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TABLE OF CONTENTS CHAPTER I THE JUDICIARY QUALITY MANUAL·· ·· ·· ··· ·· ·· · ···· ·· · ··· · ··· · ··· · ··· · ····· ··············· · ··· · ·· ·· ·· 1 1. INTRODUCTION ... .... ... .... .... ......... .... ............ ..... ............. ... .... .......... ... .... .... 5 2. TERMS, ABBREVIATIONS AND DEFINITIONS· .. ·· · ·· · · · · ········ · · .... · · .. · .... 6

2.1 Terms and Definitions .. · .. · .. · .. · .... · .......... ·· · ·· .. ·· .. · · .. ··· .. · ...... · 6 2.2 Abbreviations······ ············· ·· · ······· · ··· ·· · ·· ·· · ··· · · ··· · ··· ··· · ······· · 8

3. THE JUDICIARY· ··· ·· ··· · ···· ·· ·· · · · · · · · · · · · ·· · ·· ·· ·· ·· ·· · ··· ·· ·· ·· ·· ·· · ·· ··· ·· ····· · 9 3.1 History···· ······ ········ · · ······· · ····· ········· ··· · ·························· · 9

3.2 Organizational Structure .... ····· .. · ··· .. ·· .. · .. ·· .. ·· .. ·· ; .... · · · · · ··· · ·· 12

3.3 Mandate ·· ·· · ·· · · ····· · ··· · ··· · · ··· · ···· · · · ················· ·: · · ··· ······· ·· · 14

3.3.1 Supreme Court and Lower Courts· · · .. ······ .. · ······· .. ······ .. · 14 3.3.2 Court of Appeals·· · ·· · ····· ···················· ·· · ··.,.· ·· ·· ··· ····· · · 14 3.3.3 Sandiganbayan · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 15 3.3.4 Court of Tax Appea ls· ·· · · ·· · ·· ····· · ··· ·· · · ··· · ··· · ··· · · ·· ·· ··· · · ··· 18

3.4 Vision· · · · ·· ········ ·· ······· · ··· · ········ · ·· ·· · ·· ··············· · ··· · ··:·· · ·· · 19 3.4.1 Supreme Court and Lower Courts · ·· ........ · .. ······ · · · · ········ 19 3.4.2 Court of Appeals··· ·· · ·· ·· · · · · ··· · ··· · · · · · ·· ····· · ··· ·· · ·· ·· · ··· · ··· · 19 3.4.3 Sandiganbayan · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 19 3.4.4 Court of Tax Appeals .............. .. ....... ................ .... ....... .. .......... 24

3.5 Mission· ·· · ··· ············ · · ·· ··· ·· ·· ·· · ·············· · ·· ····· · · ······· ·· ·· ··· 20

3.5.l Supreme Court and Lower Courts· ··· ········· ·· .... ··· ·· · ··· · ··· 20 3.5.2 Court of Appeals··· ·· ·· ·· ·· ·· ······· · · ··· ·· · ·· · · · · ···· · · · ··· · · ··· · ·· · 20 3.5.3 Sand iga nbayan · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · · 20 3.5.4 Court of Tax Appeals·········· · · · ········· · · · · ·· ··· · ··· ·· ·· ·· · ······ 21

3.6 Core Values of The Judiciary················· · ··· · ······· · ········· ···· · · · 21

4. CONTEXT OF THE ORGANIZATION ·· ··········· · ··· ····· ··· · · ··· · ··· · · · ······ · · 21 4.1 Understanding the organization and its context········ · ····· ··· ·· ·· · ·21

4.2 Underst anding the needs and expectations of interested parties · · 22 4.3 Determining the scope of the quality management system· ··· ····· 22 4.4 Quality Management System and Its Processes······· · ··· ·· ·· ··· · · · · · 23

5. LEADERSHIP··· · ···· · ·· · · ···· ·· ··· ······ ·· ··· · · · ··· · ···· ·· ····· · ······ ····· · · ·· · · ·· 23 5.1 Leadership and Commitment .. · · ··· · · . .. .. .. ... ... ··· · ...... . ... .. · · ·· · · ·24

