Republic of the Philippines

NATIONAL POLICE COMMISSION

NATIONAL HEADQUARTERS, PHILIPPINE NATIONAL POLICE
DIRECTORATE FOR OPERATIONS
Camp BGen Rafael T Crame, Quezon City

Operating Guidelines on Document Control

1. BACKGROUND:

Executive Order (EO) No. 605, dated February 23, 2007, "Institutionalizing
the Structure, Mechanisms and Standards to Implement the Government Quality
Management Program, Amending for the Purpose Administrative Order No. 161
Series 2006, was issued to effect actual improvements in public governance in
recognition of the International Organization for Standardization (ISO) 9000 series
which ensures consistency of products and services through quality processes.

The Directorate for Operations (DO) in compliance with the

aforementioned EO and to cope with the emerging trends in policing, recognizes the
importance of a more comprehensive and up to date procedure in the creation,
amendment, revision, and distribution of documents.

The control of these documents (internally generated or from external

sources) must be implemented in accordance with existing laws, policies, rules and
regulations, and ISO 9001:2015 Quality Management System (QMS) requirements.
The organization has existing issuances in the control of documents which will be
adopted in this procedure.

2. PURPOSE:

This procedure aims to define a uniform and standard system in controlling

internally-generated and externally-generated documents determined by the DO as
necessary for the effectiveness of its QMS as required by the International Standard
and those necessary for the organization to attain its objectives.

It also outlines existing and pertinent issuances of the Philippine National

Police (PNP) and DO purposely to prescribe guidelines to all offices/units in the
promulgation of their respective policies and/ or issuances which include their
exchange of information to both internal and external stakeholders.

It defines the controls required in approving documents for adequacy prior

to issue; in reviewing and updating; in ensuring that changes and current revisions
are identified and unintended use of obsolete documents is prevented; relevant
versions of documents are available when needed and remains legible; and in
ensuring that external documents are identified and their distribution controlled.
 4. SCOPE OF APPLICATION:

This procedure applies to all DO documented information in-line with ISO-

QMS implementation.

5. DEFINITION OF TERMS:

a. Administrative Issuances — policies, guidelines, rules, regulations and

procedures promulgated pursuant to existing laws, standard operating
procedures, and implementing instructions from other government
agencies and the like, issued by the Chief, PNP.

b. Approving Authority/Authority to Approve — the designated office/unit or

person authorized to approve a document/issuance.

c. Classification — the individual identification of documents categorized

under various types.

d. Complete Staff Work - is the study of a problem, and presentation of a

solution, in such form that all that remains to be done by the
Manager/Staff is to indicate their approval or disapproval of the
completed action.

e. Document — refers to recorded information regardless of medium or

characteristics. Frequently used interchangeably with "records".

f. Effectivity/Duration — refers to the life span of a particular issuance.

g. Frequency— the interval of time wherein the document shall be

reviewed.

h. Issuing Authority/Authority to Issue - the designated office/unit or

person authorized to issue such document/issuance.

i. Manual — a reference book that contains approved policies,

procedures, guidelines or information that is made up of a body of
police strategies, techniques, and procedures that translate or support
the principles and functions of the PNP.

PNP Issuances — are issuances that include but not limited to

Implementing Guidelines, General Orders, Command Memorandum
Circulars, Letter Directives, Memorandum Circulars and Standard
Operating Procedures, among others.

k. Routing Slip— an official form attached to a document that contains the

subject, sender, recipient, signatory, date signed, and action
requested. This is used for internal circulation especially when
requesting approval.

I. Standard Operating Procedure — a set of instruction regarding the

procedures to be followed on a routinary basis as desired by the Chief
of Office.
 m. Subject/Coverage — refers to the scope to be covered by an issuance.

n. Technical Working Group — refers to a group organized by the issuing

authority and tasked to initiate, plan, and develop a PNP doctrine or
manual.

o. Tracer — a document issued to follow-up feedback on a specific

requirement.

p. Type — the category of the document such as Issuance, Letters;

Administrative Orders; Operational Order; and Manual/Bulletin and
other related publications.

