Directorate for Investigation and Detective Management (DIDM) Quality Management System GuideChapter 1 Introduction a. Background The Philippine National Police (PNP) as the premier law enforcement agency of the Philippines is gearing towards excellence, professionalism, and transparency in the performance of its mandate. As such, among the PNP Program Thrusts for 2019 is to have a responsive and an International Organization for Standardization (ISO) compliant PNP front line services, at par with other world-class police organizations. To further enhance the PNP’s core processes, especially its frontline services, a bulk of the appropriations for the PNP under the General Appropriations Act 2019 (GAA 2019) was devoted to the ISO Certification of identified PNP units. The primary objective is to instill a Quality Management System (QMS) to the core processes of the PNP units. The establishment of a management system based on international standards will in effect, improve the overall performance of the PNP units. The Government of the Philippines has adopted the ISO 9001:2015 Philippine National Standards to build a quality culture that characterizes customer-driven organizations and to further strengthen the global competitiveness of the government ‘sector. Several presidential directives and other legislative measures were made and enacted such as the Executive Order No. 605, “Institutionalizing the Structure, Mechanisms and Standards to Implement the Government Quality Management Program, Amending for the Purpose Administrative Order No. 161, S. 2006” and Republic ‘Act No. 9013, also known as the “Philippine Quality Award Act” to ensure that the government agencies will adhere to ISO Certification. Presently, only the PNP Crime Laboratory Group's (PNP-CLG's) core processes have been ISO certified, Thus, all PNP units are directed to undergo ISO Certification to comply with the aforementioned statutory requirements. b. Profile of the Unit DIRECTORATE FOR INVESTIGATION AND DETECTIVE MANAGEMENT On December 13, 1990, Republic Act 6975 was signed entitled: “An Act Establishing the Philippine National Police under a reorganized Department of the Interior and Local Government, and for other purposes”. The passage of this law transpired the reorganization of the law enforcement agencies to which the former Philippine Constabulary and the Integrated National Police were merged serving as national in scope and civilian in character. The reorganization gave birth to the creation of additional functional staffs of the PNP. On March 12, 1991, the Directorate for Investigation (DIN) was formally established. However, the officers and men of DIN did not stop on developing the Directorate which they anticipated the professionalization of the PNP as mandated by Republic Act 8551 signed on February 17, 1998. The DIN had passed a NAPOLCOM Resolution No 97-032 entitled “Enhancing the Investigative Functions of the PNP through the Implementation of the Investigation and Detective Management Program”. Theresolution also renamed DIN into Directorate for Investigation and Detective Management (DIDM) into which aside from its regular functions as mandated by law, the DIDM maintains a school, the PNP Detective School which offers regular courses on Criminal Investigation and Detective Development Course (CIDDC) and other crash courses on investigation. The professionalization of the PNP in the field of investigation was to keep pace with the sophistication of criminal offenders. At present, DIDM has six (6) divisions namely, Crime Research and Analysis Center (CRAC), Case Monitoring Division (CMD), Pre-Charge Evaluation and Investigation Division (PCEID) and School for Investigation and Detective Development (SIDD), Information Technology Division (interim) and Women and Children Protection Center (WCPC). It also maintains special offices like the Task Force USIG and National Task Force on Squatting and Squatters Syndicates and Strategy Management Team DIDM Organizational Structure ames VISION: Imploring the Aid of the Almighty, DIDM will be a highly capable and effective investigation and detective management office by 2028. MISSION: To assist and advise the C, PNP in the direction, control, coordination and supervision of the investigation activities of the PNP. FUNCTIONS: 1. Direct & supervise the investigation of crimes and other offenses in violation of Philippine laws; 2. Supervise government and private agencies, organizations, andlor individual persons; 3. Conduct studies, researches, and formulate plans and polices to enhance PNP investigation capabilities to promote affectivity and efficiency;4, Maintain close supervisory direction of crime lab and other investigative support units; 5. Develop and maintain a national crime information system in coordination with PNP Computer Service and Intel Computer Center; 6. Maintain, collect, and process crime statistics for reference; 7. Maintain active liaising with foreign counterparts in investigation of international crimes; 8. Propose and support enactment of laws for successful investigation and prosecution of crimes; and 9. Perform other duties as directed by higher authority. c. Purpose This introduces the PNP Directorate for Investigation and Detective Management (DIDM) Quality Management System (QMS), its principles and approach. It also explains the QMS’ implementation and applicability to the PNP DIDM. Further, it provides the procedures before, during and after the ISO Certification Process This PNP DIDM 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 PNP DIDM. Chapter 2 The DIDM Quality Management System Structure Process Approach The DIDM has adopted a process approach for its QMS. Identification and management of the high-level processes reduce the potential for nonconforming products and services found during final processes or after delivery. Nonconformities and risks are identified and actions are taken within each of the high-level processes. The following high-level processes have been identified for the DIDM: Management Planning Process Policy Management Performance Evaluation Managing Improvement Core Process 1. Extraction of crime information (Cl) 2. Statistical treatment of data 3. Interpret/Analyze Cl 4, Counter checking of Cl 5. Preparation and submission for approval of CSW 6. Approval of Cl Report 7. Release of Cl Report ‘Support Human Resource Management Process Documentation Management Financial Management Work Environment Management‘Outsourced Process | Within PNP (ifany) ICT Management (ITMS Personnel) Infrastructure Management (HSS Personnel) Procurement covered by LSS BAC Outside PNP Cloud and intemet services 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: : Quality objective; . Applicable risks and opportunities; . Applicable inputs and outputs; Responsibilities and authorities; . Supporting resources; and . Criteria and methods used to ensure effectiveness of the process. PAbEONa A. Scope of the Quality Management System DIDM is mandated to provide direction, control, coordination and supervision of the investigative activities of the PNP. Its quality management system focuses on the crime information process which services are located at the NHQ Building, Camp BGen Rafael T Crame, Quezon City, for the consumption of the relevant stakeholders. Alll ISO 9001:2015 clauses are applicable to DIDM QMS except the following * Clause 7.1.5 Monitoring and Measuring Resources since the DIDM does not have any tools or devices that needs to be calibrated to deliver its services: and + Clause 8.3 Design and Development of products and services since DIDM function and mission does not include design and development