‘ss 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 (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 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 external documents are identified and their distribution controlled 3. SCOPE OF APPLICATION: This procedure applies to all DIDM documented information in-line with 1SO-QMS implementation4. DEFINITION OF TERMS: rad 03042020-026, Administrative Issuances — policies, guidelines, rules, regulations and procedures promulgated pursuant to existing laws, standard operating procedures, and implementing instructions from other goverment agencies and the like, issued by the DIDM. . Approving Authority/Authority to Approve — the designated office/unit or person authorized to approve a document/issuance. . Classification — the individual identification of documents categorized under various types such as restricted, confidential, secret, top secret among others. . 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. 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. Frequency— the interval of time wherein the document shall be reviewed. . Issuing Authority/Authority to Issue — the designated office/unit or person authorized to issue such document/issuance. 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. Operating Guidelines — a set of instruction regarding the procedures to be followed on a routinary basis as desired by the Chief of Office. . 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 intemal circulation especially when requesting approval. Subject/Coverage — refers to the scope to be covered by an issuance.n. Technical Working Group — refers to a group organized by the issuing authority and tasked to initiate, plan, and develop a PNP doctrine or manual. 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 [senor Evicenee of Performing the Organization's Processes 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 03042020-036, 2 b) Rationale; ©) Situation; d) Purpose; €) Definition of Terms; f) Guidelines; 9) Repealing Clause; and h) Effectivity .2 Standard contents of the Command Memorandum Circular are the following: a) References; b) Purpose; ©) Situation; d) Mission; e) Execution; and 4) Effectivity a.3 Standard contents of an Operating Guidelines are the following: a) Background; b) Purpose; ¢) Scope of application; d) Definition of Terms; e) Policies; f) Procedure: g) 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. 2017-015, “Revised Doctrine on PNP Issuances’). A\ll 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 officefprocess 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. e) 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 «ad 03042020-036aa 09042020-036 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 * effectivity/issue 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. €) 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 carryitransportideliver/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. Eevee PNP Memorandum Hae DIDM Every 3 years or as necessary PNP Command Memorandum Circular | IDM bil Standard Operating Procedure | DIDM Every 3 years or as necessary 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 ees 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 03042020-036 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 office/unit 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 extemal documents, as applicable: * Official logbook * Database* Barcode system 4) Feedback on the status of action taken by the concerned action office is forwarded to extemal stakeholder/source copy furnished concemed 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 and/or 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"). _ ——)) marnic makcos UR Police Major General The Director for Investigation and Detective Management rad 03042020-036,