6. POLICIES:

The process for controlling all DO documents shall be in accordance with

existing laws, policies, procedures, and ISO 9001:2015 QMS requirements. All
documents shall be thoroughly reviewed and approved prior to issuance and shall be
available and suitable for use when needed. It shall be protected from loss of
confidentiality, improper use, or loss of integrity as provided. (References:
"Memorandum Circular (MC) No. 2017-015, "Revised Doctrine on PNP Issuances";
and PNP MC No. 2014-020, "Revised Guidelines and Procedures in the
Development of PNP Doctrines and Manual').

7. PROCEDURES:
GMS DOCUMEHT4T0C•fi STRUCTURE

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A. CREATION

1) Format

DO Communications shall follow the standard format

prescribed by The Chief of Directorial Staff (TCDS). In case an
office/unit proposes any recommendation for revision of existing
standard format for communications, it shall be forwarded to
TCDS for review and approval.
a.1 Standard contents of the PNP Memorandum Circular are the
following:

a) References;

b) Rationale;

C) Situation;

d) Purpose;

e) Definition of Terms;

f) Guidelines;

g) Repealing Clause; and

h) Effectivity

a.2 Standard contents of the Command Memorandum Circular are

the following:

a) References;

b) Purpose;

c) Situation;

d) Mission;

e) Execution; and

f) Effectivity

a.3 Standard contents of an Operating Guidelines are the

following:

1) Background;

2) Purpose;

3) Scope of application;

4) Definition of Terms;

5) Policies;

6) Procedures;

7) Responsibilities;
 Other prescribed formats for documents that are not covered in
the above references are attached in this SOP. (References:
"PNP Memorandum Circular No. 2019: dated March 5, 2019,
"Guidelines for the Standard Preparations and Communications,"
and "Memorandum Circular No. 2017-015, "Revised Doctrine on
PNP Issuances).

All forms used by the PNP shall maintain the standard format
details; however, the other contents shall be based on the
requirements of respective offices/units (peculiar on their
process).

2) Issuing Authority

1) Originating office/process owner per type of document follows

the guidelines on PNP issuances. (Reference: Memorandum
Circular (MC) No. 2017-015, "Revised Doctrine on PNP
Issuances').

2) Document should follow the existing policy on complete staff

work (CSVV) to be considered as official prior to its adoption
and implementation. A routing slip showing the actions taken,
person/office responsible/date when action was taken among
others must be attached to the document during its review.

3) Documents from subordinate offices/units shall be coursed

thru their functional supervisors and other D-Staff concerned,
before they are endorsed to the CPNP through the Command
Group as appropriate, based on the existing policy on CSW,
unless there is a specific instruction.

4) The person delegated with the authority to approve shall have

the right to make decisions or final action on matters within
their inherent or perfunctory function.

5) Issuing authority of the office/unit is limited only to the

formulation of a particular issue

3) Identification

All documents should be identified. Identification should

include the document title, document type, issuing office,
approving authority among others.

Series numbering/coding system for the PNP documents

established and generated by their respective issuing office are
reflected in the Table of PNP Issuances. (Reference: "MC No.
2017-015, "Revised Doctrine on PNP Issuances').

To facilitate filing and retrieval per office, hard copy

documents are properly filed and labeled, as applicable:

• per document type

 • per subject

• per unit

4) Review and Approval

a) Documents shall be reviewed and approved prior to

dissemination and implementation in accordance with "MC No.
2017-015, "Revised Doctrine on PNP Issuances".

b) Designated PNP personnel and approving authority shall have

access to pertinent information upon which to base the review
and approval.

C) Approving authorities are identified in MC No. 2017-015,

"Revised Doctrine on PNP Issuances".

d) For documents requiring approval of the CPNP, the document

shall be returned to the originating office which shall be
responsible for the promulgation of the policy, to include
reproduction, distribution, and filing. A copy of the approved
document shall be sent to the PNP Command Library, and as
necessary, for subsequent submission to the University of the
Philippines Law Center for publication. (Reference: MC No.
2017-015, "Revised Doctrine on PNP Issuances').

B. DISTRIBUTION AND MAINTENANCE OF DOCUMENTS

1) The PNP Command Library issues control numbers of

Memorandum Circulars while the DO issues control numbers of
Command Memorandum Circulars. They maintain a master list of
all of these documents as the official repository of CPNP-approved
documents.

