ensuring businesses compete and consumers benefit quality

Ensuring businesses compete and consumers benefit

QUALITY MANUAL

Copy No.

Issued to

Name

Signature

Issued by

Name

Signature

CONTROLLED DOCUMENT

MASTER/ ORIGINAL COPY

Document Controller

Ferdinand L. Paguia

�. r=

Co-Document Controller

Allaµ D. M:eno

Date: 20 October 2017

Date: 20 October 2017

This Quality Manual shall not be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording or by an information storage

and retrieval system, without a written permission from the Quality Management Representative.

This Quality Manual is the property of the Philippine Competition Commission (PCC)

ISO 9001 :2015

QUALITY MANUAL ISSUANCE NO.: 1

CONTROLLED

COPY

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Quality Manual

REVISION HISTORY AND APPROVAL

Document No.: PCC-QM-001 Effective Date: 03 September 2018 Rev. No.: 2 Page No.: ii

This Quality Manual shall not be reproduced in whole or in part, in any form, or by any means without a written consent from the Quality Management Representative. Any hard copy without the blue “controlled” stamp or any unprotected soft copy of

this document shall be regarded as uncontrolled copy.

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Revision No.

Description of Change

Affected Page/s

Originator Approver Effective Date

0 Initial Issuance All KC Aslanbaigi A. Balisacan 23 October 2017 1 Modified pagination from

continuous to section-based 1 to 56 KC Aslanbaigi A. Balisacan 28 March 2018

Changed reviewing authority from QMR to Deputy QMR All

Changed name of Administrative and Legal Office (ALO) to Administrative Office (AO)

vi, 12, 15, 26, 29, 30, 31, 38, 39, 54, and 55

Added PCC Organizational Structure 5

Added “Commission Strategic Planning” and “Joint venture” to the Definition of Terms

6 to 10

Added “Communications and Knowledge Management Office” to the Context of the Organization

12

Updated numbering of figures 13, 15, 19, 23, and 33

Updated figure title 13 and 23 Updated PCC Process Diagram to include “Adjudication Division” and “Legal Services Division”

15

Updated contents of 5.3 Roles, Responsibilities, and Authorities to become consistent with PCC SO No. 051, s. 2018, “Reconstitution of the PCC Quality Management Team”

19 to 22

Rephrased narrative of 6.1 Actions to Address Risks and Opportunities

23

Updated contents of 6.2 PCC Quality Objectives to include additional discussion about the PCC Organizational Planning System (POPS), Strategic Performance Management System (SPMS), and monitoring and evaluation mechanisms

24 to 25

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REVISION HISTORY AND APPROVAL

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Revision No.

Description of Change

Affected Page/s

Originator Approver Effective Date

1 Rephrased narrative of 6.3 Planning of Changes 25 KC Aslanbaigi A. Balisacan 28 March 2018

Added “Procedure on Knowledge Management” as reference in 7.1.6 Organizational Knowledge

28

Added “Legal Services Division” and “Adjudication Division” to Annex B PCC Outputs and Services

54

Added “Deputy QMR”, “Co-Document Controller”, “Division Chief”, “Employee”, and “HRDD Personnel” to Annex C Authorized Signatories

55

Updated Annex D Matrix of Outsourced Processes and Controls

56 to 57

0 Added Annex E List of Statutory and Regulatory Requirements n.a.

2 Added the “Public Affairs Division” to Figure 2 - PCC Existing/Interim Set-Up

2.0 – 4 of 4 KC Aslanbaigi A. Balisacan 03 September

2018

Revised Figure 6 – Risk Management Framework 6.0 – 1 of 5

Deleted “4th Quarter” and “Quarterly” in Program Performance and Budget Execution Review

6.0 – 3 of 5 6.0 – 4 of 5

Updated contents of Annex A List of Relevant Interested Parties

AA - 1 of 4 AA - 2 of 4 AA - 3 of 4 AA - 4 of 4

Added the Public Affairs Division to Annex B PCC Outputs and Services

AB - 3 of 3

Updated contents of Annex C Authorized Signatories AC - 1 of 1

Updated Annex D Matrix of Outsourced Processes and Controls

AD - 1 of 2 AD - 2 of 2

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TABLE OF CONTENTS

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Contents Page

Title Page ………………………………………………………...…………………….. i Revision History and Approval …………………………..…………………………… ii Table of Contents …………………………………………………………………...… v List of Acronyms ………………………………………………………………...…….. viii

1 Introduction ……………………………………………………………...…….. 1.0 – 1 of 2

2 About the Commission …………….……………………..………………….. 2.0 – 1 of 4 2.1 Mandate ……………………………………………...………............ 2.0 – 1 of 4 2.2 Powers and Functions …………………………………..….............. 2.0 – 1 of 4 2.3 Vision ………………………………………...……………………...... 2.0 – 3 of 4 2.4 Mission ………………….……………………………..……………… 2.0 – 3 of 4 2.5 Organizational Structure ………………….…………………………. 2.0 – 3 of 4

3 Definition of Terms ……………………………………………………..…….. 3.0 – 1 of 5

4 Context of the Organization …………………………………………………. 4.0 – 1 of 6 4.1 PCC and its Context ……………..………………………………….. 4.0 – 1 of 6 4.2 Needs and Expectations of Relevant Interested Parties ……...… 4.0 – 1 of 6 4.3 Scope of the PCC QMS ……………………………..………............ 4.0 – 1 of 6 4.4 PCC QMS and its Processes …………………………………...…... 4.0 – 2 of 6

5 Leadership ……………………………………………………………..………. 5.0 – 1 of 7 5.1 Leadership and Commitment ………………………..……………... 5.0 – 1 of 7

5.1.1 General ……………………………………………...………………… 5.0 – 1 of 7 5.1.2 Client Focus ……...……………………...………..………………….. 5.0 – 1 of 7

5.2 PCC Quality Policy ………………………………………..……...….. 5.0 – 2 of 7 5.3 Roles, Responsibilities, and Authorities …………………………… 5.0 – 3 of 7

6 Planning ………………………………………………………………..……….. 6.0 – 1 of 5 6.1 Actions to Address Risks and Opportunities ………….………….. 6.0 – 1 of 5 6.2 PCC Quality Objectives ………………………...…………………… 6.0 – 2 of 5 6.3 Planning of Changes ………………………………………………… 6.0 – 5 of 5

7 Support ...................................................................................................... 7.0 – 1 of 10 7.1 Resources …………………………………………………………….. 7.0 – 1 of 10

7.1.1 General ………………………………………………………………... 7.0 – 1 of 10 7.1.2 People ……………………………………………………………..….. 7.0 – 1 of 10 7.1.3 Infrastructure …………………………………………………............ 7.0 – 1 of 10 7.1.4 Environment for the Operation of Processes ………………...…… 7.0 – 2 of 10

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Contents Page

7.1.5 Monitoring and Measuring Resources …………………………...... 7.0 – 2 of 10 7.1.6 Organizational Knowledge ……………………………………..…… 7.0 – 2 of 10

7.2 Competence ……………………………………………………...….. 7.0 – 3 of 10 7.3 Awareness ………………………………………………………...….. 7.0 – 4 of 10

7.4 Communication …………………………………………..………….. 7.0 – 4 of 10 7.5 Documented Information ………………………………………….... 7.0 – 7 of 10

7.5.1 General …………………………………………………….......……... 7.0 – 7 of 10 7.5.2 Control of Documented Information ….……………………...…….. 7.0 – 9 of 10

8 Operation ……………………………………………………………………..... 8.0 – 1 of 6 8.1 Operational Planning and Control ………………………………….. 8.0 – 1 of 6 8.2 Requirements for Products and Services …………………………. 8.0 – 1 of 6

8.2.1 Client Communication …………………………………………..…... 8.0 – 1 of 6 8.2.2 Determination and Review of Requirements …………………..….. 8.0 – 1 of 6 8.2.3 Changes to Outputs and Services …………………………………. 8.0 – 2 of 6

8.3 Design and Development …………………………………..……….. 8.0 – 2 of 6 8.4 Control of Outsourced Processes, Products and Services ……… 8.0 – 2 of 6 8.5 Service Provision ………………………………..…………...………. 8.0 – 3 of 6

8.5.1 Control of Service Provision .……………………………………...... 8.0 – 3 of 6 8.5.2 Identification and Traceability …………………………...…………. 8.0 – 4 of 6 8.5.3 Property of Clients and External Providers …..…………………..... 8.0 – 4 of 6 8.5.4 Preservation ……………………………………................…………. 8.0 – 5 of 6 8.5.5 Post-Delivery Activities …………………….……………...………… 8.0 – 5 of 6 8.5.6 Control of Changes ………………………………………………...... 8.0 – 5 of 6

8.6 Release of Outputs and Services ………….……………………...... 8.0 – 5 of 6 8.7 Control of Nonconforming Outputs ………..…………………..…... 8.0 – 6 of 6

9 Performance Evaluation ………………………………………………..……. 9.0 – 1 of 3 9.1 Monitoring, Measurement, Analysis and Evaluation ……………… 9.0 – 1 of 3 9.1.1 General ……………………………………………………………….. 9.0 – 1 of 3 9.1.2 Client Satisfaction ……………….…………………………...……... 9.0 – 1 of 3 9.1.3 Analysis and Evaluation ……………………………………...……... 9.0 – 1 of 3 9.2 Internal Quality Audit ……………………………………….………... 9.0 – 2 of 3 9.3 Management Review ……………………………………...………… 9.0 – 3 of 3

10 Improvement ……………………………………………………………….... 10.0 – 1 of 2 10.1 General ………………………………………………………...……… 10.0 – 1 of 2 10.2 Nonconformity and Corrective Action ……………………………... 10.0 – 1 of 2 10.3 Continual Improvement ………………………………..……………. 10.0 – 2 of 2

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Contents Page

Annexes Annex A – PCC Relevant Interested Parties …………..…………………… AA – 1 of 4 Annex B – PCC Outputs and Services …………..…………………..……… AB – 1 of 3 Annex C – Authorized Signatories …………….………..…………………… AC – 1 of 1 Annex D – Matrix of Outsourced Processes and Controls ………………... AD – 1 of 2 Annex E – List of Statutory and Regulatory Requirements ……………….. AE – 1 of 18 Annex F – Quality Plan ……………………………………………………….. AF – 1 of 7

Figures Figure 1 – PCC Organizational Structure and Staffing Pattern …………… 2.0 – 3 of 4 Figure 2 – PCC Existing/Interim Set-up …………………………...…..…… 2.0 – 4 of 4 Figure 3 – The PDCA Cycle in the Context of PCC …,,,,,,,,,,,,,,,,,,………… 4.0 – 3 of 6 Figure 4 – PCC Process Diagram …………………………………………… 4.0 – 5 of 6 Figure 5 – PCC Quality Management Team ……………………...………… 5.0 – 3 of 7 Figure 6 – Risk Management Framework ………………………...………… 6.0 – 1 of 5 Figure 7 – PCC Organizational Planning System ………………..………… 6.0 – 2 of 5 Figure 8 – Strategic Performance Management System Cycle ..………… 6.0 – 3 of 5 Figure 9 – Documented Information Structure …………………..………… 7.0 – 8 of 10

Name Position Signature Date Prepared by: Kristel Claudine D. Aslanbaigi QMT Secretariat

Reviewed by: Ferdinand L. Paguia Document Controller

Atty. Joseph Melvin B. Basas Deputy Quality Mgmt. Representative

Approved by: Arsenio M. Balisacan, PhD Chairman

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LIST OF ACRONYMS

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AO Administrative Office

BAC Bids and Awards Committee

BTr Bureau of Treasury

CEO Competition Enforcement Office

CKMO Communications and Knowledge Management Office

COA Commission on Audit

CPMD Corporate Planning and Management Division

CSC Civil Service Commission

DBM Department of Budget and Management

DC Document Controller

DFA Department of Foreign Affairs

DICT Department of Information and Communications Technology

EO Economics Office

ERC Energy Regulatory Commission

FPMO Finance, Planning and Management Office

GPPB-TSO Government Procurement Policy Board

GSD General Services Division

GQMC Government Quality Management Committee

GSIS Government Service Insurance System

HOR House of Representatives

HRDD Human Resource Development Division

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LIST OF ACRONYMS

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ICTD Information and Communications Technology Division IEC Information, Education and Communication ISO International Organization for Standardization IQA Internal Quality Audit JO Job Order KMD Knowledge Management Division LBP Land Bank of the Philippines LTO Land Transportation Office LSD Legal Services Division M&A Mergers and Acquisitions ManCom Management Committee MAO Mergers and Acquisitions Office MITHI Medium-term Information and Communications Technology Harmonization

Initiative NAP National Archives of the Philippines NCO Nonconforming Output NEDA National Economic Development Authority NPC National Privacy Commission NTC National Telecommunications Commission OCS Office of the Cabinet Secretary OED Office of the Executive Director OP Office of the President

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LIST OF ACRONYMS

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OP Office Procedure OTC Office of the Chairman PCA Philippine Competition Act PCC Philippine Competition Commission PCW Philippine Commission on Women PCOO Presidential Communications and Operations Office PDCA Plan-Do-Check-Act PhilGEPS Philippine Government Electronic Procurement System PO Purchase Order POPS PCC Organizational Planning System QM Quality Manual QMP Quality Management Program QMR Quality Management Representative QMS Quality Management System QMT Quality Management Team RA Republic Act RIP Relevant Interested Party SEC Securities and Exchange Commission SO Special Order SP System Procedure SPMS Strategic Performance Management System