activities related to crime information and this falls under the primary function of Information Technology Management Service.B. Our Business Process Model ese eer Planning Managing Improvement] (een | eel Biaeresss Se Procurement coveres B86, nfraatvucture Management Management ‘Clotd and hternet Services Cc. Description of the Processes C.1 Management Process C.1.1 Planning Management Leadership and Commitment The Director for Investigation and Detective Management provide evidence of its leadership and commitment to the development and implementation of the QMS and continual improvement of its effectiveness by: Taking accountability for the effectiveness of the QMS; © Ensuring that the quality policy and quality objectives are established for the QMS and are compatible with the PNP’s context and strategic direction; Ensuring the integration of the QMS requirements into the PNP’s core processes; Promoting the use of the process approach and risk-based thinking; Ensuring that the resources needed for the QMS are available; Communicating the importance of effective QMS and of conforming to the requirements; Ensuring that the QMS achieves its intended results; Engaging, directing, and supporting persons to contribute to the effectiveness of the QMS; © Promoting improvement; and © Supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility.Strategic Direction The DIDM 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 DIDM ams; 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 DIDM. These parties are identified in the Customer Analysis document; and ¢. Understanding internal and external issues that are of concern to the DIDM and its stakeholders. Many such issues are identified through an analysis of risks facing either DIDM or the stakeholders using the Strength, Weakness, Opportunities, and Threats (SWOT). 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 DIDM 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 DIDM 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 DIDM ensures that each process has at least one objective which is a statement of the intent of the process. Each objective (primary or secondary) is supported by at least one 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 and Scorecards of each unit. These are monitored and gathered by process owners or other assigned personnel and are presented to the Management during review. 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. 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 DIDM determines the need for changes to the QMS or its processes, these changes are planned, implemented, and then verified for effectiveness. Ifthe 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 for Investigation and Detective Management recognizes the need for high quality, efficient, effective, and transparent delivery of public service. To this end, the DIDM has established and implemented a Quality Policy that is appropriate to its purpose and context and supports its strategic direction. DIDM Quality Policy To provide an efficient investigation service and become a highly capable and effective investigation and detective management office we are committed to: Deliver complete, accurate and timely crime information report to our stakeholders; Improve crime information with the aid of ICT-based process; Develop quality and responsive policies; and ‘Manage continual capacity enhancement and capability improvement. To achieve this, we commit to continually improve the effectiveness of Quality Management System of investigation service and adhere to ISO 9001:2015 and other applicable requirements. “INVESTIGATION is our culture, DETECTIVE is our way and INTEGRITY is our VALUE”. Organizational Roles, Responsibilities and Authorities The Director for Investigation and Detective Management has assigned responsibilities and authorities for all relevant functions in the PNP. These are communicated through a combination of organizational structure, job description, and in other QMS documentation. C.1.3 Performance Evaluation Customer Satisfaction ‘As one of the measurements of the performance of the QMS, the DIDM monitors information relating to customer perception as to whether the DIDM has met customer requirements. The methods for obtaining this information include among others: DESCRIPTION Customer feedback is important in evaluating the performance so as to evaluate the delivery and effectiveness of services and to enhance programs and activities towards achieving the goal. Their satisfaction and perception on the performance is measured through its timeliness, accuracy and handling of requests.With this, evaluating the customers satisfaction towards the police performance will provide the police management the insights to improve policies in order to deliver their mandated services. Questionnaire The questionnaire is about the way the requests of data are being handled by the concerned division and its personnel on the following measurement: 1. Completeness of the requested data 2. Accuracy of the requested data 3. Timeliness of the release of data 4. Over-all Satisfaction on the received data How can we serve them better? A. Survey Procedure Survey questionnaire will be given to the requesting party after the requested data have been given to them and answer the survey. B. Collection Instrument The survey will use a structured questionnaire. C, Description and Scale of Survey Descriptive statistics, namely: summary measures such as frequency and percentages were used to show the overall description of the complainant satisfaction towards the performance of DIDM. The following scale were used to describe the data: Scale Description ©) Excellent The performance is highly visible and experienced all the time (4) Very Satisfactory The performance is visible and experienced most of the time @) __ Satisfactory The performance is moderately visible and experienced often @ Fair The performance is not visible and experiences less (1) Poor The performance is never visible and never experienced. D. Rating The rating scale has the corresponding percentage value: 5- 100% 4-80% 3-60% 2-40% 1-20%E. Computation The rating scale per questionnaire will be multiplied to its equivalent percentage. To compute for the average you have to add the corresponding value of the total of the responses divided by the number of questionnaires. Sample computation is as follows: 1 Completeness of the requested data Ans. 4 = 80% a Accuracy to the requested data Ans. 4 = 80% 3. Timeliness of the release of data Ans. 4 = 80% 4 Over-all Satisfaction on the received data Ans. 5 =100% Total = 340/4 = 85% F. Rating Analysis Monitoring and Review The result of the survey will be reviewed in a quarterly basis during the DIDM Strategy Review. The acceptable Rating is 80%. This will be the target for the year 2020. G. Rewards/Incentives During the review, if the rating exceeds its target, the personnel in charge of preparing the report needed shall be given Commendation for excellently doing their jobs. H. Intervention For rating below 80%, the Crime Research and Analysis personnel will discuss the issues regarding the survey. The gaps will be identified and the corresponding interventions will be put in place to bridge the gap. 1. Awards and recognitions from clients and stakeholders; This will gauge how effective and satisfied our stakeholders were from the services of DIDM. Internal Quality Audit The DIDM conducts internal quality audits at scheduled intervals to verify whether quality activities and related results conform to its QMS requirements, to 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. 