procedures and work instructions manual...procedures and work instructions manual 8 december 2016...

PHILIPPINE STATISTICS AUTHORITY

PROCEDURES AND WORK INSTRUCTIONS MANUAL

8 December 2016

Philippine Statistics Authority

Quality Management System

TABLE OF CONTENTS

1 MANAGEMENT REVIEW PROCEDURE 1.0 Purpose 2.0 Scope 3.0 Definition of Terms 4.0 Responsibility 5.0 Schedule and Agenda of the Management Review 6.0 Procedure 7.0 Records Management 8.0 Forms and Records 9.0 References

2 CONTROL OF DOCUMENTS 1.0 Purpose 2.0 Scope 3.0 References 4.0 Definition of Terms 5.0 Procedure Details 6.0 Attachments

3 CONTROL OF RECORDS 1.0 Purpose 2.0 Scope 3.0 References 4.0 Definition of Terms 5.0 Procedure Details 6.0 Attachments

4 INTERNAL QUALITY AUDIT 1.0 Purpose 2.0 Scope 3.0 References 4.0 Definition of Terms 5.0 Procedure 6.0 Attachments

5 STANDARD OPERATING PROCEDURE A Audit Engagement Planning 1.0 Purpose 2.0 Scope 3.0 References 4.0 Definition of Terms 5.0 Procedure Details 6.0 Attachments

Doc Ref No.: 16QMS

Effective Date: 8 Dec2016

Revision No.: 0

Page No.: 1of2

The online controlled copy of this document is maintained at the EasyDocs. Controlled hard copy is maintained by the Document Controller. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division, The user should secure the latest revision of this document from the Records Unit of the General Services Division. This document is UNCONTROLLED when downloaded in the EasyDocs and when it

Philippine Statistics Authority Doc Ref No.:

Quality Management System Effective Date:

Revision No.: TABLE OF CONTENTS

Page No.:

B. Audit Execution 1.0 Purpose 2.0 Scope 3.0 References 4.0 Definition of Terms 5.0 Procedure Details 6.0 Attachments

C. Audit Reporting 1.0 Purpose 2.0 Scope 3.0 References 4.0 Definition of Terms 5.0 Procedure Details 6.0 Attachments

D. Audit Follow-Through 1.0 Purpose 2.0 Scope 3.0 References 4.0 Definition of Terms 5.0 Procedure Details 6.0 Attachments

6 CONTROL OF NONCONFORMITY MATRIX A Process: Management B Process: Operations

B.1. Statistical Planning, Policy and Standards Development B.2 Statistical Coordination and Advocacy B.3 Statistical Operations B.4 Civil Registration

7 CONTROL OF NONCONFORMING OUTPUTS A Process: Support

Financial Management Legal Support Human Resource Management Research and Development Information Management Records Management Procurement Management Physical Resources Management

8 CORRECTIVE ACTION

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The online controlled copy of this document is maintained at the EasyDocs. Controlled hard copy is maintained by the Document Controller. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division, The user should secure the latest revision of this document from the Records Unit of the General Services Division. This document is UNCONTROLLED when downloaded in the EasyDocs and when it

Philippine Statistics Authority Doc Ref No.: 16QMSMR-1 ~ .

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1.0 Purpose

This Management Review Procedure aims to establish and maintain a documented procedure for the Review of the Quality Management System (QMS) of PSA. It shall define the process covering the conduct of Management Review to properly evaluate the implementation of the PSA QMS, through an analysis of various inputs for consideration of the PSA executive management team, to ensure the system's continuing suitability, adequacy and effectiveness as well as facilitate its continual improvement.

2.0 Scope

This procedure covers the analysis and evaluation of the implementation of the QMS of PSA relative to its various processes.

3.0 Definition of Terms

Executive Committee (ExeCom)

Management Review

OMS Leader

QMS Co-Leader

Management Review Minutes

Review Monitoring Sheet

The executive management team composed of the National Statistician and Civil Registrar General, Deputy National Statistician for Sectoral Statistics, Deputy National Statistician for Censuses and Technical Coordination, Deputy National Statistician for Civil Registration and Central Support Office

The evaluation of the PSA QMS implementation, particularly the cases of nonconformity that may affect efficiency of operations and require ExeCom decision which shall necessitate pertinent review of PSA policies, provision of resources and execution of internal controls. It is a meeting to assess the PSA QMS and introduce appropriate actions for continual improvement

Serves as the primary advocate of QMS implementation in PSA

Assists the QMS LEADER in advocating QMS implementation in PSA and who assumes the responsibilities of the QMS LEADER in the latter's absence

The accomplished form/documentation of the highlights of the Management Review, which shall be released to the concerned officials and staff for reference

The form used to monitor the status of implementation of action plans to address issues/concerns raised during the Management Review

The online controlled copy of this document is maintained at the EasyDocs. Controlled hard copy is maintained by the Document Controller. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division, The user should secure the latest revision of this document from the Records Unit of the General Services Division. This document is UNCONTROLLED when downloaded in the EasyDocs and when it does not have original "CONTROLLED COPY" stamp.

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4.0 Responsibility

4.1. The QMS LEADER, together with the QMS CO-LEADER, in coordination with the other QMST members, shall:

4.1.1. Facilitate agreement/decisions on matters that cannot be resolved by the QMS sub-committees;

4.1.2. Report to the ExeCom the status of the PSA OMS and make recommendations, specifically on issues/findings observed by the IQA team, that require ExeCom decision or guidance (i.e. , issues which will require change in policy, provision/allocation of resources, and those beyond the control/influence of the QMS LEADER); and,

4.1.3. Ensure that agreements reached during, and as a result of, the Management Review are properly coordinated and implemented.

4.2. The EXECOM shall conduct the Management Review in the form of a special meeting, to be attended by the QMST and concerned officials/staff, as necessary, specifically to discuss the status of QMS implementation, address related issues and recommend actions on pertinent organizational matters that could not be resolved by the QMST.

4.3. The QMST Secretariat shall prepare the pre-meeting Notice/Agenda as well as the post-meeting Minutes of the Management Review, circulate the same to the ExeCom, the QMST and other concerned officials and staff, and follow-through on the Management Review agreements.

4.4. The Regional Directors and Provincial Statistics Officers shall conduct the Management Review in the form of a special meeting within their respective RSSOs/PSOs, to be attended by the concerned officials/staff, as necessary, specifically to discuss the status of QMS implementation, address related issues and recommend actions on pertinent organizational matters that could not be resolved.

5.0 Schedule and Agenda of the Management Review The Management Review of the PSA QMS shall be held annually, or as necessary. The schedule of said Management Review shall be reflected in the PSA organizational calendar. The following shall be included in the agenda, as applicable:

a) Status and actions from previous management reviews

b) Changes in OMS-relevant in~ernal and external issues

c) Information on the performance and effectiveness of the QMS

a. Customer satisfaction and feedback from stakeholders b. Quality objective attainment c. Process performance and conformity of products and services




MANAGEMENT REVIEW PROCEDURE

d. Non-conformities and corrective actions e. Monitoring and measurement results f. Audit results g. Performance of external providers

d) Adequacy of resources

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e) Effectiveness of actions taken to address risks and opportunities

f) Opportunities for improvement

6.0 Procedure

6.1. Initiating the Management Review

6.1.1. The QMST shall convene to prepare a report on the implementation of the QMS in PSA, highlighting recorded cases of nonconformity as well as areas for improvement and finalize the proposed agenda for the Management Review.

6.1.2. The QMS LEADER, through the QMST Secretariat, shall issue the corresponding memorandum/Notice of Management Review together with the approved agenda to the ExeCom members, QMST members and other concerned officials/staff at least five (5) working days prior to the scheduled Management Review.

6.1 .3. Meeting kits/materials shall be provided to all concerned at least two (2) working days prior to the Management Review.

6.2. Conduct of the Management Review

6.2.1. The Chairperson of the ExeCom or the duly designated ExeCom Official shall preside over the Management Review.

6.2.2. The OMS LEADER, with the assistance of the QMST sub-team leaders who shall serve as resource persons, shall present the QMST report on the implementation of the PSA QMS as well as briefly discuss other items identified under Section 5 hereof and seek ExeCom guidance on issues and concerns, which could not be independently resolved by the QMST.

6.2.3. Recommended action/s shall be approved during the Management Review unless there are circumstances that shall require further review or call for the ExeCom to hold a separate meeting for appropriate disposition on the matter.

6.2.4. The QMST Secretariat shall make a record of the agreement/s and recommend action/s to be undertaken as a result of the Management Review.


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6.3. Documentation of the Management Review

6.3.1. The QMST Secretariat shall document the highlights of the meeting through the Management review inputs, discussion points, conclusions and recommended actions, among others.

6.3.2. The draft Management Review Minutes shall be provided to all the attendees, for review/comments within five (5) working days after the conduct of the Management Review. All inputs/comments on the same shall be provided to the QMST Secretariat within three (3) working days from receipt of said draft to facilitate integration and finalization.

6.3.3. Final/approved highlights of the Management review shall be provided to all attendees within ten (10) working days after the conduct of the Management Review.

6.3.4. Documents generated during the course of Management Review shall be kept by the QMST Secretariat throughout the retention period.

6.4. Implementation of Agreed Resolutions

Agreed resolutions during the conduct of the Management Review may require any or both of, but shall not be limited to, the following :

6.4.1 . Revision of the existing work procedures. In such cases, all relevant manuals and procedures pertaining to a particular activity considered not effective, may be changed or developed.

6.4.2. Instruct the IQA Team Leader to conduct a special audit through a memorandum to be able to pinpoint the root of the problem for identified issues with causes that have yet to be determined. The audit clients shall include; but not limited to; PSA RSSOs, PSOs, Services, Units, and Divisions involved in the process being audited.

6.5. Monitoring of Agreed Resolutions

6.5.1. Implementation of all resolutions/agreements made during the Management review shall be supported by the issuance of a memorandum from the QMS LEADER addressed to concerned official/staff. In order to facilitate proper monitoring, said resolutions/agreements shall be documented via a signed commitment between the parties involved, which shall reflect the resolution/agreement and the due date for the implementation and verification of suitability and effectiveness of related actions.

6.5.2. Expected outputs of the Management Review cover directions/guidance, approval of proposals for improvement and discussion threads, as shall be documented in the Management Review Minutes and monitored using the Review Monitoring Sheet.

The online controlled copy of this document is maintained at the EasyDocs. Controlled hard copy is maintained by the Document Controller. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division, The user should secure the latest revision of this document from the Records Unit of the General Services Division. This document is UNCONTROLLED when downloaded in the EasyDocs and when ii does not have original "CONTROLLED COPY" stamp.

ti Philippine Statistics Authority Doc Ref No.: 16QMSMR-1

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Quality Management System ~ ~ Effective Date: 8 Dec2016 ~ \:J

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The PSA field offices, namely, RSSOs and PSOs, shall adopt the same procedure for the respective management reviews. Each RSSO/PSO shall designate a record keeper who shall perform the functions of the QMST Secretariat.

7.0 Records Management

7.1 . Records of this procedure shall be retained for a period of five (5) years, for possible review and recall.

7.2. Disposal shall be done in accordance with the PSA retention and disposition schedule.

8.0 Forms and Records

8.1. Notice of Meeting 8.2. Agenda 8.3. Attendance Sheets 8.4. Presentation Materials 8.5. Management Review Minutes 8.6. Review Monitoring Sheet 8. 7. Other relevant forms and reports

9.0 References

9.1 . Quality Management System Manual 9.2. Document Control Procedure 9.3. Records Control Procedure 9.4. Internal Audit Procedure 9.5. Control of Nonconforming Service Procedure 9.6. Corrective Action Procedure 9.7. PSA Retention and Disposition Schedule

Reviewed by:

M~AS Assistant National Statistician QMS Core Team Leader and Secretariat Head

Approved by:

~~j.~ LISA GRACE S. BERSALES, Ph.D. National Statistician


FOR

FROM

DATE




NOTICE OF MEETING

(Subject) (Date and Time of Meeting)

(Venue)

(Body)


Effective Date: 8 Dec 201 6

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1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.


Qual ity Management System


Management Review Meeting

Name


(Venue)



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ATTENDANCE SHEET

Signature


No.