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LIST OF ACRONYMS

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SWOC Strengths, Weaknesses, Opportunities and Challenges TAD Training and Advocacy Division TOR Terms of Reference UP ONAR University of the Philippines Office of the National Administrative Register

Name Position Signature Date Prepared by: Kristel Claudine D. Aslanbaigi

QMT Secretariat

Reviewed by: Ferdinand L. Paguia

Document Controller

Atty. Joseph Melvin B. Basas

Deputy Quality Mgmt. Representative

Approved by: Arsenio M. Balisacan, PhD

Chairman

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1.0 INTRODUCTION

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This Quality Manual describes the Philippine Competition Commission’s Quality Management System (QMS) and demonstrates the Commission’s conformance to the requirements contained in ISO 9001:2015. This manual also demonstrates PCC’s compliance with relevant statutory and regulatory requirements and provides information on the policies, systems and procedures being adopted by the Commission to ensure the effective operation and control of its processes. Together with associated documents mentioned hereto, the PCC Quality Manual aims to:

• Serve as reference for all regular and job order employees on the Commission’s implementation and maintenance of QMS standards;

• Enable management to monitor the implementation and effectiveness of the PCC QMS;

• Establish methods for improving the PCC’s QMS in order to meet and/or exceed client/stakeholder needs and expectations; and

• Serve as reference for PCC’s clients and relevant interested parties. This manual shall be updated whenever there are changes to the ISO 9001 standards or the PCC QMS. The issuance number of the Quality Manual shall be upgraded whenever there is a major change in the ISO 9001 standards or PCC QMS. The master or original copy of this manual shall be kept and maintained by the Document Controller while controlled hard copies shall be issued to the following:

Copy No. 1 - Office of the Chairman Copy No. 1A - Office of the Commissioner Copy No. 1B - Office of the Commissioner Copy No. 1C - Office of the Commissioner Copy No. 1D - Office of the Commissioner Copy No. 2 - Office of the Executive Director Copy No. 3 - Administrative Office Copy No. 4 - Competition Enforcement Office Copy No. 5 - Communications and Knowledge Management Office Copy No. 6 - Economics Office Copy No. 7 - Finance, Planning and Management Office Copy No. 8 - Mergers and Acquisitions Office Copy No. 9 - Legal Services Division Copy No. 10 - Adjudication Division

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2.0 ABOUT THE COMMISSION

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2.1 Mandate

The Philippine Competition Commission (PCC) is an independent and quasi-judicial body mandated to implement the national competition policy and enforce Republic Act No. 10667 or the Philippine Competition Act (PCA), which serves as the country's primary competition law for promoting and protecting competitive markets.

2.2 Powers and Functions

Pursuant to Section 12 of the PCA, the PCC shall exercise the following powers and functions:

a. Conduct inquiry, investigate, hear and decide on cases involving any violation ofthe PCA and other existing competition laws motu proprio or upon receipt of averified complaint from an interested party or upon referral by the concernedregulatory agency;

b. Review proposed mergers and acquisitions and prohibit those that willsubstantially prevent, restrict, or lessen competition in relevant markets;

c. Monitor and undertake consultations with stakeholders and affected agencies tounderstand market behavior;

d. Upon finding, based on substantial evidence, that an entity has entered an anti-competitive agreement or has abused its dominant position after due notice orhearing, stop or redress the same, by applying remedies, such as, but not limitedto, issuance of injunctions, requirement of divestment, and disgorgement of excessprofits under reasonable parameters that shall be prescribed by the implementingrules and regulations (IRR) of the PCA;

e. Conduct administrative proceedings, impose sanctions, fines or penalties fornoncompliance or breach of the PCA and its IRR;

f. Issue subpoenas to require production of records and documents and personalappearances relative to the investigation of cases;

g. Undertake inspections relative to preservation of possible documentary evidence;

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h. Issue structural remedies such as adjustment and divestiture orders;

i. Deputize any and all enforcement agencies of the government or enlist the aid andsupport of any private institution, corporation, entity or association, in theimplementation of its powers and functions;

j. Monitor the imposition and enforcement of remedies ordered to entities proven tohave entered an anti-competitive agreement or have abused its dominant position;

k. Issue advisory opinions and guidelines on competition matters;

l. Monitor and analyze the practice of competition in markets that affect thePhilippine economy;

m. Conduct, publish and disseminate studies and reports on anti-competitive conductand agreements to inform and guide industries and consumers;

n. Intervene or participate in administrative and regulatory proceedings related toPCA that are initiated by government agencies such as the Securities andExchange Commission (SEC), Energy Regulatory Commission (ERC), andNational Telecommunications Commission (NTC);

o. Assist the National Economic and Development Authority (NEDA) in the preparationand formulation of a national competition policy;

p. Act as the official representative of the Philippine government in internationalcompetition matters;

q. Promote capacity building and the sharing of best practice with other competition-related bodies;

r. Advocate pro-competitive policies of the government by reviewing economic andadministrative regulations, advising the Executive Branch on the competitiveimplications of government actions, policies and programs; and

s. Charging reasonable fees to defray the administrative cost of rendered services.

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2.3 Vision

The PCC aims to be a world-class competition authority in promoting fair market competition to help achieve a vibrant and inclusive economy and advance consumer welfare. 2.4 Mission

The PCC shall prohibit anti-competitive agreements, abuses of dominant position, and anti-competitive mergers and acquisitions. Sound market regulation will help foster limitless innovation, increase global competitiveness, and expand consumer choices to improve public welfare. 2.5 Organizational Structure

Figure 1 – PCC Organizational Structure and Staffing Pattern Approved per Office of the President (OP) Memorandum dated 21 March 2016 and Department of Budget and Management (DBM) Letter dated 21 April 2016

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3.0 DEFINITION OF TERMS




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The PCC adopts the following definition of terms within its QMS. Where no definition is provided, the PCC typically adopts the definitions provided in ISO 9000: Quality Management System - Fundamentals and Vocabulary.

Acquisition refers to the purchase or transfer of securities or assets, through contract or other means, for the purpose of obtaining control by: (1) One entity of the whole or part of another; (2) Two or more entities over another; or (3) One or more entities over one or more entities. Acquisition through "other means" includes, among others, acquisition of an entity through subsidiary or affiliate of the acquiring entity.

Agreement refers to any type or form of contract, arrangement, understanding, collective recommendation, or concerted action, whether formal or informal, explicit or tacit, written or oral. Agreements that are anti-competitive include: (1) Price Fixing; (2) Bid Rigging; (3) Sharing Markets; and (4) Limiting Production.

Balanced Scorecard

management tool that operationalizes the strategic objectives in the strategy map into key success and performance indicators and targets, and implementable action plans.

Catch-Up Plans also known as Recovery Plans used to redeem or salvage programs, activities, and/or projects that have deviated significantly from the intended performance baselines and acceptable thresholds.

Charter Statement refers to the written document that contains the PCC’s mission, core values, and vision.

Citizen’s Charter refers to service standards of all government agencies including departments, bureaus, offices, instrumentalities, or government-owned and/or controlled corporations, or local government or district units which detail: (a) the procedure to obtain a particular service; (b) the person/s responsible for each step; (c) the maximum time to conclude the process; (d) the document/s to be presented by the customer, if necessary; (e) the amount of fees, if necessary; and (f) the procedure for filing complaints.

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Commission refers to the Philippine Competition Commission.

Commission Strategic Planning

the process where the long-term direction of the PCC is set in relation to what is happening in the dynamic environment and in alignment with the thrusts and priorities of the Administration. It shall be conducted at the beginning of every presidential term to be led by the Chairperson and Commissioners, in collaboration with the PCC Management Committee (ManCom), Organizational Planning Technical Working Group (TWG), and Finance, Planning and Management Office (FPMO).

Competition a process of rivalry between firms seeking to win customers’ business over time.

Competition Policy Enforcement Services

refers to the conduct of review of mergers and acquisitions; investigation and adjudication of cases involving anti-competitive agreements, abuse of dominant position, and anti-competitive mergers and acquisitions; promulgation of decisions; interface with regulatory agencies; research studies, policy analysis and review; participation in local and international meetings, conferences, trainings; publication of rules and regulations, advisories, and other issuances that contribute to the National Competition Policy; provision or conduct of capacity building programs to stakeholders, among others.

Conduct refers to any type or form of undertaking, collective recommendation, independent or concerted action or practice, whether formal or informal.

Core process are end-to-end, cross-functional processes that directly deliver value to the external stakeholders/clients of PCC. These primary processes represent the essential activities that the Commission performs to achieve its goals and objectives, fulfill its mission, and attain its vision.

Core values refers to the fundamental principles of the PCC as an organization that guide the conduct of every official and personnel.

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Dominant position refers to a position of economic strength that an entity or entities

hold which makes it capable of controlling the relevant market independently from any or a combination of the following: competitors, customers, suppliers, or consumers.

Entity refers to any person, natural or juridical, sole proprietorship,

partnership, combination or association in any form, whether incorporated or not, domestic or foreign, including those owned or controlled by the government, engaged directly or indirectly in any economic activity.

External communication

refers to communication with external parties to include customers, suppliers, government agencies, regulatory authorities, special interest groups and the general public.

IEC refers to Information, Education and Communication which is

composed of strategies, approaches and methods that empower the target audience with information to make decisions, modify behaviors and change social conditions concerning a specific problem and within a predefined period of time.

Internal communication

type of communication, oral or written, that occurs among internal members of the PCC.

Internal control comprises the plan of organization and all the methods and

measures adopted within an agency to ensure that resources are used consistent with laws, regulations and policies; resources are safeguarded against loss, wastage and misuse; financial and non-financial information are reliable, accurate and timely; and operations are economical, efficient and effective.

Joint venture refers to a business arrangement whereby an entity or group of

entities contribute capital, services, assets, or a combination of any or all of the foregoing, to undertake an investment activity or a specific project, where each entity shall have the right to direct and govern the policies in connection therewith, with the intention to share both profits and risks and losses subject to agreement by the entities.

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Management processes

are those that are needed for the oversight and governance of the PCC QMS. These ensure a disciplined and consistent approach to analysis and decision-making within the Commission.

Market refers to the group of goods or services that are sufficiently

interchangeable or substitutable and the object of competition, and the geographic area where said goods or services are offered.

Merger refers to the joining of two (2) or more entities into an existing entity

or to form a new entity, including joint ventures. Operational Assessment

the process of evaluating the organization’s current level of performance, processes, outputs, resources, risks, culture, and identifying gaps that need to be addressed in order to accomplish its strategic objectives.

Operational Planning

refers to the process of developing the annual implementing plan of the PCC Strategic Plan. It defines the specific Programs, Activities, and Projects (PAPs) which will be implemented for each fiscal year based on the Strategic Planning Guidance issued by the Top Management.

Outsourced processes

comprise of services needed in the operation and implementation of the PCC QMS that are being performed by external service providers.

Performance Scorecards

Are organized set of performance measures, grouped according to various levels, i.e. Office, Division, and Individual.

Philippine Competition Act

refers to Republic Act No. 10667 or the country's primary competition law for promoting and protecting competitive markets. It consists of rules that are intended to protect the process of competition in order to maximize consumer welfare.

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Risk Management Framework

describes the tools and processes that govern PCC’s approach to risk management. It consists of three principal parts: (1) Risk Management Process, (2) Risk Measurement Criteria, and (3) Risk Tolerance Criteria.

Strategic Assessment

the process of evaluating the organization’s internal and external environment to identify strategic issues that affect its performance and development. Analytical frameworks utilized in the conduct of Strategic Assessment include Stakeholder Analysis, Value Chain Analysis, and Strengths, Weaknesses, Opportunities, and Challenges (SWOC) Analysis, among others.

Strategic Performance Management System

refers to the mechanism adopted by the PCC that links individual performance to the organization’s vision, mission, and strategic priorities. It is composed of strategies, methods, and tools for ensuring fulfillment of the functions and assessing the accomplishments of PCC and its personnel.

Support processes are enabling processes designed to assist the value-delivering core

processes of PCC. The focus of these processes is the Commission’s internal stakeholders.

Strategy Map a diagram that describes how an organization creates value by

linking strategic objectives in explicit cause-and–effect relationship with each of the four perspectives of the Balanced Scorecard, i.e. financial, customer, process, and learning and growth.

Strengths, Weaknesses, Opportunities and Challenges (SWOC) Analysis

a strategic planning tool that identifies the organization’s strengths and weaknesses (internal to the organization, current situation) and opportunities and challenges (mostly external and future-looking). It guides the organization’s determination of strategic issues and development of appropriate strategies to deal with weaknesses and challenges, build on strengths, and take advantage of opportunities.

Top Management refers to the PCC Chairman and Commissioners.

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4.0 CONTEXT OF THE ORGANIZATION




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4.1 PCC and its Context

The PCC is committed to understanding how relevant internal and external issues influence its strategic direction, affect its ability to create public value and achieve its intended results.