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 DIDM shall conduct management reviews at scheduled intervals to determine suitability and effectiveness of the QMS. The review shall be led by the DIDM and its Command Group. Inputs to this review include, at a minimum, the following: 1. The status of actionable items and other matters arising from previous management reviews; 2. Changes in external and internal issues affecting DIDM; 3. The effectiveness of actions taken to address risks and opportunities; 4. Information on the performance of the PNP QMS, including trends in: a. Customer satisfaction and feedback from stakeholders; b. Monitoring of planned targets; c. Nonconformities and corrective actions; d. Audit results; e. Performance of external providers; 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 as minutes, and made available to the concerned process owners. Records of management review are retained. C.1.4 Managing Improvement Continual Improvement The DIDM ensures continual improvement through suitability, adequacy, and effectiveness of its QMS based on the results of evaluations conducted and the outputs of management reviews. Nonconformity and Corrective Action The DIDM 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 fecurrence 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 C.2.1 SIPOC (Crime Information Process) 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. Input Process /Activities utput Customer Office of the 7. Extraction of crime Complete, | Office of the President, * Directive | information accurate | President, Senate, “Request | 2. Statistical Treatment | and timely _| Senate, HOR, | HOR, PNP of Cl | crime PNP Command 3. Interpret/analyze Cl_ | informatio | Command Group, D- 4. Countercheck Cl | n report Group, D- | Staff, PIO 5, Preparation and Staff, PIO | | submission for approval | of COW | 6, Approval of Cl Report | 7. Release of Cl Report Controls to Monitor and Measure Performance Measure Percentage of Report process on time * Percentage of Report with no complaints * __Number of valid complaints address on time Criteria and Methods Customer Satisfaction Survey Crime Information Process MEASUREMENTS er Satisfaction + Percentage of Report process on time Directive «Percentage of Report Requests with no complaints + Number of valid ‘complaints address on time RESOURCES Software Computer Internet Connectivity PROCESSES Extraction of crime information Human Resource: (Cl) Crime Registrars 2. Statistical treatment of data outputs Programmers 3. Interpret/Analyze Cl System Administrators 4. Counter Check Cl Complete, 5. Preparation and submission for econ timely Crime approval of CSW Approval of Cl Report Release of Cl Report Information Report IniC.2.2 Production and Service Provision Control of Crime Information To control the Crime Information, the DIDM considers, as applicable, the following: a) the security and confidentiality of the requested information and should be based on FOI; b) availability of requested documents or records; c) the availability and use of suitable monitoring and measuring resources; d) the implementation of monitoring and measurement activities; e) the appointment of competent persons, including any required qualifications; ) the implementation of actions to prevent human error; and 9) the implementation of release, delivery and post-delivery activities Identification and Traceability DIDM uses the Document Tracking System for the identification and tracking of communications/requests received. Such system will provide the status of the document for the monitoring and measurement requirements. Property Belonging to Third Parties The DIDM ensures the confidentiality of the information disclosed by customers/stakeholders as well as documents and other related data. Preservation The DIDM preserves the files and data relative to crime information process. It also ensures the security of all investigation records and its safekeeping from potential information leakage tantamount to violation to the right of privacy of the ‘stakeholders. C.3 Support The DIDM 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 internal resources, as well as what needs to be obtained from external providers. Resources and resource allocation are assessed during Management Review. C.3.1 Human Resource Management The DIDM through its Administrative Office in coordination with the Directorate for Personnel and Records Management (DPRM) and its counterparts ensure that it provides sufficient personnel for the effective operation of the management system, as well as its identified processes. Currently, the DPRM follows the PNP relevant Memorandum Circulars in the recruitment, selection, hiring, placement of its personnel and promotion. The DIDM 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 DIDM takes actions to acquire the necessary competence and evaluate the effectiveness of the actions taken. While the DIDM relies on the DPRM for the assignment of unformed personnel, the Directorate is primarily involved in the recruitment of its Non-Uniformed Personnel (NUP). The collection of applications for a vacant NUP position, deliberation of qualified applicants based on parameters provided by the Civil Service Commission (CSC), and subsequent endorsement of the Directorate to the DPRM for processing of the successful applicant who passed such deliberation falls under the responsibility of the Directorate. The Administrative Office ensures that DIDM personnel are aware of: The quality policy; Relevant quality objectives; © Their contribution to the effectiveness of the management system, including the benefits of improved performance; and, ‘© The implications of not conforming to the management system requirements. C.3.2 Organizational Knowledge The DIDM determines the knowledge necessary for the operation of its processes and to achieve conformity of services. This may include knowledge and information obtained from: (1) Internal sources, such as lessons learned from success and failures, feedback from subject matter experts, intellectual property, knowledge gained from experience, and (2) External sources such as standards, academia, conferences, or information gathered from customers or suppliers. This knowledge is maintained through documents such as MCs, CMCs, OG, and other statutory requirements and made available to the extent necessary. When addressing changing needs and trends, the DIDM considers its current knowledge and determines how to acquire or access the necessary additional knowledge. C.3.3 Documentation Management The DIDM QMS documentation includes both documents and records. The DIDM does not use the term “documented information’, but instead uses the terms “document” and “record” and undergo different controls as stated herein. The extent of the documentation has been developed based on: The size of the DIDM; Complexity and interaction of the processes; Risks and opportunities; and, Competence of personnel. Documents Control The DIDM 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 concerned offices 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 concemed offices where operations essential to the effective functioning of QMS are performed. Original copies are kept and maintained in appropriate storage locations. Alll electronic copies are stored in protected folders. Master lists of documents are maintained and are readily accessible for reference purposes. Control of Records The DIDM maintains a records control process that defines the controls needed for the identification, storage, retrieval, protection, retention time, and disposition of records. 