PHILIPPINE RETIREMENT AUTHORITY · 6.2 Planning for the IQA r QMS Auditors. QMR r QMS Secretary a...

PHILIPPINE RETIREMENT AUTHORITY

CERTIFICATIONThis is to certify that the Philippine Retirement Authority (PRetA) has conducted the lnternal Quality Audit(lQA) for the following core, management, and support processes:

The IQA was conducted after the intensive lS0 9001:2008 training series attended by PRetA's Core Teamunder the technical guidance of a certified lS0 9001:2008 Consultant,

To serve as references, attached are the following lSO-related documents:

1. Approved lnternal Quality Audit Procedure (Annex A)2. Approved Audit Plan and ltinerary (Annex B)

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REPUBLIC OF THE PHILIPPINESDEPARTMENT OF TOURISM

2BlF CiiibankTower, ET4l Faseo de Roxas, Makati City 1220, PhilippinesTel. No.: +632.848.1412 Fax No.: +632.846.7'tr06 MCPO Box : 1147

Email address: [email protected] Website: www.pra.gov^ph-

RETINEMENT MORE FUX IN THE-

PH #. ffiPI N ES

DATE PROCESS AUDITED TYPE OF PROCESS

20 October 2017

1. Market Development Core2. lmplementation of Market Plan Core

3, Recruitment of SRRV Applicants Core

4. Enrollment of SRRV Applicants Core5. Provision of Membership Services Core

23 October 2017 6. Manaqinq lnfrastructure Support24 October 2017 7. Planning Process Manaqement

8. Performance Monitoring and Assessment ofCorporate Performance

Management

9. Management of Human Resources Support26 October 2017 10. Manage Financial Resources Support27 October 2017 11. Manaoement of Procurement Support

07 November 2017 12. Manaqement of Goods and Services SuPPort

/FEo,\"ATTY.

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PHILIPPINE RETIREMENTAUTHOHry Page No. 1of 9

Quality Management System lssue No. 002

Quality Procedurelnternal Quality Audit lssue Date: Ociober 2017

Document Code: PRA-QM-QPRO.OOOs

INTERNALAUALITY AUDIT

PROCEDURE

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PHILIPPINE RETIREMENTAUTHORITY Page No. 2of9

Quality Management System lssue No^ ao2

Quality Procedurelnternal Quality Audit lssue Date: October 2017

Document Code: PRA-QM-QPRO-OOO5

1.0 Purpose

The lntemal Quality Audit procedure is established to ensure that the QualityManagement system (aMS) conforms to the planned arangements andrequirements of lso 9001:2008. This procedure ensures that the eMS iseffectively implemented, maintained and improved.

2.0 Scope

This procedure is implemented within the pRA eMS including themanagement, core, and support processes and shall be conducted by eMSauditors. The procedure shall start from the selection of QMS auditors up tothe monitoring of CAPA.

3.0 References

The following documents are used as references in the implementation of thisprocedure:

3.1 ISO 9001:2008 - QMS Requirements, Clause 8.2.2

3.2 Control of Records Procedure

3.3 Conective and Preventive Action Procedure

3.4 Control of Non-Conformity Procedure

3.4 tSO 1901 1:2011- Guidelines for Auditing Management Systems

3.5 PhilippineGovernmentlntemalAuditing Manuat(pGlAM)

4.0 Definition of Terms

Term DefinitionAudit Checklist A set of criteria which shall serve as a quide to an auditor.Audit Evidence The qualitative or quantitative record, statement of facts or

other information, which shall be verifiable and relevant to theaudit activity.

Audit Finding The result of the evaluation of the collected audit evidenceagainst audit criteria.

Audit Plan Description of activities and arrangements for an audit.Audit Schedule Set of one or more audits planned for a specific timeframe,

directed towards a specific purpose, including the assignmentof auditors.

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PHILIPPINE RETIREMENTAUTHORITY Page No. 3 of 9



Document Code: PRA.QM-QPRO-OOO5

Term DefinitionCAPA Registry A logbooUdatabase used for tracking the status of issued

CAPAS.

Conective Action Action to eliminate the cause of a detected nonconformity orother undesirable situation. Corrective action is taken toprevent recurrence.

CorrectiveAction/PreventiveAction (CAPA) Form

A form used to keep record of any nonconformity (NCyOpportunity for improvement (OFl) and the corresponding rootcause analysis and actions taken to address it.

lnternal Quality Audit(r0A)

A systematic, independent and documented process forobtaining audit evidence and evaluating it objectively todetermine the extent to which criteria are fulfilled.

