Directorate for Operations (DO)

Directorate for Operations (DO)

Quality Management System

Guide

of 25

Table of Contents

Chapter 1 3

Introduction 3

a. Background 3

b. Profile 3

c. Purpose Error! Bookmark not defined.

Chapter 2 7

The PNP Quality Management System 7

Structure Process Approach 7

A. Scope of the Quality Management System 8

B. Externally-Provided Products, Processes, and Services 8

C. Policy Management 11

PNP Quality Policy 11

D. Performance Evaluation 11

E. Managing Improvement 13

of 25

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, nine (9) units (CLG, OCPNP, DPL, NCRPO, HPG, PSPG, PRBS, FEO, HS-GH) 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 OPERATIONS

On August 8, 1975, Presidential Decree No.70 5was issued establishing the PC/INP as the country's police force. The local police units were integrated into a national police force with the Philippine Constabulary (PC) as its nucleus.

In 1986 after the EDSA People's Power Revolution, a new Constitution was promulgated providing for a police force, which is "national in scope and civilian in character". Consequently, Republic Act No.6975 entitled: "An Act Establishing the PNP under a Reorganized Department of the Interior and Local Government," was signed into law on December 13, 1990, which became effective on January 1, 1991.

of 25

Subsequently, the Philippine National Police was activated on January 29, 1991 with initial composition from the members of the former PC/INP who opted to join the PNP, and members from the different major services of the Armed Forces of the Philippines such as Philippine Air Force Security Command, the Philippine Coast Guard, and the Philippine Army were also absorbed.

This law established the PNP under the reorganized DILG, Section 2, Chapter III thereof provides for its organization, Sec 30, Rule VI of the IRR of the Act, provides that "The Chief of the PNP shall, within 60 days from the effectivity of the Act and in accordance with the broad guidelines set forth therein, recommend the organizational structure and staffing pattern of the PNP to the National Police Commission (NAPOLCOM).

Section 19 of RA 6975 provides for the key positions in the PNP including the members of the Directorial Staff. Based on the aforementioned law, NAPOLCOM issued Resolution 92-36 and approved the same on October 15, 1992, which revised the organizational structure of the PNP and likewise provided policies and guidelines in its implementation. The ten Directorates were created in the National Headquarters which included the Directorate for Operations (DO).

The Directorate for Operations was formally activated on October 15, 1992 upon the approval of Resolution No.92-36 "Approving the Revised Organizational Structure of the Philippine National Police (PNP) and Providing Policies and Guidelines in the Implementation Thereof'

Mission, Vision, Core Values, Functions, Logo, Organizational Structure, Duties and Functions

Its Mission is to assist the Chief, PNP in the exercise of command, control, direction, coordination and supervision of all activities concerning operations, organization, employment, deployment and training of the Philippine National Police.

The Directorate for Operations envisions providing excellent public safety and security services by 2020.

The Directorate for Operations is in the exercise of command, control, direction, coordination and supervision of all activities concerning operations, organization, employment, deployment and training of the Philippine National Police.

Specifically, it is expected to perform the following functions:

a. Plans, directs, controls, coordinates and supervises PNP operations and integrates support activities;

b. Assesses, evaluates and prepares mobilization, demobilization, assignment and/or location and employment/deployment of units in coordination with other Directorial Staff;

of 25

c. Prepares, coordinates and issues operation plan, orders and directives in accordance with the CPNP's policies and guidelines;

d. Maintains active liaising with the other Operating Units of the military and other law enforcement agencies;

e. Maintains close supervision, direction, control and coordination of operational activities of all operating units and regional offices of the PNP; and

f. Performs such other duties as higher authorities may direct.

The Directorate Seal was approved by the National Historical Institute on March 2010.

a. Philippine Monkey-Eating Eagle. The country's national bird. It is the symbol of swiftness and ferocity, power and courage which best describe the PNP organization and in particular the Directorate for Operations.

b. Green Laurels with 17 Leaves. Represents the 17 Police Regional Offices. The laurel also symbolizes honor and dignity and the privilege of being a member of a noble organization where the call to public service is a commitment to public trust.

c. The Three Stars. Represent Luzon, Visayas and Mindanao and the territorial integrity which the PNP must uphold and maintain.

d. Service, Honor, Justice. Distinct ideals for the officers, men and women of the PNP to ensure efficiency, integrity, cohesiveness, camaraderie, and equanimity to enhance community acceptance and support to attain its mission of peacekeeping law and order.

e. 5 Blue Dots. Represent the National Support Units ASG, MG, SAF, CSG) under the supervision of DO.

of 25

f. Red, White and Blue. The traditional national colors that symbolize bravery, purity, and loyalty, virtues that every Filipino must possess especially all the members of the National Police who sworn to the profession that demands the highest ethical and moral standards of service.

g. Lapu-Lapu. Our national hero, the first to protect our land from foreign incursions, a symbol and embodiment of all the genuine attributes of leadership and service to country and people.

h. The Triangle. It represents the Three-Tiered Defense System (Intelligence, Target Hardening and Incident Management), an operational doctrine conceptualized and formulated by the DO.

c. Purpose

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

This PNP 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 DO.

of 25

Chapter 2

The DO Quality Management System

Structure Process Approach

The DO 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 Directorate for Operations:

Management Process

Strategic Planning Policy Development Monitoring and Evaluation Continual Improvement

Core Process Event Security Operations Management Process: • International • National • Local

Support Process

Human Resource Management Financial Management Logistical Management Documentation Management IT and Communications Management

Outsourced Services/Processes (if any)

Within PNP

Outside PNP (Support from other agencies, Emergency Preparedness and response services, and International Relations Protocol)

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

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

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

of 25

PolicyMatzng Strategic Planning Policy Improvement Implementatioand AuditiReview and Monitoring Evaluation

INPUTS SOURCE OUTPUTS PROCESS CUSTOMERS

Financial Management

Logistical Management

Docunentation Management

IT and Communications

Hurren Resource

-PROs - 0-Staff - Nals

Emergency preparedness and response services (0CD,D0H, DPWH,MIVIDA etc.)

Executive Order Letter Request train Host Agency/ Organization DEG

Support from other Offices/Unit (within the RIP)

Support from other Security Agencies (LEAs, NICA. DM) etc)

- Reparation (Ranning Fbase)

- Implementation and Monitoring (Orientation Rinse) Evaluation and Improvement (Post Operations Phase)

After Security OrganizerlHost Coverage Report Agency

Delegates

hternational relations and protocol (DFA, PCTC, 131 etc)

Security Requirements requested by Host Agency

MANAGEMENES1RA1EGIC PROCESSES

CORE PROCESS — Event Security Operations Management Process

SUPPORT PROCESSES

OUTSOURCED PROCESSES

CUSTOMER NEEDS

Event Security Cmerage

CUSTOMER SATISFACTION

Safe and secured of the

event and delegates

A. Scope of the Quality Management System

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

The QMS covers all activities pertaining to Major Event Security Management (international, national, and local events) and the support processes that affects its operations, which has been developed in accordance with ISO 9001:2015.

The following clauses of ISO 9001:2015 were determined to be not applicable to the delivery of DO Major Event Security Operations Management:

ISO 9001:2015 Clause

Title Justification

7.1.5.2 Measurement traceability

The nature of our services does not need measuring device to be calibrated or verified at specified intervals or prior use against measurement standards traceable to international or national measurement standards. DO provides purely SERVICES.

8.3 Design and Development

The nature of our services does not need design and development of products and services because it operates in accordance with the existing standards and laws.

B. Our Business Process Model

REVISED PROCESS MODEL

of 25

C. Description of the Processes

C.1 Management Process

Management Leadership and Commitment

The Director for Operations and his staff provide evidence of 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.

