QUALITY MANAGEMENT SYSTEM MANUAL PHILIPPINE COUNCIL … · QUALITY MANAGEMENT SYSTEM MANUAL PHILIPPINE COUNCIL FOR AGRICULTURE AND FISHERIES . QUALITY MANUAL Document No. QM-BPM-001

QUALITY MANAGEMENT SYSTEM MANUAL

PHILIPPINE COUNCIL FOR AGRICULTURE AND FISHERIES

QUALITY MANUAL Document No.

QM-BPM-001 TOPIC Issue No.

BUSINESS PROCESSES 1 SUB-TOPIC Effective Date

BUSINESS PROCESS MODEL 01 Aug 14

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1.0 Process Map

SUPPORT PROCESSES

CORE PROCESSES

MANAGEMENT PROCESSES

1Strategic Planning

2Operational Planning

3Performance Monitoring and Assessment

4Managing Improvements

8Manage Human Resources

9Manage Financial Resources

10Manage Logistics and Facilities

11Manage Information

5Partnership Development

6Policy Development

7Participatory Monitoring & Tracking

Customer Customer

2.0 Process Matrix

Process Key Activities Key Outputs Linkages 1. Strategic

Planning 1.1 Conduct baseline

study and baseline planning

Baseline Plan

1.2 Prepare strategic plans

Strategic Plan

2. Operational Planning

2.1 Prepare work plans

2.2 Prepare financial plans

Annual Plan and Budget Proposal

3. Performance Monitoring and Assessment

3.1 Conduct performance review

Operational Issues and Agreements





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Process Key Activities Key Outputs Linkages 3.2 Prepare quarterly/

semestral/annual monitoring reports

Accomplishment Reports

4. Managing Improvements

4.1 Do corrective action Corrective Action Report

4.2 Do preventive action

Preventive Action Report

4.3 Communicate directives/policies

Directives/policies

5. Partnership Development

5.1

6. Policy Development

6.1 Conduct consultation

6.2 Provide policy support

6.3 Conduct research on policy/resolution

Policy Brief

6.4 Prepare resolution Recommended Policies

7. Participatory Monitoring and Tracking

7.1 Study current policies, plans and programs

7.2 Integrate current policies, plans and programs

7.3 Conduct progress M&E

Quarterly AFMA Status Report

7.4 Conduct results M&E

Results M&E Report

7.6 Formulate policy recommendations

Recommended Policies

8. Manage Human Resources

8.1 Recruitment, selection and promotion of employees

8.2 Inventory of competencies

8.3 Training needs assessment

2.1 Prepare Work Plans: Division plans and programs

8.4 Development and training of employees

9. Manage Financial

9.1 Submit Agency budget

Annual Budget Report OU, NGA, DA, RFA





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Process Key Activities Key Outputs Linkages Resources

9.2 Budget and fiscal management

Annual/ Quarterly/ Monthly Analysis

9.3 Manage expenses Annual/Quarterly/ Monthly Expense Report

Budget, Accounting, Cashier, Property and COA

9.4 Disburse funds

9.5 Prepare financial and accountability reports

10. Manage Logistics and Facilities

10.1 Conduct inventory of supplies and equipment

Inventory of Supplies and Equipment

10.2 Prepare logistics requirements

APP-CSE

10.3 Procure goods Purchase Requisition, Purchase Order and Receiving Report

Division Unit requirements

10.4 Issue supplies and equipment

RIS and ARE

10.5 Maintain transport and building facilities

Annual/Quarterly/ Monthly Gasoline Requirements Consumption and Repairs

Division Unit requirements

11. Manage Information

11.1 Manage IT resources

Annual IT Maintenance Program

11.2 Control documents Document Masterlist

11.3 Control records Record Masterlist


QM-GEN-001 TOPIC Issue No.

INTRODUCTION 1 SUB-TOPIC Effective Date

TABLE OF CONTENTS 01 Aug 14

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Title Reference

I. Introduction

a. Table of Contents

QM-GEN-001

b. Acronyms and Definition of Terms

QM-GEN-002

c. Scope and Exclusions of the Quality Management System

QM-GEN-003

II. Agency Background

a. Agency History and Profile

QM-GEN-004

b. Vision, Mission, Core Values QM-GEN-005

III. Organization

a. Functional Table of Organization

QM-GEN-006

b. M&E Management Organization

QM-GEN-007

c. Key Responsibilities and Authorities QM-GEN-008

IV. Quality Policy and Objectives

a. Quality Policy

QM-POL-001

b. Quality Objectives QM-GEN-009

V. Business Processes

a. Business Process Model

QM-BPM-001

b. Process Descriptions

1. Strategic Planning QM-PRM-001 2. Operational Planning QM-PRM-002 3. Performance Monitoring and Assessment QM-PRM-003 4. Managing Improvements QM-PRM-004 5. Partnership Development QM-PRM-005 6. Policy Development QM-PRM-006




TABLE OF CONTENTS 01 Aug 14

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Title Reference

7. Agriculture and Fisheries Sector Monitoring and Evaluation

QM-PRM-007

8. Manage Human Resources QM-PRM-008 9. Manage Financial Resources QM-PRM-009 10. Manage Logistics and Facilities QM-PRM-010 11. Manage Information

QM-PRM-011

c. Procedures

1. Control of Documents QM-PRO-001 2. Control of Records QM-PRO-002 3. Internal Audit QM-PRO-003 4. Control of Nonconforming Services QM-PRO-004 5. Corrective Action QM-PRO-005 6. Preventive Action QM-PRO-006




ACRONYMS AND DEFINITION OF TERMS 01 Aug 14

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ACRONYMS

AFMD Administrative, Financial and Management Division

ASB Advisory Special Body

AFC Agricultural and Fishery Council

AFMA Agriculture and Fisheries Modernization Act

APP Annual Procurement Plan

BAC Bids and Awards Committee

BAR Budget Accountability Report

BEDs Budget Execution Documents

CSO Civil Society Organization

CAFC Component City Agricultural and Fishery Council

DA-RFO DA Regional Field Office

DA Department of Agriculture

DC Document Controller

DCH Document Copyholder

DO Document Originator

DUN Document Update Notice

FAMIS Finance, Administrative and Management Information System

FARs Financial Accountability Reports

GSS General Services Section

HOPE Head of the Procuring Entity

HUCAFC Highly Urbanized City Agricultural and Fishery Council

ICCAFC Independent Component City Agricultural and Fishery Council

ICT Information and Communications Technology

IQA Internal Quality Audit

LDC Livestock Development Council

LGU Local Government Unit

MoO Manual of Operation

MoR Manual of Regulations

MAFC Municipal Agricultural and Fishery Council

NAFC National Agricultural and Fishery Council

NAF Council National Agriculture and Fisheries Council

NEP National Expenditure Program

NGA National Government Unit





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NSC National Sectoral and Strategic Concerns Committee

ODED Office of the Deputy Executive Director

OED Office of the Executive Director

OUs Operating Units

PDD Partnership Development Division

PDC Personnel Development Committee

PCAF Philippine Council for Agriculture and Fisheries

PPS Planning and Programming Section

PMKMD Planning, Monitoring and Knowledge Management Division

PDCD Policy Development and Coordination Division

PRAISE Program on Awards and Incentives for Service Excellence

PAPs Programs, projects and activities

PPMP Project Procurement Management Plan

PSB Promotion and Selection Board

PAFC Provincial Agricultural and Fishery Council

QMR Quality Management Representative

RAFC Regional Agricultural and Fishery Council

RFA Request for Action

RME Results Monitoring and Evaluation

SPMS Strategic Performance Management System

UDC Unit Document Controller

UM Unit Manager

DEFINITION OF TERMS Active Record Records that are currently being maintained, used and controlled.

These records are normally kept in desk/workstation drawers or nearby filing cabinets, shelves or racks for easy access and retrieval.

Audit Systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled

Audit client PCAF OUs or employees requesting an audit Audit conclusion Outcome of an audit provided by the audit team after

consideration of the audit objectives and all audit findings Audit criteria Set of policies, procedures or requirements Audit evidence Records, statements of fact or other information which are

relevant to the audit criteria and are verifiable





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Audit findings Results of the evaluation of the collected audit evidence against audit criteria; findings including conformities, non-conformities and observations/opportunities for improvement

Audit plan Description of the activities and arrangements for an audit Audit programme Set of one or more audits planned for a specific time frame and

directed towards a specific purpose Audit scope Extent and boundaries of an audit Audit team One or more auditors conducting an audit, supported if needed by

technical experts Auditee PCAF OUs or employees being audited Auditor Person with the demonstrated personal attributes and

competence to conduct an audit Caring and nurturing Adopting more humane practices and considerations in

implementing policies, rules and regulations, and institutionalizing rewards and recognition systems and other structured motivational programs for ourselves, our clients and stakeholders

Client-focused Accommodating, considerate and always thinking of what is good for clients

Concession Permission to use or release a product or deliver a service that does not conform to the manual. A concession is generally limited to the delivery of a product that has nonconforming characteristics within specified limits for an agreed time or quantity of that product

Control Of Documents

A written procedure to control the approval and re-approval of procedures prior to issue as well as ensuring that the current revision status is displayed. To ensure that documents are legible and that the current versions are available at point of use. Also ensure that obsolete documents are controlled and documents from external parties such as your customers.

Control of Non-conforming Product

A procedure to ensure that non-conforming product is not used and action is taken.

Control of Records A procedure to control the identification, storage, protection, retrieval, retention and disposal of records.

Corrective Action Action to eliminate the cause of a detected nonconformity (nonconforming product/service) or other undesirable situation, and prevent recurrence

Corrective Action A written procedure to ensure that the root causes of problems are identified and actions taken to correct them, actions must be verified to ensure effectiveness

Creativity and innovativeness

Imaginativeness, originality and resourcefulness

Customer (stakeholder or

Performance relative to measures and indicators of clients' perceptions, reactions, and behaviors, and to measures and





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client)-oriented performance

indicators of product and service characteristics important to customer satisfaction, complaints, service response time, client survey results, product/service reliability, and on-time delivery.

Document Information and its supporting medium such as paper, magnetic, electronic or optical, photos or a combination of such

Document master list A list that identifies the documents required by the quality management system

External document A document received by PCAF from external sources Fairness Treating others equally, sharing workloads equitably, and being

objective at all times File A cabinet of records; a folder (physical or electronic) containing

records; a collection of papers involving a specific name of topic; a class of records in a separate group or series of filing drawers.

Filing system A system for identifying, arranging and finding records. Filing system may be alphabetical, numerical, chronological or functional subject-alphabetic classification system (FSACS).

Final disposition Action taken to correct the nonconforming product/service to make it conform to the manual or otherwise prevent its unintended use or delivery. This may include redoing nonconforming products or services

Financial performance

Performance using measures of cost, asset utilization, value or result per peso investment (such as ROI).

God-filled promoting a purpose-driven life shying away from selfishness, pride, envy and other ungodly traits

Happy and meaningful

Promoting an “inspiring culture” that uplifts the spirit and motivates members of the organization to love their work and enjoy their service at PCAF

Humility Upholding the mandate of a public servant and remaining unassuming and open in dealing with agency officials, associates, clients and stakeholders

Inactive Record Records that are very rarely or no longer referred to, and which must be transferred to a separate storage area (e.g. Agency’s Record Center). These records have served their purpose but must be kept just the same for legal requirements or some compelling reasons. They are disposed once their retention periods have expired.

Initial Disposition Action taken to contain the nonconforming product/ service and minimize its immediate effect. This may include putting the nonconforming product on hold and setting it aside, or temporarily discontinuing service delivery

Integrity Upholding the good reputation of the organization Internal Audit A procedure to define a planned program of audits to ensure that





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your processes meet both ISO 9001 requirements and agency’s requirements as well as for the reporting, follow up and records of these audits.

Internal document A document generated by PCAF Nonconforming product/service

Products or services that do not fulfill requirements. Products may include monitoring and evaluation reports, policy recommendations/resolutions, knowledge products such as newsletters, brochures, audio visual presentations as well as other documents prepared and released in conjunction with service delivery. Examples of services conducted are consultations and validation of accomplishment reports.

Non-conformity Non fulfillment of a requirement Obsolete Records Records whose retention periods have expired and which are no

longer needed Operational performance

Performance relative to effectiveness and efficiency measures and indicators. Examples include productivity, waste reduction, and compliance to regulations.

Opportunity for improvement

An area of the QMS which currently fulfills the requirement but which may be further enhanced to prevent a possible non-conformity

Performance excellence

Outstanding outputs/results obtained from processes, products, and services that permit evaluation and comparison relative to goals, standards, past results, and other organizations. It can be expressed in financial and non-financial terms.

Preventive Action A written procedure similar to that for corrective action, but the organization should take steps to identify potential problems and eliminate them before a problem occurs.

Record A document stating results achieved or providing evidence of activities performed. Records can be used to document traceability and to provide evidence of verification, preventive action, and corrective action. Generally, records need not be under revision control (as required under Document Control procedure). Records may use different media, including paper, magnetic, electronic or optical, photograph or combination thereof.

Records Center Central repository or storage of agency records. For PCAF, this refers to the storage area of the General Services Section.

Records Disposition Schedule

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

Records Masterlist A list of all records needed and maintained for the QMS. Respect Understanding and appreciation of others’ rights, feelings,

opinions and ideas





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Results Monitoring and Evaluation

Refers to the monitoring and evaluation of objectives above the output-level

Results-oriented Having the passion for excellence, sense of urgency in accomplishing tasks and performing duties and responsibilities, and willingness to take risks

Retention Period Refers to the specific period of time established and approved by the National Archives of the Philippines as the lifespan of records, after which they are deemed ready for permanent storage or destruction. Period of time when records must be kept, usually stated in terms of number of months or years, but sometimes expressed as contingent upon the occurrence of an event such as employee termination, contract closure, project completion, etc.

Teamwork Doing things as partners, sharing responsibilities and ensuring mutual accountabilities




SCOPE AND EXCLUSIONS OF THE QUALITY MANAGEMENT SYSTEM

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The scope of the quality management system covers the following agency core business processes: 1. Partnership development 2. Policy development, and 3. Participatory monitoring and tracking

The outputs which include policy resolutions/recommendations, participatory monitoring reports, partnership agreements forged and agency periodic accomplishment reports are for delivery to the Department of Agriculture (DA including Attached Agencies, Bureaus, Corporations, Regional Field Offices, and other stakeholders in the agricultural and fisheries sectors), Department of Budget and Management, Congress, Commission on Audit and other concerned government agencies and stakeholders. The scope also includes the management and support processes undertaken by PCAF such as Strategic Planning, Operational Planning, Performance Monitoring and Assessment, Managing Improvements, Manage Human Resources, Manage Financial Resources, Manage Logistics and Facilities, and Manage Information. The following processes are outsourced by PCAF to third parties: - AF Monitoring and Evaluation: Conduct Results M&E – covers AF Results

Evaluation, outsourced to consultancy firms. - Manage Human Resource: Administer Personnel Actions – covers the

provision of Capability Development to be outsourced to consultancy firms. Also covers the provision of training based on PCAF’s training plan to be outsourced to training firms.

Stakeholders include the AFCs and NSCs, who are also considered as partners, as well as the academe, CSOs, LGUs and other NGAs. Processes related to the following management system requirements are excluded: - Design and Development (ISO Clause 7.3) – PCAF’s key outputs (M&E

Reports) conform to the reportorial requirements of the Department of Agriculture, and are not subject to design and development.




SCOPE AND EXCLUSIONS OF THE QUALITY MANAGEMENT SYSTEM

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- Validation of Process for Production and Service Provision (ISO Clause 7.5.2) – the resulting outputs of PCAF’s core operational processes can be verified by subsequent monitoring and measurement, and deficiencies can be immediately addressed.

- Customer property (ISO Clause 7.5.4) – PCAF does not handle any customer property for use in delivering products and services to its customers.

- Preservation of Product (ISO Clause 7.5.5) – PCAF’s products (information

and knowledge, as contained in records and reports) are not subject to preservation measures such as physical handling, packaging and storage. They are, however, subject to document and records control.

- Control of monitoring and measuring equipment (ISO Clause 7.6) – PCAF does not use any equipment for monitoring and measurement in delivering products and services to its customers.



AGENCY BACKGROUND 1 SUB-TOPIC Effective Date

AGENCY HISTORY AND PROFILE 01 Aug 14

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The Philippine Council for Agriculture and Fisheries (PCAF) is an attached agency of the Department of Agriculture (DA) which facilitates, among others, broad-based participatory development processes in the agriculture and fisheries sector. It provides quality services to a nationwide network of private sector-led consultative councils at the national, regional and local levels for the formulation of sound policies, plans and programs. PCAF has evolved through the years with the enactment of various laws that transformed what used to be the Rice and Corn Coordinating Council to what it is now. Historical Timeline 1958 PCAF traces its roots to as the Rice and Corn Coordinating Council (RCCC)

in 1958 by virtue of Republic Act 2084. It was created to be the planner/executioner of the Rice and Corn Production Law.

1964 RCCC became the Rice and Corn Authority (RCA) (Executive Order No. 62,

s. 1964) 1966 The Rice and Corn Production Coordinating Council (RCPCC) (Executive

Order No. 50, s. 1966) replaced RCA as the government sought to harness community participation in the government’s grains program

1969 Three years later, the country's food requirement outgrew the effectiveness of

the RCPCC. Thus, in 1969, the National Food and Agriculture Council (NFAC) was formed (Executive Order 183). NFAC was tasked with the supervision and coordination of the government's food sufficiency program, which included for the first time, crops other than rice and corn. It also assisted the Department of Agriculture in the formulation of the goals, and defining the scope of the country's food and agricultural policies, plans and programs.

1976 Livestock Development Council (LDC) was created under the administrative

supervision of the Department of Agriculture (DA) by virtue of Presidential Decree No. 914 (creating the LDC, defining its powers and functions and providing funds therefor).

1987 By virtue of Executive Order No. 116 series of 1987, the units of the Ministry

of Agriculture (MA) and integrated all offices and agencies whose functions





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relate to agriculture and fishery into the Ministry. NAFC was created as an advisory body at the regional, provincial, municipal levels, primarily to promote private sector participation in agricultural and fisheries development through consultation, advocacy, planning, monitoring and project evaluation. Meanwhile, LDC was identified as one of the attached agencies of the DA which is responsible for the formulation and establishment of comprehensive policy guidelines for the livestock industry, the preparation of plans and programs and evaluation of livestock programs/projects in support of the development of the industry and food self-sufficiency and security.