IQA Report Set of documented findings per particular area issued by eMSauditor as a result of conducting lQA.

Nonconformity (NC) Non-fulfillment of a requirement or deviation from the standard.

Opportunity forlmprovement (OFl)

An observed situation, not necessarily a deviation of arequirement or standard, that if addressed will lead toimprovement of the process.

Preventive Action Action to eliminate the causes of potential nonconformities orother undesirable situation. Preventive actions shall be takento prevent the occurrence of nonconformities.

Summary of IQAFindings

List of observations and findings during the conduct of the leAand the corresponding actions taken. lt is also a tool used forreporting to the management the evaluation made by the QMSauditors.

5.0 Responsibilities

Designate ResponsibilityManagement Provides supervision or oversight function on a particular unit

and approves the analysis and action required for detectednonconformities.

Quality ManagementRepresentative (QMR)

Oversees the implementation of the IQA Program andapproves the selection of QMS auditors. Renders overallauthority on the disposition of IQA findings/conclusions.

Deputy QualityManagementRepresentative(DQMR)

Assists the QMR in performing assigned duties andresponsibilities and assumes the responsibilities of the QMR inhis absence.

PRA. QMSSecretariat

Provides administrative and logistic support for the auditprocess. a

QMS Auditors / AuditTeam

Conducts audit through proper implementation of lnternalQuality Audit procedure. Composed of the internal qualityauditors representinq all Departments of the Authoritv. The

ffisPHILIPPINE RETIREMENT

AUTHORITY Page No. 4of9


Quality ProcedureInternal Quality Audit lssue Date: October 2017

Document Code: PRA-QM-QPRO-OOO5

Designate Responsibilityteam may be composed of team leader, member and/orobserver.

Observer Accompanies the audit team but does not audit, does notinfluence or interfere with the conduct of the audit. lt can befrom or outside the auditee's groupldivision, or an auditor-in-training.

QMS Audit Head Oversees conduct of audit and ensures that activities aie Oonewithin the planned schedule.

Auditee The PRA department/divisionlpersonnel being audited. Alsoreferred as "process owner."Ensures that appropriate correctionlconective actions arecarefully reviewed and implemented and are taken withoutundue delay to eliminate nonconformities identified and theircauses.

6.0 Procedure Outline

Ref.No.

Key Activities Responsible Reference DocumenURecord

6.1 Selecting and Managingthe QMS Auditors

r QMS AuditHead

r QMR

a 201 FilesOffice Ordera

6.2 Planning for the IQA r QMS Auditors. QMRr QMS Secretary

a Audit PlanMemoranduma

6.3 Preparing for the IQA a QMS AuditorsQMRa

r Audit ltinerary Formo Audit Checklist

6.4 Conductins the IQA QMS Auditors6.5 Reporting the IQA r QMS Auditors

r QMR. CAPA Form. CAPA Registryr Control of Nonconformity

Procedureo CAPA Procedurer Audit Summary Report

6.6 Verifying Actions Taken QMS Auditors a CAPA ProcedureControl of RecordsProcedure

a

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PHILIPPINE RETIREMENTAUTHORITY Page NIo. 5ofS


Quality Procedure!nternal Quality Audit Issue Date: October 2017

Document Code: PRA-QM.QPRO.OOO5

7.A Procedure Details

7.1 $electing and Managing the QM$ Auditors

7-1.1 The QMS Auditors shall be selected in accordance withrelevant education training, skills, and experience.l And shallbe formalized through issuance of Office Order.

7 -1.2 A QMS Auditor possesses any or combination of the following:

a. Educational requirements

b. Industry and/or audit experience

c. Completed IQA Training course or other relevantquality trainings

7 .1.3 The competence of the QMS Auditors is enhanced throughconsistent participation in audits, attendance in leA Trainingsand other seminars related to lSO.

7.1.4 The auditors possess and exercise the six (6) principles ofauditing2.

7 .2 Planning for the tQA

7.2.1 Each QMS process shall be audited at least once a year.3

7 -2.2 QMS Auditors and QMS Audit Head prepares the audit plan forthe 12-month period before the start of a ealendar year.

7 .2-3 The QMR reviews the audit plan for the approval of the GeneralManager.

7.2.4 Once approved, QMS Secretary disseminates the copies ofaudit plan to all concerned Departments and Divisions within Sdays through a memorandum from the eMR.