C.1.1 Planning

Strategic Direction

The DO has reviews and analyzes its key aspects and stakeholders to determine its strategic direction. This involves:

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

b. Identifying stakeholders who receive our services, or those who avail these services, or other parties who may otherwise have a significant interest in the PNP. These parties are identified in the Customer Analysis document.

c. Understanding internal and external issues that are of concern to the DO and its stakeholders.

Many such issues are identified through an analysis of risks facing either DO or the stakeholders using the Strength, Weakness, Opportunities, and Threats (SWOT) and/or Political, Economic, Social, Technological, Legal, Environmental (PESTLE) analyses. Such issues are listed in the SWOT Analysis document and are monitored and updated as appropriate, and discussed as part of management

of 25

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 DO considers risks and opportunities when taking actions within the QMS. Risks and opportunities are identified as part of understanding the internal and external issues affecting the DO 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 likelihood and benefit.

Quality Objectives

When planning for the QMS, the DO 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 the unit.

These are monitored and gathered by process owners or other assigned personnel and are presented to the Management during Strategy and Operations Review (SOR). 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 DO determine the need for changes to the QMS or its processes, these changes are planned, implemented, and then verified for effectiveness.

If the change necessitates creation of new document or revision of an existing one, these documents are changed in accordance with the Command Memorandum Circular on Document Control.

of 25

C.1.2 Policy Management

Quality Policy

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

DO Quality Policy

Committed to providing public safety and security in accordance with ISO 9001:2015 Quality Management System, the Directorate for Operations SHALL:

evelop

• Responsive policies on crime prevention, law enforcement, internal security and public safety

• Competent and reliable operations personnel

• Performance evaluation standards to improve operational capabilities

ptimize

• Operational systems and procedures

• Use of financial and logistical resources

• Stakeholders' support and cooperation

• Oversight role to functional units

"So that everybody will know what to DO..."

Organizational Roles, Responsibilities and Authorities

The Director for Operations ensures that relevant functions in the DO have assigned responsibilities and authorities. These are communicated through a combination of organizational structure, job description, and in other QMS documentation.

C.1.3 Performance Evaluation

As one of the measurements of the performance of the QMS, the DO monitors information relating to customer perception as to whether the DO has met

of 25

customer requirements. The methods for obtaining this information include among others:

Feedback Mechanism;

Awards and Certificate of Commendations from clients and stakeholder;

Congratulatory Letter from clients and stakeholders; and

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

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

Internal Quality Audit

The DO 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 are 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 DO conducts audit/evaluation, strategy and operations reviews at scheduled intervals to determine suitability and effectiveness of the QMS. The review shall be led by the Directorate for Operations or members of the DO Command Group.

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

1. The status of actionable items and other matters arising from previous audit/evaluation, strategy and operations reviews;

2. Changes in external and internal issues that are relevant to DO QMS;

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

of 25

4. Information on the performance of the DO 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 audit/evaluation and strategy reviews includes 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 DO 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 DO has established implements and maintains Nonconformity and Corrective Action Process to ensure that corrections and corrective actions are identified and implemented to eliminate the cause/s of nonconformities to prevent recurrence or occurrences elsewhere. Records of the nature of nonconformities, subsequent actions, any concessions obtained and identified authority who will decide on the actions to be taken, will be maintained.

C.2 Operations

C.2.1 SIPOC

To provide a quick understanding of the core processes, a Supplier-Input-Process-Output-Customer (SIPOC) model and a brief description of the processes are shown below. The SIPOC model and descriptions of the processes may be supported by other PNP documentations such as Memorandum Circulars (MCs),

of 25

Command Memorandum Circular (CMCs), Operating Guidelines (OGs), among others.

Supplier (Source) Input Process Activities Output Customer

-Executive Security - Preparation After -Organizer/ Orde Requirements (Planning Security Host agency

requested by Phase) Coverage -Letter Host Agency Report -Delegates Request from Host Agency/

- Implementation and Monitoring

Organization (Orientation Phase)

- DILG - Evaluation and

Improvement (Operation Phase)

Supplier (Source) Input Process

Activities Output Customer

PNP DPRM

Human Resource

Provision of adequate personnel for deployment

Adequate personnel for deployment

-Organizer/ Host agency

-Delegates

PNP DC Financial Management

Provision of adequate financial support

Adequate financial support

PNP DL Logistical Management

Provision of adequate logistics

Adequate logistics

Controls to Monitor and Measure Performance

Measure Indicate performance measures, refer to scorecards

Criteria and Methods Mention related policies, procedures, regulations, among others

of 25

COMPLETE STAFF WORK

-Conduct of Appropriate Actions

- Return of Documents to Message Center Once Approved/Signed by Command Group (it applicable,

otherwise for file only) (OPR: Division Concerned, Liaison NUP and

Secretary of Command Group)

Administrative Process of Communication/Information at the DO

COMMUNICATION PROCESS FOR INCOMING DOCUMENTS

RECEIVED OF THE DOCUMENTS

- A I Incoming Documents shall be Received via OLCIMS

- Documents from Walk-In shall be processed based on the existing

policy (Conversion to electronic copy is a must)

(OPR: Duty Message Center)

DOCUMENTATION

Download and save the electromc copy for

sorting, preservation and retention of documents in

the database (OPR: Duty Message

Center)

ASSESSMENT - Identification of Destination and

Required Actions - Attachment of Routing arid Action

Form (RAF) - Priority Classification of Document

- Complete Staff Work (OPR: Message Center and C, Clerk)

PRINTING Product.on of Hardcopy

for Routing (OPR: Duty Message

Center)

DISPATCH AND RELEASE OF DOCUMENT TO THE CONCERNED

DIVISION/OFFICE

- Record in the Log Book for Dispatch

-ADMO's notation prior release - Received of the Concerned

Division/Office

(OPR: ADAK), NUP Liaison, and Division C,Clerk/ Cmd Group Secretaries)

of 25

RECEIVED AND ASSESSMENT OF THE DOCUMENTS

- Upon receipt of all outgoing documents from the DO Command

Group. it shall be checked by C..Cierk and processed by the Message Center to ensure the observance of Complete

Stall Work

(OPR. Duty Message Center)

COMMUNICATION PROCESS FOR OUTGOING DOCUMENTS

DOCUMENTATION - 54 an and Save the received

documents

Upload and encode the document to the OLCIMS

(OPR: Duty Message COMO

MONITORING

- Ensure the monitorag of progress of the documents to the destination thru the

OLCIMS

• Publish in the DO Official Online Messaging Platform the copy of

dispatched document

tOPR: Duty Message Center)

DISPATCH OF OUTGOING DOCUMENTS

-Send the Document through OLCIMS

- PNP E-mail System (PES) account shall be used as an alternative platform for the dispatch of the

documents

(OPR- Duty Message Center)

C.2.2 Production and Service Provision

Control of Provision of Products or Services

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

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

b) the use of suitable infrastructure and environment;

of 25

C) the appointment of competent persons, including any required qualifications;

d) the implementation of actions to prevent human error; and

e) the implementation of release, delivery and post-delivery activities

Identification and Traceability

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

Preservation

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

C.3 Support

The DO 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 Performance Review and Analysis.

C.3.1 Human Resource Management

The DO through its Administrative Section ensures that it provides sufficient personnel for the effective operation of the management system, as well as its identified processes. Currently, the DO follows the PNP relevant Memorandum Circulars in the recruitment, selection, hiring, placement of its personnel and promotion.

The DO 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 DO takes actions to acquire the necessary competence and evaluate the effectiveness of the actions taken.

The DO through the Administrative Section ensures that personnel required to undergo mandatory courses are properly vetted using the lineal list and

of 25

endorsed accordingly. Specialized courses approved by DHRDD are conducted by concerned training units.

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

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

including the benefits of improved performance; and,

• The implications of not conforming to the management system requirements.