1998 As Secretariat to the NAF Council, the NAFC is mandated to mobilize and

strengthen its resources and structure in order to serve the requirements of the NAF Council and the AFMP, as per DA Administrative Order No. 6, Series of 1998, under Rule 113.5 (AFMA IRR).

2013 By virtue of E.O. 366, NAFC and LDC were consolidated into a new agency

under the name Philippine Council for Agriculture and Fisheries (PCAF). The functions of the NAFC and LDC were transferred to the PCAF in line with the intent to pursue a functional and holistic rather than a sectoral approach in dealing with agricultural and fishery issues and concerns.

Legal Bases and Mandates With the functions of the NAFC and LDC transferred to the PCAF by virtue of E.O. 366, the new agency assumed strengthened functions related to coordination and monitoring of agricultural and fisheries modernization processes, and development of public-private partnerships as consultative bodies to the DA. In terms of legal issuances, the mandates transferred to PCAF are essentially based on Executive Order No. 116, series of 1987 and DA Administrative Order No. 6, series of 1998, as follows: Executive Order No. 116, Series of 1987

a. Act as advisory body to the Department of Agriculture (DA) to ensure the success of its programs and activities; and

b. To establish nationwide network of agricultural and fishery councils to serve as the forum for consultative and continuing discussions within agriculture and fisheries sectors.





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DA Administrative Order No. 6, Series of 1998 Act as Secretariat to the NAF Council which is mandated to:

a. Assist the DA in the broad-based monitoring and coordination of the agriculture and fisheries modernization process; and

b. Serve as integrative and consultative structure for inter-agency and inter-sectoral collaboration in agriculture and fisheries modernization.

PCAF Structure Figure 1 below shows the approved organizational structure of the Philippine Council for Agriculture and Fisheries or PCAF. It is composed of five (5) structural units namely: Office of the Executive Director (OED); Administrative, Finance and Management Division (AFMD); Planning, Monitoring and Knowledge Management Division (PMKMD); Policy Development and Coordination Division (PDCD) and Partnership Development Division (PDD). Figure 1 – DBM-Approved PCAF Organizational Structure

NAFCouncil

PCAF

OfficeoftheExecutiveDirector

Administrative,Finance&ManagementDivision

Planning,Monitoring&KnowledgeManagement

Division

PolicyDevelopment&Coordination

Division

PartnershipDevelopmentDivision

AccountingSection

BudgetSection

CashSection

GeneralServicesSection

HRDSection

ManagementSection

Planning&ProgrammingSection

ProjectDevelopmentSection

Monitoring&EvaluationSection

KnowledgeManagementSection

CouncilSupport&CoordinationSection

SectoralPolicyDevelopmentSection

StrategicConcernsSection

VolunteerManagementSection

CapacityDevelopmentSection

SocialMobilizationSection





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As seen in the above structure, the following Divisions are composed of smaller units or sections as follows: AFMD – Accounting Section, Budget Section, Cash Section, General Services Section, Human Resource Development Section and Management Section; PMKMD – Planning and Programming Section, Project Development Section, Moniotoring and Evaluation Section and Knowledge Management Section PDCD – Council Support and Coordination Section, Sectoral Policy Development Section and Strategic Concerns Section; and PDD – Volunteer Management Section, Capacity Development Section and Social Mobililzation Section. In relation to its regional and local partners, PCAF’s link is defined and coursed through the concerned PCAF units as follows:

1. Technical guidance relative to all consultative/policy development activities shall be coordinated with the PDCD and PDD.

2. Partnership development which include, among others, capacity building, membership to the AFCs and other volunteer management concerns, resource mobilization, alliance building and networking and coordination of PCAF implemented programs and projects shall be coursed through the PDD.

3. Planning, M&E and Knowledge Management concerns shall be in coordination with the PMKMD.

4. Financial support for AFC activities shall likewise be coursed through the PDD in coordination with the AFMD.

All these shall be in coordination with concerned unit at the DA-RFOs which shall in turn coordinate with the concerned offices and entities at the regional and local levels namely:

Regional Agricultural and Fishery Councils (RAFCs),





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Provincial Agriculture Offices and Provincial Agricultural and Fishery Councils (PAFCs) (include HUC and ICCAFCs) and

City/Municipal Agriculture Offices and City/Municipal Agricultural and Fishery Councils (CAFCs/MAFCs)

Advisory Special Bodies PCAF as an attached agency of the DA also provides technical and administrative support to the following advisory special bodies: A. National Agriculture and Fisheries (NAF) Council B. National Sectoral and Strategic Concerns Committees (NSCs) C. Agricultural and Fishery Councils (AFCs) at the Regional, Provincial and

City/Municipal levels A. NAF Council

With the DA Secretary and Undersecretary as Chairperson-Coordinator, and Vice Chairperson-Vice Coordinator respectively, the council’s other members are the heads of 16 national government agencies, Chairpersons of the 8 national sectoral and strategic concerns committees, Chairperson of the National Fisheries and Aquatic Resources Management Council, 1 representative of the Agricultural and Fishery Councils, and 8 people’s organizations and non-government organizations engaged in agriculture and fisheries issues and with operations nationwide, for a total of 32 people (listed below).

a) Department of Agriculture b) Commission on Higher Education, c) Department of Agrarian Reform, d) Department of Budget and Management, e) Department of Education, Culture and Sports, f) Department of Environment and Natural Resources, g) Department of Finance, h) Department of Interior and Local Government, i) Department of Labor and Employment, j) Department of Trade and Industry, k) Department of Public Works and Highways, l) Department of Science and Technology, m) Department of Social Services and Development,





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n) Department of Transport and Communications, o) National Economic and Development Authority, p) Technical Education and Skills Development Authority, q) Chairpersons of the national sectoral and strategic concerns committees

of the PCAF, r) (include 5 RAFC Cluster Heads) s) Representative of the Fisheries and Aquatic Resource Management

Council (FARMC), and Representatives of key, duly organized and registered national associations of farmers, farm women, fisherfolk and concerned POs and NGOs, appointed by the Secretary for one year, with option for reappointment. The NAF Council is the apex mechanism for consultation and dialogue between and among government agencies, local government units, private entities, including NGOs, and people’s organizations. It decides on the goals and defines the scope of the country’s agriculture and fisheries policies, plans and programs.

The NAF Council is an inter-sectoral, inter-agency body that provides advisory services to the Secretary of the Department of Agriculture. It is also the apex structure of the PCAF’s nationwide consultative and feedback structure. It is headed by the Secretary of Agriculture as the Chairperson-Coordinator and the DA Undersecretaries for Operations, and Policy and Planning as the Vice Chairperson-Coordinators. According to Rule 113.1 of the Implementing Rules and Regulations (A.O. No. 6, series of 1998) of the Agriculture and Fisheries Modernization Act of 1997 (R.A. 8435), the NAF Council shall assist the Department of Agriculture in the broad-based monitoring and coordination of the agricultural and fisheries modernization process. It shall serve as the integrative and consultative structure for inter-agency and inter-sectoral collaboration in the activities arising from RA 8435.

The NAF Council shall meet at least once each semester, or more often at the behest of the Secretary or Chairperson-Coordinator.

Functions: Rule 113.4.1 Monitor and promote transparency for coordination, the

programs of the various government agencies toward





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agricultural and fisheries modernization in research, technology extension, production, stabilization, distribution, marketing and processing of food, feed and other crops, fisheries, aquaculture and animal products and the conservation and proper utilization of natural resources,

Rule 113.4.2 Serve as consultative/feedback mechanism between and

among the Department, other government agencies, private entities, farmers and fisher folk groups, POs and NGOs, for the collaborative establishment of the goals and scope of the country's food, agriculture and fisheries policies, plans and programs,

Rule 113.4.3 Assist the Department obtain inputs and commitments of

Secretaries and Heads of National Agencies in unifying the delivery of services in agriculture and fisheries,

Rule 113.4.4 Assist the Department in mobilizing, monitoring and

evaluation of the contribution of the different agencies toward the policies, plans and programs for agriculture and fisheries modernization,

Rule 113.4.5 Promote consensus on and support for national agency

and LGU budgets to finance programs and projects for agricultural and fisheries modernization,

Rule 113.4.6 Assist the Department in the oversight and assessment

of the impact of the local and national integrated SAFDZ development plans and AFMPs, in consultation with other agencies, concerned farmers, fisherfolk and agri-business organizations through conferences, workshops, exchange of documents and open, regular meetings,

Rule 113.4.7 Appoint a Steering Committee from among its members

and create subcommittees at the national and local levels and for sectoral concerns as necessary, and

Rule 113.4.8 Review and recommend for the approval of the Secretary

reports for submission to the COCAFM.





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B. National Sectoral and Strategic Concerns Committees (NSCs)

The NSCs were established to provide venues for private sector participation in making decisions and policies that the government would pursue especially commodity sector-related concerns. This is achieved through regular and special meetings and broader public consultations when needed. The output of these meetings and consultations are policy recommendations, and recommendations on programs, projects or specific issues that are submitted to the DA and concerned government agencies, as well as the Congress and the Office of the President. These committees also provide the PCAF and the DA with feedback from the private sector regarding agricultural and fishery issues and concerns.

There are five (5) national sectoral and three (3) strategic concerns committees: Sectoral Committees 1. Committee on Fruits and Vegetables 2. Committee on Food Staples 3. Committee on Commercial Crops 4. Committee on Poultry, Livestock and Feedcrops 5. Committee on Fisheries and Aquaculture Strategic Concerns Committees 6. Agriculture and Fishery Mechanization Committee 7. Committee on International Trade 8. Committee on Climate Change

These committees are composed of members from government agencies dealing with or related to agriculture and fisheries, and volunteer key industry leaders representing farmers and fisher organizations, non-government organizations, agribusiness and manufacturing firms, financing institutions and the academe. PCAF maintains a membership ratio of 60% private sector and 40% government sector.





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The sectoral committees are present at the national, regional, provincial, and city/municipal levels. At the national level, these sectoral committees are independent bodies but work closely with PCAF that, in turn, acts as the secretariat for the committees. In the regional, provincial and municipal/city levels, the sectoral committees are organized within the existing Regional, Provincial and City/Municipal AFCs. PCAF encourages interaction between the national and regional sectoral committees in order to bring the issues from the grassroots to the national level and vice versa. The chairpersons of the NSCs are invited to the meetings of Regional and Provincial AFCs. Each sectoral committee is chaired by a representative from the private sector. She/he is also assisted by the vice chairpersons who come from the government and private sectors. Officers from the private sectors are elected by the committee members while the vice chairperson from the government sector is appointed by the NAF Council Chairperson-Coordinator who is the Agriculture Secretary.

In the NSCs, sub-committees, technical working groups (TWGs) and action teams were also created to closely discuss specific concerns. These TWGs and action teams are as follows:

Committee on Fruits and Vegetables:

a. National Garlic Action Team b. National Onion Action Team c. National Mango Action Team

Committee on Commercial Crops

d. Cocoa Industry Development Sub-Committee e. Coffee Industry Development Sub-Committee f. Root Crops Industry Development Sub-Committee g. Rubber Industry Development Sub-Committee h. Fiber Crops Industry Development Sub-Committee

Agricultural and Fishery Mechanization Committee

i. TWG on Research and Development





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j. TWG on Manufacturing and Supply k. TWG on Training and Extension l. TWG on Credit and Marketing

C. Agricultural and Fishery Councils (AFCs)

The Agricultural and Fishery Councils or AFCs are the mechanism for private sector participation in the development processes at the regional, provincial, city and municipal levels. They were created as consultative bodies at the regional, provincial, city/municipal levels primarily to promote private sector participation in agricultural and fishery development through consultations, advocacy, planning, monitoring and program and project evaluation. The network of AFCs consists of the Regional Agricultural and Fishery Councils (RAFCs), Provincial Agricultural and Fishery Councils (PAFCs), Independent Component City Agricultural and Fishery Councils, (ICCAFCs)/Highly Urbanized City Councils (HUCAFCs), and Municipal Agricultural and Fishery Councils (MAFCs)/City Agricultural and Fishery Councils (CAFCs).

The AFCs are composed of representatives of organizations of farmers and fisherfolk, rural women, farm youth, traders, credit providers, rural development advocates, representatives of state universities and colleges and agricultural schools, as well as agricultural and fisheries officials of the Local Government Units (LGUs) and heads of different national government agencies.

At least 60% of the AFC members come from the private sector; up to 40% come from the government sector. The functions of the AFC at the different levels are as follows:

1. Provide the venue where issues or concerns are raised discussed and

resolved by translating them into: policy briefs, policy recommendations, policy reforms, programs or projects, and enacted local ordinances;

2. Provide feedback to government planners and implementers of programs and projects through regular monitoring activities and submission of reports;





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3. Conduct research/analysis of issues or concerns and makes policy recommendations/reforms/briefs as provided by Ad Hoc Committees, Sectoral Committees or Task Force of the AFC.

4. Promote people participation through collective action and decision making, mutual collaboration and understanding with NGAs, NGOs, CSOs, etc.

5. Support agri-fishery development in the locality through endorsements of livelihood assistance projects and establishments of institutional development projects in the community.

6. Serve as the VOICE and BRIDGES of the people to ventilate their issues or concerns that need immediate action of the LDC of the concerned LGU. (spell out what are VOICE and BRIDGES)

7. Supporter of the DA or LGUs thrust for agri-fishery sectors by recommending policies to be enacted as local ordinances, formulating policy briefs, position papers or reforms.




VISION, MISSION AND CORE VALUES 01 Aug 14

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1.0 Vision

An apex policy making body with strong, vibrant and visible private sector partners responsible for the attainment of a conducive policy environment towards a globally competitive and sustainable agriculture and fisheries sector.

2.0 Mission

In partnership with the private sector, agricultural and fishery councils, national sectoral and strategic concerns committees, commodity boards, other NGAs, LGUs, CSOs and RBOs, SUCs, financial and donor institutions and other agriculture and fisheries stakeholders, we will zealously promote and strengthen capacities in participatory and collaborative governance.

Working together, we will uphold multi-stakeholder engagement, transparency and accountability in policy and program development processes for the agriculture and fisheries sector.

Together, we will work with others to create a better and brighter future for the agricultural and fishery communities.

3.0 Core Values/Statement of Principles

We, the officials and associates of PCAF, commit to performance excellence. We will always think of what is good for our clients and stakeholders. We will work with passion, driven with a sense of urgency, as we strive to be client-focused and results-oriented. We continuously uphold the good name, credibility and reputation of PCAF. Integrity, transparency and fairness will be the cornerstones of our work. We will maintain clarity and consistency in implementing policies/guidelines and in delivering seamless transactions. We value, nurture and reward creativity, innovation and continual improvement. We will open up opportunities that will enhance receptiveness to change, willingness to take risks or accept new tasks/responsibilities, and apply new learnings. As we move from our comfort zones to our courage zones, we will inspire, support and encourage each other.




VISION, MISSION AND CORE VALUES 01 Aug 14

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Working together as partners and as responsive and dedicated public servants, we will create a caring and nurturing organization anchored on trust, mutual respect, humility and fairness. Above all, we will cherish and sustain a God-filled, harmonious and fulfilling working environment.



ORGANIZATION 1 SUB-TOPIC Effective Date

FUNCTIONAL TABLE OF ORGANIZATION 01 Aug 14

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PCAF’s functional organization consists of the following units/structures and functions: I. OFFICE OF THE EXECUTIVE DIRECTOR (OED)

1. Plan, direct, supervise and coordinate the administrative and technical activities of the agency including its resource generation functions.

2. Oversee the formulation and implementation of agency policies, plans and programs.

3. Submit periodic reports on the activities of the agency and the Council to the Secretary of Agriculture.

4. Perform other duties as may be assigned by the Secretary of Agriculture.

II. ADMINISTRATIVE, FINANCE AND MANAGEMENT DIVISION

1. Provide quality administrative, finance and management support

services towards effective and efficient agency operations and optimum resource utilization.

2. Provide advisory services on administrative, finance and management related matters.

3. Ensure the enforcement of the bidding and regulatory guidelines for the procurement and disposal of goods and services based on the existing laws and regulations.

A. Accounting Section

1. Execute general accounting principles, rules and regulations. 2. Provide technical advice on accounting, reporting, internal

controls and other financial related matters. 3. Prepare timely accounting and management reports as well as

periodic financial statements in conformance with existing government accounting and auditing rules and regulations.

4. Develop, maintain and periodically update accounting related aspects of the Finance, Administrative and Management Information System (FAMIS) database.

5. Serve as focal point for BIR and other related regulatory agencies.





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6. Perform other functions as may be assigned by the management.

B. Budget Section

1. Execute mandated budgeting systems and procedures, policies and principles on budget and fiscal management.

2. Provide technical advice on budgeting and other financial related matters.

3. Develop, maintain and periodically update the budgeting aspects of the Finance, Administrative and Management Information System (FAMIS) database.

4. Coordinate and maintain liaison with the Department of Agriculture, Department of Budget and Management, Congress and other national government agencies on budget related matters.


C. Cash and Disbursement Section

1. Execute mandated disbursement systems and procedures and

other policies and principles on cash management. 2. Provide technical advice on cashiering and other financial

related matters. 3. Develop, maintain and periodically update the disbursement

aspects of the Finance, Administrative and Management Information System (FAMIS) database.

4. Serve as focal point for PCAF depository banks and other related agencies.


D. Human Resource Development Section

1. Execute policies, rules, regulations and programs in all areas of human resource development.





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2. Spearhead the assessment of strategic human capital needs and requirements in relation to organizational goals, plans and programs.

3. Collaborate in the development of innovative and responsive human resource programs in the following areas: Recruitment/Selection, Orientation and Induction, Career Development, Promotion and Transfers, Capacity Development and Training, Wage, Salaries and Compensation, Performance Management and Retirement.

4. Maintain and periodically update the human resource aspects of the Finance, Administrative and Management Information System (FAMIS) database.

5. Advise management on human resource development issues and other related relevant matters.

6. Act as secretariat/representative of the Personnel Selection Board (PSB), Personnel Development Committee (PDC), Program on Awards and Incentives for Service Excellence (PRAISE), Performance Evaluation Review Committee (PERC), Grievance Committee, and other human resource related committees.


E. General Services Section

1. Execute policies, rules, regulations and programs in all areas of

records management in accordance with the National Archives Law, Rules and Regulations and other existing government orders/issuances; and in all areas of property and supply management in accordance with the existing auditing and accounting procedures and procurement laws.

