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 documentiissuance. 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 MG. 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 intemal circulation especially when requesting approval. | Standard Operating Procedure - a set of instruction regarding the procedures to be followed on a routinary basis as desired by the Director of the Units. m. Subject/Coverage - refers to the scope to be covered by an issuance. 1. Technical Working Group - refers to a group organized by the issuing authority and tasked to initiate, plan, and develop a PNP doctrine or manual. ©. 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. 5. POLICIES: The process for controlling all PNP MG documents shall be in accordance with existing laws, policies, procedures, and ISO 9001:2015 QMS requirements. All documents shall be thoroughly reviewed and approved prior to issuance and shall be 26|Page Contr No. RPNG 6090012015 QMS Gute 2022-006 (Verion one 2022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. 2017-018, "Revised Doctrine on PNP issuances’; and PNP MC No. 2014-020, “Revised Guidelines and Procedures in the Development of PNP Doctrines and Manual’). 6. PROCEDURES: ‘QMS DOCUMENTATION STRUCTURE 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 the Director, Maritime Group through the Command Group for review and approval prior endorsement to the TCDS. (@) Standard contents of the PNP Memorandum Circular are the following: (1) References; (2) Rationale; (3) Situation; (4) Purpose; (©) Definition of Terms; (©) Guidelines; (7 Repealing Clause; and 27 [Page oman. Pras BOsD01208 QMS Ge 2022-00 son 3 sun) 222(8) Effectivity (b) Standard contents of the Command Memorandum Circular are the following: (1) References; (2) Purpose; (3) Situation; (4) Mission; (6) Execution; and (©) Effectivity (©) Standard contents of an Operating Guidelines are the following: (1) Background; (2) Purpose; (3) Scope of application; (4) Definition of Terms; (©) Policies; (8) Procedures; and (7) Responsibilities; Other prescribed formats 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. 2017-018, "Revised Doctrine on PNP issuances’). Al forms used by the PNP MG 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 (@) 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 Issuances’). 28|Page ont No PRONG 090012015 QMS Gude 2022-004 (Vein Sana 20224) {b) 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. {c) Documents from subordinate offices/units shall be coursed thru their functional supervisors and to the PNP MG Command Group, before they are endorsed to the Director, Maritime Group as appropriate, based on the existing policy on CSW, unless there is a specific instruction. (d) 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. (e) Issuing authority of the office/unit is limited only to the formulation of a particular issue. 3) Identification Al 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 MG 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’). To facilitate filing and retrieval per office, hard copy documents are properly filed and labeled, as applicable: * per document type * persubject © perunit Review and Approval (@) Documents shall _be reviewed and approved prior to dissemination and implementation in accordance with “MC No. 2017-015, ‘Revised Doctrine on PNP issuances”, (b) Designated PNP MG personne! and approving authority shall have access to pertinent information upon which to base the review and approval; (©) Approving authorities are identified in MC No. 2017-015, “Revised Doctrine on PNP issuances”, and 29| Page ont APNG 5090012015 OMS Gute 2022-004 (Ven omar 2022(@) For documents requiring approval of the CPNP, the document shall be retumed 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: MC 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: MC No. 2017-015, “Revised Doctrine on PNP Issuances’). 4) Documents are distributed to concerned 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 fo Strengthen the System of Management and Administration of Archival Records, Establishing for the Purpose the National Archives of 30|Page conto PrN 8090012015 MS Gute 2022-04 (Vension one 2022the Philippines, and for other Purposes ("National Archives of the Philippines Act of 2007"). 6) To ensure security and restriction for classified documents, the following are observed: * Covered; ‘*Only authorized PNP personnel are allowed to carry/transportideliverireceive; ‘* 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 all Philippine National Police Offices and Units”. C. CONTROLS FOR REVIEW AND AMENDMENT OF PNP DOCUMENTS ‘A. PNP documents shall undergo review for continued suitability and applicability. The reviewing authority and the frequency of review are stated in the table below. pocument | AUTHORITY FREQUENCY eens Issuing Office/Unit | Every 5 years or as necessary eae Issuing Office/Unit | N/A enleoniehaaie Issuing Office/Unit | Every 5 years or as necessary Manuals, BDD-DHRDD Every 5 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. 