1.




Doc Ref No.:

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MEETING of the PSA MANAGEMENT REVIEW

Item


(Venue)

AGENDA

Presenter

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Action Needed


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Attendees:

NAME Regular Members:

1. 2.

3.

Others: 1. 2. 3.

4. 5.

MR Secretariat: 1. 2.

Not Present 1.

No.

Prepared by:

MR Secretariat

Approved by:

Philippine Statistics Authority Doc Ref No.: 16QMSMR-1

Quality Management System Effective Date: 8 Dec2016

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2016-06 Management Review Meeting

(Date and Time of Meeting) (Venue)

MINUTES OF THE MEETING

Highlights

DESIGNATION/OFFICE

National Statistician and Civil Registrar General

Copies of the materials distributed during the meeting are available upon request from the Secretariat.





Monitoring Sheet Summary of Action Matters

(Date)

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Issue Action Matters and Updates Responsibilify ·- - Center

Management Process

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Operations Process

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Support Process


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Presentation Materials

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~ :\ Republc of the Philippines

~ • Philippine Statistics Authority ~'t;;;:;:.; .·"'"

(Subject)

(Name) (Office)

Management Review Meeting (Date)

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" • Philippine Statistics Authority ~~.v

Outline of Presentation 1. Main Topic

1.1. Sub-topic 1.2. Sub-topic 1.3. Sub-topic

2. Main Topic 2.1. Sub-topic 2.2. Sub-topic 2.3. Sub-topic



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CONTROL OF DOCUMENTS

Effective Date:

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1.0 Purpose

The purpose of this procedure is to standardize the process of management and control of key PSA documents and to ensure that all documents needed for the Quality Management System (QMS) are kept up-to-date and are readily available for use.

2.0 Scope

This procedure applies to all internal and external documents identified by the PSA as required by the QMS. This covers creation, identification , amendment/revision, review, approval, coding, maintenance, distribution, and archiving of documents.

3.0 References

Control of Records PSA Manual of Style


Document

Internal Document

External Document

Controlled Copy

Information and its supporting medium.

The medium can be paper, electronic or optical computer disc, photograph or a combination thereof.

Levels of internal documents: • Level 1: Policies and Plans • Level 2: QMS Manual • Level 3: QMS Procedures and PSA-Wide

Documents • Level 4: Division/Service/Office Level Documents

A document generated within the PSA

A document received by the PSA from external sources

A reproduced copy of the original document representing the latest issued document; indicated by "PSA Controlled Copy'' stamp

The online controlled copy of this document is maintained at the EasyDocs. Controlled hard copy is maintained by the Document Controller. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division, The user should secure the latest revision of this document from the Records Unit of the General Services Division. This document is UNCONTROLLED when downloaded in the EasyDocs and when it does not have original "CONTROLLED COPY' stamp.

. -

ti Philippine Statistics Authority Doc Ref No. : 16QMSCD-2

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~~.v CONTROL OF DOCUMENTS

Uncontrolled Copy

Document Masterlist

Originator

Central Office (CO) Main Document Controller

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A document copy not subject to further document control after it is issued; indicated by "PSA Uncontrolled Copy" stamp; Copies downloaded in the EasyDocs

A list that identifies the documents required by the QMS

Office/Service/Division Head who creates/revises a document

Individual assigned to oversee the implementation of the Document Control Procedure. The Records Unit of the General Services Division shall be the responsible unit.

Division/Regional/Provincial Individual assigned to oversee the implementation of the Document Controller Document Control Procedure in the division/region/

province

Copy Holders

Policies and Plans

PSA Wide-Documents

Individual recipients of controlled copies of documents

Refer to original copies of Board Resolutions, RSC Resolutions, and Memorandum Circulars/Guidelines/ Orders, such as PSDP manuscript/electronic file, Strategic Plan, General Plan, Work and Financial Plan, and Training Plan.

Refer to documents such as Manuals and survey instruments related to the conduct of statistical activities, MOAs/MOUs/MOls, and Guidelines such as on Standard Classifications, Statistical Survey Review Clearance System, and Mapping and Enumeration Area Delineation .


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5.0 Procedure Details

Ref. Reference

No. Key Activities Responsible Document/

'~ Record 5.1 Create or • Create a new document Originator PSA Manual of

revise • Revise an existing Style document document Routing Slip/

Document Tracking Form (DTF)

5.2 Review • Review and approve Management Routing Slip/ DTF and document approve document

5.3 Register • Assign document code CO Main Document PSA Manual of document (reference number) Controller Style/

Routing Slip/DTF • Update document

masterlist CO Main Document Document Controller Masterlist

• Register external document ONS Core Logbook of

External Documents

5.4 Distribute • Prepare controlled copies CO Main Document Acknowledgemen document of document for Controller t Receipt

distribution

• Distribute controlled CO Main Document copies to Controller Division/Regional/ Provincial Document Controllers

• File master copy of CO Main Document document Controller

• Receive controlled copies of document

Division/Regional/

• Return any obsolete copy Provincial Document

of the document for Controllers

disposal



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Ref. Reference

No.

5.5

Key Activities Responsible Document/ Record

Archive • Archive obsolete master CO Main Document Control of obsolete copy of document and Controller Records copy recycle other obsolete

copies

• Retrieve all obsolete Division/regional/ controlled copies from provincial Document copy holders Controller

• Update the Document CO Main Document Masterlist Controller

Blank forms and report layouts ae subject to this document control procedure as these are designed, developed, distributed for use and/or revised. Filled-out/ accomplished forms and completed reports are considered as records and subject to the Control of Records procedure.

5.1 Creation/Revision of Document

5.1.1 Document originator prepares the document or revises the document as a result of review of procedures and systems. Creation of Policies and Plans, PSA Wide Documents and Division/Service/Office Level Documents shall be in accordance with the PSA Manual of Style.

5.1.2 The QMS Manual and QMS Procedures and other OMS-related documents are formatted with header and footer notes as shown below:

Header Note

el Philippin e Statistics Authority Doc Ref No.: .,.

.. <$-Quality Management System Effective Date: 1 ~

... ;;! Revision No.: 0

~~ ?I TITLE OF DOCUMENT Page No.: of ... ~ -

Footer Note

-

The online controlled copy of this document is.the maintained at the EasyDocs . Controlled hard copy is maintained by the Document Controller. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The originat copy of this document is with the Records Unit of the General Services Division, The user should secure t he latest revision of this document from the Records Unit of the General Services Division. This document is UNCONTROLLED when downloaded in the EasyDocs and when it does not have original "CONTROLLED COPY" stamp.


.,




Doc Ref No.:

Effective Date:

Revision No.:

Page No.:

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5.1 .3 A Routing Slip is attached to the document to trace the review and approval of the created/revised document.

I stJE!JEGT:

Om :

Tm:e:

To'Fcr: i='crcxnr.t:'Jient!i

,__

,__ From:

,__

Do.lo :

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5.1.4 The originator shall provide an editable copy of the documents to the CO Main Document Controller for safekeeping.

5.1.5 The Document Tracking Form (DTF) is accomplished to trace the revision history of the document.



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Revision Code: DOCUMENT TRACKING FORM Effectivity Date:

Document Effectivity Revision Date Received

Date Revised/ New Effectivity Revision

Code I Document Submitted

Filename Date Code Extracted By Date Code

Hard Copy Soft Copy

5.1.6 Where an internal document has been revised, the document originator indicates the nature of revision in the Routing Slip. The revised texts in the document are italicized.

5.2 Document Review and Approval

5.2.1 Review and approval ensures that the documents are appropriate to the needs of the organization in general, and the intended use of the document in particular.


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5.2.2 Review and approving authorities depend on the type of document, which is outlined as follows:

~l#ocument Originatof Review Approval ~ Policies Process Assistant National National and Plans Owners Statistician (ANS) Statistician

/Deputy National (NS)/ Statistician (DNS) PSA Board

OMS Manual OMS Leader ANS/DNS NS OMS OMS Leader ANS/DNS NS Procedures and PSA-Wide Division Documents Chief Service/Office Division ANS DNS Level Chief Documents

Note that the OMS Leader prepares the OMS procedures while the Division Chief takes charge of the preparation of PSA-wide documents. The ANS/DNS review both the OMS procedures and the PSA-wide documents before these are approved by the NS.

5.2.3 All documented procedures are reviewed every three (3) years to assess their adequacy, suitability, and appropriateness in response to the continual improvement of the OMS.

5.2.4 Old reference manuals (e.g. documentation prior to implementation of the ISO 9001 OMS) are registered as controlled documents in the CO Main Document Controller.

5.3 Registration of Documents

5.3.1 New documents as well as rev1s1ons to existing documents are registered in a document masterlist by the CO Main Document Controller to ensure proper control, in accordance with the reference coding scheme stated in the PSA Manual of Style.


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5.3.2 For OMS-related documents, the reference number follows the sequence order below:

Ref. No. YYQMSAA-N

L_ where:

N refers to the sequence number of the approved QMS document

.____ ___ __. AA refers to the first two letters of the acronym of the QMS document Ex: QM for Quality Manual

QP for QMS Procedures SO for Standard Operating Procedures

QMS refers to the level of document

YY refers to the last 2-digit code of the reference year

The table below summarizes the reference code for QMS documents.

Title of Document Reference Code QMS Manual 16QMSQM-O QMS Procedures 16QMSQP-O Standard Operatino Procedures 16QMSSO-O

5.3.3 External documents are registered in a logbook maintained by the ONS Core.

5.3.4 External documents received electronically (e.g. via e-mail) are printed to facilitate registration for subsequent review and distribution. On the other hand, documents received through fax are photocopied since thermal paper printouts eventually fade in time.

5.4 Distribution of Documents

5.4.1 A master copy of each internal document is retained by the CO Main Document Controller until revised.

5.4.2 The CO Main Document Controller provides the controlled copy of documents to the division/regional/provincial document controllers.





Doc Ref No.:

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Hard copies of QMS documents shall be distributed up to Service/RSSO levels. The QMS documents shall also be made available online and accessible through the EasyDocs.

5.4.3 The copy of the external document submitted/received for registration is considered as the master copy, and is retained by the Office of the NS/DNS until it is superseded.

5.4.4 Controlled copies of documents are photocopied from master copies. These are then stamped with "PSA Controlled Copy" in the first page of the document, prior to distribution to copyholders. Copyholders sign on the acknowledgement receipt upon receipt of their respective copies.

5.5 Archiving of Obsolete Master Copy

5.5.1 Obsolete master copy is stamped "PSA Obsolete Copy" in red ink to prevent unintended use. Refer to Control of Records Procedure for the retention and disposition schedule.

5.5.2 Division/Regional/Provincial Document Controllers retrieve all obsolete controlled copies from copy holders.

5.5.3 Other obsolete controlled copies of documents are striked out from the document masterlist and archived.

6.0 Attachments

6.1 Routing Slip 6.2 Document Tracking Form 6.3 Document Masterlist 6.4 Acknowledgement Receipt



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Sample of a Document Master list

~ ·' .

Document Masterlist ~ -~ ~ ;

• N

'~..._ ... ... "I'

Document No. Document Title Rev. No. Date Approved

Date Prepared: Prepared by: Noted by:

Result:

D Approved D For Revision

Noted by:

Quality Management Leader

The online controlled copy of this document is maintained at the EasyDocs. Controlled hard copy is maintained by the Document Controller. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division, The user should secure the latest revision of this document from the Records Unit of the General Services Division. This document is UNCONTROLLED when downloaded in the EasyDocs and when it does not have original "CONTROLLED COPY' stamp.


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Sample of an Acknowledgment Receipt

RnlffillC Oi' THf PHwPPum;

PHILIPPINE STATISTICS AUTHORITY

Date:. ___ _

[Name of PSA Official] [P•ositi.on) (AddressE

Dear [Salutation] (Surname of PSA Official]:

I TRANSMITTALSUP I

'We are transmitting the for the monlh of _______ . Please acknowledge receipt using th.e form below.

Very truly yours.

[Name of CO Main DocumenlCc>nlroDer} [Position]

ACKNOWLEDGEMENT RECEIPT Dale: ___ _

[Name of CO !Mm Ocx:ument Con!rollerj [Position] P~pine Statistics Authority [Address)

Dear [Salu!ationl ISumame ct CO Main Document Con~oner]~

This is to acknoWfedge .receiptofthe ______ f« the mo~fh •of ____ _, Than1lyoij.