2. Develop, maintain and periodically update the records, property and supply management aspects of the Finance, Administrative and Management Information System (FAMIS) database.

3. Ensure effective and consistent implementation of policies and principles relative to records management and physical safety/security.

4. Advise management on strategic and/or sensitive records management issues and other related relevant matters.





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5. Undertake programs to ensure management of all physical facilities, equipment, furniture, fixtures and vehicles.


F. Management Section

1. Develop plan and program objectives relative to management

improvement. 2. Examine the administrative organization of the Agency and

make recommendations for improvement. 3. Maintain and update the Agency’s organization and other

manuals. 4. Undertake regular management surveys of organization

structure, manpower and operations; study special problems as assigned; review existing methods, procedures and system; and make recommendations for improvement.

5. Develop staffing standards and manpower requirements for the Agency.

6. Develop new and improved management systems; exercise staff supervision over the implementation of such improvements; and provide training in the use of the systems.

7. Review internal control system for safeguarding money and property as ascertain weaknesses and deficiencies requiring corrections.


II. PLANNING, MONITORING AND KNOWLEDGE MANAGEMENT DIVISION

1. Spearhead the formulation and periodic updating of medium-term/strategic plans, consolidation of annual agency plans and program development investment/resource programming and analyze and evaluate these relative to the agency’s mandate and the Medium Term Agricultural Development Plan.

2. Undertake timely analysis and assessment of strategic directives and policies relevant to the agri-fisheries sector, in order to ensure





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development of effective response to current key challenges, future scenarios and emerging issues in the sector.

3. Provide technical leadership and strategic advice to the technical departments as well as the AFCs/NSCs in planning, monitoring and knowledge management in all levels.

4. Develop and implement appropriate and robust M and E system to track and assess all components of the agriculture and fisheries modernization process as well as all PCAF programs, projects and other collaborative initiatives.

5. Support the development of knowledge-based institutional capacities and competencies within PCAF and its related structures and knowledge-based collaboration between and among PCAF, its partners and other stakeholders.

6. Promote knowledge-based collaboration and program/project development between and among PCAF, its partners and other stakeholders.

7. Identify and prioritize appropriate programs and projects to be undertaken in line with the agency’s mandate, objectives and thrusts.

8. Formulate the work and financial plans, policies and strategies for the development and effective and efficient implementation of the agency’s programs and projects.

A. Planning and Programming Section

1. Spearhead the formulation of agency thrusts, medium-term/strategic and public investment programs.

2. Formulate annual programs, plans, projects and targets, as well as conduct analysis of level and configuration of organizational, financial, physical and other resources required for implementation, and the results-based framework/measures by which the agency’s performance may be evaluated.

3. Analyze and evaluate agency plans, programs and budgets in relation to the agency’s mandate and the Philippine Agricultural Development Plan.

4. Ensure efficient and effective allocation and programming of the agency’s resources including but not limited to the Official Development Assistance (ODA) funds.





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5. Undertake research and development activities to support planning for all current and planned programs, projects and activities of the agency.

6. Coordinate and maintain liaison with the Department of Agriculture, Department of Budget and Management, Senate, Congress and other national government agencies.

7. Ensure tracking and assessment of the agency’s effectiveness, efficiency, relevance, responsiveness and sustainability.

8. Undertake research and development activities to support policy development for all current and planned programs, projects and activities of the agency.


B. Project Development Section

1. Formulate and implement guidelines for the use and availment of funds managed by the agency.

2. Evaluate project proposals submitted by DA and its attached agencies and other government and non-government entities for possible funding under ODA programs.

3. Package project proposals to conform to the form and substance as set in the guidelines.

4. Prepare/review annual work and financial plans of approved programs and projects.

5. Develop and implement an evaluation system for funded programs and projects.

6. Develop project proposals in support to agency’s mandates. 7. Perform other functions as may be assigned by the

management.

C. Monitoring and Evaluation Section

1. Monitor and evaluate processes, results, impact and reach of targeted A/F related policies, programs, projects and initiatives under AFMA, as well as those implemented by PCAF in collaboration with other agencies.





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2. Monitor and evaluate agency performance as well as the implementation of programs and projects of the agency and its consultative bodies.

3. Establish mechanisms and measures to promote accountability for use of resources allocated to targeted A/F modernization related programs, projects, initiatives.

4. Undertake appropriate strategies/courses of action to address key findings from M&E activities.


D. Knowledge Management Section

1. Develop, implement and maintain agency information management system data/knowledge base.

2. Formulate policies, standard operating procedures and standards for the effective installation and maintenance of ICT related security measures and mechanisms.

3. Provide PCAF related data and information that will meet required informational requirements of stakeholders, oversight agencies and the National Information Network.

4. Develop knowledge management and knowledge sharing technology support instruments, tools and templates for identifying, capturing, sharing, creating and generating new knowledge, and diffusing knowledge and information.

5. Facilitate development and strengthening of learning and knowledge sharing culture within PCAF, between and among its partners and stakeholders and between and among the NAF Council and its instrumentalities.

6. Provide advice and support on how to embed KM into ongoing programs/projects and in the design of new program/projects (e.g. in feed backing, reporting and documentation systems; in tracking, monitoring and evaluation systems; etc.).

7. Package and transform key agency knowledge and information (e.g. replicable program/project experiences, good/best innovative practices, successful models, lessons learned, network of experts, etc.) into popular and digital forms for widespread dissemination and diffusion to partners and stakeholders.





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8. Design and implement strategic communication, information, education and communication and social marketing plans, programs and initiatives.


III. POLICY DEVELOPMENT AND COORDINATION DIVISION

1. Provide technical leadership and guidance and secretariat support to the AFC, NAF Council and its Steering and Technical Working Committees, National Sectoral Committees, Working Committees on Strategic concerns and other events/activities of the stakeholders at the national level.

2. Undertake timely analysis and assessment of strategic directives and policies relevant to the agri-fisheries sector, in order to ensure development of effective response to current key challenges, future scenarios and emerging issues in the sector.

4. Collaborate with other technical departments and partners in the conduct of researches and/or policy studies to generate substantive inputs, relevant agenda and/or up to date reference for use during consultations and other stakeholder forums.

5. Facilitate conduct of relevant studies on strategic agricultural and fishery key challenges, trends, issues and concerns, relative to scope of AFMA mandate.

A. Council Support and Coordination Section

1. Formulate and implement plans, programs and projects and perform activities to facilitate operations of the NAF Council, Steering Committee and TWCs.

2. Facilitate inter-agency and inter-sectoral planning, advocacy and collaboration on TWCs strategic development agenda.

3. Coordinate private and government sectors’ active involvement in council/ committee activities.

4. Provide technical leadership and guidance and secretariat support to the NAF Council, Steering Committee and TWCs.





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5. Conduct and/or assist in researches or policy briefs to provide inputs, agenda and/or strategic advice during consultations and other stakeholder forums.


B. Sectoral Policy Development Section

1. Formulate and implement plans, programs and projects and perform activities to facilitate operations of the National Sectoral Committees.

2. Facilitate inter-agency planning, advocacy and collaboration on sectoral strategic development agenda.

3. Coordinate private and government sectors’ active involvement in the activities of the committee and other policy making bodies within/outside the DA.

4. Provide technical leadership and guidance and secretariat support to the NSCs.

5. Establish feedback mechanism on policy, program and project recommendations.

6. Undertake strategic level analysis to provide advice on appropriate /responsive policies and action for Agri fisheries modernization and development as well as to develop agency position/s on sectoral issues and concerns.


C. Strategic Concerns Section

1. Formulate and implement plans, programs and projects and perform activities to facilitate operations of the Climate Change and International Trade and other strategic concerns.

2. Coordinate private and government sectors’ active involvement in activities of the committees on Climate Change and International Trade.

3. Provide technical leadership and guidance and secretariat support to the Committees on Climate Change and International Trade and other forums on strategic concerns.





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4. Establish feedback mechanism on policy, program and project recommendations.

5. Conduct and/or assist in researches or policy briefs to provide inputs, agenda and/or strategic advice during consultations and other stakeholder forums.

6. Manage and implement the Capability Building Agricultural and Fisheries Trade Negotiations Project.

7. Network and collaborate with relevant agencies on development of data/knowledge base.


IV. PARTNERSHIP DEVELOPMENT DIVISION

1. Engage and sustain broad-based stakeholders’ involvement in agriculture and fisheries modernization initiatives through the establishment and management of a network of volunteers from both government and private sector.

2. Provide enabling environment for feasible and practical inter-sectoral social allies to raise people’s awareness of and demand for a particular development program, to assist in the delivery of resources and services and to strengthen community participation for sustainability and self-reliance.

3. Ensure the provision and/or conduct of quality, timely and cost-effective capability development activities for individual and institutional members of the various agricultural and fishery consultative bodies (Agricultural and Fishery Councils or AFCs, National Sectoral Committees or NSCs, and NAF Council including its Technical Working Committees or TWCs.

4. Provide technical leadership and guidance and administrative support in the conduct of regular meetings, congresses, island-wide summits and other special events and activities of stakeholders at the local level.

5. Coordinate and mobilize resources to fund and support operations as well as priority development programs, projects and activities endorsed and/or implemented by the various groups of private-sector led organizations and relevant entities.





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6. Maximize opportunities for the involvement of the consultative bodies, volunteer members and other relevant organizations and groups in strategic policy/program dialogues and national advocacy efforts.

A. Volunteer Management Section

1. Design, plan and implement recruitment and retention policy. 2. Develop/maintain database of members of consultative bodies

and networking files. 3. Develop and implement operations manual to institutionalize

stakeholders’ participation. 4. Develop and/or implement appropriate rewards and recognition

modalities and other structured motivational programs for all volunteer partners.

5. Maximize opportunities for involvement of the volunteers in all development processes.

6. Monitor performance of AFCs, NSCs and volunteer members. 7. Perform other functions as may be assigned by the

management.

B. Capacity Development Section

1. Integrate/oversee capability building for stakeholders. 2. Conduct training needs assessment of stakeholders. 3. Formulate capability building programs for the stakeholders. 4. Facilitate and/or conduct training/seminars and other

educational activities needed to enable volunteer-members perform functions, address issues and concerns, and set and achieve organizational and sector goals and objectives.


C. Social Mobilization Section

1. Provide technical leadership and guidance and financial support in the conduct of regular meetings of the AFCs.





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2. Advocate for the establishment/reactivation of AFCs and in providing support to the consultative bodies.

3. Advocate for creating enabling environment/policies/initiatives that will encourage investment in agricultural and fishery sectors.

4. Scout/explore possible resource streams to sustain operations of local consultative bodies and ensure the provision and/or facilitation of logistics support to private sector-led partners and stakeholders.

5. Coordinate with donor governments and other relevant entities – local, national and international, on the approval of project proposals endorsed for funding and other possible institutional arrangements to support volunteer management and capability development.

6. Manage, implement and/or coordinate all PCAF-implemented programs, projects and other collaborative efforts to support stakeholders’ activities and initiatives.

7. Spearhead and/or facilitate in the building of networks and alliances with strategic and potential partners.




QUALITY POLICY AND OBJECTIVES 1 SUB-TOPIC Effective Date

QUALITY OBJECTIVES 01 Aug 14

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PCAF’s quality objectives are basically anchored on its major final output i.e. Agricultural and Fishery Policy Services and the corresponding programs, projects and activities (PAPs) as follows:

Services/Objectives Key Performance Indicator Minimum Standard/ Target

1. Development and coordination of agriculture and fishery policies

- Formulate/endorse

policy recommendations/ resolutions through consultative bodies (AFCs, NSCs)

- Address policy-related issues/concerns through the NAF Council

- Policy recommendations/ resolutions endorsed

Quantity

Quality

Timeliness

- Policy-related issues addressed

Quantity

Quality

Timeliness

- 440 - > 50% of

stakeholders who rate the policy-related concerns of agriculture and fishery sector policy issues as good or better

- > 75% of policy recommendations/ resolutions are endorsed within 30 calendar days

- 5 - > 50 %who rate the

policy-related concerns of agriculture and fishery sector policy issues as good or better

- > 75% of policy recommendations/ resolutions are endorsed within 150 calendar days





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2. Planning, monitoring and knowledge management - Provide participatory

monitoring and tracking services

Conduct M&E activities

- Disseminate knowledge products to clients

- No. of M&E reports

prepared - AFMA Status/

Progress Report - Status of sectoral

issues/concern - Status programs

and projects (PCAF and DA)

- No. of M&E reports disseminated

- No. of knowledge products disseminated

318

6,284

29,744

3. Partnership development - Develop and enhance

private-public partnership

Showcase good

and innovative practices

Support stakeholders collaborative activities

Facilitate partnership agreements

- No. of projects

showcased

- No. of stakeholders collaboration supported

- No. of partnership

agreements facilitated

2

12

14

4. Promote welfare of employees

- No. of structured motivational program implemented

3





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QM-POL-001 TOPIC Issue No.


QUALITY POLICY 01 Aug 14

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Our Quality Policy The Philippine Council for Agriculture and Fisheries is committed to ensure broad-based policy development and coordination processes, participatory monitoring and tracking services and active engagement of all stakeholders in the agriculture and fisheries sector. We will endeavor to: - Enhance responsiveness and relevance of priority policies and programs in

the agriculture and fisheries sector through participatory mechanisms and processes;

- Ensure that advisory special bodies are actively engaged in shaping national and local agriculture and fishery development agenda;

- Scale-up access and availability of knowledge products for key stakeholders in all levels;

- Build client-focused, high performing working teams in PCAF; and - Gain recognition as strategic advisor, technical leader and resource linker for

agriculture and fishery issues and concerns.

Likewise, we shall: - Review and continually improve our agency’s operations and management

systems. - Be responsible to our employees, officials and associates, respect their rights

and opinions and recognize their performance and merits.


QM-PRM-001 TOPIC Issue No.


STRATEGIC PLANNING 01 Aug 14

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1.0 Process Map

1. Conduct preparatory activities

2. Conduct strategic planning workshop

3. Review and finalize the Draft Strategic Plan

4. Present the final draft of the Strategic Plan

5. Approve and authorize Strategic Plan

6. Monitor implementa-tion of the plan

PCAF Management

PMKMD

Other OUs

AFCs and NSCs

1.

1.

2.

2.

3.

3.

4.

4.

Need for

Medium-Term

Strategic

Plan

PCAF

Medium-Term

Strategic

Plan

DA Strategic Thrusts and

Priorities

Sectoral Issues and Concerns

4. 2.

2.0 Process Objectives

Objective Key Performance Indicator Standard

Ensure that PCAF has a strategic plan anchored on DA’s strategic thrusts and

No. of strategic plan prepared

1





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priorities

Craft strategies to provide directions to fulfill mandates, goals and objectives of the agency

No. of strategies prepared to provide directions to fulfill mandates, goals and objectives of the agency

8

Monitor the implementation of the strategic plan

% accomplishment of objectives, plans, programs and activities per schedule/agreed target date indicated in the submitted strategic plan

100%

3.0 Process Description

The conduct of the strategic planning is done every five (5) years usually coinciding with the crafting of the Medium-Term Philippine Development Plan. It is formulated in such a way that the strategies are reflected annually for five (5) years. The strategic plan includes the agency’s mission, vision, goals and objectives as well as the strategic directions based on themes and goal statement, and implementation strategies.

3.1 PMKMD conducts preparatory activities for Strategic Planning

PMKMD prepares Memorandum signed by the Executive Director informing the concerned Operating Units (OUs) of the need, objectives/purpose of the conduct of the Strategic Planning Workshop. Likewise, the OUs are directed to prepare the necessary documents (i.e. sectoral issues/resolutions, DA’s strategic thrusts and priorities, etc.) for the conduct of the workshop.

The PMKMD coordinates the administrative/logistical arrangements as well as preparation of working documents needed for the conduct of the workshop. On the other hand, the concerned OUs and AFCs/NSCs provide the necessary inputs needed for the conduct of the workshop.

3.2 Conduct Strategic Planning Workshop





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The Strategic Planning Workshop is conducted to come up with the strategies to achieve the agency’s mandates, goals, objectives, programs and plans for the medium term. At the end of the workshop, a draft strategic plan is crafted.

This planning workshop may include the following activities:

- Environmental scanning - Political, Economic, Social, Climate and Technological (PESCT)

Analysis - SWOT Analysis - Strategy Mapping - Setting of strategic directions - Formulation of implementation strategies - Action planning

After the strategic planning workshop, the following outputs are expected:

- Strategic plan - Five-year plan and budget

3.3 Review the Draft Strategic Plan

The initial draft strategic plan is subjected for review by the OUs with the AFCs and NSCs to further generate inputs to come up with a final draft.

3.4 Present the final draft of the Strategic Plan

PMKMD presents the final draft of the strategic plan to the top management, OUs and AFCs/NSCs for comments/clarifications and agreements.

3.5 Approve and authorize Strategic Plan

The PMKMD finalizes and submits the strategic plan to the top management for final review and approval.

3.6 Monitor implementation of the Strategic Plan





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Once approved, PMKMD furnishes copies to all concerned and monitors implementation.

4.0 References

4.1 Vision, Mission and Values 4.2 Medium Term Philippine Development Plan 4.3 Government Quality Management System Manuals




OPERATIONAL PLANNING 01 Aug 14

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1.0 PROCESS MAP

Need for PCAF Annual Procurement

Plan

PMKMD/PPS

Other Divisions. Other OUs

BAC

HOPE

8. Communicate Baeline Plan and Revisions to all OUs

National Expenditure

Program

Approved PCAF APBP

9. Preparation and submission of budget execution

10. Updating of PPMP and APP for common use supplies

10.

11. The consolidation of the agency APP

11.

PCAF Annual Procurement

Plan





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2.0 PROCESS OBJECTIVES


Ensure PCAFs annual physical and financial targets are set in accordance to the prescribed guidelines issued

No. of annual plan and budget proposal submitted on set deadline

1

3.0 PROCESS DESCRIPTION

The conduct of the operational planning is done annually. The plan includes the activities and financial requirements of each operating unit (OU) for the succeeding year. This process is prompted by the issuance of the planning guidelines from the Office of the Executive Director as early as November. Before the end of the last working day of December, each OU should have its respective plan and budget proposal (PBP) for the succeeding year. This is submitted to PMKMD for analysis and consolidation. These PBPs shall be revised and finalized after receipt of the planning guidelines and directives issued by the DA through the Planning and Programming Division and the Budget Call by the Department of Budget and Management (DBM) in January of the succeeding year. 3.1 Prepare working documents

PMKMD prepares necessary working documents as bases for setting the planning directions. This entails review of past and current government initiatives, thrusts and priorities of the administration, as well as the analysis of the previous years’ agency’s physical and financial accomplishments.