The PCC identifies, analyzes, monitors, and reviews these internal and external issues through the conduct of Strategic Assessment and Operations Assessment.

Strategic Assessment is a component activity of the Commission's regular Strategic Planning (PCC-OP-FPMO-001) conducted at the beginning of every presidential term, while Operational Assessment is part of the annual PCC-wide Operational Planning (PCC-OP-FPMO-002).

Both activities aim to evaluate PCC’s current position and desired future state by using analytical frameworks such as the Stakeholder, Value Chain, and Strengths, Weaknesses, Opportunities, and Challenges (SWOC) Analyses. The Strategic Assessment and Operations Assessment help determine the opportunities, challenges, and risks in the delivery of PCC’s mandate. The conduct of these assessments also ensures that the PCC formulates strategies that are appropriate to the requirements of its stakeholders and responsive to the demands of its internal and external environment.

4.2 Needs and Expectations of Relevant Interested Parties

The PCC also takes into consideration the requirements of its relevant interested parties (RIPs) to ensure that it consistently provides quality services and complies with applicable statutory and regulatory requirements.

The RIPs of PCC include, among others, the ones listed in Annex A. The PCC monitors and reviews information regarding its RIPs and their requirements at regular intervals.

4.3 Scope of the PCC QMS

The PCC defines the scope of its QMS based on the analysis of external and internal issues and requirements of RIPs.

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For the initial phase, the scope of the PCC QMS shall cover the:

"Provision of services relating to Compulsory Notification of Mergers and Acquisitions, to include facilitation of pre-notification consultation requests,

receipt and pre-evaluation of forms for notification, determination of sufficiency, and Phase I and Phase II Review"

The scope shall also cover support processes being provided by the Communications and Knowledge Management Office (CKMO), Administrative Office (AO), and Finance, Planning and Management Office (FPMO), to include personnel, IT and general services; budgeting, accounting, and corporate planning services.

It is to be noted that the following requirements of ISO 9001:2015 are not applicable to the PCC QMS:

• Clause 7.1.5 Monitoring and Measuring Resources - The PCC does not use anymonitoring and measuring resources needing calibration in the performance of itsfunctions for its stakeholders.

• Clause 8.3 Design and Development - The PCC does not develop any productsor services requiring design and development.

4.4 PCC QMS and its Processes

The PCC establishes, documents, implements, and continually improves the effectiveness of its QMS in accordance with the ISO 9001:2015 standards. The processes needed for the QMS, its application throughout the organization, and the sequence and interactions of these processes are identified in the PCC Process Diagram. The PCC ensures that:

a. Inputs required and outputs expected from relevant processes are properlyidentified;

b. Criteria and methods needed to ensure operation and control of processes areeffective (e.g. Office/Division Procedures);

c. Resources and information necessary to support the operation and monitoring ofthese processes are available (e.g. Office/Division Procedures, Approved AnnualBudget, and Quality Objectives);

d. Responsibilities and authorities for different processes are assigned;

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e. Risks and opportunities are determined; f. Processes are monitored, measured, and analyzed (e.g. Records of Process

Implementation, Corrective and Preventive Actions); and g. Actions necessary to achieve planned results i.e. targets and objectives and

continual improvement of these processes are implemented (e.g. Records of Process Implementation, Monitoring, Measurement and Analyses, Corrective and Preventive Actions, Audit Reports, and Management Review).

The Plan-Do-Check-Act Cycle The PCC employs the Plan-Do-Check-Act Cycle (Figure 3) to ensure the development, continual improvement, and control of its QMS.

Figure 3 – The PDCA Cycle in the Context of PCC

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The PDCA Cycle, as applied in the context of PCC, can be briefly described as follows:

PLAN In this stage, the PCC sets the objectives of its QMS and determines the resources crucial to the delivery of its services. Potential risks and opportunities are likewise identified and addressed during this stage.

DO The PCC implements and puts into effect what has been planned.

CHECK The PCC monitors and measures its processes, conducts

Internal Quality Audit (IQA), verifies the resulting services/outputs against planned activities, and checks if stakeholder/client requirements are met.

ACT The PCC takes action based on the results of audits and other

monitoring and evaluation mechanisms to improve its performance.

PCC QMS Process Diagram The PCC QMS adopts the process approach of the ISO 9001 standard. This means that the PCC manages and controls its inherent processes, the interactions between these processes, and the inputs and outputs that link these processes together.

The PCC Process Diagram (Figure 4) illustrates the relationship between the four (4) major process groups of PCC, namely:

• Management Processes – are those that are needed for the oversight

and governance of the PCC QMS. These ensure a disciplined and consistent approach to analysis and decision-making within the Commission.

• Core Processes – are end-to-end, cross-functional processes that

directly deliver value to the external stakeholders/clients of PCC. These primary processes represent the essential activities that the Commission

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performs to achieve its goals and objectives, fulfill its mission, and attain its vision.

• Support Processes – are enabling processes designed to assist the value-delivering core processes of PCC. The focus of these processes is the Commission’s internal stakeholders/clients.

• Outsourced Processes – comprise of services needed in the operation and implementation of the PCC QMS that are being performed by external service providers.

Figure 4 – PCC Process Diagram

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5.1 Leadership and Commitment

5.1.1 General

The Top Management composed of the Chairman and the Commissioners, provides leadership and commitment to the development, implementation, and continual improvement of the PCC QMS by:

• Taking accountability for the effectiveness of the QMS;• Approving all policies related to quality management;• Ensuring that the quality policy and objectives are compatible with the

context and strategic direction of the organization;• Ensuring that the responsibilities and authorities for the QMS are defined

and communicated within the organization;• Ensuring that the resources needed for the QMS are available;• Ensuring the development of quality-conscious and productive

employees;• Conducting regular Management Reviews; and• Promoting the use of process approach and risk-based thinking

throughout the Commission.

5.1.2 Client Focus

Stakeholders and relevant interested parties are crucial to the implementation and continual improvement of the PCC QMS. Their needs and expectations are taken into consideration in the planning activities of the Commission in line with PCC’s commitment to ensure that risks and opportunities affecting its service delivery to clients and stakeholders are proactively managed and addressed.

The PCC values the satisfaction of its clients and stakeholders and maintains it by gathering and consistently monitoring their feedback through the administration of Client Satisfaction Feedback Surveys for the services and outputs it provides.

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5.2 PCC Quality Policy The PCC has established its Quality Policy, which contains its goals and commitments in regard to the provision of quality services to its clients and stakeholders. The Quality Policy is approved by the Chairman of the Commission.

PHILIPPINE COMPETITION COMMISSION QUALITY POLICY

We, the Philippine Competition Commission, are the country’s independent, quasi-judicial body mandated to prohibit anti-competitive agreements, abuses of dominant position, and anti-competitive mergers and acquisitions. As we strive to be a world-class competition authority in promoting fair market competition, the PCC commits to:

ü Enforce the Philippine Competition Act; ü Conduct inquiry, investigate, hear and decide on cases involving any violation of

the PCA and other competition laws; ü Conduct fair and efficient evaluation of mergers and acquisitions transactions; ü Undertake in-depth economic research to support merger and acquisition reviews,

competition enforcement and advocacy initiatives; ü Strengthen individual and institutional capacities of PCC under a holistic capacity-

building and knowledge management program; ü Build local and international linkages and partnerships to promote competition; ü Foster a culture of compliance among businesses and other stakeholders; ü Cultivate a culture of competition in the country; and ü Continually improve our organization’s systems and approaches to ensure the

highest level of satisfaction of all our stakeholders. In order to realize the commitments defined herein, the PCC ensures that its Quality Policy is supported with appropriate quality management programs (QMP) and procedures. The Quality Policy shall be communicated to all employees, service providers and stakeholders of PCC and shall form part of employee and contractor orientations. It shall be reviewed for at least once a year for continuing suitability and shall be revised as necessary, especially when there are changes that may affect the QMS. It shall also be made available to interested parties upon written request and approval of the QMR.

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5.3 Roles, Responsibilities, and Authorities The establishment, implementation, maintenance and improvement of the QMS shall be the PCC Top Management’s ultimate responsibility. The Top Management shall appoint a Quality Management Representative (QMR) to direct QMS-related programs and activities throughout the operations of PCC. Roles, responsibilities and authorities with respect to the QMS shall be defined in this manual and when necessary, in each concerned personnel’s job description. A Quality Management Team (QMT) has been organized to provide support in implementing, maintaining, and improving the PCC QMS. The functions, duties and responsibilities of the Quality Management Team as contained in Special Order (SO) No. 051 s. 2018 are as follows:

Figure 5 – PCC Quality Management Team

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Top Management

• Take accountability for the effectiveness of the QMS; • Approve all policies related to quality management; • Ensure that the quality policy and objectives are compatible with the

context and strategic direction of the organization; • Ensure that the responsibilities and authorities for the QMS are defined

and communicated within the organization; • Ensure that the resources needed for the QMS are available; • Preside over the Management Reviews and ensure continual

improvement of the QMS; and • Represent the agency during third party audits.

Quality Management Representative

• Manage and oversee all QMS-related activities of the PCC; • Ensure that the processes needed for the QMS are established,

implemented and maintained; • Report to Top Management on the performance of the QMS and any need

for improvement; • Ensure the promotion of awareness of customer requirements throughout

the organization; • Ensure that the QMS is regularly reviewed by the Quality Management

Team for effectiveness, suitability and conformance to the ISO 9001 Standards;

• Provide budget for QMS-related activities with the approval of the PCC Chairperson; and

• Sign documents pertaining to QMS-related matters such as, but not limited to, meeting notices, reports, memoranda for information/approval of the PCC Chairperson, correspondences submitted/forwarded to QMS consultant/s, and all other communications for distribution or dissemination to concerned offices.

Deputy Quality Management Representative

• Assist the Quality Management Representative in the discharge of functions; and

• Act as the Quality Management Representative in the absence of the incumbent.

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Members

• Ensure that the PCC quality policy is known, understood, implemented, and maintained at all levels in the organization; and

• Participate in the regular review of the QMS to ensure effectiveness and suitability.

QMT Secretariat

• Upon instruction of the QMR, coordinate with consultant/s on matters pertaining to ISO and/or QMS;

• Provide support services relative to ISO and/or QMS-related matters; • Keep the minutes and records of Management Review meetings; • Disseminate workshop/meeting notices and other QMS-related

information to concerned units; and • Perform other duties as may be assigned by the QMR/QMT.

Document Controller

• Maintain the original copy of the QMS Manuals and issues controlled copies;

• Keep track and record of all creations/revisions/deletions of controlled documents;

• Ensure that only current documents are in circulation; • Prevent unintended use of obsolete documents; and • Register externally generated documents used in the planning and

operation of the QMS. Co-Document Controller

• Assist the Document Controller in the discharge of functions; and • Act as the Document Controller in the absence of the incumbent.

Document Control Team Members

• Facilitate processing of all document requests, provided, such requests are duly approved by the Quality Management Representative and cleared by the Document Controller; and

• Perform other tasks related to Document Control.

Internal Quality Audit Team Leader • Oversee and lead IQA activities;

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• Facilitate and preside IQA Meetings; • Develop IQA guidelines, general audit plans, and schedules; • Guide the audit team in developing and presenting audit reports to Top

Management; • Supervise follow-up audits, as necessary; and • Perform other duties on matters related to IQA.

Internal Quality Audit Team Members

• Conduct internal quality audits of the agency to determine the effectiveness of the QMS;

• Assess the QMS compliance with the requirements of ISO 9001 Standards;

• Report the results of the IQA to the Quality Management Team; • Ensure that the results of audits, corrective actions, and follow-up actions

are documented and records are maintained; and • Monitor the implementation and effectiveness of corrective actions.

Overall Quality Workplace Coordinator

• Oversee the overall implementation of the PCC Quality Workplace Program (QWP);

• Develop the Quality Workplace standards, inspection plans, and schedules;

• Monitor and assess the effectiveness of the QWP; • Conduct briefings and trainings on Quality Workplace to concerned

employees; • Lead the workplace audits/inspections; and • Coordinate closely with the Offices/Divisions on matters concerning the

QWP of the agency. Quality Workplace Coordinators

• Ensure consistent implementation of the Quality Workplace Standards using 5S in their respective units; and

• Conduct workplace audits/inspections.

Records Management Improvement Committee • Serve as the policy and coordinating body on matters related to Records

Management;

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6.1 Actions to Address Risks and Opportunities Opportunities and all material risks that could adversely affect the current and future operations of the Commission shall be identified, assessed, managed, and monitored in accordance with the established procedure on Risk and Opportunity Management (PCC-SP-001) and the Risk Management Framework depicted below. The PCC shall develop a criteria for evaluating risks and determining acceptable or tolerable risk level/s for the organization. Said criteria shall be based on PCC’s organizational objectives and external and internal context.

Figure 6 – Risk Management Framework

The results of PCC’s assessment and treatment of risks and opportunities shall be maintained as records and shall be reviewed whenever the need arises.