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.3.3 Financial Management The Budget and Fiscal Office of DIDM ensures that needed requirements necessary for the operation of its processes are funded based on the approved Annual Operations Plans and Budget (AOPB). C.3.4 Work Environment Management ‘The DIDM 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. D. Externally Provided Products, Processes, and Services For DIDM the following are the processes or service performed by the external provider and the control methods applied for each: ‘Outsourced Provider Contro! Processes/Services Within the PNP Procurement LSSBAC | DL Mandate ICT Management ITMS | Letter Order Performance Evaluation IPER Infrastructure Management HSS [HSS Mandate Outside the PNP Internet Service Converge | Contract of Service Performance Evaluation Cloud services ‘Amazon | Contract of Service cet Performance EvaluationAnnexesWay Forward Since CY 2019, the Directorate of Investigation and Detective Management {DIDM) has been preparing for the ISO 9001:2016 certification. A dedicated set of personnel were designated and trained to prepare and gear the Directorate for the said certification process. In 2021, IDM will be undergoing audit and certification process to determine the preparedness and eligibility of the Directorate for the said certification. In line with the PNP Program Thrust for CY 2021 and the commitment of this Directorate thereto, the DIDM aims to certify its Crime Information Process under the Crime Research and Analysis Center by CY 2021. Moreover, this Directorate also aims to have all processes of the PNP Investigation Service ISO 9001:2015 certified to ensure the quality of service rendered to the public. Detective Managementes Republic of the Philippines NATIONAL POLICE COMMISSION NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE DIRECTORATE FOR INVESTIGATION AND DETECTIVE MANAGEMENT Camp BGen Rafael T Crame, Quezon City October 26, 2020 Operating Guidelines on 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 S. 2006) was issued to improve and shift the performance of the public sector recognizing ‘the International Organization for Standardization (ISO) 9000 series which provides International Standards on Quality Management and ensures consistency of products and services being offered. As part of the commitment of the DIDM to continuously improve, a corrective action process is established to ensure that conformities are identified, and appropriate actions are determined to ensure that nonconformities are prevented from recurrence or occurrence elsewhere. 2. PURPOSE: a. To serve as guide for all PNP Units involved in the implementation of DIDM QMS processes, systems and procedures. b. To take responsibility in performing Corrective Action Procedures for all identified nonconformities. 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 (OG) applies to all nonconformities identified during the implementation of DIDM QMS processes, systems and procedures 4. DEFINITION OF TERMS: a. Correction — refers to action taken to eliminate the detected nonconformity; b. Corrective Action — refers to action taken to eliminate the causels 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 DIDM personnel who identifies the nonconformity. In case of nonconformity found during audit, the initiator will serve as the auditor. e. Nonconformity (NC) - refers to non-fulfilmentfailure to meet the requirement. NCs include product and services that do not conform to requirements, client complaints, supplier complaints, non-achievement of objectives and targets, non-compliance to statutory and regulatory requirements. 5. POLICIES: This OG is applied to NC found during Internal Quality Audit, valid internal and/ or external customer complaints, and regular monitoring and measurement activities. 6. PROCEDURES: a. When an NC occurs, the DIDM shall take action to control and correct it or deal with its consequences in an appropriate manner; b. Upon determination of the need for the corrective action (e.g. through internal audit, customer complaints, and the like), the Initiator accomplishes Section 1 (i.e., details of nonconformity) of the CCAR and shall issue a copy of same to the concerned Unit/Division/Section where the NC is found. The concerned Unit/Division/Section Head reviews the NC 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 NC; 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 NC, the Unit Staff/TWG determines the possible causes of the NC, and eventually, identifies the root cause(s). The Unit Staff/TWG, likewise, assesses the risks associated with the recurrence of the NC (or the possible occurrence of the NC in other areas of the DIDM) and uses the assessment results as guides in developing the appropriate corrective actions to be taken; d. 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 Unit/Division/Section Head; e. 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; aa 09042020-040,f. The Intemal Quality Audit Team and/or concemed Unit/Division/Section Head shall verify the effectiveness of the corrective actions and fill out CCAR Form Section 3; 1) If the corrective actions are verified to be effective as supported by monitoring and measurement data, the CCAR Form will be marked as “Closed” under the remarks portion; and 2) If ineffective, the Unit Staff/TWG shall conduct another analysis and revise the corrective action as necessary; g. Corrective actions proven to be effective may necessitate amendments of existing policies or creation of a new one; h. The Head of the Internal Quality Audit (IQA) Team reports the actions taken and results of verification to the DIDM Command Group; i. The DIDM Command Group reviews and monitors, during its Management Review Meeting, 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. The Head of the IQA Team shall ensure that this OG is being implemented and maintained; b. Unit/Division/Section Head and Stafi/ TWG 1) Review the NC stated in the CCAR Form; 2) Apply immediate correction to NC; 3) Analyze the Root Cause of NC; 4) Evaluate the need for corrective action; and 5) Implement and monitor effectiveness of the corrective action. os MARNIC vores Police Major General The Director for Investigation and Detective Management rad 03042020-040,b= Republic of the Philippines, NATIONAL POLIGE COMMISSION NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE DIRECTORATE FOR INVESTIGATION AND DETECTIVE MANAGEMENT Camp BGen Rafael T Crame, Quezon City October 26, 2020 Operating Guidelines on Internal Quality Audit 1, BACKGROUND: Executive Order No. 605 dated February 23, 2007, Institutionalizing the Structure, Mechanisms and Standards to Implement the ‘Government Quality Management Program, amending for the purpose Administrative Order No. 161 was issued to improve and shift the performance of the public sector recognizing the International Organization for Standardization (ISO) 9000 series which provides International Standards on Quality Management and ensures consistency of services being offered. As part of the commitment of the DIDM to provide quality public services, Internal Quality Auditors shall conduct an Internal Quality Audit to confirm the effectiveness of the management system and to obtain information for the improvement of its QMS. 2. PURPOSE: To establish guidelines and procedures in the conduct of internal quality audit to verify whether quality activities and related results conform to the standards set forth by the DIDM QMS requirements, to the ISO 9001:2015 QMS requirements and to determine if the QMS is effectively implemented and maintained. 3, SCOPE OF APPLICATION: This OG applies to all DIDM units, particularly, internal 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 internal quality auditors. 