C.3.2 Organizational Knowledge

The DO 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, CMOs, OG, Mandatory Schooling, Specialized Training, Trainer's Training (TOT) and other statutory requirements and made available to the extent necessary.

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

C.3.3 Facilities and Work Environment

The DO through its Budget and Fiscal Officer and Responsible Supply PNCO (RSPNCO), ensure that the facilities necessary for the operations of its processes and to achieve conformity of services are determined, provided, and maintained. These facilities include:

Buildings and associated utilities;

Equipment, including hardware and software;

Transportation resources; and

Information and Communications Technology.

The DO also ensures that a suitable environment necessary for the operation of its processes and to achieve conformity of services, are determined,

of 25

provided, and maintained. Human factors are considered to the extent that they directly impact the quality of products and services.

C.3.4 Documentation Management

The DO's QMS documentation includes both documents and records. DO 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 DO;

Complexity and interaction of the processes;

Risks and opportunities; and,

Competence of personnel.

Documents Control

The DO 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 staff for review and completed staff work prior approval for adequacy by authorized personnel, prior to issue. This further ensures that documents are identified, prepared, and where applicable, revised, in a uniform manner and that they give clear guidance and direction to their users.

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

The documents with current revision status are maintained and are readily accessible in order to prevent the use of invalid or superseded documents.

The QMS provides that this document is a property of DO. It should be treated as confidential and should not be removed from its designated locations.

Original copy of this document is maintained by the Records Custodian. General distribution of this document is controlled. These are stamped with "CONTROLLED" in a red ink.

Control of Records

The DO maintains a records control process that defines the controls needed for the identification, storage, retrieval, protection, retention time, and disposition of records.

of 25

PBGEN FRANCO Ex-0 Date signed: '

SIMBORIO

t. '0'

The controls shall apply to records which provide evidence of conformance to requirements; this may be evidence of service requirements, contractual requirements, procedural requirements, or statutory and regulatory compliance.

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

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

C.3.5 Procurement

The DO ensures that purchased products and services conform to specified purchase requirements. The type and extent of control applied to the suppliers and the purchased products are dependent on the effect on subsequent product realization or the final product.

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

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

Prepared by: Reviewed by:

PBGEN RONALbb E OLAY DDO Date signed: 1 'I JAN 202)

Approved by:

PMGEN ALFREE5 S CORPUS TDO Date signed: I JAN 2121

of 25

Annexes

DO QMS Correlation Matrix

ISO 9001:2015 Clause

Title PNP Document

4 Context of the Organization

4.1 Context of the Organization

• Administrative and Operations Manual (AOM)

• SWOT Analysis • Operational Guidelines

on Management • Contingency Plan • Risk and Opportunities

Register

4.2 Requirements of Relevant Interested Parties

• Customer Analysis • SWOT Analysis

4.3 Scope of the QMS • QMS Guide • SWOT Analysis • SIPOC • Business Process Model

4.4 QMS and its Processes • QMS Guide • SIPOC • Business Process Model

5 Leadership

5.1 Leadership and Commitment

• Regular Staff Conference

• Command Conference • TVVG Meetings • Office Orders

5.2 Policy

• Memorandum Circulars • Command Memorandum

Circulars • Operational Guidelines • Standard Operating

Procedures • Republic Acts

5.3 Assigning roles, responsibilities, authorities

• Staffing Pattern • Job Description • Office Orders • SOPPB

of 25

6 1 . Actions to address risks and opportunities

• SWOT Analysis • Risk and Opportunity

Register • CCAR • Contin_aenc_y Plan

6 2 . Quality objective and actions to achieve them

• AOPB • PPA • Memorandum Circulars

(MCs) • Command Memorandum

Circulars (CMOs) • Operational Guidelines

6.3 Planning of Changes

• Implementation Plan (IMP LAN)

• Memorandum Circulars (MCs)

• Command Memorandum Circulars (CMCs)

• Operational Guidelines • Directives • TVVG Creation and

Meetings

7.1 Resources

• Directorate Master Training Plan (DTAP)

• Standard Training Package (STP)

• Logistics • Infrastructure • Human resource • Procurement Policy • Annual Procurement

Plan (APP) • Recruitment and

Selection Process

7.2 Competence • Trainings • Seminars • Workshops • Conferences

7.3 Awareness

• Police Information and Continuing Education (PICE)

• After Activity Reports (AAR)

• Trainings/Schoolings • Webs ite

of 25

7.4 Communication

• Memorandum Circulars (MCs)

• Command Memorandum Circulars (CMCs)

• Standard Operating Procedures (SOPs)

• Operational Guidelines • Social Media • Hotline Numbers

7.5 Documented Information

• Communication Flow Chart

• PNP Doctrines • TCDS Memorandum

Preparation Guidelines • NAP Guidelines • Issuance of Office Orders • Memorandum Circulars • Command Memorandum

Circulars • Hotline Numbers • Email addresses • Republic Acts • PNP MC 2019-013 • PNP MC 2014-020

8 Operation

8.1 Operational Planning and Control

• Letter of Instructions • Internal Quality Plan

(IQA) Plan • Planning • Memorandum Circulars • Operational Guidelines • Command Memorandum

Circulars • Administrative and

Operations Manual • Recruitment Plan • Audit Plan • Maintenance Plan

8.2 Requirements Related to Products and Services

• Letter of Instructions (LOIs)

• MESF Handbook • Memorandum Circulars


Circulars (CMCs)

of 25

• Standard Operating Procedures (SOPs)

• Operational Guidelines 8.3 Design and Development • N/A

8.4 Externally Provided Products, Processes, Services

• Memorandum of Understanding (MOU)

• Memorandum of Agreement (MOA)

• Contracts

8.5 Production and Service Provision

• Administrative and Operations Manual (AOM)

• MESF Handbook • Police Operational

Procedures (POP) • Letter of Instructions

(LOIs) • Memorandum Circulars


Circulars (CMCs) • Standard Operating

Procedures (SOPs) • Operational Guidelines

8.6 Release of Products and Services

• Receipt Number • Equipment Number

8.7 Control of Nonconforming Outputs

• Administrative and Operations Manual

9 Performance Evaluation

9.1 Measurement, Analysis, Evaluation

• Individual Performance Evaluation Reports (IPER)

• Unit Performance Evaluation Reports (UPER)

• IPCR • After Activity Reports • Accomplishment Reports • Awards and

Commendations

9.2 Internal Audit • Audit Plan • CCAR • Actions Taken to

Customer Complaints of 25

• Operational Guidelines on Internal Audit

9.3 Management Review • Strategy Review • Operational Review • Command Conference • Staff Conference

10 Improvement

10.1 General Improvement

• Customer Satisfaction Survey

• Command Conference • Staff Conference • Correctives Actions • Internal Quality Audit

10.2 Nonconformity and Corrective Action

• Internal Audit • CCAR

10.3 Continual Improvement

• Strategy Operations Review

• Technical Working Group • Internal Audit • Customer Satisfaction • Individual Performance

Evaluation Report • Unit Performance

Evaluation Report • IPCR

of 25

II'

Republic the Philippines NATIONAL POLICE COMMISSION

NATIONAL HEADQUARTERS, PHIUPPINE NATIONAL POLICE OFFICE OF THE DEPUTY CHIEF, PNP FOR OPERATIONS

Camp BGen Rafael T Creme Quezon City

MEMORANDUM

TO : See Distribution

FROM : TDCO

SUBJECT: Operational Guidelines re Novel Coronavirus (2019-nCoV) Outbreak

DATE : January 30, 2020

1. References: a Command Guidance; b. Memorandum from TDO with subject: Activation of DIMTG for Corona

Virus dated January 27, 2020; c. Memorandum from TDO with subject: Coordination with DOH Regional

Offices for Assistance on Contact Tracing, Quarantine, and Security of Transfer of 2019-nCoV Patients;

d. PNP Memorandum Circular No. 058-2019 "Revised Critical Incident Management Operational Procedure dated October 11, 2019";

e. Enhance Managing Police Operations 2018; t NDRRMC National Disaster Response Plan (NDRP) 2017 consequence

management on CBRNE related incident; g. PNP MC No. 2014-034 "Emerging and Reemerging Infectious Disease

dated September 3, 2014"; h. Revised PNP Operational Procedures Manual dated December 2013;

and L National Crisis Management Core Manual 2012.