Very !roly yoors,

[N.ami! of R.egionlProvinoe Document Controller) [Position]


Division




Reviewed by:

Doc Ref No.:

Effective Date:

Revision No.:

Page No. :

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Genera Services Division

M~PINAS Assistant National Statistician QMS Core T earn Leader and Secretariat Head

Approved by:

~ ~/\AAO ~·~ LISA GR~Es:-BERSALES, Ph. D. National Statistician



Quality Management System Doc Ref No.: 16QMSCR-3


Revision No.: 0 CONTROL OF RECORDS

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1.0 Purpose

The purpose of this procedure is to ensure that all records generated by the quality management system are properly maintained and are readily available for use by those who need them.

2.0 Scope

This procedure applies to records required by ISO 9001 as well as records identified by the organization as required for the effective management and control of processes.

3.0 References

Control of Documents National Archives of the Philippines (NAP) Guidelines Republic Act 3753 NAP General Disposition Schedule


Record

Active Records

Inactive Records

Process Owner

A document stating results or providing evidence of activities performed

Records can be used to document traceability and to provide evidence of verification, and corrective action. Generally records need not be under revision control (Control of Documents Procedure)

Records may use different media, including paper, electronic or optical computer disc, photograph or a combination thereof

Records that are currently being maintained, used and controlled. These records are normally kept in desk/ workstation drawers or nearby filing cabinets, shelves or racks for easy access and retrieval

Records that are very rarely or no longer referred to, and which must be transferred to another place (e.g. the Office Records Center). These records have already served their purpose but must be kept just the same for legal requirements or some compelling reasons. They are .only destroyed the moment their retention periods have expired

Unit where the records are generated or individual who generates the records

The only controlled copy of this document is the online version maintained in the EasyDocs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

~ Philippine Statistics Authority Doc Ref No.: 16QMSCR-3

~ . . ~ 1' Quality Management System Effective Date: 8 Dec 2016 :c t. "" ~

Revision No.: 0 ~ 'I CONTROL OF RECORDS ~.~

Records Disposition Schedule

Retention Period

Vital Documents


Page No.: 2of 5

A listing of records series by organization showing, for each record series, the period of time it remains in the office area, in the storage (inactive) area, and its preservation or destruction

Refers to the specific period of time established and approved by the National Archives of the Philippines as the life span of records, after which they are deemed ready for permanent storage or destruction

Are records of life events kept under governmental authority including birth certificates, marriage certificates, and death certificates

Reference Ref. No. Key Activities Responsible Document/

Record 5.1 Collect and • Collect records Records Officer

identify records • Ensure Process Owner identification of records

• Establish a filing system

• Indexing of documents/ records

5.2 Store, archive and • Store properly Process Owner protect records • Protect records Archives Officer

appropriately Records Officer • Scan and archive Librarians

records properly • Automated

Controlling of records

• Uploading of scanned records in the database

5.3 Retrieve and • Maintain properly Process Owner • Logbooks maintain active the active records Records • Easy Docs records • Periodic update Coordinator • Special

of inventory of Order records


Philippine Statistics Authority Doc Ref No.: 16QMSCR-3

Quality Management System Effective Date: 8 Dec2016 ~

Revision No.: 0 CONTROL OF RECORDS

Page No.: 3 of 5

- Reference Ref. Key Activities Responsible Document/ No. Record

5.4 Maintenance and • Properly maintain GSD-Records • Logbooks disposal logbooks Unit • Special

• Perform periodic Order back-up • csc procedures Guidelines

• Turnover inactive records

• Convert to e-files

5.1 Collection and Identification

5.1.1 Records are identifiable through any or combination of the following information, as appropriate:

a. Title of Record b. Date(s) c. Barcode d. Document Number e. Name of signatory/ies f. Registry Number g. Transaction Number h. Name of Requester i. Name of Document owner j . Birth Reference Number (BReN) k. SECPA serial Number

5.1.2 Records are collected upon availability from their source, for appropriate filing by the Records Officer or concerned Process Owner.

5.1.3 In case of erasure or correction, the corrected data are countersigned by the employee who corrected it.

For civil registry documents any correction within the documents should undergo administrative or judicial court order whichever is applicable.

5.1.4 All records are signed by authorized personnel. The reviewer ensures that said records are legible and contain sufficient information as basis for its endorsement or approval. Hence, records without the signature of approving authorities except e-copies are considered "unofficial".

The only controlled copy of this document is the online version maintained in the Easy Docs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

t1· Philippine Statistics Authority Doc Ref No.: 16QMSCR-3 ... ,,.

Quality Management System ~. 0 Effective Date: 8 Dec 2016 ~ ' : ·~ bl - ·<

Revision No.: 0 .. 7 CONTROL OF RECORDS ~. ~·"'"' Page No.: 4 of 5

For the civil registry documents, the receiving officer ensures the completeness of the documents and properly log into the manual and automated filing system.

5.2 Storage and Protection

5.2.1 Records are kept in appropriate locations to m1rnm1ze physical deterioration, damage, and loss. For protection purposes, the following practices are observed:

a. Use of expanded folders/envelopes and/or ring binders;

b. Placed in magazine files and stored in shelves, steel cabinets and racks to prevent wear and tear;

c. Hard copies of vital documents are stored in a warehouse;

d. Regular back-up of permanent and archival records including databases; and

e. Access restriction, through password (this pertains only to soft copy and other security measures) to prevent unauthorized use.

5.3 Retrieval and Retention

5.3.1 For easy retrieval, filing cabinets, shelves, boxes, magazine files, folders, and envelopes are labeled. For civil registry documents these are filed/labeled by document type, by place, by year, by province, city/municipality and by folio number.

Customized applications are used to facilitate retrieval of electronic records.

Inventory of records are updated periodically.

5.3.2 Records borrowed by other offices or workgroups are traced using logbooks.

5.4 Maintenance and Disposal

5.4.1 Maintenance and disposal of records are done in accordance with the Records Retention and Disposition Schedule.

5.4.2 For easier safekeeping, permanent records may be converted to efiles, except for records that require original copy bearing authentic signatures.


ti Philippine Statistics Authority Doc Ref No.: 16QMSCR-3

~ S>:

Quality Management System ::i (I Effective Date: 8 Dec2016 :: t.. .A, --" .... "'

Revision No.: 0

~ v CONTROL OF RECORDS ~ ..... Page No.: 5 of 5

6.0 Attachment

6.1 NAP - Records Retention and Disposition Schedule.

Divisio Chief Genera Services Division

Reviewed by:

~PINAS Assistant National Statistician QMS Core Team Leader and Secretariat Head

Approved by:

~~;).~ LISA GRACE S. BERSALES, Ph.D. National Statistician

The only controlled copy of this document is the online version maintained in the Easy Docs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

'

Philippine Statistics Authority Doc Ref No.: 16QMSIQ-4

:F . \, ti Quality Management System Effective Date: 8 Dec2016 .:;,. . ·:::

Revision No.: 0 %. ',,/ INTERNAL QUALITY AUDIT

"~~ ... ~r.:~ · ~r} Page No.: 1 of 15

1.0 Purpose

This document describes the procedure and resource requirements for the objective evaluation of the effectiveness of the established quality management system of the PSA. It defines the system for the planning, preparation, execution, follow-up, and reporting of IQA activities in determining if the Quality Management System (QMS) conforms to the planned arrangements, to the requirements of ISO 9001, and to the established QMS; and if the QMS is effectively implemented and maintained.

2.0 Scope

The procedure applies to the PSA that includes the processes on management, internal support, and statistics and civil registration.

3.0 References

Corrective and Preventive Action Procedure


Audit Client

Auditor

Audit Team

Audit Plan

Audit Itinerary

Audit Checklist

Audit Criteria

Audit Evidence

Audit Finding

Conformity

The Office or person being audited

The person with demonstrated personal attributes and competence to conduct an audit

Composed of more than one auditor who are assigned to conduct an audit in a particular office and prepare necessary report of findings; Led by an Audit Team Leader

A documented plan prepared prior to the conduct of audit which details activities such as where to go, what to do, when to do, and whom to see

Set of one or more audits planned for a specific timeframe, directed towards a specific purpose

A set of variables which serves as a guide to an auditor

Set of policies, procedures, or requirements which are used as reference against which audit evidence is compared

Qualitative or quantitative record , statement of facts or other information, which is verifiable and relevant to the audit criteria

Result of the evaluation of the collected audit evidence against audit criteria

Fulfillment of a requirement




Nonconformity (NC)

Opportunity for Improvement (OFI)

Revision No.: O INTERNAL QUALITY AUDIT

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A non-fulfillment of a requirement

A situation or process that may lead to potential nonconformity

Corrective Action (CA) Action taken to eliminate the cause of a detected nonconformity or other undesirable situation to prevent its recurrence

Request for Action (RFA)

IQA Team

OMS Leader

IOA Team Leader

5.0 Procedure

'1~1.·: - . ~

f~t!>, ! 5.1

Audit Engagement Planning

5.2 IQA Execution

5.3 IOA Reporting

- -

A tool/form used to record the audit findings and the corresponding root cause analysis and appropriate actions taken to address it

The IQA Committee formed to oversee the IOA implementation

Serves as the primary advocate of OMS implementation in PSA

The Internal Audit Division will lead the IOA Team. The Division shall oversee the IOA.

---- ·---- -i:r~;~ -mj}j@ r -~~ITu":@i1TrC:Jl(t .

- .~ ~f!.1 •OMS • Auditor Training

• Organize the Audit Leader Certificates

• Conduct data build up •IOA Team • Pool of Auditors and analysis Leader • Audit Plan

• Develop audit plan, •IQA Team • Audit itinerary itinerary and checklist • Audit Checklist

• Procedures and Work Instructions Manual

• OMS Manual

• Relevant laws, rules, regulations and office policies

• Conduct entry IOA Team • Audit Checklist conference

• Conduct IOA • Conduct Exit Conference

•Evaluate Management •OMS • Request For Action Comments Leader (RFA)

• Review IOA Report •IOA Team • Audit Summary

The only control led copy of this document is the online version maintained in the EasyDocs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.



Revision No.: 0 INTERNAL QUALITY AUDIT

Page No.: 3of15

· ~ " -· . - - . ·- -- · ·- r ~© 11

lTur~l~!HlliliE/ : L (: I, I~~ ~;: ·- - - ·~ - - ~ - ·- -· _ i. - --- _ L. __ . .J~:.i;fl. '.

•Approve IQA Report Leader Report •IQATeam • Control of

Nonconforming Outputs Procedure and

• Corrective Action Procedure

• RFA Loqbook 5.4 Follow •Monitor the • IQA Team Corrective Action

through implementation of the Leader RFA approved IQA • IQA Team RFA Logbook recommendations

•Evaluate Implementation of approved IQA recommendations

•Resolve Non-/Inadequate implementation of recommendations

5.1 Audit Engagement Planning

5.1.1 Organize the Audit

5.1 .1.1 Selection and Management of IQA Team. Acceptance of candidate auditors into the auditor pool and selection of auditors for specific assignments consider the following audit competencies:

a. The personal attributes of the auditor include ethical, open-minded, diplomatic, observant, perceptive, versatile, tenacious, decisive and self-reliant;

b. Knowledge on auditing concepts and methodologies; c. Auditing skills; d. Knowledge on ISO 9001 requirements and the QMS of the

organization vis-a-vis audit requirements of the audit-client

5.1.1.2 Auditor performance is reviewed considering the following:

a. Feedback from the IQA team leader, other auditors and the audit client;

b. The quality of audit checklists and audit reports

5.1 .1.3 The competencies and performance of auditors are periodically evaluated to identify training and development needs. The IQA Team Leader coordinates with the Human Resource Division to plan and implement training and development program for auditors.


el Philippine Statistics Authority Doc Ref No.: 16QMSIQ-4

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Revision No.: 0 ~ 'I INTERNAL QUALITY AUDIT

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5.1 .1.4 The IQA Team shall maintain a pool of auditors.