4, DEFINITION OF TERMS: a. Audit- refers to the systematic, independent, documented process of obtaining audit evidence and evaluating objectively to determine the extent to which requirements are fulfilled, b. Auditee — refers to the PNP office/unit being audited. c. Auditor- refers to the person who has the competency to conduct the Audit. 4d. Audit Criteria — set of policies, procedures or requirements used as a reference against which audit evidence is compared. It includes statutory= ‘ad 03042020-039 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. . Audit Evidence -records, statements of fact, or other information which is relevant to the audit criteria and verifiable Audit Findings-results of the evaluation of the collected audit evidence against audit criteria. This indicates conformity or nonconformity. }. 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. Audit Itinerary — states how to conduct a particular audit. It describes the activities to be carried out in order to achieve the audit objectives. Audit Scope — refers to the extent and boundaries of an audit. Audit Team Leader — responsible for leading the Audit Team in conducting the IQA Audit Team - one or more internal 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 resources needed to plan, organize, and conduct one or more audits. Conformity — the fulfillment of a requirement. |. 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. Correction and Corrective Action Report (CCAR) Form — refers to the document that describes the nonconformity, correction, corrective action plans, timetables, and responsibilities. |. Internal Quality Auditor - responsible for ensuring that internal quality audit procedure is implemented. Internal Auditors will form part of the Audit Team. Internal Quality Audit Head —is responsible for the supervision, review, and approval of IQA activities. The Deputy Director, DIDM is designated as the IQA Head.s. Nonconformity (NC) — refers to non-ulfillment of a requirement. t. Opportunity for Improvement (OF!) — refers to the recommendation for further enhancement of the QMS. u. Top Management - refers to the DIDM Command Group and Division Chiefs. 5. POLICIES: As general guidelines, the policies in the internal quality audit procedure are as follows: a. Intemal Quality Audit (IQA) shall be conducted at planned intervals to provide information on whether the DIDM 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 DIDM processes to be audited and also the results of the previous audits. It shall be conducted at least once a year or as deemed necessary. c. Budgetary requirements and logistical resources shall be allocated for the conduct of IQA. 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 DIDM QMS shall be conducted at least once a year. 2) The IQA Head prepares an Internal 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 DIDM, 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. +d 05042020.039b. c. ad 03082020-039, Manage the Auditor Pool 1) The DIDM shall compose a pool of Internal Quality Auditors originating from different DIDM Divisions through Letter Orders. 2) Selected Internal Quality Auditors are not allowed to audit his/her ‘own work to ensure impartiality and objectivity of the audit process. 3) The pool of selected Internal Quality Auditors shall undergo at least ‘one (1) internal audit training or other QMS-related training. This training would also serve as a refresher course to the existing members of the 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 filed-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: a) Auditing concepts; b) ISO 9001:2015 requirements and other requirements that the DIDM QMS must comply with; ©) Auditing Management Systems based on ISO 9001:2015 standard; and d) Auditing Methods: d.1) Plan and organize the work effectively; d.2) Collect information through effective inquiry; listening observing and reviewing documents, records, and data; d.3) Evaluating audit evidence against criteria; and d.4) Document audit findings and prepare appropriate audit reports. Plan for Audits 4) Planning the Audit a) The Audit Team Leader prepares Audit Itinerary which details specific audit objectives, areas, processes to be audited, date and duration of the audit (Audit Itinerary Form). b) The IQA Head approves the Audit Itinerary. Audit Team Leader furnishes Auditee with the approved Audit Itinerary for notification.The Internal Quality Audit Head prepares audit notifications letter, ‘notification is made as far in advance, at least a week before the audit schedule. 2) Develop the Audit Checklist a) The Audit Team develops the Audit Checklist to serve as a guide during the audit process. The Audit Checklist is used to organize the set of criteria to be audited to determine their extent of conformance (Audit Checklist Form). b) The Audit Team reviews appropriate data and pertinent information which includes, but not limited to, the following: b.1) Quality Manual; b.2) Policies and procedures (SOPs); b.3) Minutes of Management Meetings; b.4) Organizational chart; b.5) Job descriptions; b.6) Correspondence and information; and b.7) Unit Scorecard, ICER and UPER. 3) Conduct Audits a) Conduct of the Internal Quality Audit a.) The Audit Team holds an entrance briefing to clarify audit scope, objectives, and schedule of audit activities. a.2) The Audit Team executes the approved Audit Itinerary. The Audit Team may employ one or more audit methods during the Internal Audit Activity. Such methods include, but are not limited to, the following: a.2.1) Observation and inquiry; a.2.2) Analysis and review; .2.3) Inspection; and .2.4) Confirmation. a.3) The Audit Team holds an exit briefing to the Auditees to present the audit findings. b) Documentation of Internal Quality Audit Findings ad 09042020.039b.1) The Audit Team prepares and issues to the auditee the Audit Findings Report and the Correction and Corrective Action Report (CCAR) Form, for any nonconformities, within seven (7) days after the audit. These details the audit work accomplished to perform each step of the Audit Itinerary. Conclusions and results are supported by audit evidence (Audit Findings Report Form). b.2) Based on the Audit Findings Report, the Auditee shall fill up the CCAR Form and return the same to the Auditor within seven (7) days after receipt. Issuance, verifications, and closure of these shall be consistent with the Corrective Action Procedure. °) 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 reference during management reviews. d) Review Audit Results and Status d.1) The Audit Team monitors the status of the results of the audit communicated to the Top Management. As appropriate, the auditee keeps the Audit Team informed of the status of these actions. The completion and effectiveness of these actions are verified by the auditors. This verification may be part of a subsequent audit 4.2) The results of verification are reported to the Top Management for review. 7. RESPONSIBILITIES: rad 09042020-059 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. s 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. 