31 [Page entra PRONG 5030012015 QMS Gute 2022-004 (Ven omar 2022B. In case the documents lost its relevance or it is already obsolete and no longer applicable to the current situation, the concern offices of the PNP MG shall initiate evaluation and review on the policies, rules regulations and propose for a possible revision or amendment on the specific documents. As a guidelines, the reviewing authority shall observe the following: REVISION/AMENDMENT b.1. The concem offices/units will determine the particular policies that need to be amended or revised; b.2. Create a Technical Working Group (TWG) to discuss and tackle possible issues and changes in the existing Policies, Memorandum Circulars (MCs), Standard Operating Procedures (SOPs), etc.; b.3. The TWG and concem offices will draft a propose revision or amendment on the PNP MG issuances. The said documents will be presented during the scheduled TWG meetings for review and evaluation of the members; b4. The draft revised or amended documents (policies, rules and guidelines) will be forwarded to the concem offices for their additional comments and inputs. After which, the inputs of every offices will be incorporated in the draft documents; b.5. The draft policies, rules and regulation will be forwarded to the Legal Officer (LO) for his final review and evaluation and to determine if such documents is legally in order in forms and in substance. Further, the LO will submits his legal opinion, comments and inputs for consideration of the PNP MG Command Group; b6. The final draft of the revised or amended documents will be forwarded to the Command Group for approval and signature of the Director, Maritime Group; b.7 Upon approval, the Division Chief concem shall provide the TDHROD thru the PNP Library a copy of the approved revised or amended policies, rules and regulation. The PNP Library is the office in-charge in designating a Control Numbers in all PNP issuances. Further, the copy of the original documents will be forwarded to the records custodian of Operation Management Division for dissemination to the lower units and for safekeeping for future reference. 32|Page contr Mo PNPM 8090012015 CMS Gute 2072-004 (Veion onary 2022D. CONTROL OF EXTERNAL DOCUMENTS AND COMMUNICATION 1) External documents received by the PNP MG will be disseminated to the concemed offices/PNP MG 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 4) Feedback on the status of action taken by the concemed action office is forwarded to extemal stakeholder/source copy furnished concemed PNP MG office/unit Management. 5) Concerned office/unit issued a memorandum for tracing their action taken. E, RESPONSIBILITIES: a. The PNP MG will coordinate with the Directorate for Human Resource and Doctrine Development (DHRDD), through the PNP Command Library for assigning of control numbers to all administrative issuances and/or circulars signed by the CPNP. Itis the repository of PNP issuances (manuals, circulars, among others). b. Administrative Officers of offices/units are responsible for disseminating PNP issuances to PNP MG personnel through PICE and written communication, and for external stakeholders through TRIMP (Television, Radio, Intemet, Messages and Publication). Offices concemed shall craft OPLANS/IMPLANS to issuances that need implementation. c. Records Officer and Records 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 2007") 33 [Page Coen, PPG 5030012015 QMS Gd 2022-004 (Veron omar 2022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 Intemational Organization for Standardization (ISO) 9000 series which provides Intemational Standards on Quality Management and ensures consistency of products and services being offered. Records provide evidence of the PNP MG's activities and functions. Proper records management will serve as safeguard from unauthorized users ensuring the preservation, integrity and confidentiality of PNP MG records. This will also allow easy accessibility of relevant records and serve as back-up data for future reference on management decisions and planning. Proper management of PNP MG 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 MG 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 MG QMS 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 desk/workstation 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. 34|Page ert Na PRPMG 8080012015 OMS Gute 2022-004 (Vern onary 2022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 MG following the guidelines of the National Archives of the Philippines (NAP). 5. POLICY The retention and disposition of PNP MG 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 Goveming the Management of Public Records and Archives Administration. to PNP. MG 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 MG 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; 35|Page onrt No RPMG 80012015 CMS Gute 2022-04 (Venn 6 Jon07/20224) Memorandum and Letter Correspondence; 5) MOA/MOU/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 and/or 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). 36 |Page otra Na PRPIG BO30012015 OMS Gale 2022-004 (Veron amar 2022e. Request for Copy of Records 4) 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 MG personnel upon approval of the Records Officer. 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 MG 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. 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) 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. 37 [Page Conroe PRPMG 8090012015 OMS Gute 2022-004 (Venn omer 2022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; 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. 