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6.2 PCC Quality Objectives The quality objectives being considered in the QMS of the Commission are the performance objectives, measures, and targets derived from the Governance, Office, Division, and Individual Performance Scorecards of PCC. Performance scorecards are developed, monitored, and evaluated through the PCC Organizational Planning System (POPS) and Strategic Performance Management System (SPMS). These complementing systems ensure that that PCC operates based on well-developed plans that link employee and organizational performance, financial decisions, and resource requirements to the mission and overall strategic direction of the organization. The POPS is composed of (4) mutually supporting processes/components: 1) Strategic Planning; 2) Operational Planning; 3) Budgeting; and 4) Procurement.

Figure 7 – PCC Organizational Planning System

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The institutional accountabilities for the delivery of agency-level objectives and targets set through the POPS are cascaded to the various levels of the organization using the SPMS. The SPMS ensures that each employee contributes to the attainment of the organization’s objectives and targets and that PCC achieves the goals specified in its strategic plan.

Figure 8 – Strategic Performance Management System

The PCC implements various monitoring and evaluation mechanisms to ensure that performance scorecards remain relevant and responsive to the plans and requirements of the Commission. These mechanisms include the following: PERFORMANCE

SCORECARD CONTENT DEVELOPED DURING

MONITORED AND/OR EVALUATED DURING

1. PCC Governance Scorecard

Outlines measures and targets that gauge the agency’s performance vis-à-vis the PCC Strategic Plan and Strategy Map.

Commission Strategic Planning

• Program Performance and Budget Execution Review

• Annual PCC-wide Operational Planning

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PERFORMANCE SCORECARD CONTENT DEVELOPED

DURING MONITORED AND/OR EVALUATED DURING

2. Office Performance Scorecard (OPS)

Outlines measures and targets that gauge the office’s performance vis-à-vis the PCC Governance Scorecard and other relevant performance commitments.

• Office-Level Operational Planning

• Annual Commitment Exercise

• Office Meetings, as necessary

• Program Performance and Budget Execution Review

3. Division Performance Scorecard (DPS)

Outlines measures and targets that gauge the division’s performance vis-à-vis the OPS and other relevant performance commitments.

Office-Level Operational Planning

• Performance Monitoring and Coaching Sessions

• Office and/or Division Meetings, as necessary

• Performance Review and Evaluation Period

4. Individual Performance Scorecard (IPS)

Outlines measures and targets that gauge individual performance vis-à-vis the DPS and other relevant performance commitments.

Performance Planning and Commitment Period

• Performance Monitoring and Coaching Sessions

• Office and/or Division Meetings, as necessary

• Performance Review and Evaluation Period

Appropriate corrective measures shall be discussed and identified through these monitoring and evaluation mechanisms whenever the objectives and targets in the performance scorecards are not met. Supporting activities, projects, and initiatives shall be formulated during the annual PCC-wide Operational Planning (PCC-OP-FPMO-002) and Office Level Operational Planning of the POPS to ensure that performance commitments in the scorecards are achieved. For more details about the POPS and SPMS, please refer to Office Circular No. 2018-03-001 dated 02 March 2018 and the PCC SPMS Manual, respectively.

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7.1 Resources

7.1.1 General The PCC determines and provides the resources needed to establish, implement, maintain, and continually improve its QMS. In providing the necessary resources, the PCC considers:

a. The capabilities of, and constraints on, existing internal resources; and b. What resources can be obtained from external providers.

7.1.2 People Through the Human Resource Development Division (HRDD), the PCC determines and provides the manpower needed for the effective operation of its QMS. This is done in accordance with pertinent rules and regulations prescribed by the Department of Budget and Management (DBM) and the Civil Service Commission (CSC) and following the Procedure on Recruitment and Promotion (PCC-OP-AO-006).

7.1.3 Infrastructure The PCC, determines, provides and maintains the infrastructure needed for the daily operations of the Commission. Infrastructure include:

a. Workspace and associated facilities; b. Process equipment, including hardware and software; c. Information and communication technology systems; and d. Service vehicles.

The General Services Division (GSD) and Information and Communications Technology Division (ICTD) are primarily responsible for the effective maintenance of PCC’s infrastructure.

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7.1.4 Environment for the Operation of Processes The PCC shall determine, provide, and maintain a work environment conducive for the operation of its processes. In doing so, it shall consider ergonomic, social and psychological factors that affect the productivity of its personnel.

To ensure a clean, safe and orderly workplace, pest control and housekeeping activities shall be conducted regularly, and Quality Workplace Standards shall be established. An Emergency Management Plan and Emergency Response Team shall also be developed and organized respectively to mitigate the damage of potential events that could endanger or affect PCC's operations. Workplace policies and programs designed to boost employee morale, promote wellness, collaboration, and stakeholder-oriented culture among employees shall likewise be developed and implemented by the Commission through the Human Resource Development Division (HRDD).

7.1.5 Monitoring and Measuring Resources This clause of the ISO 9001:2015 standard is not applicable to the PCC QMS. The PCC does not use any monitoring and measuring resources needing calibration in the performance of its functions for its customers.

7.1.6 Organizational Knowledge The PCC identifies the necessary knowledge for the operation of its processes. These comprise knowledge and information gathered from:

a. Internal Sources – e.g. existing research studies, survey results, in-house

training courses, among others; and b. External Sources – e.g. references from local and international seminars

and conferences; and information gathered from relevant interested parties/stakeholders and external providers, among others.

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The Knowledge Management Division (KMD) serves as the main unit responsible in managing the know-how and know-what throughout the PCC. It develops, manages and organizes knowledge systems or mechanisms that strengthen the culture of learning and information sharing within the PCC for efficient decision-making. It is the lead unit in PCC that promotes and facilitates formal knowledge exchanges among local and international partners. The KMD also develops and disseminates knowledge products in the form of information, education and communication (IEC) materials for various stakeholders, both internal and external. The PCC, through the KMD, shall determine the need and means for acquiring additional knowledge for the operation of its processes.

To the extent necessary, organizational knowledge shall be preserved through incorporation to documented procedures and other forms determined by the Commission. For more details, please refer to the procedure on Knowledge Management (PCC-OP-CKMO-002).

7.2 Competence Human resources are PCC’s greatest assets. To ensure that all personnel are equipped with the necessary competencies required to efficiently perform their functions, the Human Resource Development Division (HRDD) shall establish and maintain procedures to ascertain personnel merit and fitness based on education, training and/or experience, and competencies. HRDD shall be primarily in-charge of training needs identification, provision and monitoring the effectiveness of staff development interventions, particularly training courses concerning the enhancement of basic skills, management skills, personal/career development, and other soft skills. The Training and Advocacy Division (TAD) of the Communications and Knowledge Management Office (CKMO) shall be responsible for the identification and provision of technical skills training needed by PCC employees. The CKMO-TAD shall likewise evaluate the effectiveness of training courses provided to PCC employees. The HRDD, with the assistance of CKMO-TAD, shall maintain documented information in undertaking the following functions:

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a. Determining the competency requirements of PCC personnel performing work that

affect service quality; b. Providing relevant staff development interventions to address the gaps, enhance

and/or update identified competencies through formal and informal means such as coaching, on-the-job-training, cross posting, and attendance to in-house, local and international seminars, training courses and workshops; and

c. Evaluating the effectiveness of staff development interventions. These documented information, as well as records of other personnel qualifications, shall be kept and maintained in the 201 file of each PCC personnel by a designated HRDD Personnel. For more details, refer to the following procedures: Attendance to Capacity Building Programs (PCC-OP-AO-007) and Advocacy and Capacity Building Procedure (PCC-OP-CKMO-001). 7.3 Awareness All PCC personnel shall be made aware of the following:

a. The Commission’s Quality Policy and Objectives; b. Their contribution to the effectiveness of the QMS; and c. Implications of not complying with the QMS requirements.

To ensure that the QMS is communicated throughout the Commission, Orientation Seminars on ISO-aligned Documentation, i.e. Quality Manual and Procedures Manual, shall be conducted. 7.4 Communication The PCC ensures that relevant information about the operation and improvement of its QMS are communicated through appropriate internal communication channels such as, but not limited to the following:

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COMMUNICATION

CHANNEL PURPOSE FREQUENCY ATTENDEES PERSON RESPONSIBLE

DOCUMENTED INFORMATION

1. Management Review

To review the continuing suitability and effectiveness of the QMS in satisfying the requirements of ISO 9001:2015 standards and the quality policy and objectives of the PCC.

At least once a year

PCC Quality Management Team

Quality Management Representative

Management Review Minutes

2. General Assembly

To communicate, among others, new developments in the Commission, i.e. policies, and procedures; and to provide a venue for discussing employee concerns.

Quarterly

All PCC Employees

Chief Administrative Officer, AO-HRDD

Attendance Sheet

3. Management Committee (ManCom) Meetings

To monitor and provide guidance in the implementation of the PCC offices’ operational plans. Also a venue to propose new programs/ policies for the management’s approval.

At least twice a month

Executive Director, Office Directors, and Secretariat

Executive Director and Planning Officer V, FPMO-CPMD

Minutes of the Meeting / Summary of Discussions, and Attendance Sheet

4. Commission Meetings

To promulgate rules and regulations, decide on cases and M&A transactions being handled by PCC.

At least twice a week

Chairman and Commissioners

Board Secretary

Minutes of the Meeting and Attendance Sheet

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COMMUNICATION

CHANNEL PURPOSE FREQUENCY ATTENDEES PERSON RESPONSIBLE

DOCUMENTED INFORMATION

5. Office Meetings

To monitor the office’s quality objectives and provide updates on projects and action plans; discuss the issues and concerns of each division; and disseminate announcements made during the ManCom and Management Review Meetings.

At least once a month

Office Director and Division Staff

Office Director


6. Division Meetings

To monitor the division’s quality objectives and provide updates on projects and action plans; and discuss the issues and concerns of each personnel.

At least once a month

Division Chief and Staff

Division Chief


7. Project/ Activity Coordination

Meetings

To brief or provide updates on the projects/activities to be implemented to concerned divisions/offices/ staff.

As necessary

Project/ Activity Implementer/s and concerned divisions/ offices/ Staff

Project/Activity Implementer/s


8. General Orientation of New Employees

To orient new employees about the organization, policies, benefits, and QMS.

Quarterly

New Employees

AO-HRDD and concerned Office Directors/ Staff

Presentation Slides and/or On-Boarding Kit, and Attendance Sheet

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Internal and external communications are key factors that contribute to the effective implementation and maintenance of the PCC QMS. Internal communications shall include written communication conveyed through orders, instructions, reports, memoranda, other issuances and/or using the PCC intranet facility for internal electronic communication. The PCC recognizes the importance of engaging key stakeholders through external communications. To ensure the provision of timely, accurate and relevant information to external parties, the PCC shall:

• Utilize social media platforms for more effective information dissemination; • Develop a specific guidelines or policies on external communications in

accordance with applicable government rules and regulations, i.e. public disclosure and data privacy; and

• Provide material information to external parties through authorized representatives or spokespersons.

Only authorized representatives or spokespersons shall be allowed to make or approve public statements regarding the Commission, its officials and employees, and operations. Authorized representatives or spokespersons may only provide information to a third party if such information has been previously or is simultaneously publicly disseminated. A press release or press conference may be issued or called open to the public for this purpose. 7.5 Documented Information

7.5.1 General

The PCC QMS is designed to ensure consistency in meeting stakeholder/client needs and expectations through the actual performance of documented policies, systems and processes and procedures. The PCC QMS is described in the following documents:

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Figure 9 – Documented Information Structure

• Level 1: National Policies. While the Quality Manual is the highest level of QMS

documentation within the organization, it should necessarily comply with the laws of the land. The laws governing the PCC include Republic Act (RA) No. 10667 or the Philippine Competition Act, as well as all national laws and policies that may impact the governance and operation of the Commission. These also include guidelines issued by other national government agencies which are relevant to PCC’s operations;

• Level 2: Quality Manual. The Quality Manual is the highest level of QMS

documentation within the PCC. It contains the quality policy, organizational structure, and specific policies for process, quality control and improvement;

• Level 3: Procedures and/or Work Instructions. These serve as operational guide

on what the PCC does and how it achieves stated activities and tasks. These also provide guidance on how to communicate and perform various activities. Work instructions describe the detailed series of steps in performing routine activities.

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• Level 4: Internal Policies and Guidelines. These include records of internal

issuances such as Office Circulars and Office Orders.

• Level 5: Support Document and Records. These are documents of either internal or external origin used in the implementation and maintenance of the PCC QMS. These include, among others, the following:

a. Forms – These are pro forma documents referenced in the procedures or work

instructions where data or information generated from the implementation and maintenance of the QMS shall be recorded.

b. Records – These are documents that provide evidence of PCC’s compliance

to the requirements of the above documentation. These include filled-out forms, logbooks, checklists, and reports. Permits, licenses, certificates, and other documents kept as reference also serve as records.

c. Reference Documents – Literature such as standards, textbooks, equipment manuals, journals and other publications that are used as references for the QMS.

7.5.2 Control of Documented Information

Control of Documents The PCC maintains the documented information required by the QMS. It has established a documented procedure on Control of Documents (PCC-SP-003) outlining the controls needed for the creation, review, approval, registration, issuance, revision, updating, retrieval, deletion and disposition of controlled documents.

Controlled documents shall be prepared, reviewed, approved and signed by designated authorized employees prior to issue and use as indicated in Annex C of this Manual.