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 internal quality audit; 8) Supply information on a template for NCs and OF Is; 9) Prepare audit findings and audit report; and 10) Perform audit-related tasks as may be required from time to time. d. Auditees 1) Ensure availability of all relevant documents and of all relevant staff particularly a list of statutory and regulatory requirements applicable to the processes/ offices; aa 03042020-039,2) Prepare correction and corrective action plan on the basis of the audit report without undue delay; and 3) Coordinate with the audit team as may be required from time to time. e. Top Management 1) Use the audit to review PNP courses of action in its programs and activities during Management Review. MARNIC MAI IR Police Major General The Director for Investigation and Detective Management rad 03042020-039,ea Republic of the Philippines NATIONAL POLICE COMMISSION NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE DIRECTORATE FOR INVESTIGATION AND DETECTIVE MANAGEMENT Camp BGen Refael T Crame, Quezon City October 26, 2020 Operating Guidelines on 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 S. 2006) was issued to improve and shift the performance of the public sector recognizing the International Organization for Standardization (ISO) 9000 series which provides International Standards on Quality Management and ensures consistency of products and services being offered. Records provide evidence of the DIDM's activities and functions. Proper records management will serve as safeguard from unauthorized users ensuring the preservation, integrity and confidentiality of DIDM 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 DIDM 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 DIDM generated by the Quality Management System (QMS) 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 guideline applies to records generated by the DIDM 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. Document Security Officer - refers to the employee responsible for overseeing the records management program and providing guidance on adequate and proper record keeping,d. 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. e. Permanent Record or Archives — Defined as archival records, a document whose long-term value justifies its permanent retention. f. Record - refers to a collection of data, informatic results achieved or providing evidence/proof of acti F reports stating performed. g. Records Custodian —refers to the employee with responsibilities over a particular set of records and must keep the Document Security Officer informed of any issues regarding the records in their custody. h. Records Disposition Schedule (RDS) - refers to the matrix of the different types of records, their corresponding retention period and disposition methods. i. Retention Period — refers to the specific period of time as duration of safekeeping of records as per DIDM RDS following the guidelines of the National Archives of the Philippines (NAP). 5. POLICY The retention and disposition of DIDM records shall be in accordance with the National Archives of the Philippines General Circular No. 1 and 2 dated January 20, 2009 with subject “Rules and Regulations Governing the Management of Public Records and Archives Administration.” Accessibility to DIDM records shall be in accordance with the applicable provisions of the PNP People’s Freedom of Information Manual and other existing laws, rules and regulations. 6. PROCEDURE: a. Designation of Document Security Officer and Records Custodian Each PNP office shall have their Document Security 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 filed, labelled, categorized, and arranged according to the date and year they were approved and/or published. The records that can be created are generally categorized, but not limited to the following: rad 03042020-038,1) 201 Files; 2) Circulars, SOPs, Policies, Directives; 3) Letter Orders and Records; 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. c. Storage, Protection, and Retention of Records Appropriate filing and labelling system will be 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). 2 Request for Copy of Records 1) Reproduction of Hard Copy Hard copy of Records except for Specific Classified Documents may be reproduced by the Records Custodian and can be issued to an authorized requesting PNP personnel upon approval of the Document Security Officer. ad 03042020-038,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 transferredi/copied to an external drive by the Records Custodian and can be issued to an authorized requesting PNP personnel upon approval of the Document Security 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) 9. 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. Document Security Officer 41) Ensures that control procedures are effectively implemented; 2) Certifies the correctness of data in the Control Records document; and 3) Reviews and approves the request for copy of records, consolidated records disposal plan, records retention schedule, and records inventory. b. Records Custodian 1) Identifies, labels, classifies records to be kept in the designated filing boxes/cabinets and establishing the retention period of the records generated, as well as storage and maintenance of records for the duration of the retention period; rad 03042020-038rad 03042020-038, 2) Responsible for the reproduction of hard and soft copy of records upon the approval of the Document Security Officer; 3) Prepares the consolidated records disposal plan, records retention schedule, and records inventory for review and approval of the Document Security 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. > Police Major General The Director for Investigation and Detective Managementes Republic of the Philippines NATIONAL POLICE COMMISSION NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE DIRECTORATE FOR INVESTIGATION AND DETECTIVE MANAGEMENT Camp BGen Rafael T Crame, Quezon City October 26, 2020 Operating Guidelines on 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 S. 2006) was issued to effect actual improvements in public governance in recognition of the International Organization for Standardization (ISO) 9000 series which ensures consistency of products and services through quality processes. The Philippine National Police (PNP) in compliance with the aforementioned EO and to cope with the emerging trends in policing, recognizes the importance of a more comprehensive and up to date procedure in the creation, amendment, revision, and distribution of documents. The control of these documents (intemally 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 internally generated and externally-generated documents determined by the DIDM as necessary for the effectiveness of its QMS as required by the International Standard and those necessary for the organization to attain its objectives. It also outlines existing and pertinent DIDM 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; in ensuring that 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 DIDM documented information in-line with ISO-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 DIDM. b. Approving Authority/Authority to Approve ~ the designated office/unit or person authorized to approve a documentissuance. ¢. Classification — the individual identification of documents categorized under various types such as restricted, confidential, secret, top secret among others. d. Complete Staff Work — is the study of a problem, and presentation of a solution, in such form that all that remains to be done by the Manager/Staff is to indicate their approval or disapproval of the completed action. e. Document ~ refers to recorded information regardless of medium or characteristics. Frequently used interchangeably with “records.” {.Effectivity/Duration — refers to the life span of a particular issuance. g. Frequency- the interval of time wherein the document shall be reviewed. h. Issuing Authority/Authority to Issue — the designated office/unit or person authorized to issue such document/issuance. i, Manual — a reference book that contains approved policies, procedures, guidelines or information that is made up of a body of police strategies, techniques, and procedures that translate or support the principles and functions of the PNP. j. Operating Guidelines — a set of instruction regarding the procedures to be followed on a routinary basis as desired by the Chief of Office. k. 