The Executive Director issues a Memorandum directing all OUs to prepare their respective annual PBP based on the set planning directions.

3.2 Develop PCAF Plan and Budget Proposal

PCAF and key representatives of AFCs/NSCs conduct a joint planning workshop to gather inputs for the crafting of the PBP of the agency. The preparation of the PBP uses standard templates or planning forms





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which are consolidated as basis for accomplishing the DBM issued templates. These planning forms include the following:

Planning form 1: Annual Physical and Financial Plan (tier 1)

Planning form 2: Annual Physical and Financial Plan (tier 2)

Planning form 3: Problem-Solving and Innovative Objectives

Planning form 4: AFC/NSC/Secretariat Policy Agenda

Planning form 5: Quarterly Performance Targets

Planning form 6: Monthly Performance Targets

Planning form 7: Management Committees Work and Financial plan

Planning form 8A: Project Procurement Management Plan by Division

Planning form 8B: Annual Procurement Plan for Common Use Supplies by Division

3.3 Present PCAF Plan and Budget Proposal

The top management presents the PCAF Plan and Budget Proposal during the DA Internal Budget Hearing.

3.4 Communicate Approval/Disapproval of Plan and Budget

Proposals to OUs

PMKMD prepares a Memorandum signed by the Executive Director confirming the physical targets and budget allocations of respective OUs.

3.5 Refine and Consolidate PCAF PBP

PMKMD prepares a Memorandum signed by the Executive Director directing the concerned OUs on the refinement of their respective WFPs. Based on the refined WFPs, the PMKMD shall finalize the PCAF Plan and Budget Proposal.

After consolidating the above planning forms (internal), the Planning and Programming Section prepares the following documents:

BP Form B-Agency Performance Measures

BP Form D – CSO Inputs….

BP Form 201-F-Climate Change Expenditures





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On the other hand, the Budget Section, prepares the following documents:

BP Form A-MFO Budget Matrix

BP 201 3.6 Authorize Plan and Budget Proposal

The PMKMD prepares a Memorandum signed by the Executive Director informing all OUs of the final PCAF Plan and Budget. This serves as the baseline plan of the agency.

3.7 Submit Plan and Budget Proposal to DA and DBM

PMKMD submits the final PCAF Plan and Budget Proposal to DA and DBM through the Online Submission of Budget Proposal System (OSBPS) for approval.

3.8 Communicate Baseline Plan and Revisions to all OUs

Upon approval of the Plan and Budget Proposal, PMKMD prepares a Memorandum signed by the Executive Director informing all the OUs of the approved National Expenditure Program (NEP) budget.

All OUs are likewise informed to revise their respective plan and budget based on NEP.

3.9 Preparation and submission of Budget Execution Documents

Based on the approved National Expenditure Program (NEP) of the agency and simultaneous with the preparation with the APP, the Planning and Programming section issues a memorandum to all operating units for the preparation of the following documents:

BED 1: Financial Plan BED 2: Physical Plan BED 3: Monthly Cash Program

3.10 Updating of Project Procurement Management Plan (PPMP) and

Annual Procurement Plan (APP) for Common Use Supplies





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The following planning forms are revised by the different operating units:

Project Procurement Management Plan by Division

Annual Procurement Plan for Common Use Supplies by Division The PPMP reflects the different Plans, Activities and Programs (PAPs) and the mode of procurement to be undertaken for the succeeding calendar year, in consideration of the budgetary framework proposed in the Budget Proposal. It is the basis from which the Annual Procurement Plan is prepared. The PPMP also includes the information specified under Section 7.3.2 of the revised IRR of RA 9184.

The formulation of PPMP involves identifying the project requirements, writing the Terms of Reference/technical specifications, determining the Approved Budget for the Contract (ABC) and identifying the schedule of milestone activities, among others. (Definition of terms)

The APP reflects the mode of procurement and entire procurement activities to be undertaken by the procuring entity within the calendar year (definition of terms).

3.11 The consolidation of the Agency APP

After verification by the PPS, the PPMPs and APP for Common Use Supplies are forwarded to the Bids and Awards Committee.

The BAC Secretariat consolidates the PPMPs to come up with the Agency Annual Procurement Plan. The GSS is provided with the copy of the Agency APP to accomplish the required budget execution document.

The updating of the individual PPMPs and the consolidated APP are undertaken every six (6) months or as often as maybe required by the Head of the Procuring Entity (HOPE). The updating of the PPMPs is the responsibility of the respective end-user units, while the consolidation of these PPMPs into an APP is lodged with the BAC Secretariat subject to approval of the HOPE as provided under Section 7.4 of the revised IRR of RA 9184.





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4.0 Definition of Terms 5.0 Forms

5.1 Planning form 1: Annual Physical and Financial Plan (Tier 1)

Agency: PCAF Document Status:

Division: Revision Number:

Section: Page ___ of___

KEY STRATEGIES, Remarks/Other

MFO ACTIVITIES PERFORMANCE TRAVELING COMMUNI- SUPPLIES & Other FOOD & TOTAL Assumptions

AND ACTION STEPS INDICATOR 1st 2nd 3rd 4th Total EXPENSES CATION MATERIALS Services ACCOM

SERVICES

Prepared by: Approved by:

(Division/Section Chief (Executive Director)

Date Signed: (MM-DD-YY) Date Signed: (MM-DD-YY)

ANNUAL PHYSICAL TARGETS BUDGETARY REQUIREMENTS

I.(Division or Section Function #)





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5.2 Planning form 2: Annual Physical and Financial Plan (tier 2)




KEY STRATEGIES, Remarks/Other

MFO ACTIVITIES PERFORMANCE TRAVELING COMMUNI- SUPPLIES & Other FOOD & TOTAL Assumptions

AND ACTION STEPS INDICATOR 1st 2nd 3rd 4th Total EXPENSES CATION MATERIALS Services ACCOM

SERVICES




ANNUAL PHYSICAL TARGETS BUDGETARY REQUIREMENTS

I.(Division or Section Function #)





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5.3 Planning form 3: Problem-Solving and Innovative Objectives




Areas of Concern Problems/Issues Innovative Solution/s Action Steps/ Resources Timeline

Encountered Activities & Coordination Required

A. Problem-Solving

Identify top 3 critical problems/issues affecting

the delivery of services of your unit/

performance of functions

and your proposed solutions, actions

and key results you want

Note: You may refer to your process

evaluation results

Areas of reference

Organizational Policies & Strategies

Systems and Procedures

Organizational Communication

(Intra-unit/Inter-division)

Work Motivation

Organizational Culture/Values

Staff & Skills

Structure

Leadership & Management Style

Role Definition

Others

Areas of Concern What do you want to achieve Innovative Strategy Action Steps/ Resources Timeline

(new) in the next 12 months? Activities & Coordination Required

B. Innovative Objectives

Identify top 3 strategies/activities/ you

want to introduce or want

to do differently in order to

provide excellent services to your

clients

Note: You may refer to your process

evaluation results

Areas of Reference

Organizational Policies & Strategies

Systems and Procedures

Organizational Communication

(Intra-unit/Inter-division)

Work Motivation

Organizational Culture/Values

Staff & Skills

Structure

Leadership & Management Style

Role Definition

Others

Prepared by: Approved by:(Division/Section Chief (Executive Director)






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5.4 Planning form 4: AFC/NSC/Secretariat Policy Agenda

5.5 Planning form 5: Quarterly Performance Targets



Section: Page _____ of _____

PCAF Goals/ Key Success Measures Policy Issue/Policy Gap Policy Objective & Strategies/Action

Steps

Policy Instrument (Output Indicator) Policy Sponsor/ Timeline

Purpose (Results) (be specific) (policy change you what to address) ( e.g. AO, MOU, EO, Bill etc.) Champion (Who?)





Section: Page of

MFO/Performance Indicator Unit of

Measure

CY ___

Actual

Accomp

Remarks

Q1 Q2 Q3 Q4 Total Q1 Q2 Q3 Q4 Total



CY ___ Physical Performance Targets CY ___ Financial Performance Targets





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5.6 Planning form 6: Monthly Cash Program

5.7 Planning form 7: Management Committee Work Plan



Section: Page of

Phy Phy Phy Phy Phy PhyMFO OPE MFO OPE MFO OPE MFO OPE MFO OPE MFO OPE

TOTAL

Major Final

Output Fin

JAN FEB MAR

FinINDICATORS

APR

Monthly Physical and Financial Targets

Fin Fin

MAY JUN

Fin Fin

Agency: PCAF Document Status: ______

Division: Revision Number: ______

Section: Page ___ of____

Committee Goal/s and Milestone Key Steps Budgetary By When Person Responsible

Deliverable/s (Output) (Significant Output of Requirement (Start/Finish Date)

Key Step)







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5.8 Planning form 8A: Project Procurement Management Plan by Division

5.9 Planning form 8B: Annual Procurement Plan for Common Use Supplies by Division

Agency: PCAF Document Status: ______

Division: Revision Number: ______

Section: Page ___ of____

Unit PROCUREMENT

Unit Price Qty. Amt. Qty Amt. Qty. Amt. Qty. Amt. Qty. Amt. METHOD

I.

Total




Item/Description 1stQ 2nd Q 3rdQ 4thQ GRAND TOTAL

INSTRUCTIONS IN FILLING OUT THE ANNUAL PROCUREMENT PLAN (APP) FORM:

1. Select the appropriate worksheet depending on the nearest Regional/Provincial Depot in your area.

2. For Sub - Depots please refer to the following (Arranged/ Classified according to commmonality of freight cost):

a. Bukidnon, Puerto Princesa Palawan, Biliran, Borongan, Misamis Occidental (Oroquieta) and Southern Leyte (Maasin)- Region XIII

b. Misamis Oriental, Bacolod, Calbayog, Bontoc and Northern Samar (Catarman)- Regions VI, VII, VIII, X, & XI

c. Surigao Del Norte - Surigao Del Norte

d. Zamboanga Sibugay- Zamboanga Sibugay

e. Camiguin - Camiguin

3. Indicate the agency’s monthly requirement per item in the APP form. The form will automatically compute for the Total Quarterly requirement, Total Amount per item and the Grand Total.

4. APPs are considered incorrect if: a) form used is other than the prescribed format downloaded at philgeps.gov.ph and; b) correct format is used but fields were deleted and/or inserted

in Portion A of the APP. The agency will be informed through e-mail if the submission is incorrect.

5. For Other Items not available from the Procurement Service but regularly purchased from other sources, agency must specify/indicate the item name under each category and unit price based on their last purchase of the item/s. These items will be evaluated by the Procurement Service and may be considered Common Supplies or Equipment (CSE). Items will be added to the electronic catalogue /

virtual store as soon as it is procured and made available by the Procurement Service.

6. Submit the duly accomplished APP form in one (1) hard copy (duly signed by Agency officials) to the Agency's respective Budget Management Bureau in the DBM Central Office

or to the DBM Regional Office AND email an electronic copy at [email protected] or at [email protected]. 7. Consistent with DBM Circular No. 2013-14, the APP for FY 2015 must be submitted on or before November 30, 2014.

8. Rename your APP file in the following format: APP2015- Name of Agency- Region (e.g. APP2015 -PS- Central Office).

9. For further assistance/clarification, agencies may call the Planning Division of the Procurement Service at telephone nos. (02)561-6116 or (02)689-7750 loc. 4021.

Department/Bureau/Office:____________________________________________ Contact Person: _______________________________________

Region: ___________________________________________________________ Position: _____________________________________________

Address:___________________________________________________________ E-mail : ______________________________________________

___________________________________________________________ Telephone/Mobile Nos: _________________________________

Jan Feb March Q1 April May June Q2 July Aug Sept Q3 Oct Nov Dec Q4 Total

COMMON ELECTRICAL SUPPLIES

1. BALLAST, 18 watts piece 0 0 0 0 0 72.70 -

2. BALLAST, 36 watts piece 0 0 0 0 0 71.03 -

3. BATTERY, size AA, alkaline, 2 pcs./packet packet 5 5 5 5 5 5 5 5 20 15.39 307.80

4. BATTERY, size AAA, alkaline, 2 pcs./packet packet 10 10 10 10 10 10 5 5 35 14.46 506.10

5. BATTERY, size D, alkaline, 2 pcs./packet packet 0 0 0 0 0 71.76 -

6. FLUORESCENT LIGHTING FIXTURE, 1 x 18W set 0 0 0 0 0 327.60 -

7. FLUORESCENT LIGHTING FIXTURE, 1 x 36W set 0 0 0 0 0 384.80 -

8. FLUORESCENT LAMP, tubular, 18 watts piece 0 0 0 0 0 35.36 -

9. FLUORESCENT LAMP, tubular, 36 watts piece 0 0 0 0 0 36.40 -

10. COMPACT FLUORESCENT LIGHT, 18 watts piece 0 0 0 0 0 99.74 -

11. FUSE, 30 amperes piece 0 0 0 0 0 12.48 -

12. FUSE, 60 amperes piece 0 0 0 0 0 28.08 -

13. STARTER, 4-40 watts piece 0 0 0 0 0 5.20 -

14. TAPE, electrical roll 3 3 0 0 0 3 17.63 52.89

A. AVAILABLE AT PROCUREMENT SERVICE STORES

ANNUAL PROCUREMENT PLAN FOR ____

For Common-Use Supplies and Equipment

Item & SpecificationsUnit of

Measure

Quantity Requirement** PS Price

Catalogue as of

JULY 31, 2014

TOTAL

AMOUNT





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6.0 REFERENCES 1. DBM Budget Call and other related Memorandum Circulars 2. DA Thrusts and Priorities (Secretary’s Marching Orders)

3. Government Quality Management System Manuals

4. PCAF Strategic Plan

5. OSBP System Guidelines

6. PCAF M&E Form 1 - Physical Baseline Plan (QM-FRM-002-01)

7. PCAF M&E Form 2 – Financial Plan (QM-FRM-002-02)

8. P Form 6 – Monthly Physical and Financial Targets (QM-FRM-002-03)




PERFORMANCE MONITORING AND ASSESSMENT

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1.0 Process Map

1. Prepare and submit accomp. reports

2. Consoli-date, review and analyze reports

3. Provide feedback and make corrective action

4. Prepare agency accomp. report

5. Authorize/ approve agency accomp. report

6. Conduct performance review

PCAF Management

PMKMD

Other OUs

AFCs and NSCs

1.

1.

3.

3.

Need to ensure

robust monitoring and assessment of

agency performance

PCAF OUs, AFCs & NSCs

Accomp. Reports

PCAF Strategic & Operational

Plans

2.

Robust

monitoring and assessment of

agency

performance

Performance gap

BAR, FARsIssues raised,

Agreements





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Objective Key Performance Indicator Min Standard/Target

Ensure a robust monitoring and assessment of agency performance

% of monitoring reports prepared and submitted on time No. of performance reviews undertaken

100%

2

Guide PCAF in managing the effective and efficient implementation of programs, projects and activities

% accomplishment of programs, projects and activities as scheduled in the submitted operational plan

100%


Performance monitoring and assessment is done based on the framework shown in Figure 1 that is consistent with the PCAF Logical Framework (see Annex 1). The monitoring and assessment include the accomplishment based on financial and physical targets, capability building activities for internal and external clients, timely submission of reports, physical facilities, and other support processes.

Figure 1: Agency Monitoring and Evaluation Framework

Agency Deliverables/Outputs

Implementation Period

Pre- PAP Status

Start End Post-

PAP Status

Progress Monitoring and Evaluation

(Efficiency)

Result M&E

(Effectiveness)

PAP Purpose

PAP Goal





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Framework Description The Agency M&E Framework depicts the processes that the agency undertakes to efficiently and effectively attain its outputs and deliverables in line with its purpose and goal. Pre-PAP Status The first stage is the conduct of the agency performance review and planning workshop to gauge what the agency has accomplished, identify its pitfalls and gains, and from there plan to better achieve the agency’s targets. The annual plan and budget will be crafted that will be the basis for Progress M&E. The agency will also develop its M&E Plan at this stage. Progress M&E The second stage is the monitoring and evaluation of the processes the agency undertakes and deliverables based on the M&E Plan to ensure the efficiency of the agency’s performance and operations. It will measure based on quantity the outputs of the agency such as the policy recommendations/resolutions endorsed, policy-related concerns addressed, consultations facilitated, M&E reports disseminated and partnerships facilitated. Quality and timeliness indicators will also be used to measure the of the agency’s major final outputs, that is, policy recommendations/resolutions endorsed and policy related concerns addressed. This will involve conducting surveys among the agri-fishery stakeholders. Results M&E In this stage, the agency measures the effectiveness of its deliverables and outputs to its stakeholders. It also aims to determine the adoption rate of the policy recommendations and resolutions endorsed to concerned agencies. This will involve conducting surveys among the agri-fishery stakeholders and the concerned agencies. Post PAP Status





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In this stage, the agency will measure the impact of the policy/resolutions to the agriculture and fishery stakeholders towards the achievement of the sector goal. This will involve conducting surveys among the agri-fishery

stakeholders and the concerned agencies.

Monitoring and assessment is done periodically, as outlined below:

Coverage Participants Frequency

- Unit/section financial allocation versus utilization

- Unit/section physical targets versus accomplishments

- Top Management (Executive Director and Deputy Executive Director)

- Core Management Committee (Division and Asst. Division Chiefs)

- Planning and Budget Officers

Monthly



- Agency physical and financial targets versus accomplishments


- Core Management Committee (Division and Asst. Division Chiefs)

- Planning and Budget Officers

Quarterly




- Management Committees targets versus Accomplishments

- GAD Focal system targets versus Accomplishments

- Quality and timeliness measurement


- Expanded Core Management Committee (Division, Asst. Division and Section Chiefs)

- Planning and Budget Officers and Staff

- Management Committee Heads

- Key Officers (Area Coordinators)

- Representatives of ASBs

Semi-Annual




- Management Committees targets versus Accomplishments


- Expanded Core Management Committee (Division, Asst. Division and Section Chiefs)

- Planning and Budget Officers and Staff

- Management Committee Heads

Annual





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- GAD Focal system targets versus Accomplishments

- PBB Focal system targets versus Accomplishments

- Quality and timeliness measurement

- Key Officers (Area Coordinators)

- Representatives of ASBs

3.1 Collect and Review/Analyze Reports

The PMKMD and other OUs prepare and submits performance reports based on the M&E Core and Support Processes.