The PCC QMS Manuals shall be made available to all users and shall be updated by the Document Control Team when there are creations, modifications or deletions. All changes shall be identified and recorded in the Revision History.

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8.1 Operational Planning and Control

The PCC shall plan for the realization of services required by its clients or stakeholders through the establishment of operational procedures which contain, among others, the following information:

• Series of steps/activities to describe the activity/process to be done;• Personnel/unit responsible for each step/activity;• Parameters or items that need to be controlled for each step/activity;• Quality requirements/criteria for acceptance;• Monitoring activities to be conducted, including frequency of monitoring to be

done; and• Records to be generated as a result of the monitoring process identified.

8.2 Requirements for Outputs and Services

8.2.1 Client Communication

The PCC shall make available appropriate communication channels that will help maintain mutually beneficial relationships with its clients.

Procedures or mechanisms for receiving, handling and responding to client complaints and concerns shall be established by the Commission. These shall include the existing Feedback and Redress Mechanism identified in the PCC Citizen’s Charter.

All personnel shall be oriented to receive client communication properly and relay these to the concerned party or Office of Primary Responsibility (OPR). Critical issues shall be forwarded to the Quality Management Representative and/or Office Directors.

8.2.2 Determination and Review of Requirements

The PCC shall determine the requirements needed for the delivery of its outputs and services. These requirements may include:

• Client requirements and expectations;• Relevant regulatory requirements; and• Capability to meet claims for the output/services being offered.

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Before providing outputs and/or services to its clients, the PCC shall review all requirements to ensure that it has the adequate, accurate information and ability to deliver what is being required by its clients. The review shall cover requirements stated by the client, as well as those that are not stated, but deemed necessary. Service/output-delivery agreements with clients shall be appropriately documented. Any changes in the agreement shall be made known to the concerned parties and shall be reflected on the contract or the applicable documented information used. 8.2.3 Changes to Outputs and Services The PCC shall update all relevant information and documents when the requirements pertaining to outputs and services required by clients are changed. Any changes in the requirements shall be reflected on the applicable documented information and made known to concerned parties and staff through meetings, briefings, and official correspondence, among others.

8.3 Design and Development This clause of the ISO 9001:2015 standard is not applicable to the PCC QMS. The PCC does not use develop any products or services requiring design and development. 8.4 Control of Outsourced Processes, Products and Services The PCC engages the services of qualified external providers as it may deem necessary. Each of these outsourced services is covered by a contract to ensure that both parties, the PCC and the external service provider, are aware of the responsibilities and terms and conditions mutually agreed upon. The performance of external service providers is monitored through accomplishment reports, among others. Annex D enumerates the outsourced processes/services of PCC and the mechanisms used to control them. The PCC Bids and Awards Committee (BAC) and the General Services Division (GSD) of the Administrative Office (AO) shall be primarily responsible in acquiring externally provided processes, products and services needed by the Commission.

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The PCC Procurement Manual has been developed to ensure compliance with Clause 8.4 of the ISO 9001:2015 standard and Republic Act No. 9184 or the Government Procurement Reform Act. Purchasing procedures adopted by the Commission shall ensure that:

• Externally provided processes, products and services comply with quality, cost, and other requirements of the PCC;

• Criteria for selection and evaluation of suppliers are established; and • Records of evaluation of external providers are maintained.

The PCC shall ensure that outsourced processes, products and services remain within the control of the QMS. Purchased materials and equipment shall be checked in accordance with the established procedure on Receiving of Supplies and Equipment (PCC-OP-AO-001) by the duly authorized Inspection Team/Committee. Conformity to quality requirements of outsourced processes and services shall be verified at appropriate stages of contract/project implementation by the end-user or project proponent of the concerned office. The results of verification and actions taken shall be recorded. The PCC shall ensure proper communication of requirements to service providers. This shall include, among others, the following:

• Relevant purchasing requirements, including verification arrangements specified in appropriate documents such as Purchase Orders (PO), Terms of Reference (TOR), Job Orders (JO) or service contracts;

• Competence, including required qualification, of personnel, where applicable; and • External providers’ interactions with PCC personnel/units.

8.5 Service Provision

8.5.1 Control of Service Provision The PCC shall ensure that service provision and relevant support processes are controlled and accomplished in accordance with the quality criteria specified in its established procedures. Control of processes for service provision shall include, as applicable, the following:

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• Availability of documented information defining the characteristics of

outputs and services, as well as the results to be achieved; • Use of suitable equipment, infrastructure and environment for the

operation of processes; • Appointment of competent persons, including required qualifications; • Regular inspection, verification, and monitoring of processes; • Implementation of activities to prevent human error; and • Implementation of release, delivery and post-delivery activities.

8.5.2 Identification and Traceability Appropriate identification and traceability tools and/or mechanisms shall be applied when required by certain processes. In most situations, details such as type and nature of reports shall be indicated, when needed, to facilitate identification and traceability. Some other applications of identification and traceability within the Commission include:

• Tagging office property with inventory codes/serial numbers; • Assigning series numbers to PCC issuances (e.g. Office/Special Orders,

Office Circulars, memoranda, etc.); • Assigning of internal reference numbers and case numbers, i.e. Merger

Notification Case Number; and • Use of document tracking tools (e.g. logbooks and databases).

8.5.3 Property of Clients or External Providers The PCC shall safeguard properties belonging to its clients and/or external providers while it is being used or under its control. Examples of such properties include photocopying machines, office fixtures, and files and documents submitted by notifying parties. Upon receipt, properties belonging to clients and/or external providers are identified, verified, tested, and protected. If any of such property is lost, damaged or otherwise found to be unsuitable for use, this shall be reported to the client or external provider and appropriate records shall be maintained. Specific details regarding the maintenance of such properties shall be defined in the contracts or service agreements with clients and/or external providers.

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8.0 OPERATION




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8.5.4 Preservation

The PCC’s outputs, such as documents or reports, shall be preserved to ensure that these are protected from damage and deterioration. These shall be handled carefully and kept in secure locations. 8.5.5 Post-Delivery Activities

As applicable, the PCC shall document its post-delivery activities through issuance of Acknowledgment Letters/Receipts. Post-delivery activities shall be conducted in compliance with the policies and standards defined herein. In determining the extent of required post-delivery activities, the PCC shall consider:

a. Statutory and regulatory requirements; b. The potential undesired consequences associated with its outputs and

services; c. The nature and intended use of its outputs and services; d. Client requirements; and e. Client feedback.

8.5.6 Control of Changes

The PCC shall review and control changes in regard to its provision of outputs and/or services. Records shall be retained to show the results of the review, person/s authorizing the change, and any actions resulting from the review.

8.6 Release of Outputs and Services The deadlines for the completion and delivery of outputs and services, as well as other specifications in conformity with client requirements, are set and specified in PCC’s work programs, project plans, assignment sheets/task logs and memoranda. Reviews are conducted and revisions are made at appropriate stages to ensure that applicable requirements pertaining to PCC’s output/service-delivery are met. Approval of Top Management or any authorized official is required before release/delivery of outputs and services to clients.

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9.1 Monitoring, Measurement, Analysis and Evaluation

9.1.1 General

The PCC shall define monitoring and measurement activities and requirements for each QMS process. These shall be carried out at appropriate stages and shall cover parameters relevant to the following:

• PCC Strategic Performance Management System (SPMS);• Conformity to specifications of procedures, instructions, guidelines and

other relevant standards;• Client satisfaction; and• Performance of external service providers.

Monitoring methods, responsibility, frequency, and resource requirements shall be established. Whenever possible, these shall be included in the documented procedures and work instructions of the Commission.

9.1.2 Client Satisfaction

The PCC shall make use of appropriate means to determine and monitor clients’ perceptions of the degree to which their requirements have been fulfilled by the PCC. Clients’ perceptions may be obtained through:

• Client Satisfaction Feedback Surveys;• Client Meetings; and• Feedback responses received by the PCC through social media platforms.

9.1.3 Analysis and Evaluation

Records generated from the different processes of the PCC shall be reviewed periodically or as the need arises. When applicable, such records and information shall be analyzed and evaluated. In the occurrence of any negative trend or non-achievement of target results, corrective action shall be undertaken. The results of analysis shall be used to evaluate:

• The degree of client satisfaction;

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• Conformity of outputs and services;• Performance of processes against set objectives;• If planning has been implemented effectively;• The effectiveness of actions taken to address risks and opportunities;• Characteristics and trends of processes and outputs including

opportunities for preventive action; and• Performance of external providers.

Where applicable, statistical methods shall be used to analyze the above data. Results of data analysis shall be used to evaluate whether continual improvement on the effectiveness of the QMS can be applied. Where necessary, corrective actions are applied to the identified actual and potential nonconformities.

9.2 Internal Quality Audit

Aside from the conduct of periodic monitoring activities, the PCC shall conduct internal quality audit (IQA) to determine if the QMS conforms to the requirements of the ISO 9001:2015 standard. The IQA shall be conducted at least once a year, in accordance with the Internal Quality Audit Procedure (PCC-SP-006) established by the PCC. The IQA shall be based on importance of the processes being audited, with respect to quality. Focus shall be given to those areas with major changes or quality concerns and those with potential or actual nonconformities during previous audits.

Members of the PCC IQA Team shall be trained on the requirements of ISO 9001 and auditing tools and techniques. The IQA Team Leader shall spearhead and coordinate all activities of the team, oversee the implementation of the IQA procedure, and keep pertinent audit records.

During actual audits, the auditors shall be assigned to processes other than their own, so that objectivity and impartiality of the IQA is maintained. In some cases, the PCC may source out internal quality auditors from outside the Commission, provided that these personnel have undergone the required training courses and are knowledgeable of the Commission’s processes. The audit results shall be submitted to the Quality Management Representative (QMR) and to the members of the Top Management. Concerned process owners shall address the audit findings in accordance with the Nonconformity and Corrective Action Procedure (PCC-SP-007).

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10.1 General The PCC uses the QMS to improve its processes, outputs and services. Such improvements aim to address the clients’ needs and expectations, as well as those of other relevant interested parties, to the extent possible. Improvement efforts shall be geared towards:

• Improving outputs and services to meet existing requirements, as well as future needs and expectations;

• Correcting, preventing, or reducing undesired effects; and • Improving the performance and effectiveness of the QMS.

10.2 Nonconformity and Corrective Action The PCC takes corrective action to eliminate the causes of nonconformity and prevent recurrence. This is done in accordance with PCC’s Nonconformity and Corrective Action Procedure (PCC-SP-007) using the Corrective Action Request (CAR) Form. The CAR Form shall be used to facilitate the following activities:

• Immediate action/s to be done upon detection of the nonconformity, i.e. correction; • Root cause determination for the identified nonconformities; • Determination if similar nonconformities have occurred or could potentially occur

elsewhere; • Determination of the action needed to ensure that the nonconformities do not

recur; • Recording of the results of the action taken; • Updating of risks and opportunities; and • Follow-up and verification of the action taken if effective.

The issued CAR Forms shall be monitored by the Quality Management Representative (QMR), through the Internal Quality Audit (IQA) Team Leader, and shall be closed whenever the implemented actions were found to be effective in preventing the recurrence of the identified nonconformance.

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ANNEX A PCC Relevant Interested Parties

Document No.: PCC-QM-001 Effective Date: 03 September 2018 Rev. No.: 2 Page No. AA - 1 of 4

This Quality Manual shall not be reproduced in whole or in part, in any form, or by any means without a written consent from the Quality Management Representative. Any hard copy without the blue “controlled” stamp or any unprotected soft copy of this document shall be regarded as uncontrolled copy.

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Stakeholder

Name Impact

How much does the PCC policies and decisions impact

them? (Low, Medium, High)

Influence How much

influence do they have over PCC? (Low, Medium,

High)

What is important to the stakeholder?

How could the stakeholder contribute

to PCC’s effective performance?

How could the stakeholder block PCC’s policies, decisions, and over-all effectiveness?