2. This pertains to the Novel Coronavirus (2019-nCoV) outbreak in China that spread worldwide. The virus has shown evidence of human-to-human transmission, and its transmission rate appeared to escalate with several countries across Europe, North America and the Asia Pacific reporting cases.

3. As of 30 January 2020, 170 reported dead and approximately 7,911 cases have been confirmed in China and epidemiological studies estimate that a larger number of people may have been infected. The Philippines has confirmed the first case of the 2019-nCoV in the country, a 38-year-old Chinese woman, who arrived in the country from Wuhan on January 21, 2020 and tested positive for the 2019-nCoV. Additionally, 29 Patients Under Investigation (PU1) have been in different hospitals across the country.

Page 1 of 8

4. In this regard, the PNP shall assist in the conduct of contact tracing and quarantine of persons or communities, secure the transfer of patients to the appropriate health facilities, security and the well-being of personnel and responders, essential needs and supplies, medical equipment and critical infrastructures such as banks, electricity and water utility services in cooperation and collaboration with the concerned agencies and stakeholders.

5. As such, concerned offices/units shall undertake necessary activities/operations such as, but not limited to the following:

a. DO 1) Act as OPR in the implementation of this operational guidelines;

2) Supervise, monitor, coordinate and communicate law and order response operations and prepare reports for information of the Command Group and concerned offices/units;

3) Undertake the necessary preparation and coordination with concerned government agencies and health sectors;

4) Designate focal person to attend inter-agencies coordinating meeting; and

5) Activate Reactionary Standby Support Force (RSSF) from NHQ and PROs ready for deployment upon order.

b. DPRM

1) Organize Reactionary Standby Support Force (RSSF) ready for deployment upon order and ensure availability of reserve force;

2) Issue order for personnel with CBRNE related training to composed the RSSF contingent;

3) Initiate the filing of administrative charges against personnel who will not comply with this directive, in coordination with the DIDM;

4) Designate checkers in-charge of personnel accounting in the NHQ;

5) Conduct accounting of RSSF personnel and submit actual number to DO and list of personnel who were marked absent shall be submitted to DIDM for pre-charge investigation;

6) Turn-over RSSF contingents to DO for utilization and deployment upon order;

7) Deactivate RSSF upon orders and deployment will be extended as the need arises; and

Page 2 of 8

8) Designate Third Level PCO from PHAU to render duty at PCC and assist the CIMAT CAPTAIN.

c. DI 1) Conduct assessment on the law and order situation in the infected

areas for preparation and contingency planning;

2) Conduct assessment on the risk of spread in the infected communitiesand disseminate information for action planning;

3) Provide timely information on criminality, terrorism, and public safety;

4) Conduct profiling of PUI for strategic planning;and

5) Monitor and supervise Cl operations.

d. DIDM

1) Monitor and supervise investigation of cases giving priority to areas infected by the outbreak; and

2) Monitor cases on violation of law and order during the outbreak.

e. DPCR

1) Mobilize force multipliers and community-based volunteers, individuals and groups to support the PNP operations (medical, psychosocial, transport, and others);

2) Designate PCO focal person to attend inter-agency coordinating meeting in collaboration with PSD, DO;

3) Coordinate the participation and cooperation of LGUs, and other National Government Agencies and Non-Government Organizations to support the PNP response operations;

4) Coordinate, mobilize, and deploy volunteer radio groups to assist the PNP tasked units; and

5) Develop Information Operation Plan (10) and Strategic Communication (STRATCOM) Plan that will support this Operational Guidelines.

f. DL

1) OPR in the procurement of the PPEs to be utilized by personnel in the response operations;

2) Provide logistics and POL to tasked offices/units;

Page 3 of 8

3) Provide mobility vehicle to be utilized for deployment; and

4) Ensure adequate and service-ready mission essential equipment for the tasked offices/units.

g. DICTM

1) Direct CES to establish emergency telecommunications at the FCC; and

2) Direct ITMS to Augment IT personnel in the Operations Centers.

h. DC - Provide additional funds to tasked offices/units.

I. DIPOs

1) Act as supervisors of PROs in the implementation of this Operational Guidelines in their respective AORs;

2) Ensure that all PROs have activated their respective RSSF, CIMAT, Red Teams and Staging Areas;

3) Recommend deployment of PNP Mobile Force (PMFs) to augment LEO and other security and response activities in strategic areas; and

4) Monitor and manage critical and significant incidents in AOR.

j. Other D-Staffs - Provide operational and administrative support to tasked units.

k. PCC

1) Consolidate reports of PROs/NSUs for the information of the Command Group and concerned offices/unit; and

2) Disseminate information to all concerned offices/units of any additional instructions and directives from the President, SILG, Command Group, and TDO.

I. CSG - Mobilize private security providers to act as force multipliers.

m. HPG

1) Deploy Road Safety Marshals in major thoroughfares to prevent Traffic Gridlock in coordination with the concerned agencies;

2) Provide motorcycle riders to escort transport of PUls to avoid delay and virus spread upon request;

Page 4 of 8

3) Provide timely information to the PCC on the condition of roads and bridges for widest dissemination;

4) Identify accessible major thoroughfares in collaboration with the concerned agencies to ensure easier and smooth delivery of supplies and equipment; for responder and infected persons;

5) Establish motorist security assistance/hub at strategic locations along major thoroughfares heading to the infected areas.

n. IG - Conduct counter-intelligence operations and submit immediate reports for widest dissemination and information.

o. MG

1) Ensure protection of personnel on wearing of PPEs;

2) Coordinate with BOO and assist in the security, isolation and control of quarantine areas;

3) Establish PADs in seaports and assist the Bureau of Quarantine (BOO) in the interdiction of passengers; and

4) Submit situation report to the PCC.

p. AVSEG

1) Ensure protection of personnel on wearing of PPEs;

2) Establish PADs in airports and assist the Bureau of Quarantine (B0Q) in the interdiction of passengers;

3) Coordinate with BOQ and assist in the security, isolation and control of quarantine areas;

4) Undertake appropriate security measures in airports incoordination with concerned agencies and entities;

5) Coordinate with BID for passenger manifest to be utilized for contact tracing; and

6) Report airport situation to the PCC.

q. CES

1) Ensure the inter-operability of communication equipment with other agencies; and

2) Provide technical assistance to tasked units during emergency.

Page S of 8

r. HS

1) D, HS act as Vice Chairman of the Committee on Virus Outbreak;

2) DD,HS designated as CIMAT CAPTAIN;

3) Designate PCO as focal person to attend inter-agency coordinating meeting in collaboration with PSD, DO;

4) Provide secretariat to assist the CIMAT CAPTAIN;

5) Provide medical contingent with ambulance to check medical condition/fitness of personnel performing security and response operations in the affected areas; and

6) Deploy CBRNE personnel in coordination with DO.

s. CL

1) Deploy CBRNE personnel in coordination with DO; and

2) Conduct SOCO and technical assistance to tasked offices/units.

t. SAF - Augment unit in affected areas to assist security and response operations.

u. E0D/K9 Group

1) Monitor the outbreak for possible CBRNE response operations;

2) Closely coordinate with PROs, HPG, MG, and AVSEG on the deployment of CBRNE team/units; and

3) Relay all outbreak-related information to the PCC.

v. CIDG

1) Provide Investigation Teams to support PROs and other NOSUs; and

2) Assist Police Stations in the investigation on the virus outbreak.

w. LSS

1) Provide appropriate vehicles to be utilized by RSSF personnel; and

2) Provide marked vehicles to be utilized by the Committee and staff with gas provisions.