5.1 .2 Conduct Data Build-up and Analysis

5.1.2.1 The Audit Team reviews applicable documents such as the QMS Manual, Procedures, Guidelines, Memorandum Orders, Special Orders, ISO clauses and applicable statutory and regulatory laws.

5.1.3 Develop Audit Plan, Itinerary and Checklist

5.1.3.1 The Audit Plan for the 12-month period is prepared by the IQA Team Leader before the start of a calendar year. Each QMS process is audited at least once a year.

5.1.3.2 Whenever necessary, unplanned IQA may be initiated by the IQA Team Leader based on, but not limited to the following : a . Unusual increase of quality-related problems b. Introduction of new services c. Major changes in QMS, personnel , and processes d . As per client's request

5.1.3.3 Copies of the Audit Plan are disseminated to all concerned audit clients through a memorandum from the IQA Team Leader.

5.1.3.4 The Audit Itinerary is communicated through a memorandum from the IQA Team Leader to all concerned offices at least a week prior to the activity. The communication includes the following: a . Purpose b. IQAscope c. Offices to be audited and audit client d. Assigned Audit Team e. Date and time of the IQA

5.1 .3.5 Audit Checklists are developed based on the audit scope, objectives, and document review.

5.2 IQA Execution

5.2.1 Conduct Entry Conference.

5.2.1.1 The IQA Team prepares the presentation material for the Entry Conference containing the audit criteria, audit purpose/objectives, audit scope, audit period and location, composition of audit team and the required records.

5.2.1 .2 The Team Leader starts with an entry conference to reconfirm audit schedule, audit objective, and audit participants.




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5.2.2 Conduct IQA

5.2.2.1 The Audit Team gathers data by interviewing personnel, reviewing documents, observing processes, and verifying records.

5.2.2.2 The Audit Team records facts as evidence of the audit and evaluates the same to determine the objective evidence of the audit findings using the Audit Checklist.

5.2.2.3 Discuss findings with the IQA Team and classify them as Conformity, NC or OFI. Commendations and strengths of the system are also noted.

5.2.2.4 If and when the audit client has unresolved issues with an audit finding, he/she may contest such before or during the closing meeting.

5.2.2.5 If not resolved at this level, the issue may be raised to the QMS Leader.

5.2.3 Conduct Exit Conference

5.2.3.1 An exit conference is conducted wherein audit findings are presented to the audit client.

5.2.3.2 The IQA Team Leader explains the audit results pertaining to observations and preliminary recommendations to the audit clients and other units concerned during the Exit Conference.

5.2.3.3 The IQA Team gathers the comments of the audit client and other units concerned on the audit observations.

5.2.3.4 The IQA Team confirms the preliminary recommendations and timeline (action plan) with the audit client and other units concerned.

5.3 IQA Reporting

5.3.1 Evaluate Management Comments

5.3.1.1 Analyze the comments of the audit client during the Exit Conference. Prepare a rejoinder on the comments from the audit client.

5.3.2 Review IQA Report

5.3.2.1 Audit findings are documented on the Request for Action (RFA) form and Audit Summary Report.

5.3.2.2 Review the internal audit report in terms of the following: • Accuracy vis-a-vis the working papers and extent of achievement

of audit plans and programs; • Application of the standard operating procedures, policies and

guidelines in the OMS.


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• Accuracy vis-a-vis the working papers and extent of achievement of audit plans and programs;

• Application of the standard operating procedures, policies and guidelines in the QMS.

• Implications on the process/functions/application systems.

5.3.3 Approve IQA Report

5.3.3.1 Control Numbers are assigned to the RFA for monitoring purposes. These are recorded in the RFA logbook maintained by the IQA Team.

5.3.3.2 Prior to approval, QMS Leader reviews the IQA report in terms of the strategies and thrust of the PSA.

5.3.3.3 The RFA with the Audit Summary Report and Matrix of Audit Observations are issued to the audit client within ten (10) working days after the exit conference. The audit client acknowledges and signs the RFA.

5.3.3.4 The audit client with the unit head determines and implements appropriate corrective action in accordance to Control of Corrective Action procedures. The audit client returns the accomplished RFA and Matrix of Audit Observations to the IQA Team within ten (10) working days after receipt.

5.4 Follow-through

5.4.1 Monitor the implementation of the approved IQA recommendations

5.4.1.1 Review the extent of implementation of audit recommendations based on the approved RFA considering the following:

• Sufficiency in the submitted proof of implementation. • Observance of timeliness in the action plan committed to address the

audit observations.

5.4.1.2 Recommend the conduct of validation with the audit client using the approved RFA considering the following parameters:

• Prioritization based on tagging of audit recommendations • Prioritization based on submitted proof of implementation

5.4.2 Evaluate Implementation of approved IQA recommendations

5.4.2.1 The auditors verify the implementation of the actions taken specified in the accomplished RFA. The results of such verification are monitored as per Corrective Action procedure.



ti ~ ~~ Quality Management System Effective Date: 8 Dec2016 :..' . ~!; ·~ . ,,.

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5.4.3 Resolve Non-/lnadequate implementation of recommendations

5.4.3.1 Recommend management action for non-implementation/inadequate action on IQA recommendations to the QMS Leader on the matter.

6.0 Attachments

6.1 Audit Plan 6.2 Audit Itinerary 6.3 Audit Checklist 6.4 Audit Summary Report 6.5 Request for Action (RFA) 6.6. Matrix a bservations

MALCOLM C. QUEYQUEP OIC-Division Chief Internal Audit Division

Reviewed by:


Appr9ved by:

~~g.~ LISA GRACE S. BERSALES, Ph.D. National Statistician


AUDIT PLAN (Year )

Scope

Objectives

!AC!J DIT 'SCHEl!lULE .. - - - -

Audit Month Office Process Audit Team Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Page_of _ Rev. 0


J

) J

AUDIT PLAN (Year )

Prepared by: Approved by:

IQA Team Leader QMS Leader

Page_of _ Rev. 0


[ -;

No.

~ Philippine Statistics Authority Doc Ref No.: 16QMSIQ-4

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~ .t Revision No.: 0

INTERNAL QUALITY AUDIT o~,,~ Page No.: 10of 15

MATRIX OF OBSERVATIONS AND RECOMMENDATIONS FOR (Insert Audit Area)

Audit Observation Audit Recommendation/s Timeline Comments of Audit Client Comments of the Audit Client

on the Observation on the Recommendation/s

State the condition and the criteria that it

violates.

State the conclusion and the possible root

cause of the condition


AUDIT ITINERARY (Year )

Criteria

Scope

Objectives

Audit Team Team Leader

Members

Audit Activities

Date Time Activity Auditee Auditors

Prepared by: Approved by:

Audit Team Leader QMS Leader


Rev. O

AUDIT CHECKLIST

Source Document(s):

Process: Office/s:

Clause I Para. Items/ Questions C/NC/OFI Findings I No. Remarks


Rev. 0

AUDIT SUMMARY REPORT

Office: J Audit Scope: Date: I Purpose:

Criteria Evidence (what should be happening) (what is actually happening)

Class No. Define the requirements that must be Describe your observations on the

CorNC satisfied. (i.e. customer, regulatory, extent of conformance with the process, ISO 9001 requirements) specified requirements.

Commendable Findings (Note down exemplary practices, activities, methodologies, etc. which demonstrate siQnificant innovations that QO beyond the requirements/expectations.)

Opportunities For Improvement (Note down observed situations where the results achieved are perhaps not optimal, less than well-organized or over complicated that, based on the auditor's iudqment and experience, necessitate improvement.)

Prepared by: Acknowledged by:

Audit Team Leader Auditee


ti Philippine Statistics Authority Doc Ref No.: 16QMSIQ-4

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~ w Revision No.: 0

INTERNAL QUALITY AUDIT ~--<' Page No.: 14of15

..

~ ->'!. or\.

- "' ."7'- ~

~: ~ REQUEST FOR ACTION CRFA) ~ '?'

~ ~ ~~"

- - Section 1 - DetailS' of Nonconformity (To 6e ~ccomplished bY the Auditgrt Initiator) ,_ - -

- -Date: References: (manuals, procedures,

RFA Number:

policies, /SO clauses, etc.) Nonconformity (Non-fulfillment of Auditor/ requirement)

Initiator: Signature over Printed Name Observation (Does not signify failure in the system but maybe enhanced)

Details: (As a result of) Office:

0 Internal Quality Audit 0 Customer Feedback 0 Other (Pis. specify)

Issued by: Issued to: (Office Head)

Signature over Printed Name Signature over Printed Name

Description of the Nonconformity/Observation: (Include evidence)

Acknowledged by:

Section 2.;:- Necessary Actlon(s) (To be accomplished by the Auditee/ Process Owner)

Correction: Target Completion Date:

Root Cause Analysis: Analyzed By:

Describe the necessary Corrective Action(s):

Approved By: Target Completion Date:

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

Results of Action(s) Taken Remarks

Verified By: Verification Date:

Acknowledged By: Next Verification Date:





m;A No.

c~l()l>T1c;, Philippine Statistics Authority Doc Ref No. : 16QMSIQ-4

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~·~,P Revision No.: 0

INTERNAL QUALITY AUDIT Page No.: 15of15

CORRECTIVE ACTION STATUS REPORT (Year )

Details Date Target Verification Date/

NC DeScription (as a result of)

Initiator Recipient Issued Date of Status

Implementation First -


Second

ti Philippine Statistics Authority Doc Ref No.: 16QMSAE-5

..... $·

Quality Management System :::; n Effective Date: 8 Dec2016 :": >: ;:: ~

Standard Operating Procedure Revision No.: 0

~~.? AUDIT ENGAGEMENT PLANNING Page No.: 1of6

A. Audit Engagement Planning

1.0 Purpose

The purpose of this procedure is to ensure that all documents needed for the quality management system are kept up-to-date and are readily available for use by those who need them.

This document also aims to ensure consistent quality of processes in the conduct of audit engagement planning in accordance with the Philippine Government Internal Audit Manual (PGIAM).

2.0 Scope

This procedure applies to all activities undertaken to plan the conduct of audit.

This procedure covers the following:

2.1 Document understanding of the program and project 2.2 Determine the audit objective, scope and criteria and audit evidence 2.3 Determine the resource required for the audit and the target milestone/dates 2.4 Develop the audit plan and audit program 2.5 Determine the Key Performance Indicators (KPls) of the audit engagement 2.6 Secure approval of the audit plan and audit work program and KP ls

3.0 References

NGICS, PGIAM, ISO Clauses, executive issuances, GOA and CSC rues and regulations, relevant laws and office policies.


Terms Definition Audit Criteria the standards against which a condition is compared; standards

can be laws, rules, regulations, policies, orders, guidelines, procedures, plans, tarQets, best practices, etc.

Audit Plan a document that provides the main guidance of the whole audit process in order to achieve the audit objective in an efficient and effective way. It provides an integrated description of the audit client and the audit by serving as a guide for the whole audit.

Audit Program guidelines for action during the execution phase of the audit. Audit programs set out the detailed audit procedures for cost effective collection of evidence. It contains the audit objective, the step by step audit procedures to accomplish the audit objective, the auditor responsible to perform the procedures, and the specified timeframe.

Audit Procedures established and official wav of conductinQ the audit activities

The only controlled copy of this document is the online version maintained in the EasyDocs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division. The user should secure the latest revision of this document from the EasyDocs" This document is UNCONTROLLED when downloaded and printed.

~ Philippine Statistics Authority Doc Ref No.: 16QMSAE-5

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Quality Management System • <) Effective Date: 8 Dec2016 :;f ~~ n.. ' !

Standard Operating Procedure Revision No.: 0 . .. ~ ·~"'"-·"'··11'1' AUDIT ENGAGEMENT PLANNING Page No.: 2 of 6

Control environment the general framework serving as basis for the other four components of internal control. (Risk assessment, Control activities, Information and Communication, and Monitoring) It is the scope and coverage of an organization's internal control system which impacts on its structural and operational framework.

Internal Audit Annual It contains the coverage of the audit for a given calendar year Work Plan and aooroved bv the DS/HoA or GB/AuditCom . Internal Control a whole set of interacting or interdependent component parts on System the plan of organization and all the coordinated methods and

measures adopted within an organization or agency to safeguard its assets, check the accuracy and reliability of its accounting data, and encourage adherence to prescribed managerial policies.