7.2.5 \ldhenever necessary, QMR and eMS Audit Team may changethe approved audit schedule or conduct an unplanned auditbased on, but not limited to, the following:

. a. Unusual increase of quality-related problems. .l lSO 19011:2Afi Clause 7

'? lSO 1901 1:2A11 Clause 43 ISO go01:2008 Clause 8.2.2

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PHILIPPINE RETIREMENTAUTHORITY Page No. 6of9


Quality Procedurelnternal Quality Audit lssue Date: October 20'17

Document Code: PRA.QM.QPRO-OOO5

b. lntroduction of new PRA services and programs.

c. Major changes in QMS, personnel, and processes as perstakeholdefs request.

d. Unforeseen/unexpected circumstances.

7.2.5 The QMS Audit Head amends the audit plan within 2 daysafter the date of changes in schedule or unplanned IQA hasbeen finalized. Affected audit area shall be properly informed.

7.3 Preparing for the IQA

7.3.1 The QMS Audit Head together with the QMS Auditors formsteams based on the cabcaded audit plan.

7.3.2 Each QMS Audit Team prepares audit schedule using theAudit ltinerary form.

7.3.3 QMS Audit Team communicates the audit schedule to theDepartmentlDivision concemed through applicable andavailable media such as electronic or printed copy, and posting' at bulletin boards at least three (3) working days before theIQA activity.

7.3.4 The QMS Audit Team reviews applicable documents such asQuality Manual, Procedures, and Work lnstructions.

7.3.5 The QMS Audit Team reviews the previous audit reports,making notes of any areas that may require particular attentionand checking the actions taken from the last audit.

7.3.6 The QMS Audit Team prepares Audit Checklist based on theaudit objectives, scope and document review.

Conducting the IQA

7.4.1 The assigned QMS Audit Team Leader starts with an openingmeeting to reconfirm audit schedule, audit objective, scopewith the DepartmenUDivision concernedlprocess owner.

7.4.2 The QMS Audit Team gathers data by interviewing personnel,reviewing documents, observing processes, and verifyingrecords.

7.4

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FHILIPP}NE RETIREMENTAUT}IORITY Page No. 7of9

Quality Managenent System lssue No. 002

Qualfty Procedurolnternal Quality Audit lssue Date: October 2017

Docurnent Code: PRA-QM-QPRO.OOOs

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7.4.3 The QMS Audit Tearn records facts as evidences of the auditusing the Audit Findings Repo( fonn. $dhenever necessaryrecording devices may be used with proper notification fromthe auditee.

7 -4.4 The QMS Audit Team evaluates the same ta determine theobjective evidence of nonconformity.

7.4.5 The audit findings is classified as Nonconformity orOpportunity for lmprovement. Cornmendations and strengthsof ihe process or the system are also be noted.

7.4.6 After the audit, the QMS Audit Team conducts closing meetingto present the audii findings to the DepartmenUDivisionconcerned andlor process owner.a

7.4.7 Any disagreementslpoints for clarification are discussed duringthe closing meeting.

7.4.8 lf not resolved at this level, QMS Audit Team raises the issueto the QMS Audit l-'lead. lf still unresolved, this is raised to theQMR andlor GM.

Reparting the nQA

7.5.1 QMS Audit Team documents audit findings through the CAPAform.

7.5-2 QMS Secretary assigns reference number to the CApA fsrrnfor rnonitoring purposes and records in the CAPA Registry.

7.5.3 The QMS Audit Teanl issues the CAPA fonn to the auditeewithin five (5) working days after the conduct of audit.

7.5.4 The auditee acknowledges by signing on the CAPA form uponreceipt. ln case t*e CAPA issued was lost, auditee shallrequest a copy of CAPA from the QMS Secretariat.

7.5.5 The auditee conducts Root Cause Anatysis per audit findingsper Control of Nonconfsrmity Procedure.

7.5.6 The auditee formulates and implement appropriate conectionsand/or conective actionls according tc Conective andPreventive Action Procedure.

4 pctAlt Parr ll- Chapter II * Audit Process

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PHILIPPINE RETIREMENTAUTHORITY

Page No. 8of9

Quality Management System Issue No. 002


Document Code: PRA-QM-QPRO.OOO5

7.5.7 The auditee returns the accomplished CAPA form to the QMSSecretariat within five (5i working days from the date ofreceipt.

7.5.8 The QMS Secretariat updates the CAPA registry based on thesubmitted CAPAform.

7.5.9 The QMS Audit Head and QMS Auditors prepares and submitsa summary report of findings to the Management including itsconesponding conections, conective actions, and their statuswithin twenty (20) working days after the end of IQA cycle'

7.6 Verifying Actions Taken

7.6.1 The QMS Auditors verifies the implementation andeffectiveness of the actions taken according to Conective andPreventive Action procedures.