Page 6 of 8

x. PCADG

1) Mobilize force multipliers and community-based volunteers, individuals and groups to support the PNP operations (medical, psychosocial, transport, and others);

2) Mobilize radio groups and motorist assistance and inform the public of their deployment and hotlines; and

3) Conduct IEC and distribute flyers.

y. PROs

1) Coordinate with DOH Regional Offices for Assistance on contact tracing, quarantine, security and response operations;

2) Coordinate with BOQ and assist in the security, isolation and control of quarantine areas;

3) Activate CIMTG,RSSF,SAR and QRT to support security and response operations;

4) Establish Staging Areas in strategic places to accommodate responders, such as: fire trucks, ERT, QRT, ambulance, motorcycle escorts, and other vehicles responding to outbreaks;

5) Foreign nationals affected shall be reported immediately for information of their respective embassies;

6) Ensure that all established checkpoints shall comply with the guidelines provided in the Revised PNP Operational Procedures;

7) Conduct inspection on the deployment of personnel to ensure their presence and alertness in their respective areas of responsibilities; and

8) Submit accomplishment and situation updates to the PCC at email address: [email protected] and at telefax numbers (02) 7248749/7220540 or SMS platform at 09178165474/09985357224 and copy furnish PSD, DO at email address: [email protected].

7. Coordinating Instructions:

a. Implement the PNP Enhanced Managing Police Operations (E-MPO) Strategy to address the safety and security in respective areas;

b. Security tips and measures, public safety services, and security preparations shall be made known to the public through quad media;

c. Maintain unit and individual security at all times;

Page 7 of 8

d. Gender sensitivity and human rights shall be observed in all undertakings;

e. All augmentation of personnel deployed atinfected areas must be equipped with appropriate PPEsto ensure safety and security;

f. PNP ICS concept of operations shall be observed and Incident Command Post shall be designated accordingly;

g. PNP Operational Procedures and other applicable SOPs shall be strictly observed at all times;

h. All tasked units shall submit IMPLAN to DO (Attn: PSD) at email address: [email protected] NLT February 5, 2020; and

i. Lateral and vertical coordination is highly encouraged.

8. For guidance and strict compliance.

T ELEAZAR GUILLERM Police Lieute Ge -ral

Distribution: D-Staff P-Staff D, NSUs RD, PROs

C, PIO

Copy Furnished: Command Group SPA to SILG

Page 8 of 8

Republic of the Philippines NATIONAL POLICE COMMISSION

NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE DIRECTORATE FOR OPERATIONS

Camp BGen Rafael T Crame, Quezon City

MEMORANDUM

FOR TDO

THRU DDO

Ex-0

FROM • AC, PSD/QMR

SUBJECT Revised Operating Guidelines on Internal Quality Audit

DATE : February 8, 2021

1. References: a. Conference Notice from DPL dated February 8, 2021; and

b. Schedule of the Third Party Audit on February 15, 2021, March 2 and 17, 2021.

2. This pertains to the revised Operating Guidelines on Internal Quality Audit based on the recommendation of Ms. Clarisse Dalawis, DAP Assessor during the Readiness Assessment conducted on January 7 and 8, 2021.

3. In this regard, request approval and signature on the attached revised OG on Internal Quality Audit.

GEt#11°2LUBAL Poli Lieutenant Colonel




Revised 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 products and services being offered.

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

2. PURPOSE:

To establish guidelines and procedures in the conduct of internal quality audits to verify whether quality activities and related results conform to the standards set forth by the PNP 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 Operating Guidelines (OG) applies to all PNP units — Internal Auditors in the conduct of Internal Quality Audit. This OG provides guidelines for the planning, execution, reporting and follow-up procedures that should be undertaken by the internal auditors.

4. DEFINITION OF TERMS:

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

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

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

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

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

f. Audit Findings — results of the evaluation of the collected audit evidence against audit criteria. The Audit Findings may be categorized as Commendable Findings, Opportunities for Improvement, and Nonconformity.

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

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

i. Audit Plan — states how to conduct a particular audit. It describes the activities to be carried out to achieve the audit objectives.

j. Audit Scope — refers to the extent and boundaries of an audit.

k. 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.

m. Audit Program — is a set of arrangements intended to achieve a specific audit purpose within a specific time frame. It includes all the activities and resources needed to plan, organize, and conduct one or more audits.

n. Conformity — the fulfilment of a requirement.

o. Correction — refers to action taken to eliminate the detected nonconformity.

P. Corrective Action — refers to action taken to eliminate the cause/s of the detected conformity to prevent recurrence or recurrence elsewhere.

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

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

s. Internal Quality Audit Head — is responsible for the supervision, review, and approval of IQA activities. The Executive Officer, DO is designated as the IQA Head.

t. Non-conformity (NC) — refers to non-fulfilment of a requirement.

u. Opportunity for Improvement (OH) — refers to the recommendation for further enhancement of the QMS.

v. Top Management — refers to the PNP Command Group and the Head of the Directorial Staff.

5. POLICIES:

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

a. Internal Quality Audit (IQA) shall be conducted at planned intervals to provide information on whether the DO 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 consideration the status and importance of the DO 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.

f. After every internal audit cycle, the IQA Head reviews the reports and, if required, holds a debriefing session for auditors to provide feedback and tips on improving the audit process.

g. This audit procedure is reviewed for its effectiveness and revised if needed.

3

6. PROCEDURES:

a. Prepare the Audit Program

1) The IQA of the DO QMS shall be conducted at least once a year.

2) The IQA Head prepares an Internal Quality Audit Program for the following year and submits to the Top Management for review and approval (IQA Form 1— IQA Audit Program Form).

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

b. Manage the Auditor Pool

1) The DO shall compose a pool of Internal Quality Auditors originating from different Divisions of DO through an Office 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 auditor's performance to provide feedback and tips on improving the audit process of the auditors. A filled-up Auditors Performance Evaluation Form (filled out by IQA Head and Audit Team Leader) and IQA Form 3 - Auditors Feedback Form (filled out by Auditee) shall be the basis of this evaluation.

5) Through the IQA Head's evaluation, the selection of the Audit Team shall be determined on who will conduct the next series of IQA for the succeeding year. The Audit Team member may be put in active or in inactive mode as auditors, considering their availability, place of unit assignment, and workload.

6) Internal Auditors must also have knowledge on the following:

a) Auditing concepts;

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

4

C) Auditing Management Systems based on ISO 19011 Standard; and

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

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

d.3) Evaluating audit evidence against criteria; and

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

c. Plan for Audits

1) Planning the Audit

a) The IQA Team Leader prepares Audit Plan which details specific audit objectives, areas, process to be audited, date and duration of the audit (IQA Form 4— Audit Plan Form).

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

2) Develop the Audit Checklist

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 (IQA Form 5— 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) Corresponding and information;

b.7) Unit Scorecard and UCPER; and

5

3) Conduct Audits

a) Conduct of the Internal Quality Audit

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

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

a.2.1) Observation and inquiry;

a.2.2) Analysis and review;

a.2.3) Inspection; and

a.2.4) Confirmation.

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

b) Documentation of Internal Quality Audit Findings

b.1) The Audit Team prepares and issues to the auditee the Audit Findings Report and the Correction and Corrective Action Report (CCAR) Form, for any nonconformities, within seven (7) working days after the audit (IQA Form 7 — CCAR Form). These details the audit work accomplished to perform each step of the Audit Itinerary. Conclusions and results are supported by audit evidence (IQA Form 6 — 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 fourteen (14) working days after receipt. Issuance, verifications, and closure of these shall be consistent with the Corrective Action Procedure.

c) Reporting of IQA results to Top Management

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

c.2) The Audit Report shall include a graphical analysis of the audit findings by area/department, clauses, and recurrence for easy representation of the Top Management.