Key performance performance measures reflecting the central importance of indicators evidence and information to support performance results. Objectives of Audit provides the rationale behind the conduct of audit. Scope of Audit is the framework or limits of the audit. It is normally defined by

stating what the audit intends to cover and the relevant timeframes.

Walkthrough This involves following one or two transactions or activities step-by-step through the process from beginning to end. From a control standpoint, a walkthrough is simply the act of tracing the identified significant controls in a transaction through organizational records and procedures - a practical approach to learning how a process works and determining whether or not the policies have been communicated and implemented. In a walkthrough, the auditor traces a transaction from its origin through the agency's information systems, until it is reflected in the reports.

The only controlled copy of this document is the online version maintained in the EasyDocs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

Philippine Statistics Authority Doc Ref No.: 16QMSAE-5

~ ~ ' s t,. Quality Management System Effective Date: 8 Dec2016 :;: n

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Revision No.: 0 Standard Operating Procedure ~ ... ·~~)fl' AUDIT ENGAGEMENT PLANNING Page No.: 3 of 6


Key Activities Responsible Reference Document/Record

Audit Engagement Planning • Template of Special Order on the Conduct

I Organize the Audit I

• Supervising of Audit Internal Auditor,

l Chief Internal • Template of Auditor, and the Memorandum to National the Audit Client Statistician

Conduct data build- • Format of Audit up and analysis Plan

l • Senior Internal • Format of Audit Auditor, Internal Program Auditor II and Internal Auditor I

Develop audit plan and program

• IAD team and the National Statistician and Civil Registrar General

5.1 Organize the audit

5.1.1 Chief Internal Auditor a. Identify the composition of the Audit Team to conduct audit based on the functional requirements of the audit area. b. Discuss the Annual Plan and assignments with the Audit Team.

5.1.2 Supervising Internal Auditor a. Prepare the following:

• Draft Special Order on the conduct of compliance/management/operations/ information systems audit by a Team and the budget and broad timelines on planning, execution and reporting of audit. Draft memorandum to the audit client on the conduct of audit, its

general scope, objectives and the request for documents/records.


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Revision No.: 0 Standard Operating Procedure ·~. "{I

~lJo, .. . '11'' AUDIT ENGAGEMENT PLANNING Page No.: 4 of 6

5.1.3 Chief Internal Auditor a. Review the draft Special Order and memorandum b. Recommend the approval of the draft Special Order and memorandum to the National Statistician. c. Fill-out the necessary Routing Slip

5.1.4 National Statistician and Civil Registrar General a. Conduct the final review of the draft Special Order and memorandum b. Approve the draft Special Order and memorandum for release to other units concerned.

5.1.5 Internal Auditing Assistant a. Attach the Routing Slip to the draft Special Order b. Release the draft Special Order and memorandum to the offices concerned

5.2 Conduct the data build-up and analysis

5.2.1 Senior Internal Auditor, Internal Auditor II and Internal Auditor I a. Obtain documents and records relevant to the audit area either from the audit client (through survey questionnaire or interview), existing file records, and online literature on the controls in the programs/processes/information systems, including but not limited to: • Laws, rules, executive issuances and regulations

• Circulars • Special Orders • Manual of Procedures/Work Instructions/Standard Operating Procedures • User Manuals on the application systems • Accomplishment reports • Reports from the Oversight bodies

b. Conduct desk review on the audit area's functions, processes, organization, activities. c. Document the internal control structure within the audit area through flowcharts/process narratives and the five (5) components of the internal control: control environment, risk assessment, control activities, information and communication and monitoring and evaluation. d. Validate the internal control structure through the conduct of walk-through. e. Review and analyze the controls to identify weaknesses in the design of the systems, key controls that need to be tested during the audit execution. f. Conduct risk assessment to determine areas of highest risk and design tests to be performed during the audit execution. g. Update, as needed, the related assumptions in the internal audit annual work plan.


Philippine Statistics Authority Doc Ref No.: 16QMSAE-5 ~~ ~

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Revision No.: 0 Standard Operating Procedure ~ 'IP ~· AUDIT ENGAGEMENT PLANNING Page No.: 5 of 6

5.3 Develop audit plan and program

5.3.1 Internal Auditor II and Internal Auditor I Develop the audit plan taking into account the following:

• Rationale behind and audit objective based on the data bui ld-up and analysis

• Scope of audit, including the relevant time frames • Sampling method and size • Audit tools and techniques • Audit criteria: Statutory requirements; Managerial policies: Process

requirements: Documented citizen's requirements, needs and expectations

• Necessary audit evidence • Resource requirements

• Target milestone dates

b. Develop the audit program indicating the: • List of steps/procedures to be taken by the Audit Team in analyzing

transactions to achieve the audit objective: Input, Process, Output • Personnel/Unit responsible

5.3.2 Senior Internal Auditor a. Ascertain the draft audit plan and program on the accuracy and interpretation of source data. b. Review the draft audit plan and program on the adequacy of audit procedures in achieving the audit objectives.

5.3.3 Supervising Internal Aud itor a. Review the draft audit plan and program on the application of the standard operating procedures, policies and guidelines in internal auditing. b. Check the alignment of draft audit plan and program with the internal audit annual work plan.

5.3.4 Chief Internal Auditor a. Review the draft audit plan and program on its viability to achieve the functional coverage and objectives of the department. b. Recommend the approval of the draft audit plan and program.

5.3.5 National Statistician and Civil Registrar General a. Review the draft c;iudit plan and program on its ability to achieve the strategic directions of the internal audit. b. Approve the draft audit plan and program for implementation.



Quality Management System Standard Operating Procedure

AUDIT ENGAGEMENT PLANNING

Doc Ref No.: 16QMSAE-5


Revision No.: 0

Page No.: 6 of 6

6.0 Attachments

A. Template of Special Order on the Conduct of Audit B. Template of Memorandum to the Audit Client C. F at o Audit Plan D. Audit Program

LCOLM C. QUEYQUEP OIC-Division Chief Internal Audit Division

Reviewed by:


Approved by:

~'~J,~ LISA GRACE S. BERSALES, Ph.D. National Statistician

The only controlled copy of this document is the online version maintained in the EasyDocs. The reader must ensure \ha\ \his or any o\her copy of a con\rolled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

Philippine Statistics Authority Doc Ref No.: 16QMSAE-5 ~

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~~.,,./! AUDIT EXECUTION Page No.: 1of8

B. Aud it Execution

1.0 Purpose



2.0 Scope

This procedure applies to all activities undertaken to execute the audit plan and program.

This procedure covers the entry conference to discuss the focus, requirements and timeline of the audit engagement. It likewise involves performing the audit techniques and procedures enumerated in the audit work program to gather data and pieces of evidence, to achieve the stated audit objective/s.

3.0 References

NGICS, PGIAM, ISO Clauses, executive issuances, GOA and CSC rues and regulations, relevant laws and office policies.


Terms Definition the standards against which a condition is compared; standards

Audit Criteria can be laws, rules, regulations , policies, orders, guidelines, procedures, plans, tarqets, best practices, etc.

Audit Plan a document that provides the main guidance of the whole audit process in order to achieve the audit objective in an efficient and effective way. It provides an integrated description of the audit client and the audit bv servino as a ouide for the whole audit.

Audit Program guidelines for action during the execution phase of the audit. Audit programs set out the detailed audit procedures for cost effective collection of evidence. It contains the audit objective, the step by step audit procedures to accomplish the audit objective, the auditor responsible to perform the procedures, and the specified timeframe. ·

Audit Procedures established and official wav of conductino the audit activities Cause the immediate and proximate reason/s for the condition for which

substantial evidence will be used as basis of the audit


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recommendation. It may also refer to the probable cause which needs only to rest on evidence showing that more likely than not, the act/s or omission/s of the personnel responsible had caused the non-compliance which may warrant the conduct of administrative proceeding by the disciplinary authority - in case of compliance audit; and root cause - in case of management/operations audit. Root cause is a structured investigation that aims to identify the true cause of a problem and the actions necessary to eliminate it.

Compliance Audit is the evaluation of the extent or degree of compliance with laws, regulations, managerial policies and operating processes in the agency, including compliance with accountability measures, ethical standards and contractual obligations. It is necessary first step to, and part of, management and operations audits.

Conclusion also referred to as the "conclusion of facts" which is defined as an inference drawn from the subordinate or evidentiary fact.

Condition also referred to as the "finding of facts" which is defined as the written statement of ultimate facts essential to support the audit findinQs (includes consequences, effects or impacts).

Entry Conference an avenue to discuss the focus, requirements and Umeline of the audit enQaQement.

Evidence any physical, documentary, testimonial , analytical or electronic proof, sign or information that supports the condition determined during audit engagements. Evidence/s should be sufficient and appropriate (substantial), competent and relevant.

Exit conference an avenue to discuss the highlights of the audit findings with the audit client and/or the responsible official who has sufficient knowledge about the audit area. It also provides an opportunity to get the comment of the audit client and insights about the siQnificant issues as a way of validating audit findings .

Interim report a report communicating the findings, issues, and problems that may affect the conduct of the audit and may expose the organization to considerable risks. A summary of the interim report will be included in the audit report.

Internal Audit It contains the coverage of the audit for a given calendar year and Annual Work Plan approved by the DS/HoA or GB/AuditCom . Management the comments of the audit client. It should be taken into Comments consideration so as to arrive at workable recommendations and

obtain the commitment of the audit client towards performing remedial actions - as a manifestation of progressive attitude towards the audit findinQs.

Management aims to evaluate control effectiveness Process Audit Operations is designed to evaluate the ethicality and economy of operating Process Audit systems selected for audit. Root Cause is a structured investigation that aims to identify the true cause of a

The only controlled copy of this document is the on line version maintained in the EasyDocs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is w ith the Records Unit of the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

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response of a problem and the actions necessarv to eliminate it. Working Papers contain sufficient information to allow an experienced auditor

having no previous connection with the audit engagement to ascertain from them the evidence that supports the findings of the auditors.


Key Activities Responsible Reference Document/Record

Audit Execution • Template of Audit Notification

Conduct Entry • IAD Team and Memorandum Conference the National

Statistician • Format of Presentation

t Materials for the Entry

Conduct Compliance • IAD Team and Conference the National

and Process Audits Statistician • Template of Matrix of

i Audit Observations and Preliminary

Conduct Exit • IAD Team and Recommendations

Conference the National Statistician • Format of Interim Report

• Template of Exit Conference Notification Memorandum

• Template of Memorandum

5.1 Conduct Entry Conference

5.1.1 Senior Internal Auditor

a. Organize the Entry Conference based on the availability of intended attendees.

b. Determine the technical and administrative requirements pertinent to the Entry Conference

c. Set the assignments before, during and after the Entry Conference.


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5.1.2 Internal Auditor II and Internal Auditor I

a. Prepare the Audit Notification Memorandum indicating the Special Order No., audit area, audit period/timeline, audit location, agenda, date and venue of Entry Conference, and reiteration of required records.

b. Prepare the presentation material for the Entry Conference containing the audit area, audit purpose/objectives, audit scope, audit period and location, composition of audit team and the required records.

5.1 .3 Supervising Internal Auditor and Chief Internal Auditor

a. Review the Audit Notification Memorandum and presentation material for the Entry Conference.

b. Recommend the approval of the Audit Notification Memorandum and presentation material for the Entry Conference.

c. Fill-out the necessary Routing Slip

5.1.4 National Statistician

a. Review the Audit Notification Memorandum and presentation material for the Entry Conference.

b. Approve the Audit Notification Memorandum and presentation material for the Entry Conference.

5.1.5 Internal Auditing Assistant

a. Stamp the control number in the Audit Notification Memorandum based on the following convention:

Audit Notification Memorandum No. NN - YYYY

Where: NN - document control number of the Audit Notification Memorandum YYYY - year of the audit execution

b. Record the Audit Notification Memorandum in the logbook.

c. Release the Audit Notification Memorandum, Special Order and presentation material for the Entry Conference to the Audit client.


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5.1.6 Chief Internal Auditor

a. Explain the audit to be conducted to the audit client during the Entry Conference.

b. Clarify the questions/concerns raised by the audit client.

