PHILIPPINE RETIREMENT AUTHORITY CERTIFICATION This 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 Team under 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) ' -# REPUBLIC OF THE PHILIPPINES DEPARTMENT OF TOURISM 2BlF CiiibankTower, ET4l Faseo de Roxas, Makati City 1220, Philippines Tel. 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 Core 2. lmplementation of Market Plan Core 3, Recruitment of SRRV Applicants Core 4. Enrollment of SRRV Applicants Core 5. Provision of Membership Services Core 23 October 2017 6. Manaqinq lnfrastructure Support 24 October 2017 7. Planning Process Manaqement 8. Performance Monitoring and Assessment of Corporate Performance Management 9. Management of Human Resources Support 26 October 2017 10. Manage Financial Resources Support 27 October 2017 11. Manaoement of Procurement Support 07 November 2017 12. Manaqement of Goods and Services SuPPort /FEo,\" ATTY. ,{,e t,
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PHILIPPINE RETIREMENT AUTHORITY · 6.2 Planning for the IQA r QMS Auditors. QMR r QMS Secretary a Audit Plan a Memorandum 6.3 Preparing for the IQA a QMS Auditors a QMR r Audit ltinerary
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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)
' -#
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
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
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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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
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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.
6.2 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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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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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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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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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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' 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
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
8. MeasurementAnalysis, andlmprovement
* ISO Clauses 4.2.3,4.2.4(Control of Docs andRecords);6.4 (WorkEnvironment)
Quality Manual Section V.B
DivinaHernandezandJaquelineElic
Mervin A.Magbuhat
Ketslynn T.Quiletorio
Nazareth Delas Alas andCamille AnneMaitem
Oct.20. . "2o1ql ,/"JA9AMonwards
Document Code Document lssue No. Document lssue Date
PRA.QM-FORM.O12 001
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 1 of 1
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
PHILIPPINE RETIREMENT AUTHORITYQuality Management System
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
Audit Dates: October 24,2017
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
Oct.24,2017,11:00 amonwards
PeriodicPerformanceEvaluation
Admin ISO Clauses 6.2.1 &6.2,2CSC Rules & Regulations
Annalyn A.Eria/MervinMagbuhat
Marcelina T.Carbonel, DC-Admin
Oct.24,2017,11:30 amonwards
Personnel Action Admin ISO Clauses 6.2.1 &6.2.2CSC Rules & Regulations
Annalyn A.Eria/MervinMagbuhat
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
,ili#\\'w PHILIPPINE RETIREMENT AUTHORITYQuality Management System
AUDIT ITINERARYPage 1 of2
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
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| ;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)
Marcelina T.Carbonel
Francis JeffreyL. Marasigan
HeidiSales
Kelvin Mares
10t26t17
9:00 amonwards
RevenueManagement
FinancialManagementDivision
ISO Clauses
4.2.3 Control of documents4.2.4 Control of records8.4 Analysis of data8.5 lmprovement (CAPA)
Marcelina T.Carbonel
Francis JeffreyL. Marasigan
Edna Dichoso
Kelvin Mares
10t26t17
9:00 amonwards
FinancialReporting and
tqil:i:
FinancialManagementDivision
ISO Clauses:
4.2.3 Control of documents4.2.4 Conlrol of records8.4 Analysis of data8.5 lmprovement (CAPA)