6

c.3) The IQA Head reviews and approves the Final Audit Report before issuance to the auditee.

c.4) The IQA Head reports the results of the IQA to the Top Management for review.

d) Conduct of Follow-Up Audit (Verification of Effectiveness of Action/s Taken on the Audit Results)

d.1) The Audit Team shall verify the effectiveness of corrections for the OFIs and corrective actions for the nonconformities at least two (2) consecutive verification audits to be scheduled every three months or as deemed necessary, after the conduct of the IQA.

d.2) If the corrective actions are verified to be effective, the CCAR will be marked as "Closed" under the Section 3 — Remarks Portion of the CCAR form. If ineffective, the auditee shall conduct another analysis and revise the corrective action as necessary.

d.3) The Audit Team shall also verify if there is a recurrence or occurrence of the NC elsewhere, check the updated Risk and Opportunity Register, and if there are changes in the QMS by filling out the Section 4 of the CCAR Form.

d.4) The Audit Team shall prepare the Verification of Effectiveness Report (IQA Form 8 — Verification of Effectiveness) including the following documents:

d.4.1) Audit plan;

d.4.2) Filled out CCAR (Section 1, 2, 3, and 4);

d.4.3) Corrective Action Plan; and

d.4.4) Audit follow-up reports, if applicable

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

d. Auditing the Auditors

1) Conduct of Audit for IQA a) The audit shall be conducted by the Team Leader using the Audit

Checklist for IQA.

b) The conduct of the audit for IQA shall be conducted at least once a year and at least a quarter after the whole IQA activity was conducted.

C) The audit shall also check if the auditors have reviewed the effectiveness of any corrective action taken, the updated risk and opportunity register, and changes in the quality management system, if necessary.

2) Documentation of Audit Findings a) The Audit Team Leader shall prepare an Audit Findings Report and

the Correction and Corrective Action Report (CCAR) Form, for any nonconformities, within seven days after the audit, for the information of the audit team and the IQA Head.

b) The same process shall be applied if the audit team is given an NC.

7. RESPONSIBILITIES:

a. IQA Head

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

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

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

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

5) Ensure that this OG being implemented and maintained.

b. Audit Team leader

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

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

3) Assist auditors in preparing audit reports;

4) Finalize the Teams' Audit Findings Report 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.

8

c. Audit Team Members

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

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

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

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

5) Verify the accuracy of the collected information;

6) Maintain security and confidentiality of records;

7) Collate all evidence gathered during the IQA;

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

9) Prepare audit findings report; and

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

d. Auditees

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

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

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

e. Top Management

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

Prepared by:

Reviewed by:

FRANC SIMBORIO Police Br adier General Ex-0 Date signed: S PtiO

RONALD E cLAY Police Bri adier General DDO Date signed: g Pt') czo.zi

9

Approved by:

ALFRED S tORPUS Police Major General TDO Date signed: lb Dra 9117f

Attachments: IQA Form 1 - IQA Audit Program Form IQA Form 2 - Auditors Performance Evaluation Form IQA Form 3 - Auditors Feedback Form IQA Form 4 - Audit Plan Form IQA Form 5 - Audit Checklist Form IQA Form 6 - Audit Findings Report IQA Form 7 - CCAR IQA Form 8 - Verification of Effectiveness Report

10

AUDIT TEAM AUDITEE PROCESS TO BE AUDITED

ANNUAL AUDIT PROGRAM 2020 AUDIT MONTH

tr Z

5) Li § V) Oz

Resources Needed: (to be provided by auditee) a. Meeting Room for the internal assessment of auditors b. Audit Goal to accompany the auditors during the entire audit c. Projector for the Entrance and Exit Briefing d. Meals

Budgetary Requirement: (to be provided by auditee) As required in the resources

LEGEND: • Internal Quality Audit • Follow-Up Audit (Verification of Effectiveness of Actions Taken)

NOTE: The Audit Team may conduct follow-up audit three months after completion of CCAR or every quarter thereafter, or as deemed necessary, to evaluate the effectiveness of the corrective actions based on the audit results.



Camp BGen Rafael T Creme, Quezon City

IQA Form 1 Ver 2 CV 2020

Date:

Prepared by: Approved by:

IQA TEAM LEADER Ex-0, DO/IQA HEAD

IQA Form 2 Ver 2 CY 2020




AUDITORS PERFORM/WE EVALUATION To be filled up by IQA Head and Audit Team Leaders ( IQA Head shall evaluate Audit Team Leaders and Audit Team Leader shall evaluate Audit Team Members)

CRITERIA NAME OF

AUDITOR 1: NAME OF NAME OF

AUDITOR 2: AUDITOR 3: NAME OF

AUDITOR 4:

1 Planning (30) t

Conform with the Audit Program/Plan

1

-I

Sufficient documents review and preparation

Timeliness in submitting checklist

Audit Proper (40) Knowledge on Systems, Processes and Procedures

Adequate Interview

Implement Audit techniques

Present in all audit meetings

Reporting (30)

Accurate and fair statements of Audit Findings Timeliness in preparation of Audit Report and CCAR Timeliness in evaluating effectiveness of actions stated in the CCAR Form

OVERALL RESULT

Rating Scale: Below 75% - Needs Improvement

81-90% - Very Satisfactory

&6-80% - Satisfactory

91-100% - Excellent Performance

Evaluated by: Date: Signature over printed name

Designation

Page 1 of 1


Republic of the Philippines FOR,

NATIONAL POLICE COMMISSION NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE

DIRECTORATE FOR OPERATIONS Camp BGen Rafael T Crame, Quezon City •Ppap

AUDITORS FEEDBACK FORM To be filled up by Auditee. This form is intended to provide general feedback on the execution and communication of the Audit Team in the conduct of actual audit in the Office/Unit. The information received will be used to assess the performance of Internal Auditors for their further development as auditors.

Please evaluate our auditors by tickling one of the boxes 1-3 in terms of: 3 — Satisfactory; 2 — Acceptable; 1 - Poor

CRITERIA Name of

Auditor 1: Name of

Auditor 2: Name of

Auditor 3: Name of

Auditor 4:

Before the Audit (25) 25% 25% 25% 25% Were you properly informed about the notice for the dates of audit ahead of time? Were you given a chance to submit appropriate documents in advance prior to the conduct of audit? Were you given appropriate time to prepare for the audit? Were you provided with an Audit Itinerary prior to the Entrance briefing? Was the purpose of the audit ---1 and the auditing process explained to you? SUB-TOTAL

During the Audit (25) 25% 25% 25% 25% Were you satisfied with the amount of time allocated for the audit? Were the questions clear, easy to understand, and in logical manner? Were you provided with explanations by the auditors of their observations? Were you provided sufficient opportunity to comment on the auditors' observation? Were you given a summary the observation after every areas audited?

of

SUB-TOTAL

Page 2 of 2


CRITERIA

Name of Auditor 1:

25%

Name of Auditor 2:

25%

Name of Auditor 3:

25%

Name of Auditor 4:

25% After the Audit (25) Was a list of items for discussion provided to you at the Exit Briefing? Was the preparation and issuance of Audit Findings timely? Does the Audit Team members provide accurate and fair statements of Audit Findings? Were you provided enough opportunity to clarify and comment on audit findings? Were you informed about how to respond to the audit and you can query audit observations?

how

SUB-TOTAL

The Auditors (25) 25% 25% 25% 25% Were the auditors courteous and professional? Were the auditors showed willingness to listen and understand your QMS? Were the auditors showed consideration on time management and document submission throughout the audit? Were the auditors performed audit methods such as but not limited to inquiry, analysis, inspection, document review, etc.? Do you consider that the auditors demonstrated a sound understanding of your QMS? SUB-TOTAL

Auditor 1

Auditor 2

Auditor 3

Auditor 4

OVERALL RESULT

Evaluated by: Date: Signature over printed name

Page 2 of 2

TIME ACTIVITY STANDAR CHAPTE

MU AUDITEE AUDITORS

AUDIT ACTIVITIES

EDATE





Date:

AUDIT PLAN FOR Objective Scope Criteria/Applicable Standard Type Of Audit Auditee Head of Office/Unit Audit Team Members:

Prepared by: Approved by:

Audit Team Leader Ex-0, DO/IQA Head

Page 1 of 1

10A Form 5 Ver 2 CV 2020



Camp BGen Rafael T Creme, Quezon City

Use Audit Checklist Guide to organize the set of criteria to be audited to determine their extent of conformance. This form is to be used during the actual interview with the auditee to note down the objective evidence that supports or

contradicts the established criteria. The final and official statements necessary to establish conformity or nonconformity must be recorded on the Audit Findings Report.