Physical Accomplishment Monitoring

The Physical Baseline Plan is prepared during the Planning Workshop which is conducted annually. Please refer to the Process Map of the Operational Planning in the PCAF Quality Manual. The Physical Accomplishment refers to the actual performance accomplishment for each activity indicator in a given period (monthly). The Physical Accomplishment is reflected in PCAF M&E Form 3 labeled Physical Accomplishment as shown in Figure 2.





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Financial Accomplishment Monitoring Financial Accomplishment Monitoring is undertaken using PCAF M&E Form 4 labeled Financial Accomplishment. In monitoring the budget accomplishment, the Financial Accountability Reports (FARs) for Allotment vs. Obligations vs. Disbursements are used. The FARs are prepared monthly based on the allotment versus obligations (allotment utilization/SAOB) coming from the Budget Section and the Notice of Cash Allocation (NCA) versus disbursements (cash utilization) coming from the Cashier and Accounting Sections.

Results Monitoring and Evaluation

Results Monitoring and Evaluation (RME) refers to the monitoring and evaluation of objectives above the output-level. This will include the monitoring of purposes and goal of PCAF. The Evaluation Matrix below





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which includes the objectives, indicators, evaluation design, sampling and user will be used by the agency in RME.

Figure 7. Evaluation Matrix

Goal/Purpose Evaluation Objectives

Indicator/s Evaluation

Design Sampling

User of the report

Improved conditions that are conducive for profitable, competitive and sustainable agri-fishery with empowered farmers, fisherfolk and other stakeholders

To determine the impact of policy/ resolutions to agriculture and fishery stakeholders

MSC method does not require indicators

Most Significant Change (MSC) Method

Random sampling

Oversight agencies (DA, DBM, NEDA,

Congress, PMS), LGUs, GFIs, Private Sector and other NGAs

Enhanced policy environment in the agriculture and fisheries sectors, that is, policies are responsive to the short and long-term goals and needs of the sector

To determine the adoption rate of policy recommendations/ resolutions endorsed to concerned agencies

% of policy recommendations/ resolutions adopted by concerned agencies

Key Informant

(KI) Survey

Random Sampling

Oversight agencies (DA

&DBM)

Consistent with the agriculture and fishery sector goal, PCAF mainly focuses on 2 objectives as presented in the agency’s logical framework (see Annex 1). One is “Improved conditions that are conducive for profitable, competitive and sustainable agri-fishery with empowered farmers, fisherfolk and other stakeholders” which is the agency’s goal.

In line with this goal, PCAF as the Secretariat for the NAF Council, measures its result based on the outcome indicator on policy-related concerns addressed. The PCAF through the NAF Council crafts policies/resolutions to address agriculture and fishery policy-related concerns. In measuring the impact of these policies/ resolutions to agriculture and fishery stakeholders, the Most Significant Change (MSC) method will be used. MSC is a story-telling approach that





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focuses on highlighting changes or developments that happen to the target group or influence area of an intervention. It is known as “Monitoring-without-indicators” that emphasizes the monitoring of intermediate outcomes and impact of the intervention.

The other objective is “Enhanced policy environment in the agriculture and fisheries sectors, that is, policies are responsive to the short and long-term goals and needs of the sector” which represents one of the agency’s purposes. In line with this, PCAF measures its result, based on the organizational outcome indicator adoption rate by concerned agencies of policy recommendations/ resolutions crafted by the consultative bodies, i.e., AFCs, NSCs and NAF Council.

The Matrix of Issues (see Figure 8) is used to keep track of the policy recommendations which were adopted by the DA and other government agencies (e.g. National Sectoral Committee on Poultry, Livestock and Feedcrops endorsed a policy recommendation for the Bureau of Customs to issue Inward Foreign Manifests to curb smuggling). The Matrix of issues will be the basis for data analysis in determining the adoption rate.

Based on the Matrix of Issues, PCAF shall use a Key Informant (KI) survey to establish how helpful the policy recommendations emanating from the PCAF Consultative Bodies to the DA and other government agencies in the achievement of their outputs (e.g. how did the policy recommendation help BOC in coming up with a sound policy in curbing smuggling). The sample size of policy recommendations/resolutions that will be subjected to survey and the respondents will be determined using the Taro Yamane’s formula. Random sampling method will be used to select the respondents.

Figure 8. Matrix of Issues

Number and Subject Matter

Date Passed

Referred To Status/Responses Remarks





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3.2 Consolidates and Review/Analyze Reports

PMKMD consolidates and reviews/analyzes reports generated by the concerned OUs. PMKMD prepares findings and recommendations.

3.3 Provide Feedback and Make Corrective Actions

PMKMD provides feedback and other OUs undertake corrective actions through the directive of the top management. The identified performance gaps in this step shall be endorsed to the AFMD-MS.

3.4 Prepare Accomplishment Reports

PMKMD prepares and submits approved periodic and operational reports to concerned entities. The accomplishment reports include, among others, BARs and FARs which will be submitted to oversight entities such as DBM and PMED. It will also include reports from the OUs involved in the support processes.

3.5 Authorization/Approval

PMKMD prepares a Memorandum for the conduct of the Mid-Year and Year-end Performance Review for approval of the Executive Director.

3.6 Performance Review

Upon the approval of the Executive Director, PMKMD spearheads the conduct of the Performance Reviews.

4.0 References

4.1. PCAF M&E Form 1 – Physical Baseline Plan (QM-FRM-002-01) 4.2. PCAF M&E Form 2 – Financial Plan (QM-FRM-002-02) 4.3. PCAF M&E Form 3 – Physical Accomplishment (QM-FRM-003-01) 4.4. PCAF M&E Form 4 – Financial Accomplishment (QM-FRM-003-02)





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MANAGING IMPROVEMENTS 01 Aug 14

Page

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1.0 Process Map

Need to Improve System

AFMD/MS

1. Review of improvement opportunities

1. Conduct of Internal Audit

2. Conduct Benchmarking

3. Manage improvement program

4. Do corrective action

2. Do preventive action

Clients

--------------Complaints

PMKMD

--------------Performance

Review

Outputs

IA Team

OUs

CMC

Improved System

2.

Corrective Action Report

Preventive Action Report





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Objective Key Performance Indicator

Standard

Establish methods of monitoring, measurement and analysis including the purpose and validity of such data and information to ensure performance and improvement.

No. of methods established

3

Ensure that internal quality audit is conducted regularly and that management action is undertaken

Regular conduct of internal audit

100%

Establish a benchmark based on ISO standard

Standards on managing improvement established

1


3.1 Review of Improvement Opportunities

The AFMD-Management Section reviews the agency’s systems and procedures, and outputs of performance reviews and assessments to determine opportunities for improvement. It also collects and analyzes appropriate data to determine the suitability and effectiveness of the agency’s systems and procedures, and to evaluate where continual improvement of the effectiveness on such systems and procedures can be made.

3.2 Conduct of Internal Audit

This is to verify whether the quality management system conforms to the planned arrangements, to the requirements of ISO 9001 and the quality management system requirements established by the PCAF is effectively implemented and maintained. This will be undertaken by the designated task force members from among the QMS Core Team.





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3.3 Benchmarking

AFMD-MS in collaboration with the PCAF QMS Core Team conducts research to compare how other agencies (especially those ISO certified) manage improvements, do corrective and preventive actions.

3.4 Manage Improvement Program

Opportunities for improvement are discussed in the different management committees meetings such as Core Management Committees, Task Forces created for specific activities and focused group discussions. The agreements reached are relayed to the concerned operating units for their implementation.

3.5 Corrective Action

The concerned OUs take corrective action to eliminate the causes of non-conformities in order to prevent recurrence.

3.6 Preventive Action

The concerned OUs identify preventive action to eliminate the causes of potential non-conformities to prevent occurrence.

4.0 References

4.1 Government Quality Management System Manuals 4.2 Procedures on Internal Audit, Corrective Action and Preventive Action




PARTNERSHIP DEVELOPMENT 01 Aug 14

Page

1 of 5

1.0 Process Map

1. Recruit and Select partners

2. Activate partners

3. Provide capacity development

4.Collaborate with partner institutions

5. Mobilize and manage resources

6. Implement motivational packages

PDD

DA RFOs and LGUs

Other OUs

Training Providers

1.

1.

2.

2.

3.

3.

4.

4.

Need for

Enhanced Partnership

Development

Enhanced

Stakeholders EngagementPartnership

Development Strategic Plan

3.

Member's Profiles

Council/ Committee

Profiles

MOA / Policy Resolutions

MOA / MOU

2.0 Process Objective

Objective Key Performance

Indicator Min. Standard/

Target

Enhance engagement of stakeholders in agriculture and fishery

No. of stakeholders collaborations supported

5 stakeholder collaborations supported





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Indicator Min. Standard/

Target

initiatives

Build partnerships in the agricultural and fishery sector

No. of partnership agreements forged

6 partnership agreements forged

Conduct capacity development activities

No. of capability development activity (Training) conducted

4 capability development activities (Training)

Implement motivational packages

No. of motivational packages implemented No. of projects show-cased

2 motivational packages 2 projects show-cased


PCAF needs to nurture the membership of its advisory special bodies (ASBs) to ensure that the stakeholders involved are representatives of all the players in the agriculture and fisheries sector. The provision of the needed capabilities and resources by the ASBs and their members, the development of motivational packages and formation of partnerships with other stakeholders in the sector are the foci of this process.

3.1 Recruit and select partners

Possible stakeholders that can be recruited to join PCAF ASBs are identified during the consultative meetings. This shall be done to identify prospective partners (organizations or individual members).

At the national level, it shall be conducted by the PDCD in collaboration with PDD, while at the local level, it shall be PDD in collaboration with the Department of Agriculture Regional Field Offices (DA RFOs) and Local Government Units (LGUs).





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Prospective partners from the private sector need to go through the recruitment, selection and membership process as defined in the AFMA IRR and other issuances for NAF Council, Manual of Regulations (MoR) for the NSCs and the Manual of Operation (MoO) for the AFCs.

3.2 Activate partners

PDD shall conduct regular orientation for new members on PCAF mandate, mission, vision, and functions, and MoR for NSCs and MoO for AFCs at the local levels. At the national level, it shall be conducted in collaboration with PDCD. For the AFCs, re-orientation is also conducted for inactive councils that are non-PCAF supported or assisted but are interested to revive their council. It is also done to sustain awareness on PCAF and its ASBs. After the orientation, partners, particularly the AFCs, are sworn in as members of the ASBs through an oath-taking ceremony and by signing a partnership agreement.

3.3 Provide capacity development support

PDD shall ensure the provision and/or conduct of quality, timely capacity development activities for individual and institutional members of the PCAF’s ASBs. This shall be done in collaboration with PDCD, DA-RFOs and LGUs, as appropriate. For the capability building activities, PDD shall conduct training needs assessment (TNA) at the start of each year for the members of the ASBs and subsequently update the training needs database. Training may include, but not limited, to social mobilization, facilitation skills, technical writing, leadership, monitoring and evaluation, financial and other concerns depending on the requirement of the ASB. Trainings are done in collaboration with other Divisions and/or outsourced to qualified training providers.





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Aside from trainings, PCAF shall provide financial and technical support to enhance the operations of the ASBs.

3.4 Collaborate with partner institutions

Advocacy efforts will be undertaken to generate support, ensure the smooth operations of the ASBs and identify new opportunities for cooperation. Collaborative or networking activities which are not part of the regular consultations being conducted will be part of these efforts. The collaboration efforts are focused on the conduct of AFC and commodity congresses/conventions, summits, dialogues between and among partner institutions for the provision of technical and financial support, convergence activities, creation of monitoring teams and technical working groups.

Partner institutions include the DA and its attached agencies and bureaus, and DA-RFOs. Likewise, they may include other agencies like DENR, DAR, DPWH, DILG/LGUs, academe and donor institutions, such as the Governments of Japan and USA.

3.5 Mobilize and manage resources

PDD manages and mobilizes agency resources in support to activities of its ASBs. These include support to AFC desk operations, volunteer management activities, capacity development and other activities. Possible resource streams may come from, but not limited to, DA and its attached agencies and bureaus, DA-RFOs, DILG/LGUs, DENR, DAR, DPWH, and donor institutions such as the Governments of Japan and USA. Resources needed may be in the form of technical assistance, provision of equipment, and financial assistance. Regular reports shall be prepared to provide feedback to donors.





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3.6 Implement motivational packages

To encourage the continued active involvement of the ASB members in the agricultural and fishery sector, motivational packages will be provided by the PDD. Such motivational packages may come in the form of insurance packages, awards and recognition, and expository and learning visits.

4.0 References

4.1 Agricultural and Fishery Council – Manual of Operations 4.2 NSC Manual of Regulations




POLICY DEVELOPMENT 01 Aug 14

Page

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1.0 Process Map

1. Conduct

research for

policy agenda

AF Policy

Issues & Concerns

AF Policy

Issues Addressed

1. Conduct

research for policy agenda

M&E Reports

and Strategic Plan

DA Operating

Unit Researches

2. Set the

policy agenda

2.

4. Conduct

consultation/ policy dialogue

3. Provide

technical & logistical support

Policy agenda,

Policy brief

5. Conduct

research for policy recommendation

6. Prepare policy

recommendation

Matrix of issues,

agreements, action taken

Policy resolution/

recommendation

1. 3. 5. 6.

4.

NAF Council

AFCs and NSCs

PDCD

AFC Coordinator/

Secretariat





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2.0 Process Objective

Objective Key Performance Indicator

Minimum Standard/ Target

Ensure that needed policy recommendations/ resolutions are prepared by the CBs

No. of policy recommendations/ resolutions endorsed

- 439 (Quantity) - 50% of stakeholders who

rate the policy recommendation/ resolution endorsed as good or better

- 75% of policy recommendations/ resolutions are endorsed within 30 calendar days

Provide focused directions to address the medium-term issues in agriculture and fishery sector (from Strategic Planning Process)

No. of policy agenda set

- 1 (PCAF policy agenda will incorporate all policy agendas from the consultative bodies)


As one of its main mandates, the consultations conducted by PCAF aims to provide the policy recommendations towards the improvement of the plans, programs, projects for the agriculture and fishery sector.

3.1 Conduct research for policy agenda setting

The PDCD and PDD/AFC Secretariat will prepare the agriculture and fishery sector situationer, referring to the Philippine Development Plan, the DA Legislative Agenda and the Commodity Roadmaps as bases.

The situationer will provide the list of agenda to the PCAF consultative bodies to serve as the menu from which they will choose their priority agenda. Ensure that the selected priority agenda will contribute to the achievement of the Department’s thrusts and goals.





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3.2 Set the policy agenda

The NAF Council, AFCs or NSCs take up an issue as a policy problem from among several socio-economic, legal, political and other issues affecting the agricultural and fishery sector. The issue or problem raised by AFCs/NSCs is chosen as a governmental (local/national) issue.

3.3 Provide technical and logistical support

The PDCD, PDD/AFC Secretariat will prepare the needed logistical support (venue, food, resource person, meeting materials, etc.) for the conduct of the consultations. The PDCD, PDD/AFC Secretariat will prepare the minutes and highlights of the consultation for the information, reference, discussion and decision-making of the CB members. They shall also provide updates/feedback on resolutions/issues previously discussed in the CB consultation to serve as an input and to check which among these issues and concerns have already been addressed.

3.4 Conduct consultation

The PCAF CBs will conduct the consultation or policy dialogues. The consultation will be the venue for the discussion and deliberation of agricultural and fishery issues and concerns which should result ultimately in a policy recommendation/resolution.

3.5 Conduct research for policy resolutions/recommendations

Resolutions proposed during the consultations will need substantiation through further research. A policy brief may be prepared to further justify the approval of the policy resolutions/recommendations developed by the CBs.





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4.0 References 4.1 PCAF Manual of Regulations for Consultative Bodies 4.2 DA Legislative Agenda 4.3 Philippine Development Plan for Agriculture




PARTICIPATORY MONITORING AND TRACKING

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1.0 Process Map

1. Generate project lists and evaluative study ideas

4. Conduct results M&E

PMKMD-MES

RAFC Monitoring

Teams

1. 3.

Need to provide status report of Agriculture and Fisheries Sector

Reports of projects funded

through GAA and ODA

2. Develop monitoring and evaluation plan

Status report of Agriculture and Fisheries Sector

3. Conduct Participatory Monitoring and Tracking

Evaluation report

Consulting firm

4.

M & E Reports



1. Agriculture and Fisheries Sector status provided

M&E reports disseminated X number of reports X number of recipients (16 RAFCs,101 PAFCs,1611 MAFCs,19 NSCs, DBM, DA and concerned agencies)

2. Timely dissemination of Agriculture and Fisheries Sector M&E report

Results M&E Report Preparation Time

X Days

Quarterly Agriculture and Fisheries Status Report Preparation Time

X Days

Annual Agriculture and 12 months





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Fisheries Sector Evaluation Report Preparation Time

AF Sector Study Cycle Time 3 months


PCAF uses the data and information generated by this process to determine the actual status of DA-funded programs and projects implemented by operating units and substantiate reports of accomplishments submitted. These also serve as bases for generating relevant policy recommendations and directions.

3.1. Generate Agriculture and Fisheries Accomplishment Reports and

Project Lists, and Evaluative Study Ideas

The PMKMD-MES and the Regional AFC Monitoring Teams gather reports and projects funded through the General Appropriation Act and other ODA from the Department of Agriculture Regional Field Offices, Bureaus and Agencies. These reports shall contain the following basic project information:

• Source of Fund and Year Funded • Project Title and Location • Recipient Name, Address and Contact Person • Capacity & Specification (i.e. in terms of Horse Power,

milling capacity, storage capacity, service area, etc.) • Project Cost • Actual Project Cost (Amount Released) • Status (Latest) • Remarks

The reports shall be categorized as follows:

• Rice Production, Mechanization, and Post-Harvest

Facilities • Farm to Market Roads • High Value Commercial Crops Production,

Mechanization and PH Facilities • Corn and Cassava Production, Mechanization and PH

Facilities





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• Livestock Production, Genetics Improvement, Mechanization and PH Facilities

• Marketing Facilities • Others

The MES also conducts project idea brainstorming for its annual evaluative study. From among the project ideas for evaluative study, one idea or mix of ideas will be packaged into a concept for the said study.