7.6.2 QMS Secretary files and maintains records obtained accordingto Control of Records Procedure.

8.0 Related Documents

8.1 Office Order

8.2 Control of Nonconformity Procedure

8.3 Conective and Preventive Action Procedure

8.4 Control of Records Procedure

9.0 Records Generated

9.1 CAPA Report

9.2 CAPA Registry

9.3 IQA Reports

9.4 Summary of IQA Findings

10.0 Provision for Amendment

This procedure shall be amended anytime whenever necessary'

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PHILIPPINE RETIREMENTAUTHORIry Page No. 9ofO


' Quality Procedurelnternal Quality Audit lssue Date: October 2017

Document Code: PRA.QM.QPRO-OO05

Prepared by:

PR.A QMS Corc Team

-'#* l. UlMARCELINA T. CARBONEL

-=6#PALMos

/*-ftct-.. ,f"4 -u{MERVIN A. MAGBUHAT

ffi65ffi'€'iu'{'

Reviewed by:

@/DESIREE M. SANTOSGLAI

FRANCI REY L. MARASIGAN

Representative

VANES

Philippine Retirement AuthorityQuality Management System

lnternal Quality Audit Plan

Audit Area: PRA Head Office

CORE PROCESS

Market Dev€lopment

?Oocl-17

20-CreL-L7 CRPD

Jaqueline Elic./ Divina O.Hernandezlmplemenlation of Marketing PIan 20-OcL-L7 CRPD, APD

Recruitment of SRRV APp,icants 20-CrcL-t7 SRPD

Enrolment of SRRV ApPlicants20-Oct-17

20-kt-L7 Proc.Jaqueline Elic/ Divina o.

Hernandez

Provision of MembershiP SeMces io-ocr-tl Serv.

MANAGEMENT PROCESS

Planning Process

Strategic Planning

23-oct-17 (AM)

24-bt-17Corplan, ICTD

Deskee Santos/ RandyAvil€sPerformance Agreement Negotialion 24-kL-L7

Determine ICT Requiremenis 24-kt-L7Performance Monitoring and Assessment

Corporate Performance 24-Oct-17 (PM) 24-kL-L7 Corplan

Annalyn A. Eria/ RandyAvilegManagement Committee (ManComMeetings) 24-Oct-17 (PM) 24-CrcL-L7 Executive Assisiant

lntemalAudit 24-Oct-17 (PM) 24-Oct-t7 IAD

lmprovement Management Process

Policy Formulation & Revielr, ALL

Client Feedback (lnternayExtemaD ALL

Corrective/Preventlve Action ALL

conhol of Non-Conformity ALL

SUPPORT PROCESS

Manage Human Resources

Recruit and Hire Employees

24-Oct-17 (PM)

24-Oct-L7

Annalyn A. Eria/ MeruinMagbuhat

Develop and Train Employees 24-bt-L7

Periodic Performance Evaluation24-OcE-17

Personnel Action 24-Oct-L7

PRA-QM-rQAP-0002 Issue DaLe: Octobe: 2017 Issue No. : 0001

LPROGESS TARGET DATE ACTUAL DATE

DIVISIONS / DEPARTMENTTO BE A.UDITED

AUDITORS

Admin.

Manage Financial Resources

Budget Managenaent

Oct. 27 ,2017

26-kt-L7

Finance Marcelina T. CaboneliFrancis Jeftey Marasigar

hlanage Expenses 26-Oct-L7

Revenue Management 26-OcL-L7

Financial Reporting and Analysis 26-OcL-17

Management of Procurement

Requisition of Goods and Services

Oct.25,2017 (AM)

27-bt-L7

BAC Vanessa Olivas/ RemusErlan Palmos

Evaltntion and Seleetion of Supplier 27-Oct-L7

lssuance of Purchase Order/Notice to Proceed 27-Oct-77

Acceptance from Supplier 27-kr-17

lranagement of Goods and Services

lssuance to End User

od.26,2011

07-Nov-17

Admin Jaqueline Elic/ VanessaOlivas

lnventory and Storage 07-Nov-17

Disposal of Unserviceable Properties 07-Nov-17

Manage lnformation and lT Resources

Managing lnformdtion/Datd

Control of Documents ALL

Control of Records -lt r

M on o g i n g I nf rastructu re

lnventory

Oc|.23,2017

23-Oct-17ICTD, Admin Desiree Santos/ Divina O

Hernandez

Corective Maintenance )?-Oor-17Preventive Maintenance 23-Oct-L7

Prepared by:

PM-QM-rQAP-0002 Issue DaLe: Oetober 2017 Issue No: 0001

Reviewed by:

ANNALYN A. ERIA

Qualil5$anagf mentRepreseii-50

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PHILIPPINE RETIREMENT AUTHORITYQuality Management System

AUDIT ITINERARYPage 1 of3

q.