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 Intemational Organization for Standardization (ISO) 9000 series which provides Intemational Standards on Quality Management and ensures consistency of services being offered. As part of the commitment of the PNP Maritime Group (PNP MG) to provide quality public services, Intemal 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 internal quality audits to verify whether quality activities and related results conform to the standards set forth by the PNP MG QMS requirements, to the ISO 9001:2015 QMS requirements and to determine if the QMS is effectively implemented and maintained. 38|Page entree, PREM 080012015 QMS Guide 2022-004 Veron nso 2223. SCOPE OF APPLICATION: This OG applies to all PNP MG units, particularly, intemal auditors in the conduct of intemal Quality Audit This OG provides guidelines for the planning, execution, reporting and follow-up procedures that should be undertaken by the intemal 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 MG office/unit being audited. ¢. Auditor- refers to the person who has the competency to conduct the Audit. 4. 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. 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. 9g. 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 condueting the IQA. k. Audit Team — one or more intemal auditors conducting an audit Responsible for ensuring that the auditees conform to the PNP and ISO QMS requirements. |. 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 Tesources needed to plan, organize, and conduct one or more audits. 39|Page Conroe PRONG 5090012015 QMS Gute 222-004 (Venom 2022m. Conformity — the fulfillment of a requirement. n. Correction — refers to action taken to eliminate the detected nonconformity. ©. 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 intemal quality audit procedure is implemented. intemal Auditors will form part of the Audit Team. *. Internal Quality Audit Head ~is responsible for the supervision, review, and approval of IQA activities. The Chairman, TWG for PNPMG ISO 9001:2015 is designated as the IQA Head s. Nonconformity (NC) — refers to non-uffillment of a requirement. t. Opportunity for Improvement (OF!) ~ refers to the recommendation for further enhancement of the QMS. u. Top Management — refers to the PNP Command Group and the Director, Maritime Group 5. POLICIES: ‘As general guidelines, the policies in the intemal quality audit procedure are as follows: a. Intemal Quality Audit (|QA) shall be conducted at planned intervals to provide information on whether the PNP MG 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. IQA activities shall be planned, taking into considerations the status and importance of the PNP MG 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. cc. Budgetary requirements and logistical resources shall be allocated for the ‘conduct of IQA. 40|Page Contr No PNPM 5090012015 GMS Gude 2022-004 (Vein Sonar 2022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 IQA of the PNP MG QMS shall be conducted at least once a year. 2) The IQA Head prepares an intemal Quality Audit Plan for the following year and submits to the Top Management for review and approval (Refer to IQA Audit Plan Form). 3) The preparation of the IQA Audit Plan shall take into consideration, among others, the status and importance of the processes to be audited, changes affecting the PNP MG, and the results of previous audits. The IQA 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 1) The PNP MG shall compose a pool of intemal Quality Auditors originating from PNP MG through Letter Orders. 2) Selected Intemal 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 intemal 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 IQA Team. 4) Coinciding with the refresher course, the IQA 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) intemal Auditors must also have knowledge on the following: 1. Auditing concepts; 2. ISO 9001:2015 requirements and other requirements that the PNP: QMS must comply with; 3. Auditing Management Systems based on ISO 19011 standard; and 4. Auditing Methods: (1) Plan and organize the work effectively; 41 [Page ono Ne, RONG 80012015 QMS Gute 222-004 (Venton omar 2022(2) Collect information through effective inquiry; listening ‘observing and reviewing documents, records, and data; (3) Evaluating audit evidence against criteria; and (4) Document audit findings and prepare appropriate audit reports. c. Plan for Audits 4) Planning the Audit 1. 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). 2. The IQA Head approves the Audit Itinerary. Audit Team Leader fumishes Auditee with the approved Audit Itinerary for notification. The Intemal 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 (@) 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: (1) Quality Manual; (2) Policies and procedures (SOPs); (3) Minutes of Management Meetings; (4) Organizational chart; (5) Job descriptions; (8) Correspondence and information; and (7) Unit Scorecard and UCPER. 