Strategy for engaging the stakeholder

General Public

Low Medium Low prices, more choices, better quality goods and services

Report anti-competitive behavior

Subscribing and spreading fake news; indifference

Conduct information campaign through the media

Consumer Association

Medium Medium Recognition as a partner in safeguarding consumer interest

Report anti-competitive behavior and help advocate for CLP

Withhold cooperation Facilitate roundtable discussions and other advocacy fora

Consumers High Medium To be charged fair prices of goods and services; To enjoy high quality goods and services

To provide inputs to work being conducted by PCC by responding to call for comments and filing complaints; By remaining vigilant against anti-competitive practices of businesses and anti-competitive M&As

By voicing consumer concerns or complaints thru various media, including but not limited to social media

Media campaigns

Media High High More and interesting stories

Help educate the public about competition

Spread misleading/misinformed news

Come up with regular dose of news items and tokens

Big Businesses

High High That PCC not wield its powers arbitrarily; Minimal government transaction cost and less government intervention

Ensure compliance; By cultivating a culture of compliance to competition laws; By not lobbying against the PCC

Use their clout among politicians to subvert the law; By lobbying against PCC or measures being proposed by it

Conduct dialogues and meetings between heads of big businesses and the Commission; Through classes in business schools

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Stakeholder Name

Impact How much does the

PCC policies and decisions impact


Influence How much


High)






SMEs Low Low Greater government support

Report anti-competitive behavior and ensure compliance

Conduct information campaign through the fora and seminars

Judiciary Low Low For PCC to submit clear and complete requests to facilitate prompt issuance of search warrants and other orders needed in the conduct of investigations. Expects prompt and complete transmittal of documents and information from PCC

Invite experts from PCC on cases that have competition-related issues; Affirm PCC decisions on competition cases

Wrong interpretation of the law, because court decisions establish jurisprudence and become part of the law of the land

Provide advocacy and capacity-building activities and IEC materials to judges, court attorneys, and researchers through the Philippine Judicial Academy (PhilJA)

Sector Regulators

Medium High Clear jurisdiction Agree to forge MoAs with PCC Contradict PCC’s pronouncements and undermine PCC’s decisions; fail to recognize PCC’s jurisdiction

Forge MoAs; engage and educate through advocacy and capacity-building initiatives

Economic Agencies

Low High Policy coherence Streamline competition in national policy

Lack of support and coordination/consultation with PCC on the National Competition Policy

Sustain coordination within the context of the Philippine Development Plan and the formulation of the National Competition Policy to establish that PCC has the primary mandate on competition

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Stakeholder Name

Impact How much does the

PCC policies and decisions impact


Influence How much


High)






Legislative Low High Accountability of government officials

Review and/or amend/repeal anti-competitive laws; involve PCC in crafting/reviewing laws

Abolish PCC and repeal PCA; disregard PCC’s inputs in competition-related legislations and issues

Religiously attend hearings and establish/implement legislative liaison Sustain capacity-building and advocacy activities for legislators and their staff

Policy Research Community

High Low Opportunity for more studies

Expand competition research agenda

Coming up with recommendations that are not aligned with PCC’s advocacies

Call for papers/award research grants/establish long-term research programs

Academic Community

Low Low Value of PCC decisions and practices in the development of academic curriculum and body of knowledge on the disciplines of law, business management, and economics

Openness to include competition law and policy in their curriculum

Refuse to include CLP in their curriculum

Send PCC officials as guest lecturers in universities; establish a Center of Excellence on CLP education; conduct consultations and collaborations to develop modules and curriculum on CLP; propose the inclusion of CLP on MCLE and Bar Exam; increase engagement with law, business, and economic schools in provinces

LGUs Low Low Joint ventures and other agreements undertaken with private organizations

Partner with PCC in its advocacy initiatives such as roadshows

Craft local policies which are potentially anti-competitive

Conduct regional roadshows

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ANNEX B PCC Outputs and Services

Document No.: PCC-QM-001 Effective Date: 03 September 2018 Rev. No.: 2 Page No. AB - 1 of 3



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OFFICE / DIVISION KEY OUTPUTS AND/OR SERVICES

Economics Office

- Economic assessment of mergers- Economic investigation of potential PCA violations- Database management and data gathering, including

surveys - Research, including issues papers, market studies, policy

notes, and advocacy commentaries- Technical assistance of PCC units/officials

Competition Enforcement Office

- Assessment of referrals, queries and complaints- Assessment of requests/applications for non-adversarial

remedies- Evaluation of leniency applications- Evaluation of applications for forbearance- Conduct of preliminary inquiries and full administrative

investigation- Preparation of complaint and other memoranda- Prosecution of administrative cases before the

Commission- Monitoring enforcement of final orders and decisions

Mergers and Acquisitions Office

- Facilitation of Pre-Notification Consultation Requests- Receipt and Pre-Evaluation of Forms for Compulsory

Notification- Conduct of Sufficiency Determination- Conduct of Phase I Review- Conduct of Phase II Review- Market Surveillance and Monitoring

Commission Proper - Policy Formulation- Promulgation of Rules and Decisions

Communications and Knowledge Management Office

- Advocacy and Capacity Building (i.e. internal andexternal)

- Knowledge Management Services, to include productionof information, education, and communication (IEC) materials and drafting and review of publications

- Website Management

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ANNEX B PCC Outputs and Services

Document No.: PCC-QM-001 Effective Date: 03 September 2018 Rev. No.: 2 Page No. AB - 2 of 3



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OFFICE / DIVISION KEY OUTPUTS AND/OR SERVICES

Administrative Office

- Personnel Services, to include Internal Capacity Building- General Services, to include Procurement, Property and

Supply Management, Records Management, Motorpool, andCashiering Services

- ICT Services, to include Application Management, Networkand Infrastructure, Technical Management, and ServiceDesk

Finance, Planning and Management Office

- Budget Services, to include preparation of the PCC annualbudget/financial plan, formulation and implementation of theCommission’s Program of Expenditure (POE), and provisionof advisory services to PCC management and organizationalunits regarding budgetary and financial concerns.

- Accounting Services, to include preparation and submissionof financial reports to the management and regulatoryagencies, and dissemination of relevant advisoriespertaining to financial transactions with material effects onemployees and management decisions, among others.

- Corporate Planning and Management Services, to includeformulation of strategic, long-term and annual plans andprograms of the PCC, policy formulation and review,strategy management, performance management, andquality management.

Legal Services Division

- Preparation of legal opinions, memos, and assessments onlegal issues encountered by the Commission and/or itsoperating and administrative units

- Drafting and review of contracts and other legal documentsinvolving the Commission and/or its operating andadministrative units

- Provision of required policy support work on legislationrelevant to or connected with the mandate of theCommission

- Review and preparation of internal governance policies tominimize PCC’s exposure to legal risk

- Provision of legal representation to the Commission and/orany of its officers in civil, criminal, and administrativeproceedings where they have been impleaded as parties onaccount of the exercise of their official functions

- Conduct of investigations on administrative disciplinarycases involving PCC personnel.

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ANNEX D Matrix of Outsourced Processes and Controls

Document No.: PCC-QM-001 Effective Date: 03 September 2018 Rev. No.: 2 Page No. AD - 1 of 2



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OUTSOURCED PRODUCT / SERVICE

SERVICE PROVIDER CONTROLS RESPONSIBLE

BUILDING AND FACILITIESOffice Space Northeastern

Commercial Corporation

• Contract• Certification of Satisfactory

Service

General Services Division

Security Services Special Corporate Security Management, Inc.

• Contract• Performance Evaluation• Certification of Satisfactory

Service


Janitorial Services Starcom Manpower and Allied Services, Inc.

• Contract• Performance Evaluation• Certification of Satisfactory

Service• Daily Time Records (DTR)


PRINTING SERVICESPhotocopier Services E-Copy Corporation • Contract

• Meter Reading• Certification of Satisfactory

Service


COMMUNICATION SERVICESTelephone Services Philippine Long

Distance Telephone Company


Service• Authority for NDD / IDD

Calls


Internet Services Philippine Global Communications, Inc.


Service

Information and Communications

Technology Division

OTHER SERVICESFuel Oil Empire, Inc. • Contract

• Certification of SatisfactoryService

• Trip Ticket, as applicable• Official Receipts• Monthly Summary of

Transactions• Starcard


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ANNEX E List of Statutory and Regulatory Requirements

Document No.: PCC-QM-001 Effective Date: 28 March 2018 Rev. No.: 0 Page No. AE - 1 of 18


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REQUIREMENT (Title of Report/Compliance)

LEGAL BASES (Republic Act,

Executive Order, etc.)

SUBMITTED TO (Name of

Oversight Agency)

FREQUENCY (Weekly, Monthly,

Annual, etc.)

REMARKS (Identify reviewing and approving authority/ies)

ADMINISTRATIVE OFFICE - GENERAL SERVICES DIVISION (CASHIERING) Cash Disbursements Record Prescribed by the COA

pursuant to the following issuances: • Circular No. 2015-

007 Prescribing theGovernmentAccounting Manualfor use of AllNationalGovernmentAgencies

• Resolution No.2014-003 datedJanuary 24, 2014

• Circular No. 2013-002 dated January30, 2013

COA Monthly Chief Administrative Officer, GSD Report of Accountability for

Accountable Forms COA and BTr Monthly Clearance to Purchase of Checks

Report of Cash Disbursements

COA

Supporting Documents upon submission of Liquidation Report

Chief Administrative Officer, GSD & Accountant

Checks and Advices to Debit Account Disbursements Record Monthly Chief Administrative Officer, GSD Report of Advice to Debit Account Issued Monthly List of Due and Demandable Accounts Payable - Advice to Debit Accounts (LDDAP-ADA)

LBP Supporting Documents to LDDAP-ADAs

Chief Administrative Officer, GSD/ Director IV, AO or FPMO/ Executive Director/Chairman

Summary of LDDAP-ADAs Issued and Invalidated ADA Entries LBP As necessary

Accountant/Chief Administrative Officer, GSD/Director IV, AO or FPMO/Executive Director/Chairman

Report of Checks Issued COA Monthly Chief Administrative Officer, GSD List of Unreleased & Cancelled Checks

Advice of Checks Issued and Cancelled LBP As necessary Chief Administrative Officer, GSD/ Director IV, AO or FPMO/Executive Director/Chairman

Cash Receipts Record COA Monthly Chief Administrative Officer, GSD Report of Collections and Deposits List of Deposited Collections LBP As necessary Cashier

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REQUIREMENT

(Title of Report/Compliance) LEGAL BASES (Republic Act,



Oversight Agency)


Annual, etc.)


ADMINISTRATIVE OFFICE - GENERAL SERVICES DIVISION (CASHIERING) Petty Cash Fund Record Government

Accounting Manual (GAM), PD 1445

COA Monthly Chief Administrative Officer, GSD Report on Paid Petty Cash Vouchers Frequently or upon

submission of Liquidation Petty Cash Fund Register Liquidation of Cash Advance (Petty Cash Fund) End of the year

Director IV, AO Replenishment of Petty Cash Fund Frequently or once PCF

reaches 75%

Liquidation of Cash Advance (Special Activity)

20 days after the activity or the accomplishment of the cash advance’s purpose Chief Administrative Officer, GSD

Liquidation of EME and Communication Allowance Monthly

Bonding/Cancellation of Bond of Special Disbursing Officer, PCF Custodian, and Accountable Officials (for PPE/Fund)

Treasury Circular No. 02-2009 COA and BTr

Annually. Cancellation upon resignation/ separation

Chairman/Executive Director/ Director IV, AO

Encashment of Check (24 hours after advice)

Government Accounting Manual (GAM), PD 1445

LBP Everyday Chief Administrative Officer

Request for Issuance of Check Booklet Treasury Circular No. 01-2014 BTr and LBP Monthly or as necessary Chief Administrative Officer/Director IV, AO

Collection Fees: 1. PhP250,000.00 (Phase 1) 2. PhP1,000,000.00 (Phase 2)

RA No. 10667 and IRR and PCC MC 2017-002

BTr Upon receipt of Order of

Payment

MAO representative (Order of Payment), Cashier (Collection) and Chief Administrative Officer, GSD (Deposit to LBP)

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REQUIREMENT




Oversight Agency)


Annual, etc.)


ADMINISTRATIVE OFFICE - GENERAL SERVICES DIVISION (CASHIERING)

3. 1% of Collection Fees for Legal Research Fund

Sec. 4 of R.A. No. 3870, as amended by PD No. 200 and PD No. 1856

UP Law Center Upon receipt of Order of Payment

MAO representative (Order of Payment), Cashier (Collection) and Chief Administrative Officer, GSD (Deposit to LBP)

ADMINISTRATIVE OFFICE - GENERAL SERVICES DIVISION (RECORDS) NAP Form 1 - Inventory and Appraisal of Records

Republic Act No. 9470 NAP Annual Chief Administrative Officer / NAP Records

Management Analyst NAP Form 2 - Records Disposition Schedule Every five (5) years

Creation of a Records Management and Improvement Committee Once Chief Administrative Officer / Administrative

Office Director / Chairman

NAP Form 3 - Request for Authority to Dispose of Records Annual

Chief Administrative Officer / Administrative Office Director / Chairman / NAP Records Management Analyst

NAP Form 7 - Request for Authority to Transfer Non-Current Public Records

As necessary / per schedule

NAP Form 10 - Transmittal and Receipt of Non-Current Public Records

As necessary / per schedule

Filing of PCC rules and regulations with the UP Law Center

Administrative Code of 1987 (E.O. No. 292), Book VII, Chapter 2, Section 3

UP ONAR As necessary Legal Division, MAO Division Chief

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Oversight Agency)


Annual, etc.)


ADMINISTRATIVE OFFICE – GENERAL SERVICES DIVISION (PROCUREMENT) Submission of Annual Procurement Plan for Non-Common Use Supplies and Equipment (APP non-CSE)

Republic Act No. 9184 GPPB-TSO Annual, no later than 31st day of January

Bids and Awards Committee, Head of the Procuring Entity

Submission of Annual Procurement Plan for Common Use Supplies and Equipment (APP CSE)

National Budget Circular No. 555 DBM Circular Letter No. 2013-14 Republic Act No. 9184

Procurement Service - PhilGEPS

Annual, no later than 15th day of November

Submission of Supplemental Annual Procurement Plan for Non-Common Use Supplies

Republic Act No. 9184 GPPB-TSO Semi-Annual, no later than 31st day of July and 31st day of January of ensuing year

Submission of Procurement Monitoring Report

Semi-Annual, later than 31st day of July and 31st day of January of ensuing year

Submission of Agency Procurement Compliance and Performance Indicators

GPPB Resolution No. 10-2012

Annual, no later than 15th day of April

Submission of Purchase Order / Job Order / Contract and other supporting documents

COA Circular 87-278 and COA Memo 2005-027, as amended by COA Circular 2009-001

COA Within 5 days from execution/approval of PO/JO/Contract

Head, BAC Secretariat / Bids and Awards Committee

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REQUIREMENT




Oversight Agency)


Annual, etc.)