2) Copies of issuances originating from DO and other offices/units

shall be kept in the DO library. It shall maintain a master list of
documents and forms they authored or created which shall be
stored in a database in MS Excel or MS Word containing basic
information, as follows:

• document title

• document type

• effectivity/issue date

• reference code/series number, if applicable

• revision history, if applicable

 • revision number and date, if applicable

3) Distribution of issuances to copy holders shall be made in

accordance with existing policies or as identified by the issuing
office/unit. (Reference: MC No. 2017-015, "Revised Doctrine on
PNP (ssuances').

4) Documents are distributed to concerned offices/units through hard

and/or softcopies by means of courier, e-mail, fax, other medium of
communication. Distribution must be indicated in the document.
Receipt of such shall be documented.

5) DO shall designate a qualified Records Officer and Record

Custodian who shall ensure the maintenance, retention and
disposition of hard and electronic copies of documents based on
the requirements of RA 9470 "An Act to Strengthen the System of
Management and Administration of Archival Records, Establishing
for the Purpose the National Archives of the Philippines, and for
other Purposes ("National Archives of the Philippines Act of 2007").

6) To ensure security and restriction for classified documents, the

following are observed:

• Covered;

• Only authorized PNP personnel are allowed to

carry/transport/deliver/receive;

• Labelled/marked with TOP Secret, Secret, Confidential and

Restricted as applicable and kept separately from the general
files in secured file containers; and

• Only authorized personnel with security clearance shall have

access to these documents.

These are all in accordance with Philippine National Police

Regulations No. 2000-012, "Promulgating Rules Governing
Security of Classified Matters in all Philippine National Police
Offices and Units".

C. CONTROLS FOR REVIEW AND AMENDMENT OF PNP

DOCUMENTS

PNP documents shall undergo review for continued suitability and

applicability. The reviewing authority and the frequency of review are stated
in the table below.

TYPES OF REVIEWING
FREQUENCY
DOCU MENT AUTHORITY
PNP Memorandum
Issuing Office/Unit As necessary
Circular
PNP Command
Issuing Office/Unit As necessary
Memorandum Circular

Standard Operating
Issuing Office/Unit As necessary
Procedure
Manuals BDD-DHRDD As necessary

Superseded documents shall be identified and stipulated in the

repealing or amendatory clause to preclude the use of invalid and obsolete
documents.

D. CONTROL OF EXTERNAL DOCUMENTS AND COMMUNICATION

1) External documents received by DO are disseminated to the

concerned Division/personnel through their respective Division
Chief Clerks with attached Routing Slips.

2) For actionable external communication, this is assessed or

evaluated by the DO Chief Clerk and disseminated to the
concerned Division with Routing Slip and concerned Division
takes appropriate action.

3) The following are used as means/method to retain documented

information on the source, copy holders and action status of
external documents, as applicable:

• Official logbook

• Database

4) Feedback on the status of action taken by the concerned Division

is forwarded to external stakeholder/source copy furnished
concerned PNP office/unit Management.

5) Concerned office/unit issued a memorandum for tracing their

action taken.

8. RESPONSIBILITIES:

a. Message Center personnel receives, encodes and scans

documents
b. Chief Clerk sorts documents with Routing Slip
c. Administrative Officer screens and signs the Routing Slip
d. Division Chief Clerk screens document and refers to the concerned
Section for appropriate action (Draft Directives)
e. Division Chief reviews and approves the document for signature of
the Director (TDO)
f. Approval and Signing of documents by TDO
g. Scanning of outgoing documents at the Message Center
 h. Dispatching of outgoing documents to OTCDS through
Communication Imaging Monitoring System (C.I.M.S.)
i. Dispatching of outgoing documents to concerned Offices/Units
j. The Administrative Officer is responsible for disseminating this OG
to the DO personnel through PICE and written communication
k. Records Officer and Record Custodian shall be responsible for
maintenance, retention and disposition of hard and electronic
copies of documents based on the requirements of RA No. 9470
dated May 21, 2007, "An Act to Strengthen the System of
Management and Administration of Archival Records, Establishing
for the Purpose the National Archives of the Philippines, and for
other Purposes ("National Archives of the Philippines Act of 2007').

Prepared by: Reviewed by: Approved by:

LE FRANCISCO ANTONIO1BARTOLOME EMMANUE D LICUP

Po ic Colonel Police Brig dier General Police Major G eral
Ex-0 DDO TDO