Audit Purpose:To determine the extent and effectiveness of QMS implementationTo prepare for the ISO 9001 CertificationTo determine areas for improvementAudit Scope:Core Process (Market Development up to Provision of Membershtp Services)

Audit Dates: Oct 20, 2016

ProcessDepartment

/ OfficeAudit Criteria Auditor Auditee

Date /Time

MarketDevelopment

CRPDD ISO Clauses

7.1. Planning ofProductRealization7.2.1.Determination ofRequirementsrelated to theproduct7.2.3. CustomerCommunication

8. MeasurementAnalysis, andlmprovement

* ISO Clauses 4.2.3,4.2.4(Control of Docs andRecords);6.4 (WorkEnvironment)

Quality Manual Section V-A

DivinaHernandezandJaquelineElic

Mervin A.Magbuhat

Ketslynn T.Quiletorio

Oct.20,201719AMonwards

lmplementation ofMarketing Plan

CRPDAPD

ISO Clauses7.2.3. CustomerCommunication



Quality Manual Section V.B


Mervin A.Magbuhat


Nazareth Delas Alas andCamille AnneMaitem

Oct.20. . "2o1ql ,/"JA9AMonwards

Document Code Document lssue No. Document lssue Date

PRA.QM-FORM.O12 001


AUDIT ITINERARY

h.

Page 2 of 3

Recruitment ofSRRV Applicants I

CRPDD ISO Clauses7.2.3. CustomerCommunication7.5.1 Controlofproduction andservice provision7.5.2Yalidation ofprocesses forproduction andservice provision7.5.3 ldentificationand Traceability7.5.4 CustomerProperty8. MeasurementAnalysis, andImprovement


Quality Manual Section V.C

Citizen's Charter/ ARTA

I DivinaI HernandezI unaI JaquelineI etic

Mervin A.Magbuhat


GeraldineThereseAgustin

Oct.20,zArct9AMonwards

Enrollment ofSRRV Applicants

Processing ISO Clauses7.2.3. CustomerCommunication7.5.1 Controlofproduction andservice provision7.5.2 Validation ofprocesses forproduction andservice provision7.5.3 ldentificationand Traceability7.5.4 CustomerProperty7.5.5. Preservationof Product8. MeasurementAnalysis, andlmprovement


Quality Manual Section V.D


DivinaHernandez

JaquelineElic

FrancisJeffrey L.Marasigan

Glenez Buna

MichelleMolinyawe

Oct.20.2A1q,tl*b1PMonwards

I

Document Code Document lssue No. Document lssue DatePRA-QM.FORM-o,I2 001


AUDIT ITINERARYPage 3 of 3

DivinaHemandez

JaquelineElic

Desiree M.Santos

Paul ManfredAmparo

RomichelleTuralba

Oct.20,201qr1PMonwards

Clauses7.2.3. Customer

r Communication7.5.1 Controlofproduction andseryice provision7.5.2 Validation ofprocesses forproduction andseryice provision7.5.3 ldentificationand Traceabili$7,5.4 CustomerProperty7.5.5. Preservationof Product8. MeasurementAnalysis, andlmprovement

** ISO Clauses 4.2.3,4.2.4(Control of Docs andRecords);6,4 (WorkEnvironment)

Quality Manual Section V.D


Enrollment ofSRRV Applicants

Servicing

ffiffi+#

Document Code Document lssue No. Document lssue Date

PRA.OM-FORM-o12 001

q


AUDIT ITINERARY

Document Gode Document lssue No. Document Issue DatePRA.QM.FORM-o12 001

Page 1 of 2

To determine the extent and effectiveness of QMS implementationTo prepare for the ISO 9001 CertificationTo determine areas for

Audit Dates: Oct 23, 2016

PRA Quality Manual

ISO Clauses:

6.1. Provision ofresources

6.3. lnfrastructure


4.2.3,4.2.4Control of Docsand Records

6.4 WorkEnvironment

Relevant Office Orders

Desiree M.Santos

DivinaHernandez

Ruby D,Abriol

MelaroseRogan

Oct.23,2417t1PMonwards

vvl l sguvg

MaintenancePRA Quality Manual

ISO Clauses:

6.3. lnfrastructure

L MeasurementAnalysis, andlmprovement

4.2.3,4.2.4Control of Docsand Records;