ADMINISTRATIVE OFFICE – GENERAL SERVICES DIVISION (PROCUREMENT) Submission of Indicative APP for Tier I of BY

DBM-NEDA Joint Circular No. 2017-1

DBM January of BY BAC Secretariat, Bids and Awards Committee, Head of the Procuring Entity Submission of Indicative PPMP and APP

for Tier II of BY May of BY

Finalization of Indicative PPMP and APP consistent with approved budget June of BY

First submission of updated APP of CuY, if any July of CuY

ADMINISTRATIVE OFFICE – GENERAL SERVICES DIVISION (PROPERTY AND SUPPLY) Report on the Physical Count of Property, Plant and Equipment (RPCPPPE)

Government Accounting Manual (Chapter 10)

COA Semi-annually, no later than 31st day of January

Chief Administrative Officer, GSD, Accounting Division

Report on Physical Count of Inventories (RPCI)

Semi-annually, no later than 31st day of July and 31st day of January

Property Insurance Republic Act No. 656, Government Accounting Manual

GSIS Annually Chief Administrative Officer, GSD

Inventory and Inspection Report on Unserviceable Properties (IIRUP)

Government Accounting Manual; COA Circular No. 89-296 January 27, 1989

COA Every five (5) years Disposal Committee, Chief Administrative Officer, GSD

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REQUIREMENT




Oversight Agency)


Annual, etc.)


ADMINISTRATIVE OFFICE – GENERAL SERVICES DIVISION (MOTORPOOL) Use of approved Trip Ticket Administrative Order

No. 239 (Accountable use, proper upkeep, and maintenance of vehicles consistent with energy saving and anti-graft/ corruption) COA Circular No. 92-61A (Amending the "Manual on Audit for Fuel Consumption of Government Motor Vehicles" on the use of Driver's Trip Tickets) GSIS Insurance Policy

GSIS

Whenever the vehicle is used. Whenever insurance proceeds is claimed.

Requesting Office, Director, AO GSD Personnel, Accountable Person

Registration/Insurance of Motor Vehicles

Republic Act No. 4136, An Act to Compile the Laws Relative to Land Transportation and Traffic Rules, as amended

LTO, GSIS Annually Chief Administrative Officer, GSD

Director, AO

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REQUIREMENT




Oversight Agency)


Annual, etc.)


ADMINISTRATIVE OFFICE – GENERAL SERVICES DIVISION

Submission of Status Report re Formulation of Service Continuity Plan

Memorandum from the Office of the Cabinet Secretary, Office of the President (Cabinet Action/Decision No. 381-120517-34)

Office of the President Once Director, AO

Energy Conservation / Institutionalization of Government Energy Management Program (GEMP) / GEMP Audit

Office of the President Administrative Order No. 183, 136, and 110 / RA No. 7638 / DOE IRR on GEMP

DOE Yearly Audit Chief Administrative Officer, GSD Director, AO

ADMINISTRATIVE OFFICE – HUMAN RESOURCE DEVELOPMENT DIVISION

Submission of Report of Foreign Travels of PCC Officials and Employees

Office of the Executive Secretary Memo dated 03 January 2018

OP through DFA Quarterly Noted by the Chairman, report shall be transmitted to DFA, with copy furnished to OP

Submission of Appointment Paper and other supporting documents

CSC MC No. 24, s. 2017

CSC Field Office through HRDD

Within 30th day upon signing of the appointment

Employee, Highest Ranking HRMO

Submission of Report on Accession – Separation

CSC MC No. 24, s. 2017

CSC Field Office through HRDD

Within 30th day of the succeeding month Employee, Highest Ranking HRMO

Submission of DPS and IPS

CSC MC No. 6, 2012 (Guidelines on the Establishment of Agency SPMS)

CSC through HRDD Semi-Annually Employee, AO Director

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REQUIREMENT




Oversight Agency)


Annual, etc.)


ADMINISTRATIVE OFFICE – HUMAN RESOURCE DEVELOPMENT DIVISION Submission of SALN Republic Act No. 6713,

CSC Regulations OP through HRDD

and LD for the Chairman and

Commissioners, CSC through

HRDD and LD for Director level and

below

HRDD for 201 purposes

Annually, no later than 31st day of March

Within 30-days upon assumption and upon separation (resignation, transfer, etc.)

Employee, Administering Officer

Submission of PCC’s Program on Awards and Incentives for Service Excellence (PRAISE) and subsequent amendments

CSC Memorandum Circular No. 01, dated 26 January 2001 (repeals the provisions of MC No. 42 series 1992, MC 48 series of 1992 and other issuances on Employee Suggestions and Incentive Rewards Systems (ESIAS))

CSC Regional Office concerned

As soon as approved for implementation, or as amended

Head of the PRAISE Committee, Chairman PCC or authorized representative

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REQUIREMENT




Oversight Agency)


Annual, etc.)


ADMINISTRATIVE OFFICE – HUMAN RESOURCE DEVELOPMENT DIVISION Annual PRAISE Report CSC Memorandum

Circular No. 01, dated 26 January 2001

CSC Regional Office concerned

Annually no later than 30th January

Head of the PRAISE Committee, Chairman PCC or authorized representative

ADMINISTRATIVE OFFICE – INFORMATION AND COMMUNICATIONS TECHNOLOGY DIVISION Registration of Data Processing Systems (NPC Phase 2 Compliance)

NPC Circular 17-01 dated 31 July 2017 NPC As the need arises Chairman or authorized representative

Breach Notification NPC Circular 16-03 dated 15 December 2016

NPC As the need arises Chairman or authorized representative

Submission of Updated Information Systems Strategic Plan (ISSP)

NCC Memorandum Circular No. 2003-02 – Prescribing Standard Template for the ISSP

MITHI Secretariat/ DICT

Every 1st quarter of every year

Chairman or authorized representative

COMMUNICATIONS AND KNOWLEDGE MANAGEMENT OFFICE Annual Report Executive Order No.

292 (Administrative Code of 1987)

Office of the President (Sec. 43)

NAP (Sec. 46)

Annual Prepared by CKMO-KMD Reviewed by all offices Approved by the Chairman

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Oversight Agency)


Annual, etc.)


FINANCE, PLANNING AND MANAGEMENT OFFICE Budget and Financial Accountability Reports (BFARs)

a. Statement of Appropriations,Allotments, Obligations,Disbursements and Balances(SAAODB) – FAR No. 1

b. Summary of Appropriations,Allotments, Obligations,Disbursements and Balances byObject of Expenditures(SAAODBOE) – FAR No. 1-A

c. List of Allotments and Sub-Allotments (LASA) – FAR No. 1-B

d. Monthly Report of Disbursements(MRD) – FAR No. 4

e. Quarterly Report of Revenue andOther Receipts (QRROR) – FARNo. 5

• COA – DBM JointCircular No. 2014-1;1

• 4.1.3 of DBM BudgetCircular No. 2017-3;2

• Inter-Agency TaskForce (IATF) MCNo.2017-1;3

• National BudgetCircular No. 573;4

• Sec. 96 GeneralProvisions, FY 2018GeneralAppropriations Act(GAA)5

DBM, COA, HOR,

Senate of the Philippines,

House Committee on Appropriations,

and Senate Committee

on Finance

Quarterly (Prepared by) Chief, Budget and Accounting Division

(Approved by) Director, FPMO

1 Guidelines Prescribing the Use of Modified Formats of the Budget and Financial Accountability Reports (BFARs) 2 Guidelines on the Grant of Collective Negotiation Agreement (CNA) Incentive for FY 2017 3 Guidelines on the Grant of the Performance-Based Bonus for Fiscal Year 2017 under EO No. 80 s. 2012 and EO No.201 s. 2016 4 Guidelines on the Release of Funds for FY 2018 5 Quarterly Financial and Physical Reports

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REQUIREMENT




Oversight Agency)


Annual, etc.)


FINANCE, PLANNING AND MANAGEMENT OFFICE f. Quarterly Physical Report of

Operations (QPRO) – BAR No. 1

• COA – DBM Joint Circular No. 2014-1;

• 4.1.3 of DBM Budget Circular No. 2017-3;

• Inter-Agency Task Force (IATF) MC No.2017-1;

• National Budget Circular No. 573;

• Sec. 96 General Provisions, FY 2018 General Appropriations Act (GAA)

DBM, COA, HOR,

Senate of the Philippines,

House Committee on Appropriations,

and Senate Committee

on Finance

Quarterly (Prepared by) Chief, CPMD (In coordination with) Director, FPMO (Approved by) Head of Agency

Summary Performance Monitoring Report (SPMR)

• DBM Circular Letter 2015-9;6

• National Budget Circular No. 573

DBM, NEDA, OCS

Monthly (Prepared by) Chief, Budget and Accounting Division (Approved by) Director, FPMO

6 Prescribing the Submission of Summary Performance Monitoring Report

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REQUIREMENT




Oversight Agency)


Annual, etc.)


FINANCE, PLANNING AND MANAGEMENT OFFICE Books of Accounts

a. General Journal b. Cash Receipts Journal c. Cash Disbursement Journal d. Check Disbursement Journal e. ADA Disbursement Journal f. Trial Balance

COA Circular No. 2015-007;7 (GAM Chapter 19, Sec. 47, Sec. 60)

COA Monthly

(Prepared by) Chief, Accounting Division

Financial Statements a. Statement of Financial Position

(SFP) b. Statement of Financial

Performance (SFPEr) c. Statement of Changes in Net

Assets / Equity (SCNA/E) d. Statement of Cash Flows (SCF) e. Notes to Financial Statements f. Pre-Closing Trial Balance g. Post-Closing Trial Balance

• COA Circular No. 2015-007 (GAM Chapter 19, Sec. 5, Sec. 47, Sec. 60)

• IATF Memorandum Circular No. 2017-1;

• Sec. 95 General Provisions, FY 2018 GAA8

COA – Government

Accounting Sector (GAS)

Quarterly / Annually (Prepared by) Chief, Accounting Division

Bank Reconciliation Statement COA Circular No. 2015-007 (GAM Chapter 21, Sec. 5)

COA Monthly (10 Days from receipt of

Monthly Bank Statement)

(Prepared By) Chief, Accounting Division

7 Prescribing the Government Accounting Manual for Use of All National Government Agencies 8 Financial Reports

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Oversight Agency)


Annual, etc.)

REMARKS (Identify reviewing and approving

authority/ies) FINANCE, PLANNING AND MANAGEMENT OFFICE Summary of Taxes Withheld

a. Form 1601-C (CompensationIncome Tax)

b. Form 1601-E (Expanded /Creditable Withholding Tax)

c. Form 1600 (VAT and otherPercentage Taxes)

d. Form 1601-F (Final WithholdingTax)

• Republic Act No.8424;9

• DOF-DBM-COAJoint Circular No. 1-2000;10

• Revenue RegulationNo. 2-9811

BIR Monthly (10th day after the end of

each month)

Yearly (for items [a], [b], and [c]: On or before January 31st of the

following CY)

Yearly (for item [d]: On or before

March 1st of the following CY)


(Approved by) Director, FPMO


Report of Salaries and Allowances (ROSA)

Status of Unliquidated Cash Advance

• IATF MemorandumCircular No. 2017-1

COA Quarterly (Prepared By) Chief, Accounting Division

9 An Act Amending the National Internal Revenue Code 10 Guidelines in the Remittance of All Taxes Withheld by National Government Agencies (NGAs) to the Bureau of Internal Revenue (BIR) 11 Implementing Republic Act No. 8424, "An Act Amending The National Internal Revenue Code, as Amended" Relative to the Withholding on Income

Subject to the Expanded Withholding Tax and Final Withholding Tax, Withholding of Income Tax on Compensation, Withholding of Creditable Value-Added Tax and Other Percentage Taxes

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Oversight Agency)


Annual, etc.)


authority/ies) FINANCE, PLANNING AND MANAGEMENT OFFICE Statement of Comparison of Budget and Actual Amounts (SCBAA)

COA Circular No. 2015-007 (GAM Chapter 19, Section 5)

COA Yearly (Prepared By) Chiefs, Accounting and Budget Division

Citizen’s Charter • Republic Act No.9485;12

• CSC MemorandumCircular No. 12, s.2008;13

• CSC MemorandumCircular No. 14, s.2016;14


CSC Once (Certified By) Head of Agency

QMS Certification • DBM MemorandumCircular No. 2017-1;15


DBM – GQMC Once (immediately after

certification)

(Certified By) Head of Agency

12 Anti-Red Tape Act of 2007 13 Republic Act No. 9485 and Its Implementing Rules and Procedures 14 Urgent Review and Improvement of PCC Citizen’s Charter 15 Guidelines on the Validation of the ISO 9001 Quality Management System (QMS) Certification or ISO-Aligned QMS Documents as a Requirement for the

Grant of the FY 2017 Performance-Based Bonus (PBB)

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REQUIREMENT




Oversight Agency)


Annual, etc.)


authority/ies) FINANCE, PLANNING AND MANAGEMENT OFFICE Strategic Performance Management System (SPMS) Manual

CSC Memorandum Circular No. 6, s. 201216

CSC – NCR Once (Subject to resubmission if

there are amendments)

(Formulated By) FPMO-CPMD (Reviewed By) Performance Management Team (Approved By) Head of Agency

Report on Status of Implementation of Prior Year’s Recommendations in the Annual Audit Report

• COA Memorandum No. 2014-002;17

• IATF Memorandum Circular No. 2017-1

COA Yearly (Agency Sign-off) Executive Director

Agency Report on Ranking of Delivery Units (PBB Form 1 and Evaluation Matrix)

IATF Memorandum Circular No. 2017-1

A.O. 25 Secretariat

Once (Prepared By) Chief, HRDD [Note: Preparation of the forms shall be in coordination with FPMO-CPMD] (Approved By) Head of Agency

16 Guidelines in the Establishment and Implementation of SPMS 17 Enhanced monitoring of compliance with recommendations in the Annual Audit Report (AAR) through the Agency Action Plan and Status of

Implementation (AAPSI) Form and Action Plan Monitoring Tool (APMT)

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REQUIREMENT

(Title of Report/Compliance) LEGAL BASES

(Republic Act, Executive Order, etc.)