3.2. Develop Agriculture and Fisheries Sector Monitoring and Evaluation

Plan

The PMKMD-MES initiates the conduct of meetings of monitoring teams to agree and select the region and projects to be monitored quarterly. Subsequently, PMKMD-MES coordinates the activity with the concerned offices, prepare financial and logistical requirements for approval.

The Evaluative Study Concept Paper will be sent to prospective consulting firms for their review and submission of their firm’s proposal for the conduct of study. Once the consulting firm is selected in accordance with the government’s procurement process, Contract of Services will be signed, and Notice to Proceed is issued.

3.3. Conduct Participatory Monitoring and Tracking

The monitoring teams conduct monitoring of projects identified in certain location. The monitoring teams shall submit monitoring report for each project visited/ and policy and program recommendations to PCAF and the concerned DA Offices. Other concerned offices and organizations will be furnished with the copy of reports.

The PMKMD-MES consolidates the reports submitted over a certain period, analyze and come up with policy recommendations.

3.4. Conduct Results M&E

PMKMD-MES commissions a consulting firm to do the results monitoring and evaluation; come up with evaluation report assessing





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the impact of AF programs, projects and initiatives which will be submitted to DA, COCAFM and other policy decision makers.

4.0 References 4.1. AFMA Implementing Rules and Regulations 4.2. Generate Agriculture and Fisheries Accomplishment Report and Project Lists

and Evaluative Study Ideas (ME-PRO-001) 4.3. Develop Agriculture and Fisheries Participatory Monitoring and Evaluation

Plan (ME-PRO-002) 4.4. Conduct Participatory M&E (ME-PRO-003) 4.5. Conduct Results M&E (ME-PRO-004)




MANAGE HUMAN RESOURCE 01 Aug 14

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1.0 Process Map

1. Develop HR plan and strategies

2.

3. Manage performance

AFMD/HRDS

PSB

Head of agency

Division chiefs

3.

Need for competent employee

Competent human

resource/s

4. Administer personnel actions

2. Recruit employee/s

3.



Hire competent employee/s

Conformity to Qualifications Standards (QS) Recruitment Cycle Time

100% 1 month

Ensure effective management of employee performance

Effective and Efficient SPMS implementation Cycle Time

100% 6 months

Implement appropriate HR plan implementation





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developmental interventions


To achieve its goals, an organization should ensure that its human resource is managed well and effectively. This process underscores that the organization should create a responsive, motivated, and efficient workforce, at the same time ensure that individual performances contribute fully to the organizational goals.

3.1 Develop HR Plan and Strategies

Preparation of HR Plan and Strategies aligned with agency mandates and organizational priorities.

3.2 Recruit employee/s

Recruitment and hiring of qualified employees to fill up vacant plantilla positions identified and reviewed by the Human Resource Section and the Personnel Selection Board and in compliance with the Civil Service Commission (CSC) Guidelines. This entails identification of vacancies, filing of request for employee/s, announcement of vacancies, screening of applications, scheduling and administering exams, evaluating exam results, short listing of passers, conduct of interviews, evaluation and section of applicants, approval of selected applicants, offering the job position, and contract signing.

3.3 Manage Performance

Management of employee performance should be based on the Strategic Performance Management System (SPMS). The SPMS follows the four-stage Performance Management System (PMS) Cycle: performance planning and commitment, performance monitoring and coaching, performance review and evaluation, and performance rewarding and development planning. Performance Planning and Commitment is done prior to the start of the performance period where heads of offices meet with the





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supervisors and staff and agree on the outputs that should be accomplished based on the goals and objectives of the organization. The suggested time for Performance Planning and Commitment is the last quarter of the preceding year. (SPMS Guidebook) Performance Monitoring and Coaching is done regularly during the performance period by the Heads of Agency, Planning Office, Division and Office Heads, and the individual. The focus is creating an enabling environment to improve team performance and develop individual potentials. The suggested time periods for Performance Monitoring and Coaching are January to June and July to December. (SPMS Guidebook) Performance Review and Evaluation is done at regular intervals to assess both the performance of the individual and his/her office. The suggested time periods for Performance Review and Evaluation are the first week of July and the first week of January the following year. (SPMS Guidebook) Performance Rewarding and Development Planning is based on the results of the performance review and evaluation when appropriate developmental interventions shall be made available to specific employees. The suggested time periods for Performance Rewarding and Development Planning are the first week of July and the first week of January the following year. (SPMS Guidebook)

3.4 Administer Personnel Actions

The agency shall implement appropriate initiatives that will continually motivate employees, provide them a conducive workplace, and allow them to develop their capabilities, enhance their skills and further shape their career outlook. This entails benefits management, trainings and seminars, promotion, rewards/incentives, and discipline.

3.4.1 Benefits – employees are entitled to benefits based on the labor

laws such as Service Incentive Leaves, Social Security Systems (SSS) Contributions, 13th month pay, overtime pay, retirement pay, etc.





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3.4.2 Training and Development – trainings and seminars will be undertaken through a training institution and following a training program/calendar that is based on the needs of the employee. This also includes scholarship grants and participation in local and international conferences.

3.4.3 Promotion – competent, qualified employees with the

appropriate civil service eligibility shall be considered for promotion.

3.4.4 Rewards or Incentives –rewards or incentives are given to

employees based on their performance and contributions to the accomplishment of the agency’s overall targets and commitments; based on a rewards/incentive system.

3.4.5 Disciplinary Measures – an employee’s behavior and conduct is

monitored, measured and graded; employee discipline will ensure that workforce performance and productivity are at its best, and that agency operations are running smoothly.

4.0 References

4.1.1 Civil Service Commission Guidelines 4.1.2 Strategic Performance Management System Guidebook 4.1.3 Philippine Labor Code




MANAGE FINANCIAL RESOURCES 01 Aug 14

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1.0 Process Map

1. Execute fiscal targets based on the approved plan & budget

2.

Budget and Fiscal Section

Accounting Section

Cash and Disbursement

Section

1.

1.

Need to

manage financial

resources

2. Report of accountabilities

Properly

managed financial

resources

2.

BED, CFA, DV, ORS, LDDAP, etc.

Budget repots, Financial reports, Disbursement reports



Manage Financial Resources

Optimize use of funds

% of funds utilized as targeted

% as prescribed by oversight agencies





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Provide timely payments/reports to clients

Payment processing time

Reports submitted to clients as required

Timeliness (based on planning and reporting calendar, based on requirement of clients & as provided in Citizen’s Charter)


3.1 Execute Fiscal Targets based on the Approved Plan & Budget

The Finance Group of the AFMD executes the fiscal targets. To facilitate this process, the following are required: a. Source documents such as GAA, Budget Execution Documents (BEDs),

SARO, NCA, etc. b. Flow of transactions, its accumulation in the books of accounts and finally

their conversion into financial information/data presented in the financial reports.

c. Mandated systems and procedures, principles, policies and other rules and regulations.

d. Annual Procurement Plan as basis for the procurement of goods and services.

The BEDs are necessary for the issuance of Notice of Cash Allocation and release of cash from the DBM.

In terms of systems and procedures, the following financial units are mandated to execute the following functions and processes:


- Preparation of BEDs - Incurrence of Obligations - Recording and Processing of Obligations - Certification on Availability of Allotment

Accounting Section





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- Recording and processing of the Disbursement Voucher (DV), original copies of supporting documents including Obligation Request and Status (ORS) from the Budget and Fiscal Section

- Certification on the availability of cash, completeness of supporting documents and propriety of the claim on the Disbursement Voucher (DV)

Cash and Disbursement Section

- Preparation of List of Due and Demandable Accounts

Payable/Checks based on the approved DV, ORS and original supporting documents

- Recording of List of Due and Demandable Accounts Payable/Checks issued

- Payment of claims

3.2 Report of accountabilities

The preparation and submission of various financial statements and other financial reports needed by the fiscal and regulatory agencies are undertaken by the following units as follows:


- Registry of Allotment, Obligations and Disbursement for PS, MOOE,

CO & Finex - Registry of Budget Utilization and Disbursement for PS, MOOE, CO - Registry of Appropriations and Allotment - Schedule of Accounts Payable - Financial Status Report - Financial Performance Reports - Budget and Financial Accountability Reports (BFARs)

Accounting Section

- Pre-closing and Post-closing Trial Balance - Statement of Financial Position - Statement of Financial Performance - Statement of Cash Flow - Statement of Changes in Net Assets/Equity - Statement of Comparison of Budget & Actual Amount





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- Statement of Management Responsibility for Financial Statements - Notes to Financial Statements - Budget and Financial Accountability Reports (BFARs) - Schedule of Aging of Receivables - Bank Reconciliation Statements - Other Accounting Reports

Cash and Disbursement Section

- Report of Collection and Deposits (RCD) - Report of Checks Issued (RCI) - Report of Accountability for Accountable Forms (RAAF) - Summary of LDDAP - List of Unreleased Checks - List of Released Checks - List of Stale Checks

4.0 References

4.1 Government Accounting Manual 4.2 Budget Call 4.3 COA, DBM Issuances




MANAGE LOGISTICS AND FACILITIES 01 Aug 14

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1.0 Process Map

1. Prepares purchase reqquest

HOPE or Authorized Signatory

End-User

AFMD

BAC

2. Check details of PR and earmark funds

4. Conduct bidding process

8. Processing of Payment

Need for goods and

consultancy services

Goods and consultancy

serviceProcurement

in right quantity and quality at the

right time

3. Approve purchase request

5. Approve NoA, Contract and NoP

Property Inspector and

Property Officer

7. Inspection and acceptance of goods

Supplier

6. Deliver goods or services





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Indicator Min

Standard/Target

To ensure availability of goods/consultancy services in a timely manner.

To ensure facilities/equipment are properly managed and maintained.

No. of contracts executed/completed as required under the service cycle time. No. of contracts executed/completed as required under the service cycle time.

1 month


3.1. Procurement of goods/consultancy services

The procurement of the needed goods and consultancy services in the right quantity and quality at the right time, price and source to support the agency’s activities includes the following procedures: 3.1.1. Prepare purchase request (PR)

The end-user/requisitioning units prepare the purchase request for goods/consultancy services.

3.1.2 Check details of PR and earmark funds The AFMD thru the General Service Section checks the item description, unit cost, estimated cost, among others, while the Budget Section earmarks funds.

3.1.3 Approve PR The PR is approved by the Head of procuring entity (HOPE) or concerned authority.





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3.1.4 Conduct bidding process

The Bids and Awards Committee (BAC) conducts the bidding and evaluation process and undertakes other functions cited under Section 12 of the revised IRR of RA 9184. For goods and consultancy services which require public bidding, the details are discussed by the officials/personnel concerned during the pre-procurement conference to determine the readiness to undertake the procurement. The discussion focuses on the TOR, ABC, the appropriateness and applicability of the recommended method of procurement and the availability of budget, among others.

3.1.5 Approve Notice of Award, Contract and Notice to Proceed

The HOPE approves the Notice of Award, Contract and Notice to Proceed. The HOPE likewise assumes other responsibilities stated under Item 1.a of the Guidelines on the Establishment of Procurement Systems and Organizations, Volume I.

3.1.6. Deliver goods or perform services

The Supplier delivers the goods and/or performs the consultancy services in accordance with the technical specifications/TOR and terms and conditions provided in the Contract/Purchase Order.

3.1.7 Inspection and acceptance of goods

Pertinent COA regulations on technical inspection and acceptance procedures are considered in the conduct of inspection and acceptance by the Property Inspector and Property Officer.

For goods under public bidding, the Property Inspector and Property Officer are guided by the provisions on inspection and acceptance contained in the Bidding Documents.





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3.1.8 Processing of payment

The processing of payment shall be made in accordance with the provisions of QM-PRM-009 on Managing Financial Resources.

3.2 Managing Facilities

The AFMD through the GSS is responsible for the repair and maintenance of motor vehicles, office equipment and building. The work includes minor repair, assignment, dispatch and control of motor vehicles and the effective management of facilities (scheduling of events/meetings in the conference rooms, building maintenance, etc.).

The GSS prepares a checklist for repair and maintenance of vehicles, property card for equipment as bases for scheduling replacement/repair.

Maintenance involves keeping the workplace, its structures, equipment, machines, furniture and facilities in good condition and operating efficiently and safely.

Furthermore, the GSS supervises the janitorial, security and other related services for the Agency.

4.0 References

4.1 Revised IRR of Republic Act 9184 (Government Procurement Reform Act)

4.2 Guidelines on the Establishment of Procurement Systems and Organizations, Volume I

4.3 Manual of Procedures for the Procurement of Goods and Services, Volume II, Government Procurement Policy Board





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4.4 Manual of Procedures for the Procurement of Consulting Services, Volume IV, Government Procurement Policy Board

4.5 Training Handbook on Property and Supply Management System,

Commission on Audit




MANAGE INFORMATION 01 Aug 14

Page

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1.0 Process Map

2. Control of records

2. 4. Maintain centralized records database

PCAF OUs

AFMD

PMKMD

1. Manage ICT resources

Need for

effective document

and records

management

Effective

document and records management

PCAF Documents

3. Maintain databases or documents and records

1. Control of documents

PCAF Records

1.





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Indicator Min Standard/Target

Provide complete and timely information

Document cycle time

(Depends on the type of the document)

- Memo - SO - Letter - Other

documents and communications for dissemination

Ensure efficient filing and labeling of records for easy retrieval

Record retrieval time

5 minutes

Ensure that the ICT resources and systems are managed

No. of records management system managed No. of knowledge management system managed No. of documents archived No. of records archived No. of hardware/software maintained/updated No. of inventories of IT resources conducted





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Ensure that the documents and records needed by the unit are readily available

No. of documents released No. of records released

No. of documents released/total no. of records required x 100 No. of records released/total no. of records required x 100


3.1 Control of Documents Ensuring that agency documents (incoming/outgoing, internal/external) are kept up-to-date and are readily available for use by those who need them. PCAF units will ensure the proper receipt, registration/recording, approval, distribution and updating of quality management system documents. PCAF units will ensure the maintenance, retention, safety and security, classification, and transfer of documents, certification of authenticity of documents in possession and check and verify documents and communications requiring immediate action from units concerned.

3.2 Control of Records

Ensuring that all agency records are properly maintained and are readily available for the use of those who need them. PCAF units will ensure classification of records, maintenance of active and inactive records, and dispose records following the retention schedule.

3.3 Maintain Database

Each PCAF unit shall maintain and periodically update a database of the documents and records that concern their unit, specifically which shall be the sub-system of the centralized documents and records systems of the agency.

3.4 Maintain Centralized Records Database

The General Services Section of the AFMD shall maintain the centralized Records Management Information System of the agency

3.5 Manage ICT Resources/Systems





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The PMKMD shall manage the ICT resources and systems of the agency to sustain the management of information of all the operating units. This will entail requesting for ICT equipment, ensuring effective installation and maintenance of ICT-related security measures and mechanisms, development of knowledge management system, ensuring regular updating of ICT hardware and software resources, and conducting periodical inventory of ICT resources.

4.0 References

4.1 Generic Manual on ISO 9001 Six Mandatory Procedures 4.2 Functions of the NAFC Finance and Administrative Division-Records

Management Section 4.3 Functions of the PCAF Planning, Monitoring and Knowledge Management

Division- Knowledge Management Section

PROCEDURES MANUAL Document No.

QM-PRO-001 TOPIC Issue No.

MANDATORY PROCEDURES 1 SUB-TOPIC Effective Date

CONTROL OF DOCUMENTS 01 Aug 14

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1.0 Objective

To ensure that all documents needed for the quality management system are

kept up-to-date and are readily available for use by those who need them.

2.0 Scope

This procedure applies to all internal and external documents identified by PCAF as required by the quality management system.

3.0 Definition of Terms

3.1 Document – information and its supporting medium such as paper, magnetic, electronic or optical, photos or a combination of such.

3.2 Internal document – a document generated by PCAF 3.3 External document – a document received by PCAF from external

sources 3.4 Uncontrolled copy – a document copy not subject to further document

control after it is issued 3.5 Document master list – a list that identifies the documents required by

the quality management system

4.0 Responsibilities

4.1 Quality Management Representative (QMR) – reviews and approves the documents included in the Quality Manual; approves the PCAF-wide distribution of external documents.

4.2 Unit Manager (UM) – reviews and approves internal documents

needed by his/her Unit, process or function; approves the distribution of copies of external documents pertaining to his/her process or function.





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4.3 Document Controller (DC) – ensures that the controls provided in this

procedure are effectively implemented throughout PCAF; maintains the central document master list, listing all the controlled documents of the organization.

4.4 Unit Document Controller (UDC) – ensures that documents needed by

the unit are properly maintained and are readily available; maintains the unit document master list, listing all the controlled documents held by the unit.

4.5 Document Originator (DO) – prepares draft of new or revised internal

document; receives new or revised external document from source. 4.6 Document Copyholder (DCH) – receives new or revised documents

from Document Controller or Unit Document Controller, and maintains copies.

5.0 References

5.1 Generic Manual on ISO 9001 Six Mandatory Procedures

6.0 Policies and Guidelines

6.1 The procedure for control of Quality Manual, external documents and

other documents for PCAF-wide use is similar to the Internal Unit Documents, except that the QMR reviews and approves the document instead of the Unit Manager, and the procedure is facilitated by the Document Controller instead of the Unit Document Controller. Likewise, for external documents of PCAF-wide use, it is the QMR who reviews and approves the copy of distribution.

6.2 Blank forms and report layouts are subject to this document control

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





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6.3 Registration of Documents

6.3.1 New QMS documents as well as revisions to existing QMS documents shall be registered to ensure proper control.

6.3.2 Document Reference Codes for internal documents shall have

the following format:

Format AAA-BBBB-CCC-DDD Where: AAA Agency Code 013

BBBB Unit Code AFMD PDD PDCD PMKM

CCC Document Type QP Quality Plans

SP Specifications

POL Policies

GU Guidelines

PRO Procedures

WI Work Instructions

FR Forms

RP Reports

SO Special Orders

COM Communications

MOA Contracts, Agreements

DDD Sequential Number (001, 002, …, 999)

External documents may have been assigned their respective document reference codes at source. In the absence of codes, reference to external documents may be made using document titles.

6.3.3 Documents intended for compilation into manuals (e.g. Quality

Manual, Procedures Manual) shall have a header following the standard manual page format.

Compilation such as Quality Manual (QM)





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Sample GGA-PER-POL-001 Where

GGA Generic Government Agency PER Personnel Management POL Policies

001 Training

6.3.4 Where an internal document has been revised, the document

originator shall indicate the nature of revision in the Document Update Notice (DUN). The revised text in the document shall be identified by underlining it.