5.2 Conduct Management/Operations/Compliance/Process Audits

5.2.1 Senior Internal Auditor, Internal Auditor II, and Internal Auditor I

a. Conduct compliance and process audits in accordance with the audit plan and program.

b. Record the results of the audit engagement in the working papers

c. Build and analyze the findings in terms of the 4 Cs - Criteria, Condition, Conclusion and Cause

d. Prepare the matrix of audit observations per item c.

e. Identify the findings which pose internal control breakdowns leading to loss in government resources, hence needing immediate action.

f. Prepare the interim audit report with transmittal memorandum to the National Statistician, as needed per item e.


a. Review the matrix of audit observations and/or interim report in terms of accuracy vis-a-vis the working papers on the extent of achievement of audit plan and program.

b. Conduct tam discussions on the progress of the audit engagement.

c. Record the results of the audit engagement in the working papers.

5.2.3 Supervising Internal Auditor

a. Review the matrix of audit observations and/or interim report in terms of application of the standard operating procedures, policies and guidelines in internal auditing.

b. Check the extent of achievement of the internal audit work plan of the audit engagement.

The only controlled copy of this document is the online version maintained in the EasyDocs. The reader must ensure that this or any other copy of a control led document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

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a. Review the matrix of audit observations and/or interim report in terms of implications on the process/functions/application systems.

b. Recommend the approval of the matrix of audit observations and/or interim report.


a. Review the matrix of audit observations and/or interim report in terms of implications on the organizational thrust and strategies of the PSA.

b. Approve the matrix of observations and/or interim report.


a. Stamp the control number in the interim report and matrix of observations based on the following convention:

Interim Report/Matrix of Observation No. NN - YYY

Where: NN - assigned document number of the interim report/matrix of observations YYYY - year of the audit execution

b. Record the interim report and matrix of observations in the logbook.

c. Release the interim report to the audit client concerned.

5.3 Conduct Exit Conference


a. Organize the Exit Conference based on the availability of intended attendees.

b. Determine the technical and administrative requirements pertinent to the Exit Conference.

c. Set the assignments of each team member before, during and after the Exit Conference.

5.3.3 Supervising Internal Auditor and Chief Internal Auditor

a. Review the Exit Conference Notification Memorandum and presentation materials.


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b. Recommend the approval of the Exit Conference Notification Memorandum and presentation materials.


a. Review the Exit Conference Notification Memorandum and presentation materials.

b. Approve the approval of the

c. Exit Conference Notification Memorandum and presentation materials.


a. Stamp the control number in the Exit Conference Notification Memorandum based on the following convention:

Exit Conference Notification Memorandum No. NN - YYY

Where: NN - assigned document number of the Exit Conference Notification Memorandum YYYY - year of the audit execution

b. Record the Exit Conference Notification Memorandum in the logbook.

b. Release the Exit Conference Notification Memorandum and presentation materials to the audit client concerned.


a. Explain the audit results pertaining to observations and preliminary recommendations to the audit clients and other units concerned during the Exit Conference.

b. Gather the comments of the audit clients and other units concerned on the audit observations.

c. Confirm the preliminary recommendations and timeline (action plan) with the audit client and other units concerned.

d. Inform the audit clients to submit the audit client/management comments within 1 O working days after the Exit Conference.

The only controlled copy of this document is the on line version maintained in the EasyDocs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.


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6.0 Attachments

A. Format of Presentation Materials for the Entry Conference B. Template of Matrix of Audit Observations and Preliminary Recommendations C. Format of Interim Report D. Template of Exit Conference Notification Memorandum E. Template of Memorandum F. Matrix of udit Observations and Recommendations G. F at of aluation Report H. udit Follow-up Report

ALCOLM C. QUEYQUEP OIC-Division Chief Internal Audit Division

Reviewed by:


Approved by:

~~i-~ LISA GR'AcE S. BERSALES, Ph.D National Statistician


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·~1. .. • AUDIT REPORTING Page No.: 1of5

C. Audit Reporting

1.0 Purpose



2.0 Scope

This procedure applies to all activities undertaken to finalize and communicate the results of audit engagements through audit reports.

This procedure covers the review of the comments of the management/audit client and incorporation of the same in the report; finalization of the audit report and its distribution to management and audit client.

3.0 References

NGICS, PGIAM, ISO Clauses, executive issuances, COA and CSC rues and regulations, relevant laws and office policies.


Terms Definition Audit Plan a document that provides the main guidance of the whole

audit process in order to achieve the audit objective in an efficient and effective way. It provides an integrated description of the audit client and the audit by serving as a quide for the whole audit.

Audit Program guidelines for action during the execution phase of the audit. Audit programs set out the detailed audit procedures for cost effective collection of evidence. It contains the audit objective, the step by step audit procedures to accomplish the audit objective, the auditor responsible to perform the procedures, and the specified timeframe.

Audit Procedures established and official way of conductinq the audit activities Cause the immediate and proximate reason/s for the condition for

which substantial evidence will be used as basis of the audit recommendation. It may also refer to the probable cause which needs only to rest on evidence showing that more likely

The only controlled copy of this document is the online version maintained in the Easy Docs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

Philippine Statistics Authority Doc Ref No.: 16QMSAR-5



AUDIT REPORTING Page No.: 2 of 5

than not, the act/s or omission/s of the personnel responsible had caused the non-compliance which may warrant the conduct of administrative proceeding by the disciplinary authority - in case of compliance audit; and root cause - in case of management/operations audit. Root cause is a structured investigation that aims to identify the true cause of a problem and the actions necessarv to eliminate it.

Conclusion also referred to as the "conclusion of facts" which is defined as an inference drawn from the subordinate or evidentiary fact.

Condition also referred to as the "finding of facts" which is defined as the written statement of ultimate facts essential to support the audit findings (includes consequences, effects or impacts).

Criteria the standards against which a condition is compared with (i.e. , laws, rules, regulations, policies, orders, guidelines, procedures, plans, targets, best practices).

Evidence any physical, documentary, testimonial, analytical or electronic proof, sign or information that supports the condition determined during audit engagements. Evidence/s should be sufficient and appropriate (substantial), competent and relevant.

Exit conference an avenue to discuss the highlights of the audit findings with the audit client and/or the responsible official who has sufficient knowledge about the audit area. It also provides an opportunity to get the comment of the audit client and insights about the significant issues as a way of validating audit findings.

Management Comments the comments of the audit client. It should be taken into consideration so as to arrive at workable recommendations and obtain the commitment of the audit client towards performing remedial actions - as a manifestation of progressive attitude towards the audit findings.

Rejoinder response of the Audit Team in a form of clarification to the comments of the audit client.

Root Cause is a structured investigation that aims to identify the true cause of a response of a problem and the actions necessary to eliminate it.

Working Papers contain sufficient information to allow an experienced auditor having no previous connection with the audit engagement to ascertain from them the evidence that supports the findings of the auditors.

The only controlled copy of this document is the online version maintained in the Easy Docs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is w ith the Records Unit of the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

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Key Activities Responsible Reference

Document/Record

Audit Reporting • Format of • Internal Auditor I, Internal Audit

Evaluate Management Internal Auditor II Report Comments and Senior Internal

Auditor • Format of Memorandum

~' from the

• Senior Internal National Review Internal Audit Auditor, Supervising Statistician and

Report Internal Auditor and Civil Registrar Chief Internal General Auditor

• Approve Internal Audit • National Statistician

Report and Civil Registrar General

5.1 Evaluate Management Comments

5.1.1 Internal Auditor I, Internal Auditor II and Senior Internal Auditor

a. Analyze the comments of the audit client within 10 working days after the Exit Conference in relation to the arguments and evidence submitted vis-avis the working papers and evidence gathered during the audit engagement.

b. Analyze the comments of the audit client during the Exit Conference, if the audit client does not provide written comments within 5 days after the said conference.

c. Prepare a rejoinder on the comments of the audit client.

d. Incorporate the comments and rejoinder in the internal audit report together with the following:

• Table of Contents; • Executive Summary; • Detailed Audit Findings; • Monitoring and Feedback on Prior Year's Recommendations, if

applicable; • Recommendations; and


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• Appendices.

e. Draft the following memoranda:

• For the National Statistician to sign on the memorandum for the audit client;

• For the audit client indicating observations, recommendations with timelines and uniUpersonnel responsible.

5.2 Review Internal Audit Report


a. Review the internal audit report in terms of accuracy vis-a-vis the working papers and extent of achievement of audit plans and programs.

b. Conduct team discussions on the progress of audit reporting.


a. Review the internal audit report in terms of the application of the standard operating procedures, policies and guidelines in internal auditing.

b. Check the extent of achievement of the internal audit work plan of the audit engagement.


a. Review the internal audit report in terms of implications on the process/functions/application systems.

b. Recommend the approval of the internal audit report.

5.3 Approve the Internal Audit Report


a. Review the internal audit report in terms of implications on the strategies and thrusts the PSA.

b. Approve the internal audit report.


a. Stamp the control number in the internal audit report based on the following convention:


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Internal Audit Report No. NN - YYYY

Where:

NN - assigned document number for the Internal Audit Report

YYY - year of the audit execution

b. Record the internal audit report and memorandum in the logbook.

c. Release the internal audit report and memorandum.

6.0 Attachments

m::i~r-uiternal Audit Report emorandum from the National Statistician


Reviewed by:

~PINAS Assistant National Statistician QMS Core T earn Leader and Secretariat Head

Approved by:

~·4 ~~ LISA GRACE s11fER~LES, Ph.D. National Statistician and Civil Registrar General

The only controlled copy of this document is the online version maintained in the EasyDocs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is w ith the Records Unit of the General Services Division. The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

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D. Audit Follow-through

1.0 Purpose



2.0 Scope

This procedure applies to all audit follow-up activities undertaken to check the extent and ensure the implementation of audit recommendations designed to address the audit observations.

This procedure likewise covers the monitoring and evaluation of audit recommendations, as well as resolving the non-implementation/inadequate action on audit recommendations.

3.0 References

NGICS, PGIAM, ISO Clauses, executive issuances, COA and CSC rues and regulations, relevant laws and office policies.


Terms Definition Audit Follow-up is a monitoring and feedback activity undertaken to ensure

the extent and adequacy of preventive/corrective actions taken by the Management to address the inadequacies identified during the audit. It aims to increase the probability that recommendations will be implemented. are the standards against which a condition is compared; standards can be laws, rules, regula\ions, policies, oroers, guiae\ines, procedures, plans, tarQets, best practices, etc.

Corrective Action an organization's actions to eliminate the causes of noncompliance/nonconformity in order to avoid recurrence.

Internal Audit Follow-up primary means of communication to be used during the Notification Memo audit follow-up. Preventive Action determined actions of the organization to eliminate the

causes of potential non-compliance/nonconformity in order to avoid their occurrence.

The only controlled copy of th is document is the online version maintained in the EasyDocs. The reader must ensure document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed. that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Service Division. The user should secure the latest revision of this

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Key Activities Responsible Reference

Document/Record

Audit Follow-through • Matrix of Audit Observations and

Monitor Implementation Recommendations

• IAD Team and of Approved Audit the National • Format of Recommendations Statistician Evaluation Report

i • Format of Audit

Evaluate Implementation • IAD Team and Follow-up Report

of Approved Audit the National Statistician

Recommendations

i • IAD team and

Resolve Non-/lnadequate the National Implementation of Statistician Recommendations

5.1 Monitor Implementation of Approved Audit Recommendations

5.1 .1 Internal Auditing Assistant

a. Encode the received status report in the databases of audit observations and recommendations.

5.1 .2 Internal Auditor II and Internal Auditor I

a. Review the extent of implementation of audit recommendations in the database of audit observations and recommendations on the following:

1. Sufficiency in the submitted proof of implementation. 2. Observance of timeliness in the action plan committed to address the

audit observations.

b. Recommend the conduct of validation with the auditee using the following parameters:

1. Prioritization based on tagging of audit recommendations - Policy enhancement and compliance to laws, rules and regulations is high

The only controlled copy of this document is the online version maintained in the Easy Docs. The reader must ensure document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed. that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Service Division. The user should secure the latest revision of this

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AUDIT FOLLOW-THROUGH Page No.: 3 of7

priority; procedures enhancement is medium priority; compliance to office policies and procedures is low priority.