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. |. Routing Slip — an official form attached to a document that contains the subject, sender, recipient, signatory, date signed, and action requested. This’ is used for internal circulation especially when requesting approval. m. Subject/Coverage — refers to the scope to be covered by an issuance. ad 03042020.036,n. Technical Working Group — refers to a group organized by the issuing authority and tasked to initiate, plan, and develop a PNP doctrine or manual. 0. 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 DIDM 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 available and suitable for use when needed. It shall be protected from loss of confidentiality, improper use, or loss of integrity as provided. (References: “Memorandum Circular (MC) No. 2017-015, “Revised Doctrine on PNP Issuances;" and PNP MC No. 2014-020, ‘Revised Guidelines and Procedures in the Development of PNP Doctrines and Manual’) 6. PROCEDURES: (QMS DOCUMENTANON STRUCTURE a. CREATION 1) Format PNP Communications shall follow the standard format prescribed by The Chief of Directorial Staff (TCDS). a.1 Standard contents of the PNP Memorandum Circular are the following: a) References;ad 09042020-036, 2) b) Rationale; ¢) Situation; d) Purpose; e) Definition of Terms; f) Guidelines; 9) Repealing Clause; and h) Effectivity a.2 Standard contents of the Command Memorandum Circular are the following: a) References; b) Purpose; ¢) Situation; d) Mission; e) Execution; and f) Effectivity a.3 Standard contents of an Operating Guidelines are the following: a) Background; b) Purpose; ©) Scope of application; d) Definition of Term: e) Policies; f) Procedures; 4g) Responsibilities; Other prescribed formats for documents that are not covered in the above references are attached in this OG. (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’). All forms used by the PNP shall maintain the standard format details; however, the other contents shall be based on the requirements of respective offices/units (peculiar on their process). Issuing Authority a) 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’) 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.©) Documents from subordinate offices/units shall be coursed thru their functional supervisors and other D-Staff concerned, before they are endorsed to the CPNP through the Command Group as appropriate, based on the existing policy on CSW, unless there is a specific instruction. 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. Issuing authority of the office/unit is limited only to the formulation of a particular issue. 3) Identification All documents should be identified. Identification should include the document title, document type, issuing office, approving authority among others. Series numbering/coding system for the PNP documents established and generated by their respective issuing office are reflected in the Table of PNP Issuances. (Reference: “MC No. 2017-015, ‘Revised Doctrine on PNP Issuances’). To facilitate filing and retrieval per office, hard copy documents are properly filed and labeled, as applicable: * per document type * per subject © per unit 4 Review and Approval a) 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 personnel 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”. b. DISTRIBUTION AND MAINTENANCE OF DOCUMENTS a) The PNP Command Library controls and assigns numbers to all documents signed by the CPNP. It maintains a master list of all of ag 03082020-038rad 03042020-025, these documents as the official repository of CPNP-approved documents. b) 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 * effectivitylissue date * reference code/series number, if applicable * revision history, if applicable * revision number and date, if applicable °) 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’) d) 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. e) 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 the Philippines, and for other Purposes ("National Archives of the Philippines Act of 2007"). f) To ensure security and restriction for classified documents, the following are observed: + Covered; * Only authorized PNP personnel are allowed to carry/transport/deliver/receive; * Labelled/marked with TOP Secret, Secret, Confidential and Restricted as applicable and kept separately from the general files in secured file containers; and* Only authorized personnel with security clearance shall have access to these documents. These are all in accordance with Philippine National Police Regulations No. 2000-012, ‘Promulgating Rules Governing Security of Classified Matters in all Philippine National Police Offices and Units”. c. CONTROLS FOR REVIEW AND AMENDMENT OF PNP DOCUMENTS PNP documents shall undergo review for continued suitability and applicability. The reviewing authority and the frequency of review are stated in the table below. ~ TYPES OF REVIEWING DOCUMENT AUTHORITY FREQUENCY PNP Memorandum Circular DIDM Every 3 years or as necessary PNP Command Memorandum Circular DIDM NIA Standard Operating | bing Every 3 years or as necessary Procedure ie Manuals [BDD-DHRDD _| Every 3 years or as necessary investigative Directive | DIDM Every 3 years or as necessary Training Directive DIDM Every 3 years or as necessary Standard Training eb DIDM Every 3 years or as necessary Superseded documents shall be identified and stipulated in the repealing or amendatory clause to preclude the use of invalid and obsolete documents. d. CONTROL OF EXTERNAL DOCUMENTS AND COMMUNICATION 1) ad 03042020-026 2) 3) External documents received by any PNP office are disseminated to the concerned office/PNP personnel through their respective message centers, where a code number is assigned per document. For actionable external communication, this is assessed or evaluated by the receiving officelunit and referred to concerned action office. The following are used as means/method to retain documented information on the source, copy holders and action status of external documents, as applicable: * Official logbook * Database* Barcode system 4) Feedback on the status of action taken by the concerned action office is forwarded to external stakeholder/source copy furnished concerned PNP office/unit Management. 5) Concerned office/unit issued a memorandum for tracing their action taken. 