6.4 Work. Environment



Abriol

MelaroseRogan


L,

Auclit scope:Managinq lnfrastructure

Process Department/ Office Audit Criteria Auditor Auditee Date /

Time

lnventory ASL)

ICTD

ASD

ICTD



PreventiveMaintenance

ASD

ICTD

PRA Quality Manual

ISO Glausds:

6.3. lnfrastructure

B. MeasurementAnalysis, andlmprovement

4.2.3,4.2.4Control of Docsand Records;

6.4 WorkEnvironment


DivinaHernandez

JaquelineElic

Ruby D,

Abriol

MelaroseRogan


M. SANTOS

Reviewed by: Approved by:

Date: Date: Date:

Document Code Document lssue No. Document lssue DatePRA-QM-FORM-012 001

L.



L.

Audit Purpose: To determine the extent and effectiveness of the QMS implementation.To prepare for the ISO 9001 CertiFrcationTo determine areas for improvement

Audit Scope: Planning Process

Audit Dates: October 24,2017

Process Department /Office Audit Criteria Auditor Auditee Date / Time

Strategic Planning CorporatePlanning

Clauses: 4.2.3, 4.2.4, 5.3,5.4, 5.4.1, 5.4.2, 6.4, 8.2.1,8.2.3, 8.2.4, 8.3, 8.4, 8.5.1,8.5.2 and 8.5.3

Quality Manual Clause 4.3

Desiree M.SantosRandy L. Aviles

Divine O.HemandezEdward Allan N.Litao

October 24,20178:30 AM

PerformanceAgreementNegotiation

CorporatePlanning

Clauses: 4.2.3, 4-2.4, 5.3,5.4, G.4, 9.2.1, 9.2.3, 8.2.4,8.3, 8.4,8.5.1, 8.5.2 and8.5.3


Divine O.HemandezEdward Allan N.Litao

october 24,2017

Determine ICTrequirements(.crD)

-.- !&s&

ICTD wT.F,*'

ufuffi#Clauses: 4.2.3, 4.2.4, 6.3,6.4, 7 .2.2, 8.2.1, 8.2.3,8.2.4, 8.3, 8.4, 8.5.1 , 8.5.2and 8.5.3


Remus Erlan S.PalmosMelarose R.Rogan

October24,2417

Prepared by:

d/'DESTREE fr/snruros

See##k,

Reviewed by:

:'lI: . ." ,,'/ -('i.trtuLL

ttEibrc. sALESAiidit Team Head

ANNAI:QMR

date: octo8e r29,2017 Date: October 23,2017 Date:

Document Code , Document lssue No. Document lssue DatePRA.QMS.FORM-o12 001 AUGUST20lS

j

:i

ll

I

ilI

i


AUDIT ITINERARYPage 1 ofl

Audit Purpose:To determine the extent and effectivenessTo prepare for the ISO 9001 CertiflcationTo determine areas for improvement

of QMS implementation

Audit Scope:Performance MonitoringlnternalAudit

and Assessment of Corporate Performance, Management Committee (ManCom Meetings) and


Process Department iOffice Audit Criteria Auditor Auditee Date / Time

CorporatePerformance

ISO Clauses 5.4.1 &5.4.2,8.1 & 8.2

Annalyn A.Eria/RandyAviles

Divine O.Hernandez,OlC, Corplan

OcL24,2017,9:00 amonwards

ManagementCommittee(ManComMeetings)

OGM ISO Clauses 5.6.1,5.6.2 &5.6.3

Annalyn A.Eria/RandyAviles

Maridel Dones,ExecutiveAssistant

Oct.24,2017,9:30 amonwards

lnternalAudit IAD ISO Clause 8.2.2 Annalyn A.Eria/RandyAviles

Vanessa Olivas,Acting lnternalAuditor lV.


by:


Deppty Quality ManagementRepiesentative

Date: D Date: Date:

Document Code Document lssue No. Document lssue DatePRA-QM-FORM-013 001 October 2016


AUDIT ITINERARYPage I of 2

Audlt Purpose:To determine the extent and effegtiveness of QMS implementationTo prepare for the ISO 9001 Certification -To determine areas,for improvement

Audit Scope:Management of Human Resources (Recruitment & Hiring, Development & Training and Periodic Performance Evaluationof Emplopes ineluding Personnel Action