SUBMITTED TO (Name of Oversight Agency)


Annual, etc.)


authority/ies)

FINANCE, PLANNING AND MANAGEMENT OFFICE Accomplishment Report relative to the Program for Senior Citizens and Persons with Disability

• DBM-DSWD Joint Circular No. 2003-01;18 and

• Sec. 31, General Provisions, FY 2018 GAA19

COA

Yearly (Prepared By) Executive Director (Approved By) Head of Agency

Accomplishment Report relative to Gender and Development (GAD) Program

• PCW-NEDA-DBM Joint Circular No. 2012-01;20

• Executive Order No. 273;21

• Republic Act No. 9710;22 • Sec. 30 General

Provisions, FY 2018 GAA23;

PCW and DBM Yearly (Prepared By) Executive Director/GFPS Chairperson [Through the FPMO-CPMD] (Approved By) Head of Agency

18 Implementing Guidelines for Section 29 of the GAA for FY 2003 Entitled “Setting Aside One Percent of Government Agency Budget for Programs/Projects

Related to Senior Citizens and the Disabled” 19 Programs and Projects Related to Senior Citizens and Persons with Disability 20 Guidelines for the Preparation of Annual Gender and Development (GAD) Plans and Budgets and Accomplishment Reports to Implement the Magna Carta

of Women 21 Approval and Adoption of Philippine Plan for Gender-Responsive Development, 1995-2025. 22 Magna Carta for Women 23 Plans and Projects related to Gender and Development.

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REQUIREMENT

(Title of Report/Compliance) LEGAL BASES

(Republic Act, Executive Order, etc.)

SUBMITTED TO (Name of Oversight Agency)


Annual, etc.)


authority/ies)

FINANCE, PLANNING AND MANAGEMENT OFFICE Gender and Development Plan and Budget (GPB)

• PCW-NEDA-DBM Joint Circular No. 2012-01;

• Executive Order No. 273; • Republic Act No. 9710

PCW and DBM Yearly (Prepared By) Executive Director (Approved By) Head of Agency

PBB Forms A and A1

IATF Memorandum Circular No. 2017-1

A.O. 25 Secretariat

Yearly (Prepared By) Chief, CPMD and Chief, Budget Division (Recommending Approval) Director, FPMO (Approved by) Head of Agency

LEGAL SERVICES DIVISION Freedom of Information (FOI) Registry and Data Inventory FOI Requests

• Executive Order No. 2, s. 2016 dated 23 July 2016;

• FOI Memorandum Circular No. 1, s. 2016 dated 11 November 2016; and

• FOI MC No. 1, s. 2017 dated 29 March 2017

PCOO

Quarterly

As the need arises

(Prepared by) Assistant Division Chief, LSD and Attorney II, LSD

(Approved by) Division Chief, LSD

Quality Manual

ANNEX F PCC Quality Plan

Document No.: PCC-QM-001 Effective Date: 14 September 2018 Rev. No.: 0 Page No. AF - 1 of 7


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Process Item to be Controlled

Quality Dimension

Standard/ Requirement

Responsibility for Verification

Frequency of Verification

Documented Information

Process with quality parameter/s to be

checked

Activity/output with quality parameter/s

to be checked Quality parameter/s

to be monitored How the quality parameter is defined/measured Person/s responsible How frequent will the quality parameter/s be checked?

Where will the results of the verification be recorded?

Compulsory Notification of Mergers and Acquisitions (M&As)

Determination of Sufficiency

Efficiency (Quantity and Timeliness)

All initial submissions by Notifying Parties are reviewed for sufficiency within 15 days

- Handling Lawyer, MAONotification Division- Legal Assistant, MAO- Chief, MAO Notification Division- Director, MAO

Quarterly/ Annual

- Notifications Database- Office PerformanceScorecard

Phase 1 and 2 Review

Efficiency (Quantity and Timeliness)

All sufficient forms/notifications are reviewed within the statutory period for Phase I (i.e., 30 days)

All notifications in Phase II reviewed within the statutory period for review (i.e., 60 days)

- Handling Lawyer, MAO ReviewDivision- Legal Assistant, MAO- Chief, MAO Review Division- Director, MAO

Quarterly/ Annual

- Notifications Database- Office PerformanceScorecard

Advocacy and Capacity Building

Conduct of advocacy/ capacity building activities

Quantity & Quality

All advocacy/capacity building activities for partner institutions and key stakeholders conducted

90% of the advocacy/capacity building activities for partner institutions and key stakeholders rated good or better by the stakeholders

All internal capacity building activities conducted

Focal Person/s, CKMO-TAD

Chief, CKMO Training and Advocacy Division

Director, CKMO

Annual/ Semestral/ Monthly

- Office PerformanceScorecard- Division PerformanceScorecard - Individual Performance Scorecards - After Training Report with the tabulated survey results

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Quality Dimension






checked


to be checked

Quality parameter/s to be monitored How the quality parameter is defined/measured Person/s responsible How frequent will the quality

parameter/s be checked? Where will the results of the verification

be recorded?

90% of internal capacity building activities rated satisfactory or better

Knowledge Management

Annual Report Development

Quality & Timeliness

Annual Report approved and submitted to the Office of the President on or before 30 June of every year

- Policy Research Officer III- Information Officer V- Director III, CKMO

As necessary - Annual Report Timetable- Logbook- Receiving copy of thereport

Conduct of Knowledge Sharing Session

Quantity & Quality

All Knowledge Sharing Sessions with appropriate documentation

All KSS found satisfactory or better by at least 90% of participants

- KSS Focal Person- Information Officer V- Director III, CKMO

Every after Knowledge Sharing Session

- Knowledge CaptureReports- Tabulated survey results

Preparation of Knowledge Capture Report

Quantity & Quality

All KCRs vetted, approved, and uploaded to the KM Portal

- KSS Focal Person- KMD Librarian- Information Officer V- Director III, CKMO

Weekly/Monthly - KCR Monitoring Sheet- KM Portal

Office Performance Scorecard Validation

Drafting and submission of Office Performance Scorecards

Quality & Quantity

All Office Performance Scorecards with approved rating matrices and measure profiles

- PO III, FPMO-CPMD- Chief, FPMO-CPMD- Director, FPMO-CPMD- Performance Management Team- Top Management

Annual - Office PerformanceScorecards- Rating Matrices- Measure Profiles

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checked


to be checked



be recorded?

Commission Strategic Planning,

Annual PCC-wide Planning

Risk and Opportunity Management

Conduct of approved Planning Workshop

Quality & Quantity

All Planning Workshops found satisfactory or better by at least 90% of participants

- PO III, FPMO-CPMD- Chief, FPMO-CPMD- Director, FPMO

Every after the workshop proper

Summative Report on Customer Satisfaction Feedback (CSF) Survey

Delivery of Key Document Products

Quality, Quantity & Timeliness

All identified key document products submitted to and approved by the Commission or identified approving authority on or before a prescribed period

- PO III, FPMO-CPMD- Chief, FPMO-CPMD- Director, FPMO- Organizational PlanningCommittee

Monthly/ Quarterly/ Semestral

- POPS Monitoring Tracker- Office PerformanceScorecards- Division PerformanceScorecards - Individual PerformanceScorecards

Formulation of action plans for top risks and opportunities

Quality, Quantity

All identified top risks and opportunities with action plans incorporated in the Operational Plans

- PO III, FPMO-CPMD- Chief, FPMO-CPMD- Director, FPMO- Organizational PlanningCommittee- Relevant PCC Offices

Monthly/ Quarterly/ Semestral

- POPS Monitoring Tracker- Risk and OpportunityAction Plan- Work and Financial Plans

Disbursement Preparation of Obligation Request and Status (ORS) and Disbursement Voucher (DV)

Quantity All budget and financial documents processed

- Budget Officer, FPMO-BD- Accountant, FPMO-AD- OIC, FPMO-BD- OIC, FPMO-AD- Director, FPMO

As necessary/ Annual/ Semestral

- ORS Monitoring Logbook- DV Monitoring Logbook- Office PerformanceScorecard- Division PerformanceScorecards- Individual PerformanceScorecards

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Quality Dimension






checked


to be checked



be recorded?

Compliance to government budgeting and accounting rules and regulations

Quality & Quantity

All financial transactions are compliant to government budgeting and accounting rules and regulations • Number of COA disallowances • Percentage of COA findings

addressed

- OIC, FPMO-BD - OIC, FPMO-AD - Director, FPMO

Annual - Office Performance Scorecards - Agency Action Plan and Status of Implementation Report

Receiving of Supplies and Equipment

Delivered supplies and equipment

Quality No defects and conforms with the set specifications

Inspection Team Every delivery Inspection and Acceptance Report

Proper recording of delivered supplies and equipment

Quality, Quantity

All delivered supplies and equipment recorded in the appropriate COA forms

- Supply Officer II - Chief Administrative Officer

Monthly/Quarterly - Stock Cards - Property Inventory List through Asset Monitoring System

Requisition of Supplies and Equipment

Proper recording of issued supplies and equipment

Quality, Quantity

All issued supplies and equipment recorded in the appropriate COA forms


Monthly/Quarterly - Requisition and Issuance Slips - Report of Supplies and Materials Issued

Issuance of requested supplies and equipment

Timeliness All requested items are issued within 1 working day after receipt of approved RIS


Every request - Logbook - Requisition and Issuance Slips - Report of Supplies and Materials Issued

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checked


to be checked



be recorded?

Preparation of Annual PPE and Supplies Inventory

Report on the Physical Count of Plant, Property, & Equipment Report on the Physical Count of Inventory

Timeliness Submitted to the COA on or before 31 December of each year Submitted to the COA on or before 31 July and 31 January of each year

- Supply Officer III - Chief Administrative Officer

Annual Semestral

- Logbook - Receiving copies of reports

Disposal of Unserviceable Properties through Bidding

Inventory and Inspection Report of Unserviceable Property

Timeliness Submitted to the COA on or before 31 December of each year

- Supply Officer III - Chief Administrative Officer

Annual/as necessary - Logbook - Receiving copies of reports

IT Service Request

Provision of IT Service

Quality IT Service found satisfactory or better by at least 90% of requesting parties

- Information Systems Analyst I - Information Technology Officer III

As necessary - IT Service Requests (ITSR) - ITSR Monitoring Sheet

Recruitment & Promotion

Publishing of vacancies


All vacant career positions published through the following means: a) the PCC website; b) in three conspicuous places of PCC for at least ten (10) days; c) the CSC website through the CSC

- Human Resource Mgmt. Officer II - Chief Administrative Officer

For 1st and 2nd level career positions, monitoring shall be every 9th month from date of publication; for Executive/ Managerial

For 1st and 2nd level career positions - Notice of Vacancy (monthly)

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checked


to be checked



be recorded?

ERPO for Executive/ Managerial positions.; d) the PCC email for internal posting

positions, it shall be every 6th month from date of CSC publication

For Executive / Managerial positions, CSC ExMan Form 1

Issuance of appointment paper


All appointment papers, together with the required documents, submitted to the CSC within 30 days upon date of effectivity

- Human Resource Mgmt. Officer II- Chief Administrative Officer- Chairperson, Human Resource Merit Promotion and Personnel Selection Board

Within 30 days upon date of effectivity

Appointment Transmittal and Action Form

Attendance to Capacity Building Programs

Conduct in-house training program and attendance to external capacity building programs

Quality & Quantity

All in-house training program found satisfactory or better by at least 90% of participants

All participants to the external capacity building programs subjected to measurement of training effectiveness.

- Human Resource Mgmt. Officer I- Human Resource Mgmt. Officer III- Supervising Administrative Officer- Chief Administrative Officer

- Every after trainingactivity

- 6 months afterattendance to theprogram

- Tabulated survey resultsand report