3) Conduct Audits (2) Conduct of the intemal Quality Audit The Audit Team holds an entrance briefing to clarify audit scope, objectives, and schedule of audit activities. (2) The Audit Team executes the approved Audit Itinerary. The Audit Team may employ one or more audit methods during the 42|Page onto. PnAMG 8090012015 MS Gute 2022-004 (Veo onary 2022Intemal Audit Activity. Such methods include, but are not limited to, the following: a.2.1) Observation and inquiry; .2.2) Analysis and review; 2.2.3) Inspection; and .2.4) Confirmation. (3) The Audit Team holds an exit briefing to the Auditees to present the audit findings. (b) Documentation of internal Quality Audit Findings (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. Conclusions and results are supported by audit evidence (Audit Findings Report Form). (2) Based on the Audit Findings Report, the Auditee shall fill up the CCAR Form and retum 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 IQA results to Top Management (1) The Audit Team Leader prepares the draft Audit Report. (2) The IQA Head reviews and approves the Final Audit Report. (3) The IQA Head reports the results of the IQA to the Top Management. (4) The IQA Head shall maintain the Audit results of IQA for teference during management reviews. (6) Review Audit Results and Status (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. @ The results of verification are reported to the Top Management for review. 43 (Page ont Ne PNPMG 8030012015 QMS Gade 2022-004 (Vein Jamar 20227. RESPONSIBILITIES: a. IQA Head 1) Ensure the conduct of a timely and effective IQA; 2) Coordinate the whole Audit Plan to the Audit Team and the Auditee; 3) Report to the Top Management the updates of the IQA; 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 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 IQA 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 IQA-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 intemal quality audit; 8) Supply information on a template for NCs and OF Is; ©) Prepare audit findings and audit report; and 10) Perform audit-related tasks as may be required from time to time. 44 [Page ort to. PNPM 8080012015 QMS Cute 2022-004 (Veron onary 20224. Auditees 1) Ensure availabilty 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 41) Use the audit to review PNP MG courses of action in its programs and activities during Management Review. 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 Intemational Organization for Standardization (ISO) 9000 series which provides Intemational Standards on Quality Management and ensures consistency of products and services being offered. ‘As part of the commitment of the Maritime Group (MG) 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 MG Units involved in the implementation of MG QMS processes, systems and procedures; b. To take responsibility in performing Corrective Action Procedures for all identified nonconformities; and 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 nonconformities identified during the implementation of MG QMS processes, systems and procedures. 45|Page ontr No. PRPMG 8090012015 GMS Gude 2022-004 (Vein Jona 2022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; ¢. 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 MG personnel who identifies the nonconformity. In case of nonconformity found during audit, the initiator is the auditor. e. Nonconformity (NC) - refers to non-fulfilment/failure to meet the requirement. NCs include product and services that do not conform to Tequirements, client complaints, supplier complaints, non-achievement of objectives and targets, non-compliance to statutory and regulatory requirements; §. POLICIES: This OG is applied to nonconformities found during Intemal Quality Audit, valid intemal and/ or extemal customer complaints, and regular monitoring and measurement activities. 6, PROCEDURES: a. When a nonconformity occurs, the MG 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 intemal audit, customer complaints, and the like), Initiator accomplishes Section 1 (ie., details of nonconformity) of the CCAR and shall issue a copy of same to the concemed Unit/Division/Section where the nonconformity is found. The concemed 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 Staff/TWG determines the possible causes of the nonconformity, and eventually, identifies the root cause(s). The Unit Staff/TWG, likewise, 46 |Page otro No PRONG 5090012015 QMS GaSe 2072-004 (Van onary 2022assesses the risks associated with the recurrence of the nonconformity (er 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; 4. The Unit Staff/TWG 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 UnitDivision/Section Head; @. Upon approval of the corrective action plan, the concemed 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; f. The Intemal Quality Audit Team and/or concemed Unit/Division/Section Head shall verify the effectiveness of the corrective actions and fill out Section 3; a. 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; and b. If ineffective, the Unit StaffTWG shall conduct another analysis and revise the corrective action as necessary. 9. Corrective actions proven to be effective may necessitate amendments of existing policies or creation of a new one; h. The IQA Team Head reports the actions taken and results of verification to the PNP Command Group; i. The MG 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: a. Intemal Quality Audit Head shall ensure that this OG is being implemented and maintained. b. Unit/Division/Section Head and Staff/ TWG 1. Review the Nonconformity stated in the CCAR Form; 2. Apply immediate correction to Nonconformity; 47 | Page Contra PRM OB0D12015 QMS Ge 2022-004 Vrion 4 Janu 2223. Analyze the Root Cause of Nonconformity; 4. Evaluate the need for corrective action; and 5. 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. Director, Maritime Group DATE: feb jo, 2022. 48 [Page ort Me PRPMG 8090012015 QMS GaSe 2022-004 (Vein Janay 2022