2. Prioritization based on submitted proof of implementation.

5.1 .3 Supervising Internal Auditor

a. Review the Audit Plan, including timelines on the conduct of follow-up.

b. Instruct the lead Senior Internal Auditor to prepare the special order, audit follow-up notification memorandum and list of recommended follow-up activities.


a. Prepare the draft special order and audit follow-up notification memorandum indicating the need to submit the status of implementation of audit recommendations.

b. Submit the draft special order, audit follow-up notification memorandum and list of recommended follow-up activities to the Supervising Internal Auditor.


a. Review and endorse the audit follow-up notification memorandum and special order to the Chief Internal Auditor.


a. Review the audit follow-up notification memorandum and special order.

b. Recommend the approval of the audit follow-up notification memorandum and special order to the National Statistician and Civil Registrar General.

5.1. 7 National Statistician and Civil Registrar General

a. Review the draft audit follow-up notification memorandum and special order.

b. Approve the draft audit follow-up notification memorandum and special order for release.


a. Indicate the number of the Audit Follow-up Notification Memorandum using the following convention:

The only controlled copy of this document is the online version maintained in the EasyDocs. The reader must ensure document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed. that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Service Division. The user should secure the latest revision of this

Philippine Statistics Authority Doc Ref No.: 16QMSAF-5



AUDIT FOLLOW-THROUGH Page No.: 4of7

No. X-YYYYY where X is the number assigned to memorandum and YYYYY is the year of issuance

b. Record the numbered Audit Follow-up Notification Memorandum on the logbook

c. Reproduce file of Audit Follow-up Notification Memorandum.

d. Release the Audit Follow-up Notification Memorandum to recipient.

5.2 Evaluate Implementation of Approved Audit Recommendations

5.2.1 Internal Auditor I and Internal Auditor II

a. Verify implementation of audit recommendations through:

• Policy and procedures enhancement - check the special orders on provision/s that address the control and performance gaps

• Compliance to Office Policies and Procedures - conduct test of transactions

b. Conduct interviews with head of the unit and staff to determine the reasons behind the non-implementation/inadequate action on audit recommendations.

c. Record the results of verification and interview in the working paper.


a. Evaluate the following based on results of verification and interviews:

• Extent of implementation of audit recommendations • Sufficiency of evidence provided • Root cause analysis for the non-implementation/inadequate action on

audit recommendations

b. Prepare the report incorporating the results of the validation and evaluation.

c. Submit the report to the Supervising Internal Auditor.


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5.2.3 Supervising Internal Auditor and Chief Internal Auditor

a. Review the validation and evaluation report on the sufficiency of evidence provided.

b. Recommend the approval of the report to the National Statistician and Civil Registrar General.

5.2.4 National Statistician and Civil Registrar General

a. Review the validation and evaluation report.

b. Instruct the change of status of audit recommendations from "Recommendation" to "Implemented", if with sufficient evidence.

c. Instruct the Internal Audit Division to request for additional evidence of implementation, if needed.

5.2.5 Senior Internal Auditor, Internal Auditor II and Internal Auditor I

a. Obtain additional evidence of implementation from the auditee.

b. Forward the additional evidence of implementation gathered to the Supervising Internal Auditor.


a. Review the additional evidence of implementation gathered.

b. Recommend the appropriate action in case of insufficient evidence.

c. Prepare a draft memorandum to the auditee on the request for justification for non-implementation/inadequate action on audit recommendation.

d. Attach the draft memorandum to the evaluation report.

e. Submit the draft memorandum with the evaluation report to the Chief Internal Auditor

5.2. 7 Chief Internal Auditor

a. Review the draft memorandum and evaluation report.

b. Change the status of audit recommendations from "Recommendation" to "Implemented", if there is sufficient evidence.Forward the evaluation report to the National Statistician and Civil Registrar General.


fl Philippine Statistics Authority Doc Ref No.: 16QMSAF-5

!'; <So ~ ~ Quality Management System Effective Date: 8 Dec2016 : , >'. ;;; ~


~ ~ ~ .. AUDIT FOLLOW-THROUGH Page No. : 6 of 7


a. Review and approve the release of the report on the sufficiency of evidence presented and/or feasibility of proposed action plan.

b. Review and approve for release the report.

c. Review and approve for release the memorandum requesting for justification for non-implementation/inadequate action on audit recommendations.


a. Release the memorandum to the intended recipient.

5.3 Resolve Non-implementation/Inadequate Action on Recommendations


a. Review the response of the auditee on the non-implementation/inadequate action

on audit recommendations.

b. Draft Audit Follow-up report containing the following:

• Audit observations on the non-implementation/inadequate action on audit recommendations

• Justification for non-implementation/inadequate action on audit recommendations Draft Special Order on the conduct of compliance/management/operations/ information systems audit by a Team and the budget and broad timelines on planning, execution and reporting of audit.


a. Evaluate the Audit Follow-up report.

b. Recommend legal/management action for non-implementation/inadequate action on audit recommendations in a form of a memorandum for the National Statistician and Civil Registrar General on the matter.

The only controlled copy of this document is the online version maintained in the Easy Docs. The reader must ensure document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed. that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the Records Unit of the General Service Division. The user should secure the latest revision of this

~ Philippine Statistics Authority Doc Ref No.: 16QMSAF-5

;; q<!( ~

Quality Management System • <) Effective Date: 8 Dec201 6 :: ·,~ .,: ..),

Standard Operating Procedure Revision No.: 0 ~ f'/ ~.10 .... ~ .. 'ri°" AUDIT FOLLOW-THROUGH Page No.: 7 of 7


a. Review the Audit Follow-up report and recommended legal/management action for non-implementation/inadequate action on audit recommendations.

b. Forward the report and recommended actions to the National Statistician and Civil Registrar General.


a. Review the Audit Follow-up report and recommended legal/management action for non-implementation/inadequate action on audit recommendations.

b. Approve the report and the memorandum on the recommended legal/management action for non-implementation/inadequate action on audit recommendations.


a. Release the approved recommendations to the Legal Service, if appropriate.

6.0 Attachments

atrix o udit Observations and Recommendations For of Evaluation Report

mat of Audit Follow-up Report

ALCOLM C. QUEYQUEP OIC-Division Chief Internal Audit Division

Reviewed by:

~MPINAS Assistant National Statistician OMS Core Team Leader and Secretariat Head

Approved by:

~~i,~ LISA GRACE S. BERSALES, Ph.D National Statistician


Process: MANAGEMENT

1Nonconforming1

l !Product/Service Routing of official documents without proper endorsement and/or attachments

Different interpretations of OCRG Memos by some LC Rs

Partial/non-implementation of approved audit recommendations

Non-submission of travel reports within the prescribed period (International travels) Failure to seek clearance prior to implementation of changes in the schedule of activities



CONTROL OF NONCONFORMITY MATRIX

Initial Disposition ~ I -

Colirection -Action1 Responsibility 1 f: Action Responsibility

Issuance of ONS Core Incorporation in PMS Memo by the the

ONS reiterating communication the need for flow procedures

proper endorsement and/or initials Reiteration of OCRG, Continuous OCRG

memo and through Legal monitoring of and conduct of Service and coordination with

seminars and CRS the different LCRs trainings

Conduct follow- IAD Issue IAD through memorandum

from NS

Send e-mail ICU Issue ICU reminder to memorandum submit the from NS

required report Verbal PMS Issuance of NS

reiteration of the memorandum need for

clearance to avoid further

overlap of activities

Doc Ref No.: 16QMSCN-6


Revision No.: I 0

Page No.: I 1 of 2

Reference Authtority I

Dir. Memorandum Reynor R. and ISO Imperial provisions

Lisa Grace RA 10625 and S. its IRR,

Bersales, Memorandum Ph. D. and ISO

provisions

Lisa Grace SOP and ISO S. provisions,

Bersales, PGIAM Ph.D.

Lisa Grace Memorandum s.

Bersales, Ph. D.

Lisa Grace Office S. Memorandum,

Bersales, Calendar of Ph. D. Activities

~··a'--r ,n1cs_"t: · ,

~ $ ~ ~ ·.1 =i ~ (!

Philippine Statistics Authority Doc Ref No.: I 16QMSCN-6

Quality Management System Effective Date: I 8 Dec 2016

Page No.: I 2 of 2 N¢ONFORMITY MATRIX

Revision No.: I 0

1'.LCOLM C. QUEYQUEP OIC-Division Chief Internal Audit Division

Reviewed by:

M~MPINAS Assistant National Statistician QMS Core Team Leader and Secretariat Head

Approved by:

~-~cf·~ LISA GRACE S. BERSALES, Ph.D. National Statistician

- l

Philippine Statistics Authority Doc Ref No.: 16QMSCN-6

Quality Management System Effective Date: 8 Dec 2016

Revision No.: I 0 CONTROL OF NONCONFORMITY MATRIX

Page No.: I 1 of 4

Process: OPERATIONS

N0Jil·G0rt1for:n:ij ng I nitia'I IDlispos'i.tion1 - . .. - ~ -

~00rmectf<1m. - l Referce.111c.e , I

'PrnG!l!.c:ttSeliVice If ~ctiorn I Responsibility J. -- - ~~tl<;m1 'IResponsibili~~ ~uthorrit~fo' r I 8.1 Statistical Planning, Control and Standards Development

• Delayed Acknowledge SSD Coordinate with the SSD, ANS, NS RA 10625

review/ release receipt and requesting agency or PSA DNS and its IRR

of survey inform the unit on when the required

clearance applicant of documents will be

number due to missing submitted.

incomplete documents supporting documents

• No formal review process Inform the PSA Board/ SMD, ANS, NS RA 10625 undertaken on client/ Execom/ NS Convene the concerned DNS and its IRR the issue/ proponent of IAC/TCffWG to study and policy or this come up with standard requirement fin dings/recommendations

on the policy or statistical (nonfulfillment Refer the standard of requirement) matter to the

concerned IAC/TC.

~C,"(~'"! , STJC'.1" 1,

~ -;, s ~ a: !! "' ~

• Low compliance on the designated statistics

8.2 Statistical Coordination and Advocacy

• No Board meetings conducted

• No IAC/TWG meetings conducted during the year due to unavailability of chairperson/ lack of quorum/ members

8.3 Statistical Operations

• Late release of statistical tables

• Non-response of survey respondents



CONTROL OF NONCONFORMITY MATRIX

Provide SPPD Revisit/amendment of feedback to designated statistics concerned agencies

Call attention of Board Sec/ Call for Board Agenda; Board Sec PMS Convene special Board

meeting

Call attention of SMD, RD, PSO Reconstitute the IACffC coordinators

Coordinate with Subject Matter Further review and client Division evaluation

Report to Concerned Negotiation/enforcement of supervisor personnel existing laws



Revision No.: I 0

Page No.: I 2 of 4

SMD, ANS, NS RA 10625 DNS and its IRR

Board NS RA 10625 Secretariat

SMD, ANS, NS Guidelines DNS on IACffC

Subject ANS/ Applicable Matter DNS procedure

Division PSO, RD, NS RA 10625;

Legal Operations Manual

) ) )

~ Philippine Statistics Authority Doc Ref No. : 16QMSCN-6

"' -$-~ " Quality Management System Effective Date: 8 Dec 2016 . e ~ ~

'S / Revision No.: 0

CONTROL OF NONCONFORMITY MATRIX ~~.'4<"' Page No.: 3 of 4

• Delay in the Report to RD, PSO Standardize/I nstitutiona lizatl Subject ANS/ Operations availability of Subject Matter on of systems Matter DNS Manual systems for Division Division machine processing

• Errors in data Learning RSSOs/PSOs/ Implementation of Capacity- ONS, CTCO, NS Capacity collection sessions/ SSO/ building plan SSO, HRD Building

Mentoring/ CTCO Plan Knowledge Sharing

• Surveys not Rendering RSSOs/PSOs, Rationalization/Streamlining PMS, SSO, NS Calendar of completed on overtime CTCO, SSO of statistical activities CTCO Activities time services to and

cope up with Workplan survey time frame

8.4 Civil Registration Release of false Re-verification CRS Outlets Print correct document CRS OS/OM CRS negative COLB & in the database Procedures CENOMAR Wrongly issued Re-verification CRS Outlets Print correct document CRS OS/OM CRS COLB, COM, COD in the database Procedures Wrongly annotated Discuss with RD Re-work CRS ANS,DN CRS CR documents the client and s Procedures issued send to Central