7. RESPONSIBILITIES: a. The Directorate for Human Resource and Doctrine Development (DHRDD), through the PNP Command Library, shall be responsible for controlling and assigning numbers to all administrative issuances andior circulars signed by the CPNP. It is the repository of PNP issuances (manuals, circulars, among others). b. Administrative Officer is responsible for disseminating PNP issuances to PNP personnel through PICE and written communication. ¢. Document Security Officer and Record Custodian shall be responsible for maintenance, retention and disposition of hard and electronic copies of documents based on the requirements of RA No. 9470 dated May 21, 2007, “An Act to Strengthen the System of Management and Administration of Archival Records, Establishing for the Purpose the National Archives of the Philippines, and for other Purposes ("National Archives of the Philippines Act of 2007"). Police Major General The Director for Investigation and Detective Management «ad 03042020-035,Republic of the Philippines National Police Commission NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE DIRECTORATE FOR INVESTIGATION AND DETECTIVE MANAGEMENT Camp BGen Rafael T Crame, Quezon City Stardard Operating Procedure No 2020- RISK AND OPPORTUNITY MANAGEMENT 1. REFERENCES: a. Philippine National Standard ISO 9001:2015; b. Stakeholders Matrix; and c. DIDM Issues Log. 2. BACKGROUND: Executive Order No. 605 dated February 23, 2007, Institutionalizing the Structure, Mechanisms and Standards to Implement the Government Quality Management Program, amending for the purpose Administrative Order No. 161 was issued to improve and shift the performance of the public sector recognizing the International Organization for Standardization (ISO) 9000 series which provides International Standards on Quality Management and ensures consistency of products and services being offered 3. PURPOSE: The purpose of this procedure is to ensure that risks and opportunities that could affect DIDIM’s strategic and operational direction are identified and action plans are determined to address these risks and opportunities. 4, SCOPE OF APPLICATION: This procedure applies to risks and opportunities identified in the scope of the PNP QMS. 5. DEFINITION OF TERMS: Risk — a negative effect of uncertainty Opportunity — a positive effect of uncertainty Likelihood - the probability that the harm will occur Severity - seriousness of the harm . Risk Register — a listing of identified risks and action plans to address these risks. ea90D Page 1 of 5{. Opportunity Register —a listing of identified opportunities and action plans to address these opportunities. 6. POLICY The DIDM Top Management shall ensure that risks and opportunities are identified and addressed during planning, implementation, monitoring, and evaluation for effectiveness. 7. PROCEDURE: a. The DIDM considers and manages risks and opportunities differently. 1) Risk, a negative effect of uncertainty, is managed with focus in decreasing its likelihood and minimizing its impact if it occurs. 2 Opportunity, a positive effect of uncertainty, is managed with focus in increasing its likelihood and to maximize its benefits if it occurs. b. Risks are identified during planning activities of the DIDM. Methods for risk identification and assessment vary and may include Strength, Weakness, Opportunities, and Threats (SWOT) Analysis. c. When a risk is identified, an entry is made to the Risk Register. The following steps are to be followed when using the Risk Register. 1) Identify the risk associated with a process with reference on the internal and external issues and requirements of stakeholders. 2) Assign a consequence rating, number 1 (lowest) to 5 (highest) if the risk is to be encountered. Rate Description Insignificant | 1 __| No impact (no complaint) Minor 2 | Minor impact (noticeable effect, minor customer complaint) Significant '3__| Moderate impact (customer complaints, injury) Major 4 | Major impact (catastrophic, recall, multiple injury, costly compensation, legal action), alternatives available Catastrophic | 6 | Major impact (catastrophic, recall, fatality, costly compensation, legal action), no alternatives available Page2of 53) Assign a likelifiedd rating, number 1(lowest) to 5(highest), that the risk will be encountered. Rate Description 1_| Not known to happen _ Low occurrence (1x/3 years) Known to happen (1x/2 years) Very likely to happen (1x every year) Highly likely to happen (more than 1x in a year) a]. co|n0 4) Calculate the final risk rating. Risk rating = consequence x likelihood Rare 1 2 3 4 5 Unlikely 2 4 6 8 10 Z| 3 9 15 = | Likely 4 As: 20 2 a = [Certain Lf 10 15 20 or fate [Insignificant |" Minor | Significant | Major | Catastrophic I H Severity 5) For risks with a final Risk Rating equal to or greater than the threshold set, the management decides whether to reject the subject due to risk or accept the risk after the development of a risk mitigation plan. The risk mitigation plan must be documented, either in the Risk Register, or in another document with reference to the Risk Register. Criteria for Risk Mitigation Plan 7 Risk Rating Priority | __ Management Decision Take immediate appropriate action to cldiee High | eliminate/mitigate the risk. 59 Medium | More frequent monitoring of performance a Low | No action required. Maintain current | controls. Risk is acceptable | d. Opportunities are also identified during planning activities of the DIDM. Discussing and analyzing opportunities shall be done by top management. If made part of the management review activities, these shall be recorded in the management review records. To help determine which opportunities should be pursued, the Opportunity Register may be used to conduct an “opportunity pursuit assessment.” This registers similar to the Risk Register, but ranks potential positive opportunities by their ikelinood and benef. e. When an opportunity is identified, an entry is made to the Opportunity Register. The following steps are to be followed when using the Opportunity Register. Page 3 of 51) Identify the opportunity with reference on the internal and external issues and requirements of stakeholders. 2) Assign an impact! Tating, number (lowest) to S(highest) if the opportunity is pursued. Rate Description Insignificant 1 [No perceived value for improvement and sustainability Minor 2 [Slight improvement on system and | improvement sustainability Beneficial Considerable improvement on system and sustainability Highly beneficial | 4 [High improvement on system and ansenies sustainability Greatly 5 |Great improvement on system and beneficial sustainability 3) Assign a (likelihood! rating, number 1(lowest) to S(highest), that the opportunity will be encountered Dipene a unaiea mas Descriptio Rare 1 |No chance of success within the next twelve months Unlikely | 2 | 1-25% chance of success within the next twelve months et Peet [Possible 3 | 26-50% chance of success within the next twelve months IT Likely 4 | 51-75% chance of success within the next twelve Hees (months ie Ete eee Certain 5 | >75% chance of success within the next twelve months _ | Opportunity rating = impact x likelihood 4) Calculate the final opportunity rating. Rare 7 3 5 3 [Unlikely [2 [6 10 8 [Possible 3 9 12 45 = [Likely 4 12 16 20 |= Certain 5 15 20 25 (5 | Tasignificant | Minor | Beneficial | Highly Greatly | zl beneficial | beneficial | Impact 5) For opportunities with a final rating equal to or greater than the threshold set, the management decides whether to reject the subject, or pursue the opportunity and develop an opportunity pursuit action plan. The plan Page 4 of 5must be documented, either in the Opportunity Register, or in another document with reference to the Opportunity Register. Criteria for Opportunity Mitigation Plan Risk Rating | Priority Management Decision 10-25 High Pursue the opportunity 5-9) Medium | May consider pursuing the opportunity 14 Low | No action required/ Abandon . The organization shall monitor and evaluate the actions to address the risks and opportunities. The results of evaluation shall form part of the management reviews. 8. RESPONSIBILITIES: a. DIDM Top Management Ensure that risks and opportunities are identified and addressed during the planning, implementation, monitoring, and evaluation for effectiveness. b. DIDM1SO QMT 1) Make an appropriate report on the status of the risks and opportunities to be reviewed by the Top Management; and 2) Ensure that the Risks and Opportunities Registers are included in the agenda during Management Review. 9. EFFECTIVITY This SOP shall take effect immediately upon approval. BENJAMIN C VILLASIS, JR Police Brigadier General Executive Officer, DIDM Page Sof 5