6.3.5 Old reference manuals (e.g. documentation prior to

implementation of the ISO 9001 QMS) retrieved from general circulation (pending final disposal) may be reused subject to registration as a controlled document. A DUN shall be prepared to obtain approval for reuse.

6.3.6 External documents received electronically (e.g. via email) shall

be printed to facilitate registration (and subsequent review and distribution). Documents received by fax and printed initially on fax thermal paper must be photocopied (thermal paper printouts fade in time).

6.4 Document Review and Approval

6.4.1 Review and approval shall ensure that the documents are appropriate to the needs of PCAF in general, and the intended use of the document in particular.

6.4.2 Review and approval of old reference manuals, compilation of

office memos, office orders shall consider the need for revisions, to make them current in terms of content and format.

6.5 Distribution of Documents

6.5.1 A master copy of each internal document shall be printed from softcopies, and retained by the Unit Document Controller (or





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Document Controller, for Quality Manual documents) until revised.

6.5.2 The copy of the external document submitted by the Document

Originator for registration shall be considered the master copy, and shall be retained by the Unit Document Controller (or Document Controller, for Quality Manual documents) until revised.

6.5.3 Controlled copies of documents shall be photocopied from

master copies, and stamped “Controlled Copy” in green ink, prior to distribution to document originators and copyholders. Copyholders shall sign on the Document Update Notice upon receipt of their respective copies.

6.5.4 Requests for uncontrolled copies of documents must be made

in writing (e.g. internal memo or letter) and addressed to concerned Unit Manager (or QMR, for Quality Manual documents) for approval. The Unit Manager (or QMR) shall indicate his approval on the request document. Uncontrolled copies of internal documents shall be photocopied from master copies, and stamped “Uncontrolled Copy” in red ink, prior to release to the requisitioner. The requisitioner shall sign on the request document to indicate receipt.

6.6 Updating of Document Control Records

6.6.1 The Unit Document Controller shall maintain a copy of his Unit’s Document Master List. He shall submit a copy of his Unit’s updated Document Master List to the Document Controller, who shall then update the Central Document Master list.

6.6.2 Obsolete master copies of internal documents shall be stamped

“Obsolete Copy” in red ink and attached to the Document Update Notice (see Records Retention Schedule for retention period). Other obsolete controlled copies of documents (other than the obsolete master copy) shall be stamped “Obsolete Copy” in red ink, and shall be subsequently shredded.





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7.0 PROCEDURE

7.1 New or Revised Internal Unit Documents

Activity/Person Responsible

Details/Functions References

Document Originator (DO)

- Prepares Document Update Notice and submits new or revised document to Unit Document Controller for registration.

Document Update Notice (GGA-QMS-FR-002)

Unit Document Controller (UDC)

- Assigns Document Reference Code; updates Document Masterlist and submits new or revised document to Unit Manager for review and/or approval.

Document Masterlist (GGA-QMS-FR-001)

Unit Manager (UM) - Reviews and/or approves document

Unit Manager Document Originator

- If Document requires further modification, returns document to Document Originator and advises Unit Document Controller else Forwards to Unit Document Controller.

- Modifies document as required and resubmits document to Unit Manager for review and approval.

Document Update Notice (GGA-QMS-FR-002)

Unit Document Controller

- Prepares controlled copies of document for distribution to Document Originator and Copyholder.

Document Copyholder (DCH) Document Originator

- Receives and files master copy of document

- Receives second copy of document


- Updates Unit Document Masterlist; files Document Update Notice.

- Provides copy to the Document Controller

Document Masterlist (GGA-QMS-FR-001) Document Update Notice (GGA-QMS-FR-002)





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Document Controller (DC)

- Updates Central Document Masterlist

- Files updated Document Masterlist

7.2 Obsolete Documents

Document Copyholder - Forwards to Document Controller and Unit Document Controller for disposal.


- Updates Unit Document Masterlist; files Document Update Notice.

Document Masterlist (GGA-QMS-FR-001) Document Update Notice (GGA-QMS-FR-002)

Document Controller - Updates Central Document Masterlist

- Files updated Document Masterlist

Document Copyholder - Archives obsolete master copy of document and disposes other obsolete copies.

7.2 New or Revised External Documents

Activity/Person Responsible

Details/Functions References

Document Copyholder - Receives external documents and forwards to QMR

QMR - Reviews and/or approves document

- For PCAF-wide use documents, forwards to Document Controller else to the concerned Unit Document Controller

Document Controller Unit Document Controller

- Updates Central Document Masterlist and files updated Document Masterlist

- Updates Unit Document Masterlist and files updated Document Masterlist





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Document Copyholder

- Files master copy of document

8.0 LIST OF FORMS

8.1 Standard Manual Page Layout 8.2 Document Masterlist 8.3 Document Update Notice




CONTROL OF RECORDS 01 Aug 14

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1.0 Objective

To ensure that all records generated by the quality management system are properly maintained and are readily available for use to those who need them.

2.0 Scope

This procedure applies to records identified by PCAF as required for the effective management and control of processes.


3.1 Record – a document stating results achieved or providing evidence of activities performed. Records can be used to document traceability and to provide evidence of verification, preventive action, and corrective action. Generally, records need not be under revision control (as required under Document Control procedure).

Records may use different media, including paper, magnetic, electronic or optical, photograph or combination thereof.

3.2 Active Record - Records that are currently being maintained, used and controlled.

These records are normally kept in desk/workstation drawers or nearby filing cabinets, shelves or racks for easy access and retrieval.

3.3 Inactive Record - Records that are very rarely or no longer referred to, and which must be transferred to a separate storage area (e.g. Agency’s Record Center).

These records have served their purpose but must be kept just the same for legal requirements or some compelling reasons. They are disposed once their retention periods have expired.

3.4 Obsolete Records – Records whose retention periods have expired and which are no longer needed.





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3.5 File – a cabinet of records; a folder (physical or electronic) containing records; a collection of papers involving a specific name of topic; a class of records in a separate group or series of filing drawers.

3.6 Filing system - a system for identifying, arranging and finding records.

Filing system may be alphabetical, numerical, chronological or functional subject-alphabetic classification system (FSACS).

3.7 Records Masterlist – a list of all records needed and maintained for the QMS.

3.8 Records Disposition Schedule – a listing of records series by the

organization showing, for each records series, the period of time it is to remain in the office area, in the storage (inactive) area and its preservation or destruction.

3.9 Retention Period – Refers to the specific period of time established

and approved by the National Archives of the Philippines as the lifespan of records, after which they are deemed ready for permanent storage or destruction.

Period of time when records must be kept, usually stated in terms of number of months or years, but sometimes expressed as contingent upon the occurrence of an event such as employee termination, contract closure, project completion, etc.

3.10 Records Center – central repository or storage of agency records. For

PCAF, this refers to the storage area of the General Services Section.


4.1 Quality Management Representative (QMR) – Reviews and approves the records retention schedule for records pertaining to mandatory procedures on control of documents, control of records, internal audit, corrective action and preventive action.

4.2 Unit Manager – Reviews and approves the records retention schedule

for records pertaining to his/her process or function. (At the minimum, in accordance with Records Management and Archives Office or RMAO).





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4.3 Document Controller – Ensures that the controls provided in this

procedure are effectively implemented throughout the Agency; maintains the Central Records Retention Schedule.

4.4 Unit Document Controller – Ensures that records needed by the Unit

are properly maintained and are readily available; maintains the Unit Records Retention Schedule and Records Masterlist, listing all the records held by the unit.

4.5 Unit Records Custodian – Classifies records needed by his/her

function or process; recommends retention periods for these records; maintains active files needed by his/her function or process; turns over inactive records to the Records Center, as needed; recommends disposal of obsolete records in his/her area.

4.6 Records Officer – Maintains the inactive records turned over to the

Records Center, disposes obsolete records in the Records Center; maintains the Records Center Record Masterlist.

5.0 References

5.1 Generic Manual on ISO 9001 Six Mandatory Procedures 6.0 Policies and Guidelines

6.1 Internal forms by each Unit shall be designed, developed, distributed for use and/or revision subject to the document control procedure.

6.2 Control of records shall generally comply with the RA 9470 RMAO.

6.3 Control of records related to the six mandatory procedures shall allow

the same procedure as records required by the different units, except that the Records Retention Schedule shall be approved by the QMR.

6.4 Records Classification





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6.4.1 The values of records may be considered through the following perspectives; first, from the Agency’s point of view, in terms of their immediate or future utility to the Agency for administrative, legal or fiscal; and second, from the archival point of view in terms of their permanent historical or research value.

6.4.2 Records shall be classified in terms of value as:

Time Value – a record may be appraised as either temporary or permanent value.

Utility Value – a record may be further appraised on the basis of various categories of usefulness:

• Administrative Value – serves as administrative

tools to accomplish the mission of the Agency. • Fiscal Value – serves as tools in discharging the

financial obligations of the Agency. • Legal Value – states the legal decisions and

opinions, either of a permanent or temporary. • Archival Value – historical or research significance

of records or documents, such as the creation and development of an agency, its various policies and procedures.

6.4.3 Records belonging to a group or series shall have the same

retention and disposition. Under the FSACS, the record group or series is defined by functional subject.

6.5 Maintenance of Active Records

Filing systems may be one of the following:

Alphabetical – records are arranged in dictionary order, by name (individual or organization), subject matter (descriptive feature) or location (geographic). Numerical – records are identified by the numbers assigned to them. This is used for records such as invoices and issuances.





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Chronological – records are arranged by time sequence or date (year, month, and day) Functional Subject – Alphabetical Classification System (FSACS) – records are arranged by function (alphabetical) and their component subjects (alphabetical).

A. Files shall be labeled following the format:

Format File Title 1 Date 1

File Title 2 Date 2 Date 3

Where File Title 1 Records Series Title (FSACS function title)

File Title 2 Record Time (FSACS Subject/Name Title)

Date 1 Coverage date Date 2 Date of transfer to the

Records Office Date 3 Disposal Date

Sample

B. Files shall be arranged following the filing system

specified in the Records Disposition Schedule.

C. File Storage areas shall be identified and labeled. Filing

cabinets, shelves, racks, and drawers may be numbered

accordingly.

6.6 Maintenance of Inactive Records

6.6.1 At the end of active retention period, files shall be placed in

boxes and transferred to the Records Center. Files in a box must belong to only one Unit and must have similar dates of

Employee Programs Jan 2009 Jan 2010 Jan 2011





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transfer to the Records Center and disposal dates. There should be a Turnover List and Disposal Authorization (TLDA, please define/ consider red tagging) with the following information:

- Unit Code (see Document Reference or FSACS) - Box Number (sequential) - Date of transfer to the Records Office - Disposal date

6.6.2 File boxes are arranged on racks inside the Records Center.

Each slot on the rack has designated numbered address (rack number, row number, slot number), which is indicated in the Records Masterlist of the Records Center.

6.6.3 A logbook shall be maintained on records borrowed

from/returned to the Records Center. The logbook shall indicate the following information:

- Borrowing Unit - Name of Borrower - Record time - Date borrowed - Date due - Signature of Borrower - Date Returned - Signature of Records Officer

6.7 Disposal of Records

6.7.1 Records shall be disposed when the records have reached their

inactive retention period and are deemed obsolete or no longer needed.

6.7.2 Records disposal shall be covered by the Turnover and

Disposal Authorization (TLDA). In addition, a request shall be sent to the National Archives of the Philippines (NAP) for an “Authority to Dispose Records”. Actual disposal shall be witnessed by the representatives of the NAP COA.





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7.0 Procedure

Activity Responsibility Details References

1. Classify Records

Unit Records Custodian

- Identifies the record series and determines the record value and retention period, in coordination with the Unit Document Controller.

Records Disposition Schedule (GGA-QMS-FR-003)


- Updates the Unit Records Disposition Schedule

Unit Manager

- Reviews and approves the Unit Records Disposition Schedule

Document Controller

- Updates the Central Records Disposition Schedule

2. Maintain Active Records

Unit Records Custodian

- Creates and labels files as needed.

- Sets up and labels active records storage locations as needed.

- Maintains files of active records in conjunction with his function or process; Maintains the Records Masterlist

- Turns files of inactive records over to the Records Center following the retention schedule, using the Turn Over List and Disposal Authorization

Records Masterlist (GGA-QMS-FR-004) Records Disposition Schedule (GGA-QMS-FR-003) Turn over List and Disposal Authorization (GGA-QMS-FR-005

Unit Manager - Approves the Turn Over of Files

3. Maintain Inactive Records

Records Officer - Sets up and labels inactive records storage locations as needed.

- Receives inactive files for storage and maintains the Masterlist of Records

- Implements the disposition of records following the retention schedule.

Records Masterlist (GGA-QMS-FR-004) Turn over List and Disposal Authorization (GGA-QMS-FR-





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005) Records Disposition Schedule (GGA-QMS-FR-003)

4. Dispose Records

Records Officer - Disposes records in his/her area following the retention schedule, using the Turnover List and Disposal Authorization; Updates the Masterlist of Records

Records Disposition Schedule (GGA-QMS-FR-003) Turn over List and Disposal Authorization (GGA-QMS-FR-005) Records Masterlist (GGA-QMS-FR-004)

Unit Manager - Approves the disposal of records (Turnover List and Disposal Authorization).

8.0 List of Forms 8.1 Records Disposition Schedule 8.2 Records Master List 8.3 Turnover List and Disposal Authorization




INTERNAL AUDIT 01 Aug 14

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1.0 Objective

To verify whether the quality management system conforms to the planned arrangements, the requirements of ISO 9001 and the quality management system requirements established by the PCAF and is effectively implemented and maintained.

2.0 Scope The conduct of internal quality audits applies to the PCAF’s management, core and support processes included in the scope of the quality management system.


Specific to this document, the following terms and definitions apply:

3.1 Audit – systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which audit criteria are fulfilled

3.2 Audit criteria – set of policies, procedures or requirements

3.3 Audit evidence – records, statements of fact or other information which are relevant to the audit criteria and are verifiable

3.4 Audit findings – results of the evaluation of the collected audit evidence against audit criteria; findings including conformities, non-conformities and observations/opportunities for improvement

3.5 Audit conclusion – outcome of an audit provided by the audit team after consideration of the audit objectives and all audit findings

3.6 Audit client – PCAF/OUs or employees requesting an audit

3.7 Audit programme – set of one or more audits planned for a specific time frame and directed towards a specific purpose

3.8 Audit plan – description of the activities and arrangements for an audit

3.9 Audit scope – extent and boundaries of an audit





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3.10 Auditee – PCAF OUs or employees being audited

3.11 Auditor – person with the demonstrated personal attributes and competence to conduct an audit

3.12 Audit team – one or more auditors conducting an audit, supported if needed by technical experts

3.13 Technical expert – person who provides specific knowledge or expertise to the audit team. The technical expert does not act as an auditor in the audit team

3.14 Non-conformity – non fulfillment of a requirement

3.15 Opportunity for improvement – an area of the QMS which currently fulfills the requirement but which may be further enhanced to prevent a possible non-conformity

4.0 References

4.1 Manage Improvement Process 4.2 Generic Manual on ISO 9001 Six Mandatory Procedures 4.3 Corrective Action Procedure

5.0 Policies and Guidelines Guidelines on Internal Quality Auditing provided in ISO 19011:2012

5.1 Planning the Audit Programme

Planning of the Audit Programme shall be done in conjunction with the PCAF’s annual planning cycle. It shall consider the results of previous audits, trends in process performance, the availability of auditors and auditees.

Newly-created or recently-modified processes or functions as well as those which have incurred non-conformities may need to be audited more frequently, until such time these processes or functions have stabilized or matured.





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Processes or functions which have been showing declining performance may also need to be audited more frequently, until such a time the performance trend has been reversed.

- The ISO 9001:2008 standard serves as the primary audit criteria

for QMS audits. The PCAF also needs to comply with applicable laws, regulations, and orders, as well as its own documented policies, guidelines and procedures. Depending on the audit scope, these may also be considered as audit criteria.

- The scope of the audit is determined by the IQA Chairperson in coordination with the Audit Client. The scope should include the processes or functions which need to be audited in order to meet the objectives of the audit.

- The choice of IQA Team Leader and Members depends on the scope of the audit and the criteria to be applied. Leaders and Members are selected from the auditor pool based on their audit competencies, and their availability for the audits (as scheduled).

5.2 Managing the Auditor Pool

Acceptance of candidate auditors into the auditor pool and selection of auditors for specific audit assignments shall consider the following audit competencies:

The personal attributes of the auditor (candidate), including the following:

- Ethical – fair, truthful, sincere, honest and discreet - Open-minded – willing to consider alternative ideas or points of

view - Diplomatic – tactful in dealing with people - Observant – actively aware of physical surroundings and

activities - Perceptive – instinctively aware of and able to understand

situations - Versatile – adjusts readily to different situations - Tenacious – persistent, focused on achieving objectives





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- Decisive – reaches timely conclusions based on logical reasoning and analysis

- Self-reliant – acts and functions independently while interacting effectively with others

- Knowledge on auditing concepts and methodologies - Auditing skills – planning, preparation of checklists, gathering of

audit evidence (e.g. conducting interviews, reviewing records), evaluating audit evidence against audit criteria, and preparing audit reports

- Knowledge on ISO 9001 requirements and the quality management system of the PCAF, vis-à-vis audit requirements of the audit client

Auditor performance shall be reviewed considering the following: - Feedback from the IQA team Leader, other auditors, and the

auditee(s). - The quality of audit checklist and audit reports The competencies and performance of auditors shall be periodically evaluated to identify training and development needs. The IQA Chairperson shall coordinate with PCAF-Human Resource Development Section (HRDS) to plan and implement a training and development program for auditors

5.3 Preparing for the Audit

Audit plans shall be prepared for each audit scheduled in the Audit Programme. The audit plan must be prepared at least one (1) month before the scheduled date of the audit, to allow sufficient time for the audit preparation and communication between the Team and the auditee(s).

The IQA team shall determine the assigned audit area(s) of each auditor in the Team. Selection of assignments shall ensure that auditors do not audit their own work.

Audit plans should be submitted to the auditee(s) at least two (2) weeks before the start of the audit.





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The audit team shall prepare checklist at least one (1) week prior to the audit. Preparation of checklist may involve a preliminary review of relevant QMS documents and records.