Office Existence of multiple Tag multiple CRS Outlets Block records in the central Civil Registry ANS CRS reg istered records of images facility Service/Centr Procedures an individual in the al Facility database


-~ t Quality Management System F1 ?!. "' ~ ti ~ ... ,. y CONTROL OF NONCONFORMITY MATRIX

·~,.,·

Lack of Take negative policy/guidelines in certification as the issuance and it is utilization of ne ative certification Outdated systems Utilize for e.g. PHILCRIS encoding/

database onl Outdated systems I Accept man~al I e.g. BREQS . requests from

BREQS clients

CRS Outlets Come up with policy/guidelines

PSO Enhance/update the system

CRS Outlets I Enhance/update the system I




Revision No.: 0

Page No. : 4 of 4

RDs, Civil NS CRS Registration I I Procedure Service ANS

ANS, ITDS I NS I

ANS, ITDS I NS I

Reviewed by:


Approved by:

Manual

Manual

~'~g.~ LISA GRACE S. BERSALES, Ph.D. National Statistician

~<.)\~\ IH/(;1',y

"" _, ~ 0 ~! ~·~ .:..: r1 I~ • •:

Process: SUPPORT

' N'o.nccm'forriming I

Product/Service Financial ManaQement

• PSA adheres to the various oversight agency rules such as: COA Circulars, DBM Circulars

Delayed recording/taking-up of liquidations from field offices for Trust Fund resulting to "Unliquidated Cash Advances" in the books of Central Office

Legal Support • The legal

service unit adheres to all rules and regulations pertaining to the operations of PSA



CONTROL OF NONCONFORMING OUTPUTS

l'nitial iDisposi'tia>n Correction Action Responsibil itv Action Responsibility

Verification/tracking Receiving Unit Acknowledgement Accounting of submitted and timely Division, liquidation reports recording of ANS, DNS

liquidation reports, review of flow of documents



Revision No.: I 0

Page No.: I 1 of 4

!Refelience Authority

NS COA Circular 2006-005, MOA with funding agency

~ Philippine Statistics Authority Doc Ref No.: 16QMSCN-7

,:>. ~ -~ 0 Quality Management System Effective Date: 8 Dec 2016 ~' t

if: ~

~ w CONTROL OF NONCONFORMING OUTPUTS Revision No.: 0

~ .. ~ .... -: Page No.: 2 of4

Human Resource Manaoement

• PSA adheres to CSC rules and regulations and other issuances

Delays in processing of Fast-tracking of HRD Clear guidelines HRD NS EO 298 s. 2004 foreign travel authority supporting on flow of due to lack of documents documents supporting documents i.e . approved clearance, certificate of no pending case;

Research and Development 1 . No Prepared Strict compliance Research Plan prior to the procedure to conduct of in conducting SMU NS research study;and research study

Strict 2. Non-compliance of implementation of SMU NS the prescribed the guidelines for guidelines for the the preparation of preparation of the research plan research plan Information Manaoement

~-:;\t:mnc:s

. ~; ~) .. ", .,1

:; -j .... ~

Wrong posting in the PSA website; and "dead link" which is either no source or wrong link

Records Manaqement No PSA Records Disposition Schedule

Procurement Management 1. PPMPs submitted do not reflect the actual needs of the end-users or implementing units hence, the preparation of supplemental PPMPs; and

2. Non-submission of attachments to the Procurement i.e.



CONTROL OF NONCONFORMING OUTPUTS

Pull out and revise Web Team Strict Web Team or issue/post implementation of advisory review and

approval procedures before posting

On-going Inventory GSD-records Preparation of GSD-Records of records per unit PSA Disposition Unit division (Central Schedule Office)

On-going guidelines GSD- Preparation of GSD for preparation of Procurement Customized PPMP and PSA Unit/SAC Procurement customized Secretariat Manual Procurement Manual

Personal follow-up from end-user GSD- Clear guidelines GSD-

Procurement on flow of Procurement



Revision No.: I O

Page No.: I 3 of 4

NS Terms of Reference of Web Team

NS RA 9470, General Records Disposition Schedule

NS RA 9184

NS RA 9184

Cl " ;.>.~ ~ ()

::; If'. !t; a1 "' '<

~ ~ ·~iv.·

Contracts for Lease of Venue for posting in the PhilGEPs and for the Monitoring Report Physical Resources Manaaement

Refusal of end-user to accept accountability of issued property

Philippine Statistics Authority Doc Ref No.: 16QMSCN-7

Quality Management System Effective Date: 8 Dec 2016

Revision No.: 0 CONTROL OF NONCONFORMING OUTPUTS

Issuance of Property Acknowledgement Receipt (PAR)

Unit

End-user, GSD-Property Unit

OIC-Division Chief Internal Audit Division

documents

Approval of PAR

Unit

End-user, GSDProperty Unit

Reviewed by:

NS

Page No.: 4 of4

COA Handbook on Property and Supply Management, 2015 Government Accounting Manual(GAM

M~INAS Assistant National Statistician QMS Core Team Leader and Secretariat Head

Approved by:

~~g.~ LISA GRACE S. BERSALES, Ph.D.

National Statistician

ti Philippine Statistics Authority Doc Ref No.: 16QMSCA-8

~ -So S' () Quality Management System Effective Date: 8 Dec 2016 ~= l ... ""

Revision No.: 0

~~.V' CORRECTIVE ACTION Page No. : 1of 4

1.0 Purpose

The purpose of this procedure is to ensure that causes of detected nonconformities are eliminated in order to prevent recurrence.

2.0 Scope

This procedure applies to nonconformities found in the implementation of the quality management system.

3.0 References

Internal Quality Audit Control of Nonconforming Outputs


Nonconformity

Corrective Action


Non-fulfillment of a requirement

Action to eliminate the cause of a detected nonconformity or other undesirable situation, and prevent recurrence

Reference Ref. Key Activities Responsible Document/ No. Record 5.1 Review detected and • Receive and Process Request for

potential review the Owner Action (RFA) nonconformity Request for Action

• Identify concerned staff who will be involved in corrective action

5.3 Determine the cause • Conduct root Process RFA of nonconformity cause analysis Owner

• On site verification

• Problem Tree Analysis

5.4 Determine and .• Develop, plan and Process RFA implement the action recommend Owner needed corrective actions

• Approve corr.ecfule acti.ous ..

\ ~ ~

-·-

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I

Ref. No.

5.5



CORRECTIVE ACTION

Key Activities

corrective actions • Monitor the

implementation status of corrective actions

Review corrective • Review the action taken implementation

status and evaluate the effectiveness of corrective actions

Doc Ref No.: 16QMSCA-8


Revision No.: 0

Page No.: 2 of 4

Reference Responsible Document/

Record

Management RFA, OMS Leader Corrective

Action Status Report

5.1 Reviewing Nonconformity

5.1 .1 The corrective action procedure is triggered by Request for Action from other processes/procedures in response to identified nonconformities from:

i. internal quality audits ii. Client complaints (from the Monitoring and Measurement of

Customer Satisfaction/suggestion box/hotline - 8888/ARTAReport Card Survey Results)

iii. qualified nonconforming outputs (from Control of Nonconforming Outputs)

iv. poor process performance results and unacceptable deviations from the organization's programs and plans (from management reviews)

5.1.2 The initial review of the Request for Action considers:

i. The extent and impact of the reported nonconformity. ii. The processes contributing to and affected by the reported

nonconformity. iii. The prevailing situation (external) to the organization iv. The limitation and weaknesses of the corrective action

5.1.3 The concerned process owner identifies personnel who need to be involved in corrective action. This may extend to personnel outside his/her own division/unit. Coordination with the other concerned division/unit should be established.

The only controlled copy of this document is the online version maintained in the Easy Docs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the General Services Division The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.


.:- ~ Quality Management System ::t <"> Effective Date: 8 Dec 2016 ~! ~

... o(

Revision No.: 0

~~~·~'I CORRECTIVE ACTION Page No.: 3 of 4

5.2 Determining the Cause of Nonconformity

5.2.1 All occurring nonconformities are subjected to root cause analysis to be able to come up with corrective action plans.

5.2.2 Root cause analysis considers the different factors contributing to the nonconformity, including:

i. Manpower - personnel competencies and their ability to consistently perform their functions as required.

ii. Machine - the availability of appropriate tools, equipment and facilities to enable effective operations

iii. Methods - the availability and consistent application of appropriate procedures, guidelines and standards

iv. Materials - the availability of the needed materials and supplies to enable effective operations.

v. Environment - the condition of the surroundings, facilities, and work environment

5.2.3 Where several root causes are identified, they are prioritized relative to their contribution to the nonconformity

5.2.4 If needs arises, on-site verification is conducted. On-site verification includes spot checking, personal visit or inspection of lace where the nonconformity occurs and/or interview of the key informant to help clarify the nonconformity.

5.3 Determining and Implementing Corrective Actions

5.3.1 Based on the root causes identified, corresponding corrective action plan is developed and approved by the concerned process owners.

5.3.2 Planning of corrective actions (solutions) involves the following:

i. generation of alternative solutions ii. the selection of the best solution (from the alternatives) iii. the identification of activities, resources, responsibilities and

timeliness needed to implement the selected solution. iv. Past experiences/benchmarking/pilot study

5.4 Reviewing the Status of Corrective Actions

5.4.1 The IQA Team .reviews the root causes and corrective action plans documented in the RFA. The team also monitors the implementation of the action plans.

The only controlled copy of this document is the online version maintained in the EasyDocs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the General Services Division The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.


~ ..1,,.

Quality Management System Effective Date: ' · () 8 Dec 2016 :.1 .. ~ . ' ,.,,. ""=

Revision No.: 0 ~ ~ CORRECTIVE ACTION ~ ..... Page No.: 4 of 4

5.4.2 The implementation status and effectiveness of corrective actions is also periodically reviewed and evaluated by the concerned process owner; any related issues are primarily addressed.

5.4.3 Corrective actions are collectively reviewed by the Management Committee (under management review). Depending on the nature of the solution and the associated nonconformity, monitoring and review continues for at least 3 months after implementation, after which the corrective action is deemed completed.

6.0 Attachment

OIC-Division Chief Internal Audit Division

Reviewed by:

M~PINAS Assistant National Statistician QMS Core Team Leader and Secretariat Head

Approved by:

~~J·~ LISA GRACE S. BERSALES, Ph.D. National Statistician

The only controlled copy of this document is the online version maintained in the EasyDocs. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the General Services Division The user should secure the latest revision of this document from the EasyDocs. This document is UNCONTROLLED when downloaded and printed.

REQUEST FOR ACTION (RFA)

~.~. --- -- Section 1 - Details of N<ificonforffitty (To be accomplish'ei:l by the Auditor/ Initiator) -- ~ - -Date: References: (manuals, procedures,

RFA Number:

policies, /SO clauses, etc.) Nonconformity (Non-fulfillment of Auditor/ requirement)

Initiator: Observation (Does not signify failure in Signature over Printed Name the system but maybe enhanced)

Details: (As a result of) Office:

D Internal Quality Audit D Customer Feedback D Other (Pis. specify)

Issued by: Issued to: (Office Head)

Signature over Printed Name Signature over Printed Name

Description of the Nonconformity/Observation: (Include evidence)

Acknowledged by:

- Sectlorf 2 - Nec~ary Action(s) (f o be accomplished by the Auditee/ Process owner) -Correction: Target Completion Date:

Root Cause Analysis: Analyzed By:

Describe the necessary Corrective Action(s):

Approved By: Target Completion Date:

Section 3 ~Verification of Implementation and Effe"'Ctiveness (fo be accomplishedJ2y the Initiator) --Results of Action(s) Taken Remarks






Rev. O

CORRECTIVE ACTION STATUS REPORT (Year )

RFA Details Date Target Verification Date/

No. NC Description

(as a result of) Initiator Recipient

Issued Date of Status

Implementation First Second

Rev. 0