ProcessDepartment /

OfficeAudit Criteria Audltor Auditee Date / Time

Recruit & HireEmployees

Admin ISO Clauses 6.2.1 &6.2.2CSC Rules & Regulations

Annalyn A.Eria/MervinMagbuhat

Randy Aviles,HRMO III

Ocl,24,2017,10:30 amonwards

Develop and TrainEmployees

Admin ISO Clauses 6.2.1 &6.2.2CSC Rules & Regulations

Annalyn A.Eria/MervlnMagbuhat

Shiela Mariano,Admin staff


PeriodicPerformanceEvaluation

Admin ISO Clauses 6.2.1 &6.2,2CSC Rules & Regulations


Marcelina T.Carbonel, DC-Admin


Personnel Action Admin ISO Clauses 6.2.1 &6.2.2CSC Rules & Regulations


Marcelina T.Carbonel, DC-Admin

OcL24,2017,'l 1:30 amonwards

Prepared by:

/+cL*y'HlMervin MagbuffatTeam Membsr

Reviewed by:

Wr,f.q*-H6fdi C. SalesKuditTeamHeaa Deput! Quality Management

Reprdsentative

o"t"l Dete: Date:

Document Code Document Issue No. Document lssue DatePM-QM-FORM.O13 001 October 2016

,ili#\\'w PHILIPPINE RETIREMENT AUTHORITYQuality Management System


i Audit Purpose:

I

j To determine the extent and effectiveness of the QMS implementationi l'o prepare for the ISO 9001 certification i -

, To determine areas'ior improvementI

i - .------

| ;iudit Scope: Manage Financial Resources from Budget Management to Financial Reporting and Analysis

I Audit Dates: October 26,2017

Process Department /Office

Audit Criteria Auditor Auditee Date I Time

iiucigeiManagement

FinancialManagementDivision

ISO Clauses:

4.2.3 Control of documents5.6.3 Review output6.1 Provision ofresources6.4 Work environment4.2.2 Quality manual

Joint DBM and COAcirculars

Marcelina T.Carbonel

Francis JeffreyL. Marasigan

Mari TheaVasquez

Angela MerGeneroso

10t26t17

9:00 amonwards

Manage Expenses FinancialManagementDivision

ISO Clauses

4.2.3 Control of documents4.2.4 Conlrol of records6.1 Provision ofresources8.2. 1 Customer satisfaction8.3 Control of non-conforming products8.4 Analysis of data8.5 lmprovement (CAPA)



HeidiSales

Kelvin Mares

10t26t17

9:00 amonwards

RevenueManagement


ISO Clauses

4.2.3 Control of documents4.2.4 Control of records8.4 Analysis of data8.5 lmprovement (CAPA)



Edna Dichoso

Kelvin Mares

10t26t17

9:00 amonwards

FinancialReporting and

tqil:i:


ISO Clauses:

4.2.3 Control of documents4.2.4 Conlrol of records8.4 Analysis of data8.5 lmprovement (CAPA)


Francls JeffreyL. Marasigan

Kelvin Mares

Fermin TrinidadJr.

10126t17

9:00 amonwards

Preoared bv:o;a-_ '1 .

MARCELINA T. CTeam Leader

Document Code Document lssue No. Document lssue DatePRA-QM.FORM-013 001 October 2016

l



JEFFREY L. I\NARASIGAN

II

Document lssue No.

i sam

i..ri]te:

PHILIPPINE RETIREMENT AUTHORIWQuality Management System


Audit Purpose:

To detennine the extent and effectiveness OJ eMS implementationTo determine the areas for improvemdntTo prepare for the ISO 9001 Certification

Audrt ttcope: Management of Procuremenl (Requisition of Goods and Serwbes up to eccepiance of OeMertes tromSupplier)

Audit Dates; Oclober 27,2017


Requisition ofGoods andServices

Bids and AwardsCommittee(BAC)

ISO Clauses 7.4.1and7.4.2RA 9184 Rule ll

RA 9184 Rule lll

RA 9184 Rule V

RA 9184 Rule Vl

RA 9'184 Rule Vll,vilt& tx

ISO Clause 4.2.3,4.2.4 (ControlofDocuments andRecords);6.4(Work Env't)

PRA QualityManual

GCGMemorandumCircular No. 2017-A1 (Posting toPhiIGEPS)

Remus Erlan S.Palmos and

Vanessa Olivas

BAC Chair andmembers

BAC Sec

ocl..27,2017

lOAMonwards

Evaluation andSelection of

Supplier

BAGTWG

BAC

ISO Clauses 7.4.1and7.4.2

RA 9184 Rule lX(Bid Evaluation)

RA 9184 Rule X(Post Qualifcation)