5.4 Conducting Audits

Audit activities shall include the following: - Opening meeting – to clarify audit scope, objectives and

schedule of audit activities

- Gathering of audit evidence – through interviews, review of documentation and records and observations

- Periodic audit team meetings – to discuss initial findings, identify

additional audit requirements, and resolve any audit issues; to consolidate and prepare audit reports. Non-conformities found during audits shall be documented using the Request for Action (RFA)

- Closing Meeting – to present audit findings and conclusions,

and to agree on the submission of the corrective actions for any non-conformities. The IQA team Leader signs the RFA on the spaces “Issued by”; the concerned auditee signs on the space “Acknowledged by.” Alternatively, the Quality Management Representative (QMR) may collectively sign the RFA.

- Auditees shall commit to and apply the necessary corrective actions to any non-conformity found during audit. (See Corrective Action procedure). Auditees must submit a corrective action plan within one (1) month after the closing meeting.

- Follow-up audit shall be conducted within one (1) month after the completion date of corrective action. The Auditees shall submit documentary evidence to show implementation of the corrective actions. The IQA team shall review the documentary evidence, and if sufficient, may deem the non-conformity to be closed. Otherwise, a site inspection to verify actual implementation may be conducted, after which the non-conformity may be deemed to be closed.





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5.5 Reviewing Audit Results and Status - Within one (1) month after the closing meeting, the QMR shall

review the status of the audit with the IQA Chairperson. The review shall determine if the audit was able to meet its objective, including the need for any follow-up audit(s)

- At the Management Review immediately following the audit, the QMR shall discuss with the Management team the results of the audit, as well as the status of corrective actions on non-conformities.

- The review of the status of corrective actions shall remain on

the Management Review agenda until such time as the corrective actions have been implemented and the non-conformity has been closed.

- Auditees shall keep QMR and the IQA Chairperson periodically

updated on the status of corrective actions, until the corrective actions have been implemented.

6.0 Procedure

Activities Responsibility

Center Details References

Plan the audit program

QMR and Internal Quality Audit (IQA) Chairperson

- Schedules the different audits for the year

- Determines the audit objectives, scope and applicable criteria

- Identifies the audit team leader and members per audit unit

- Approves the audit programme

Manage the auditor pool

PCAF Management/ QMR

- Evaluates candidate auditors - Maintains the directory of

auditors - Identifies auditor training

needs - Coordinates with PCAF-





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7.0 List of Forms

7.1 Annual Audit Schedule

7.2 Audit Plan

7.3 Audit Checklist

7.4 Request for Action

7.5 IQA Report

Human Resource Development Section (HRDS) on training and development requirements

Prepare for audit

Internal Quality Audit (IQA) Team

- Prepares the audit plan - Prepares audit checklist - Coordinates audit

arrangements with the auditee(s)

Conduct audit

IQA team - Gathers audit evidence and evaluates them against audit criteria

- Reports on audit findings and conclusion

- Prepares and recommends corrective actions on non-conformities, if any

- Conducts follow-up audits, if needed

Corrective Action Procedure

Review audit results and status

QMR and IQA Chairperson

- Reviews audit results and status of follow-up audits

- Review audit results and status of corrective actions





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CONTROL OF NONCONFORMING SERVICES 01 Aug 14

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1.0 Objective The objective of this procedure is to ensure that products and services that do not conform to the Quality Manual are controlled to prevent their unintended use or delivery, or if already delivered, to ensure that appropriate remedies are effectively taken.

2.0 Scope

This procedure applies to the products and services provided by PCAF to its stakeholders included in the agency’s quality management system.


Terms and definitions in PCAF’s Quality Manual – Definition of Terms (QM-GEN-002) and related to documents and documentation in ISO 9000:2005 apply.

3.1 Nonconforming product/service refers to products or services that do not fulfill requirements. Products may include monitoring and evaluation reports, policy recommendations/resolutions, knowledge products such as newsletters, brochures, audio visual presentations as well as other documents prepared and released in conjunction with service delivery. Examples of services conducted are consultations and validation of accomplishment reports.

3.2 Initial Disposition - action taken to contain the nonconforming product/ service and minimize its immediate effect. This may include putting the nonconforming product on hold and setting it aside, or temporarily discontinuing service delivery.

3.3 Final disposition - action taken to correct the nonconforming product/service to make it conform to the manual or otherwise prevent its unintended use or delivery. This may include redoing nonconforming products or services.

3.4 Concession - permission to use or release a product or deliver a service that does not conform to the manual. A concession is generally limited to the delivery of a product that has nonconforming





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characteristics within specified limits for an agreed time or quantity of that product.

3.5 Corrective Action - action to eliminate the cause of a detected nonconformity (nonconforming product/service) or other undesirable situation, and prevent recurrence.


4.1 Unit Staff - Identify nonconforming product/service and take appropriate action

4.2 Unit Manager - Review nonconforming product/service situation and determine how it may be effectively resolved

4.3 Agency Head - Authorize actions involving high levels of risk to the Agency

5.0 Procedure Details

Activity Person

Responsible Details/Functions References

Start Unit Staff - Detects nonconforming product/service

- Receives client feedback on

nonconforming product/ service

- Operating Procedures - Process guidelines - Product/service

guidelines - Client Complaint

Procedure

Identify nonconforming product/service

Unit Staff - Isolates nonconforming product, and/or temporarily stops process/service delivery, following the Control of Nonconformity Matrix

- Provides initial response to client feedback, as needed

- Operating procedures - Process Guidelines - Product/service

guidelines - Control of

Nonconformity Matrix (GGA-QMS-FR-011)

Determine and apply initial disposition

Unit Manager/ Agency Head

- Reviews the nonconforming product/service situation, and approves final disposition

- Operating procedures Process Guidelines Product/Service Guidelines

Determine and apply final disposition

Unit Staff - Obtains product concession, corrects nonconforming product, adjusts or restarts process/service delivery

- Control of Nonconformity Matrix (GGA-QMS-FR-011)





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following the Control of Nonconformity Matrix

- Provides final response to client feedback, as needed

Apply Corrective Action

Unit Staff - Prepares a Request for Action - Request for Action (GAA-QMS-FR-009)

- Corrective Action Procedure

6.0 Guidelines 6.1 Identifying Nonconforming Products/Service

- Nonconforming Products/Service may be detected internally by Unit

Staff as they perform their functions, through observation, monitoring, inspection, verification and review.

- Nonconforming products/services may also be detected externally

by the agriculture and fisheries stakeholders/clients, relayed to the Agency through feedback or complaints.

- When nonconforming products/services are detected, they shall be

evaluated against requirements defined in applicable operating procedures, process guidelines, product/service guidelines or quality plans.

6.2 Determining and Applying Initial Disposition

Initial disposition is meant to contain the problem so that no additional nonconforming products/services are produced or delivered, and/or prevent the already nonconforming product/service from worsening. The Control of Nonconformity Matrix outlines the initial specific actions which need to be taken and by whom. Actions may include the following: - Tagging or marking the product to identify it as nonconforming - Segregating the product and storing it in a location designated

for nonconforming products to prevent it from being mixed with conforming product





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- Providing special treatment or handling of the product to prevent it from further deterioration

- Retrieving or withdrawing the nonconforming product from the client

- Temporarily discontinue the nonconforming service

When the conforming product/service is detected just prior to delivery to the client at any time thereafter, the client shall be informed of the nonconforming product/service

6.3 Determining and Applying Final Disposition

Final disposition is meant to correct the problem so that the product/service is made to conform to requirements, or if it cannot be made to conform, is prevented from unintended use or delivery The Control of Nonconformity Matrix outlines the initial specific actions which need to be taken and by whom (see Table 1). Actions may include the following: - Rework - action on a product to make it conform to

requirements - Concession – obtaining permission (from Unit Manager, Agency

Head and/or the customer) to use or release a product that does not conform to specified requirements.

- Re-evaluation to demonstrate conformity to specifications (after rework).

- Adjusting an ongoing service - Restarting a service that has been temporarily discontinued - Redirecting to other services or service providers.

Final Disposition may require the approval of the Unit Manager and/or the Agency Head, depending on the gravity of the situation and its cost implications.

Table 1. Sample Control of Nonconformity Matrix

Type of Non-Conformity

Initial Disposition Final Disposition Approving Authority





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- M&E Reports submitted which do not correspond to the prescribed format

- Segregate and inform the responsible agency/unit through phone call on the prescribed format

- Prepare communication letter reiterating the use of the prescribed format

- PMKMD Chief

- PCAF Executive Director

- Incomplete M&E reports

- Segregate and inform the responsible agency/unit through phone call re: the missing data/information

- Prepare communication letter regarding the missing data/information

- PMKMD Chief


- M&E reports submitted without supporting documents

- Segregate and inform the responsible agency/unit through phone call or communication letter re: the submission of supporting documents

- Report will not be included in the overall accomplishment/status report for the sector

- PMKMD Chief


- M&E reports submitted without authorized signature

- Segregate and inform the responsible agency/unit through phone call re: the signature


- PMKMD Chief


- Progress M&E reports not validated by NSCs/AFCs

- Segregate and inform the responsible agency/unit through phone call or communication letter re: the validation


- PMKMD Chief


- Results M&E reports which do not correspond to the approved TOR

- Call a meeting with the consultant

- Report will not be accepted

- PMKMD Chief


- M&E Reports submitted beyond set deadlines

- Prepare communication letter reiterating the set deadlines

- Elevate to the Secretary for appropriate action

- PMKMD Chief


6.4 Applying Corrective Action Further action shall be undertaken to prevent recurrence of the problem, when:





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- The conforming product/service is identified via a client complaint - Monitoring shows that nonconforming product/service are recurring - The frequency and extent of non-conforming product/service are

increasing - Correction requires that the nonconforming product be reworked, or

for the service to be restarted or redirected, incurring significant cost in time and resources

- The nonconforming product/service represents legal implications to the organization, the client, or both.

Further action shall be subject to the Corrective Action procedure.

6.5 Provisions for detecting and correcting nonconforming product/service shall

be planned and outlined in the Control of Nonconformity Matrix. The plan links with controls built into the operating processes as documented in the operating procedures, process guidelines, and product/service guidelines. The nature of nonconforming products/services and subsequent actions taken shall be captured in process and product monitoring records. The plan shall be periodically reviewed for adequacy and effectiveness.




CORRECTIVE ACTION 01 Aug 14

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1.0 Objective

1.1 Ensure that causes of non-conformities are minimized if not eliminated to prevent the recurrence of non-conformities.

1.2 Provide accurate, complete and timely information on the status of corrective actions.

2.0 Scope

This procedure applies to non-conformities found during internal and external audits, customer complaints, qualified non-conforming products, qualified poor process performance results, unacceptable performance against plans and programs, and safety and security incidents.

3.0 References Process Map: Develop and Manage Business Capabilities (QM-BPM-12-001)


4.1 The corrective action procedure shall be triggered by Request for Action from other processes/procedures in response to identified nonconformities: - quality management system nonconformities (from internal and

external quality audits) - customer complaints - qualified nonconforming products/services (from Control

Nonconforming Product) - qualified poor process performance (from process monitoring of

key operational and support processes) - unacceptable deviations from the organization’s plans and

programs (from management reviews) - noncompliance to legal and regulatory requirements (from

Manage Risk and Compliance) - safety and security incidents

4.2 The initial review of the corrective action request shall consider:





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

nonconformity.

The Unit Manager shall identify concerned personnel who need to be involved in corrective action. This may extend to personnel outside his own Unit; coordination with other concerned Units should be established.

4.3 Immediate action (correction) shall be taken as needed to correct the

non-conformity.

4.4 Root cause analysis, a systematic way of analyzing the problem, shall consider the different factors contributing to the nonconformity, including: People – personnel competencies and their ability to consistently perform their functions as required. Facilities and Equipment – the availability of appropriate tools, equipment and facilities to enable effective operations

Methods – the availability and consistent application of appropriate procedures, guidelines and standards

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

4.5 Risk assessment – shall consider the likelihood of recurrence of the

non-conformity (considering the root cause) and the impact of the nonconformity to the organization (and to customers and other stakeholders) should it recur. Corrective action shall be planned and implemented when assessment indicates a significant risk. Likelihood can be evaluated in terms of "low", "medium", "high", e.g. the possibility of recurrence is "low". Severity can likewise be evaluated in terms of "low", "medium", "high"- the impact to the agency is expected to be "low".





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The risk level can be determined by evaluating likelihood and severity together, using a Basic Significance Table below:

Likelihood of Recurrence

Low Medium High

Severity of Impact

Low 1 2 4

Medium 3 5 7

High 6 8 9

Using the Significance Table, significant non-conformities with a rating of 4 and above shall be subjected to corrective action.

4.6 Planning of corrective action shall involve the generation of alternative

solutions to address root causes, the selection of the best solution (from the alternatives), and the identification of activities, resources, responsibilities and timelines needed to implement the selected solution. Solutions may require higher-level approval before implementation.

4.7 The implementation status and effectiveness of corrective actions shall be periodically reviewed and evaluated by the concerned Process Owner; any related issues shall be promptly addressed. These shall be collectively reviewed by the PCAF Core Management Team. Depending on the nature of the corrective action and the associated nonconformity, monitoring and review of effectiveness shall continue for at least three months after implementation, after which the corrective action shall be deemed completed and the non-conformity deemed closed.

5.0 Procedure

Activities Responsibility Details References

1. Review of non-conformity

Concerned process owner

- Receive and review the corrective action request

- Acknowledge non-conformity

Corrected action form





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- Take the needed immediate action to correct the non-conformity

2. Determine the cause of non-conformity


- Gather additional background information on the non-conformity

- Conduct root cause analysis


3. Evaluate the need for action to prevent occurrence


- Assess the risk associated with the recurrence of non-conformity


4. Determine and implement the action needed


- Identify and select alternative solutions

- Plan and implement selected solutions


5. Review the corrective action taken

Concerned process owner QMR IQA Team

- Review implementation status

- Review the effectiveness of the solutions

- Close out the corrective action

Corrected action form and Corrective action status report





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6.0 List of Forms

6.1 Corrective Action Status Report

CANo. Non-Conformity CorrectiveAction Target

Completion

Date

Actual

Completion

Date

Status/Remarks

PHILIPPINECOUNCILFORAGRICULTUREANDFISHERIES

CORRECTIVEACTIONSTATUSREPORT





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6.2 Corrective Action Form





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PREVENTIVE ACTION 01 Aug 14

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1.0 Objective

Ensure that causes of potential non-conformities are identified and eliminated in order to prevent occurrence.

2.0 Scope

This procedure applies to potential non-conformities identified during strategic planning, management reviews, audits, and interactions with other public sector organizations.


3.1 Potential non-conformity – possible non-fulfillment of a requirement.

3.2 Preventive action – action to eliminate the cause of a potential non-conformity or other undesirable potential situation and prevent occurrence.

4.0 References

Process Map: Develop and Manage Business Capabilities (QM-BPM-12-001)


5.1 The preventive action procedure shall be triggered by Preventive Action Form from other processes/procedures in response to identified potential non-conformities from: - major changes in PCAF, PCAF processes, and equipment/facilities

(from strategic planning) - learnings on opportunities for improvement (from interactions with

other public sector organizations) - observations/opportunities for improvement (from audits) - trend analysis on business and administrative performance (from

management reviews)

5.2 Review of Potential Non-conformity 5.2.1 The initial review of the Request for Action shall consider:

- The possible extent and impact of the potential non-conformity.





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- The processes contributing to and affected by the potential non-conformity.

5.2.1 The Unit Manager shall identify concerned personnel who need to be involved in preventive action. This may extend to personnel outside of his own Unit; coordination with the other concerned Units should be established.

5.2.2 Determining the Cause of Potential Non-conformity

Root-cause analysis shall consider the different factors contributing to the potential non-conformity, including: - Manpower – personnel competencies and their ability to

consistently perform their functions as required. - Machine – the availability of appropriate tools, equipment and

facilities to enable effective operations. - Methods – the availability and consistent application of

appropriate procedures, guidelines and standards. - Materials – the availability of the needed materials and

supplies to enable effective operations.

Where several root causes are identified they shall be prioritized relative to their contribution to the potential non-conformity.

5.2.3 Evaluating the Need for Preventive Action Risk assessment shall determine the significance of the potential non-conformity, considering the following: - likelihood of occurrence of the potential non-conformity - severity impact of the potential non-conformity to the

organization (and to customers and others) should it occur.

A Basic Significance Table for assessing risk is shown below:

Likelihood of Occurrence

Low Medium High

Severity of Impact

Low 1 2 4

Medium 3 5 7

High 6 8 9

Using the Significance Table, significant non-conformities with a rating of 4 and above shall be subjected to preventive action.





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5.2.4 Determining and Implementing Preventive Action

Planning of preventive actions (solutions) shall involve the following: - generation of alternative solutions - the selection of the best solution (from the alternatives) - The identification of activities, resources, responsibilities and

timelines needed to implement the selected solution.

Preventive actions (solutions) shall be approved by the Unit Manager. Preventive actions involving multiple units may require higher-level approval (e.g. from the Agency Head) before implementation.

5.2.5 Reviewing the Status of Preventive Action The implementation status and effectiveness of preventive actions shall be periodically reviewed and evaluated by the concerned Unit Manager; any related issues shall be promptly addressed.

Preventive actions shall be collectively reviewed by the Core Management Team. Depending on the nature of the solution and the associated potential non-conformity, monitoring and review shall continue for at least six months after implementation, after which the preventive action shall be deemed completed.

6.0 Procedure

Activity Responsibility Details References

1. Review potential non-conformity

Unit Manager - Receives and reviews the Request for Action

- Identifies concerned staff who will be involved in preventive action

Request for action (GGA-QMS-FR-009)

2. Determine the possible cause of potential non-conformity

Unit Staff - Conducts root cause analysis


3. Evaluate the need for action to prevent occurrence

- Assesses the risks associated with an occurrence of the potential non-conformity






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4. Determine and implement the action needed

Unit Staff Unit Manager Unit Staff

- Develops, plans and recommends preventive actions

- Approves preventive actions

- Implements preventive actions


5. Review preventive action taken

Unit Manager/ Management Team/QMR

- Reviews the implementation status and evaluates the effectiveness of preventive action

Request for action (GGA-QMS-FR-009) Preventive Action Status Report (GGA-QMS-FR-012)

7.0 List of Forms

7.1 Preventive Action Form

7.2 Preventive Action Status Report

CPAR No.

Potential Non-

Conformity

Possible Root Cause

Preventive Action

Target Date

Status