Criteria to be Checked (what must be happening)

Define the requirements that must be satisfied (Le. customer, regulatory, process, international standard requirements)

Observed Evidence (what is actually happening)

Describe your observations on the extent of conformance with the specified requirement)

What is the mandate/function of this unit? (4, 5, 7.5 - Laws, rules and other statutory requirement) What was the motivation of the unit for implementing ISO 9001 Quality Management System? (5.1-Leadership and commitment) What are the unit's objective to achieve or bottom line objectives? How is it cascaded down the line? How do you measure up against those objective? - resources, personnel, timeline, evaluation (6.2-Policies and Objectives/Scorecard, 7.4-Communication) How do you ensure that you target objectives are being met? What will you do if the targets are not met? (6.2, 7.5, 5, 9.3.3, 10.2- Meeting, Performance evaluation, Conduct of Strategic Review, Scorecard, projects and initiatives, Customer Survey, Cascading, AAR and Accomplishment Report, Corrective Action) How do you ensure that the PNP QMS are being implemented and maintained? (4.3, 7.5 , 5.1.2, 5.2 - After Activity Report and Accomplishment Report, Quality Policy Statement, QMS Scope) What methods do you use in monitoring and evaluating processes in terms of implementing QMS and, if needed what changes are made to achieve your objectives? (6.3, 7.5 , 5.1.2, 9.1,9.3 - Performance evaluation, scorecard, dashboard, IPER/UPER, AAR, Strategy Review/Management Review) How do you ensure that the Quality Policy is communicated and understood by internal and external stakeholders? (5.2 — Quality Policy, AAR) Aside from those mentioned, what are the other communication channels established in your office? (7.4- Communication Flow) How do you ensure that there are adequate resources to support the operation? (7.1-AOPB/Inventory) How do you promote client requirement awareness throughout the organization? (5.1.2-Citizens Charter, Unit Core Process Guidelines)

IQA Form 5

Ver 2 CY 2020







Define the requirements that must be satisfied (i.e. customer, regulatory, process, international standard requirements)



RESOURCES Who are responsible in process? (MAN -7.1, 5.3 - Table of Descriptions, AOM)

the implementation of the core

Organization, Office, Job

How do you ensure that the personnel involved in the core process are informed on their jobs? (MAN-5.3, 7.1.6, 7.2 -Job Description, Training Profile, AOM) What training or other qualifications are required for work assignments in this process? _MAN-5.3, 7.3 - Training Profile, MTAP, AOM)

Is there a process for defining and allocating resources? Please elaborate (MACHINE-7.1.3 - Procurement Process) What resources do you assignments?

a. Facilities/equipment b. Materials c. Information

(MACHINE-7.1.3 — AOPB, Resources)

have to perform your daily work

Inventory of IT and Non IT

Who maintains resources in this area? (MACHINE-5.3 - Job Order) How do you maintain your resources? (MACHINE-8.4 — Maintenance Program of IT and Non IT Resources) What procedures, flow charts, instructions or other documents are used to guide work performed in the core process? (METHOD-7 5- Core process Guidelines) How do you ensure that your environment is suitable for your work process? (ENVIRONMENT-7.1.4 - Quality Workplace Standard) How do you evaluate your quality workplace? (ENVIRONMENT-7.1.4- Quality Workplace Standard) PLANNING What document do you use to identify the internal and external issues with regard to your core process? (4.1, 4.2- SWOT Analysis, Issues Log) How do you identify the needs and expectations of your interested party? (4.2 Stakeholder Analysis)


What are the key objectives for the function/process? (6.2, 8.1 - Scorecard) How do you manage the risks and opportunities in the implementation of the OD Process? (6.1 — Risks and Opportunities Register) Are objectives, targets and programs/activities defined?(8.1 — Scorecard, Work Plan) What is your basis for setting the target? (9.1 Monitoring and Evaluation Mechanism, Scorecard) Do they relate to organization's Quality Policy? (5.2 Quality Policy, Scorecard)

Do they relate to legal requirements, if any? (8.1 Quality Policy, Scorecard)

How are customer requirements determined? (7.4, 8.2.1 Communication/Customer Communication) What are communication arrangements with customer'? (7.4, 8.2.1 Communication/Customer Communication) PROCESS What activities and methods your desired output for )

do you used to achieve your core process? (7.5, 8.5.1, 8.3

What are the needed inputs to start the core process? What happens if the inputs lacks necessary requirement? (8.3.3)

What statutory requirements or any legal standards do you consider when you begin the core process? (8.3.3) Have you experienced any problems in starting the core process? If yes, how do you cope up with it? (8.3.3, 8.3.4)

How do you ensure that a PNP office/unit meet guideline? How do you

the design and development of the requirements based on your validate this? (8.3.4)

How do you ensure that the design and development of a PNP office/unit outputs meet the input requirements? (8.3.4, 8.3.5) How do you release and monitor your outputs? (8.3.5, 8.6)

How do you document development of a PNP

changes in the design and office/unit? (8.3.6)

Are there any plans, procedures, SOPs, etc. documented? Please show me (7.5, 8.5.1 Other Guidelines)

How do you ensure that process and operating criteria are defined? (7.5, 8.5.1 Controls, Issuance of FE0 Permits and Licenses Guidelines)

What measures are available to demonstrate achievement of objectives? (9.1 Scorecard)

What evidence is available to demonstrate achievement of objectives? (9.1 accomplished Scorecard)

What evidence is available to demonstrate continual improvement for the function/process? (10.3) What adjustments were done in cases where client's needs/requirements are not met? (8.2.1)





, .







HUMAN RESOURCE MANAGEMENT How many personnel are authorized in processing of your process? (7.1, 7.5-Office Order, Staffing Pattern, Organizational Structure) What are the trainings and competencies needed to be assigned for this process? (7.1, 7.2, 7.3, 7.5Standard Training Package, Training Program, AOPB) Are training documents monitored maintained? Documented Information, policy, NAP Guidelines)

of personnel being kept, (7.1, 7.2, 7.3, 7.5 -SOP on

records management

How do you check the effectiveness of personnel? (7.1, 7.2, 7.3, 7.5, 8.5.5, 9.1.2 - Individual Scorecard, IPER, Customer Feedback) IT AND NON-IT MANAGEMENT Is there a process for defining and allocating resources? Please elaborate (7.1.3 — Procurement Process) What resources do you work assignments?

d. Facilities/equipment e. Materials f. Information

(7.1.3 — AOPB, Inventory Resources)

have to perform your daily

of IT and Non IT

Who maintains resources (5.3 — Job Order)

in this area?