RA 9184 Rule XlSec.37

ISO Clauses4,2.3,4.2.4(ControlofDocumenis andRecords);6.4(WorkEnvironment)

PRA QualityManual Sectiontv-c


Vanessa Olivas

BAC TWGmembers

Oct.27,2017

lOAMonwards

Document Code Document lssue No. Document lssue DatePRA-QM-FORM-o13 001 I 6ctober 20 b

t.-



lssuance ofPurchaseOrder/Notice toProceed

AdministrativeSupport Division

. ISO Clauses 7.4.1atvlt.q.Z

r RA 9184 Rule XlSec.37

. ISO Clause 4.2.3,4.2.4 (ControlofDocuments andRecords);6.4(WorkEnvironment)



Vanessa Olivas

BAC Chair andmembers

BAC Sec

oel'27,2017

lOAMonwards

Acceptance ofDeliveries fromSuppliers


. ISO Clause 7.4.3

r COA Rules andRegulations

. iso Clause 4.2.3,4.2.4 (ControlofDocuments andRecords);6.4(WorkEnvironment)



Vanessa Olivas

Admin-SupplyOfficer

lnspectionTeam

Oct.27,2417

lOAMonwards

Prepared by:

PALMOS

ffy;{fu;''"^'


Date: nl* [ p Date: Date:

Document Code Document Issue No. Document lssue DatePRA.OM.FORM.O13 001 October 2016

&.

C. SALES



ArJdit PUipoSe:

To determine the extent and effectiveness of-QMS implementationTo determine the areas for improvemeirtTo prypare forthe ISO 9001 Certification

Audit Scope:

Audit Dates:

Management of Goods and Services

November 7,2017


lssuance to end-user

AdministrativeSupport Division-Procurement

PRA QualityManual Vanessa Olivas Ms. Marcelina I Nov 7,2017

T. Carbonel I

I ro nrvrRuby Abriol I onwards

PD 1445 Chapter I Jaqueline Elic3sec63 I

ISO Clause 7.4.3 I

-Veritication of I

purohased proOud I

(by end user) I

Process ror retum I

of items and I

documentatio" I

lntemal I

stakeholder I

feedback I

Required records I

generated (both I

for capital outlays I

end i60uteii I

items/supplies) |

ISo Clause 4.2.4 I

Conirol of I

Records I

I

lSo iiause a.i I

Control of Non- |

Conforming IProducts I

ISO Clause 8.5.2 I

Conective Action I

lSo Clause 6.4 i

Work Environment I

-d lllllq"Lq$+'

Document Code Document lssue No. Document lssue DatePRA-OM-FORM:013 001 October2016

h.



lnventory andStorage


PRA QualityMdnuallV-D

PD 1445 Sec 2

lnventory andstoragesystemlprocess(manner ofstorage, conductof inventory &monitoring, re-order point, etc)

lnventory report

lnventory masterlist

ISO Clause 4.2.3Control ofDocuments

ISO Clause 4.2.4Control ofRecords

ISO Clause 8,3Control of Non-ConformingProducts

ISO Clause 8.5.2Correittive Action

ISO Clause 6.4Work Environment

Vanessa Olivas

Jaqueline Elic

Ms. MarcelinaT. Carbonel

Ruby Abriol

Nov 7, 2017

1O PMonwards

DisposalofUnserviceableProperties


PRA QualityManuaiiv-b

PD 1445 Sec79

Determination ofitems for disposal

Disposal Process

Required recordsgenerated

ISO Clause 4.2.3,4i2i4 (GentrolofDocuments andRecords);6.4(WorkEnvironment)

COA CircularNo.86-264 s. 1986

Vanessa Olivas

Jaqueline EIic


Ruby Abriol

Nov 7, 2017

1O PMonwards

Document Code Document lssue No. Document tssue DatePM.QM-FORM.O13 001 October 2016

PHILIPPINE RETIREMENT AUTHORIryQuality Management System


Acceptance ofDeliveries fromSuppliers


r ISO Clause 7.4.3

.l c6A Rules anoRegulations

. lS9 Clquse 42.3,4.2.4 (eontrotofDocuments andRecords);6.4(WorkEnvironment)

PRA QualityManual SectionIV-D


Vanessa Olivas


RubyAbriol

Nov 7, 2017

10 PMonwards

Prepared by:

nrrg$:,,,^,

Oa*.r^l.qi^L h'&vJAAtI,ELINE gLICTeam Member

Approved by:

Document Code Document lssue No Document lssue OateI"KA-QM-F(Jt<M-o',I3 001 October 2016

t.-

Reviewed by:

Date: Date: Date:

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