How do you maintain your IT)? (MACHINE-8.4 — Maintenance Non IT Resources)

resources (IT and Non-

Program of IT and

Where do you keep unserviceable equipment and how do you dispose it? (7.1.3, 7.5, 7.1.4-Quality Workplace Standard Policy, SOP on Disposing Unserviceable equipment) Are all inventory policies and regulations properly implemented and documented? (7.1.3, 7.5, 7.1.4, 7.1 7.2, 7.3 -Quality Workplace Standard Policy, SOP on


Disposing Unserviceable equipment, Records Management, maintenance schedule, inspection and inventory checklist) QUALITY WORK PLACE Do you have a guideline to ensure a quality workplace in your Office? Please show me (7.5., 7.1.4, 8.4-Quality Workplace Standard Policy, maintenance schedule) How do you evaluate and workplace? (7.5,7.1.4, maintenance schedule)

maintain your quality 8.4-Evaluation of QVVS,

For observations and inquiries: (7.1 .3. 7.1.4) • Stairwells adequately lit, steps, treads are in

good condition; • Routes, signs and doors are clearly marked,

exit signs are easy to see; • Floors are clean, dry, free from debris, clutter

and trip hazards; • Adequacy of lighting levels for work areas; • Materials are neatly and safely stored; • Storage shelves, filing cabinets (with labels

and without unnecessary objects); • Extension cords are secured and in good

condition (no exposed wires and bent prongs);

• Fire extinguishers are easy to see and in good condition; and,

• Room temperature

10A Form 5 Ver 2 CY 2020




AUDIT CHECKLIST FOR INTERNAL QUALITY AUDIT PROCESS Use Audit Checklist Guide to organize the set of criteria to be audited to determine their extent of conformance. This form is to be used during the actual interview with the auditee to note down the objective evidence that supports or contradicts

the established criteria. The final and official statements necessary to establish conformity or nonconformity must be recorded on the Audit Findings Report.





Who are the auditors that conducted the IQA? Do they have trainings on auditing QMS? (9.2.a, 9.2.c — Letter Order. Training Certificates)

Are internal audits being conducted at planned intervals? (9.2.1 - Review records)

How do the auditors plan the conduct of audit? (9.2.a — Audit Plan, Audit Itinerary, Audit Notice)

What are the criteria do the auditors used in conducting the audit? How did you conduct the audit? (9.2.b — Audit Checklist)

How did the auditors report the results of the audit to relevant management? (9.2.d — Audit Findings Report, After Activity Reports)

How did the auditors monitor the effectiveness of the actions taken by the auditee? Did the auditor determine whether the NCs occur elsewhere? Is there a need for changes in the QMS (9.2.e, 10.2 — Accomplished CCAR, Verification of Effectiveness)

What guidelines did you use in the conduct of IQA? (9.2.2 — PNP QMS Document, Supplemental Guidelines)

After the audit, does the auditee updated their risks and opportunities? (10.2.1.e — Risks and Opportunities Register)

Were the auditors assessed by the auditee and IQA Head? (Internal Quality Audit OG)

IQA Form 6

Ver 2 CY 2020 Republic of the Philippines

National Police Commission NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE

DIRECTORATE FOR OPERATIONS Camp BGen Rafael T Crame, Quezon City

Date:

AUDIT FINDINGS REPORT

Area: Audit Scope: Date: Audit Team: udit Type:

I. Findin s:

No.

Area/Process

No. Area/P

Area/Process

Graphical Representation for Audit Findings

Page 3 of 3

1

No.

of R

atin

gs


• Commendable Finding

III Opportunity for Improvement

0 NonConformity

0 Clause 4 Clasue 5 Clasue 6 Clause 7 Clause 8 Clause 9 Clause 10

ISO Standard Clause

Chapter of Standard 4.1 4.2 4.3 4.4 5.1 5.2 5.3 6.1 6.2 6.3 Rating* Chapter of Standard 7.1 7.2 7.3 7.4 7.5 8.1 8.2 8.3 8.4 8.5 8.6 8.7 Rating* Chapter of Standard 9.1 9.2 9.3 10.1 10.2 10.2 Rating*

*Rating: C= Commendable OFI= Opportunities for Improvement NC = NonConformity

II. Analysis (Brief description of audit findings. You may input the auditee's documentation and management system implementation)

Scone of Certification Scope of Certification: ISO 9001:2015 Standard Requirements which are not applicable: Reasons for Non-Applicability

IV. Recommendation

O Maintenance of the existing certification

Inclusion of the recommendations (see Section I) in the management system

Schedule next verification of effectiveness of action taken for OH and NC (if applicable on

Page 3 of 3


Prepared by: Reviewed by:

Audit Team Leader Ex-0, DO/10A Head

Acknowledged by:

Unit Head/Auditee

Page 3 of 3

Correction:

Section 2 - Necessary Action(s) (To be accomplished by the Auditee/Process Owner within 7 working days)

Target Completion/Implementation Date:

Auditor/ Initiator: Issued to:

Date: References: (manuals, procedures, policies, CCAR Number: ISO clauses, etc)

1 Initiator:

1 Office: Details: (as a result of)

0 Internal Quality Audit D Operation Ig Other (pls. specify) Issued by: I: Issued to:

, ,

t (Name of Office/Unit Head) (Name of IQA Team Leader) Description of the Nonconformity:

Acknowledge by: Signature over Printed Name

Root Cause Analysis (please attach RCA Diagram):

Corrective Action(s) (please attach Corrective Action Plan):

Approved by: Target Completion Date: Signature over Printed Name





Correction and Corrective Action Report

Section 1 - Details of Nonconformity (To be accomplished by the Auditor/Initiator)

Page 2 of 2

Section 3 - Verification of Effectiveness (To be accomplished by the Initiator)

Results of Action(s) Taken Remarks

Verified by: Verification Date: Signature over Printed Name

Acknowledged by: Next Verification Date: Si nature over Printed Name

Results of Action(s) Taken Remarks

Verified by: Verification Date: Signature over Printed Name

Acknowledged by: Next Verification Date: Signature over Printed Name

Changes in the QMS

O YES

O NO

Remarks: (state the details of the changes in the QMS, if there is any)

O YES

O NO Updating Risk and Opportunity Register

O YES

O NO

Remarks: (state the details of the updated Risk and Opportunity Registers, if there is any)


ection 4 - Changes in the QMS 1To be accomplished by the Initiator

Recurrence/Occurrence of NC Elsewhere Remarks: (state the details of recurrence/occurrence, if there is any)

Checked by: Date: Signature over Printed Name

Acknowledged by: Signature over Printed Name

Page 2 of 2


Republic of the Philippines National Police Commission



VON

Area:

Audit Scope: Date:

Graphical Representation for Opportunities for Improvementis (0F1s)

5

4

1

• IQA

IS CA1

IS CA2

Clause 4 Clasue 5 Clasue 6 Clause 7 Clause 8 Clause 9 Clause 10

ISO Standard Clause

Analysis:

1 -71111—Ftemarks (Complied/

LAO Complied No. Area/Process Opportunities for Improvement Status of Corrective

Action

Page 1 of 2

Audit Team Leader Ex-0, DPLJIQA Head

Area/Process

Prepared by:

rillargr Nonconformity Corrective

Recurre Occurrence Elsewhere

Risk/Opportunity inth

infoAs (Closed/For

F

Reviewed by:

IQA Form 8

Ver 2 CY 2020

Graphical Representation for Non Conformity/ies (NCs)

tt3 3 z

iii IQA .. 0

a 2 z

1

0 I I I i II i I

• CA1

at CA2

Clause 4 Clasue 5 Clasue 6 Clause 7 Clause 8 Clause 9 Clause 10

ISO Standard Clause

Analysis:

Acknowledged by:

Auditee

Page 1 of 2

Directorate for Operations (DO)

Documents

Transcript of Directorate for Operations (DO)