5.1.1 Court Users/Stakeholders focus ··· · · ··· ··· · ··· · ··· · ···· · ··· · · ·· · · 24 5.2 Quality Policy······ · ···· · ··· · ··· ·· · ·· · ····· · ··· · ······· ·· · ··· · ···· · ········· 25 5.3 Organizational Roles, Responsibilities and Authorities········· · ·· ·· · 26

6. PLANNING··· ·· · ·· · ··· ·· ···· ·· ········ · ·· · ··· · ··· ··· ······ · · ········· ··· ········ · ·· 30

6.1 Actions to address risks and opportunities · ·· ·· ···· ··· · ·· ·· ·· · · · · · ··· · · 30 6.2 Quality objectives and planning to achieve them·· · · · · · · · · · · · · · ··· ··· 31 6.3 Planning of changes·· · ·· ···· · ···· ··· ····· · · · ··· ··· · ········· · · ······ · ··· ··· 31

7. SUPPORT· ···· ·· · ······· ·· ······· · ··· · ·· ·· ·· ·· ·· · ······ · · · · · · · · · · ······ · ·· ··· · ·· ···· 31 7.1. Resources ·· ······ · ··· ··· · ··· · ·· ··· · ··················· ··········· ··· · ······· 31 7.1.2 Human resources· ·········· · · ·· ·· · .. . · ... .... . ... . . · .. .. · · ···· ........ . · 32

7.1.3 Infrastructure······ ··· · · ········ ·· · · ········ ············ ··········· · · ····· 32

7 .1.4 Environment for the operation of processes· ········· · · · · ··· ···· · ·· 32 7 .1.5 Monitoring and measuring resources··· · ··· · · .. ··· ·· .. · · .. · · ··· ··· · .. 32

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7.1.6 Organizational Knowledge········· ············· ·· · ·········· ··········· 33

- Administrative Circulars, Administrative Orders and Other Issuances 33 7.2 Competence··································· ···· ·· ·· ······ ··············· ·33 7.3 Awareness·· ································· ·········· ······················ 33 7.4 Communication-························ ·· ···················· · · ············ 34 7.5 Documented information···· ...... ·················· · ···· ······· ·· .. ··· ·· 34

7.5.1 Creating, updating and controlling documented information 35 8. OPERATION· ·· ·· ································· ··············· · · · ······ ·········· 36

8.1 Operational planning and control···· .. ·· ·· ···· · ····· ·· ············· 36 8.2 Requirements for services ········ · ··· ········· · ···· ·· ······ ········ ·· 36 8.3 Design and development of services .. ········ .. ········ ······ ··· ·· 37 8.4 Control of externally provided processes and services·········· 37 8.5 Service provision······················································· 38 8.6 Control of nonconforming outputs···· .. ··········· .. ·· .. ·· · ·· ·· .. · 38

9. PERFORMANCE EVALUATION ·········· ··· ············· ········· · ·· ·· · · ···· ···· · 39 9.1 Monitoring, measurement, analysis and evaluation .. ·· ·············· 39

9 .1.1 General················································· ·· ···· ··· · ···· 39 9.1.2 Court Users/Stakeholders Satisfaction .... · ···· ·· ···· · ·· · · ······· 39

9 .2 Internal Audit······························ · ···· ·· ··· ······· ················ 39

9.3 Management review···· ····· · · ········ · ·········· ·· ······················· 40 10. IMPROVEMENT··· · ·· ·· ········· · · ··· ··· · ·· ··· · ··· ···· ····· ·· ·················· · ·40

11. REFERENCES··· · ··· · ··· ···················· · · ··· ·· · · · ················ · · · ········· 40

CHAPTER II: THE SUPREME COURT 1. History ....... .. .................. .............................. .... ................................................... 41 2. Organizational Structure .................. .................................. ........................... 45 3. Functional Description ................................................ .-................................... 45 4. Process Map ............... ...... ...... ........................................................................... 47 5. References ........................................................................................................ 49

CHAPTER Ill: THE COURT OF APPEALS 1. History ............................................................. ................................................ . 53 2. Organizational Structure ................................................................................ 53 3 . Functional Description ... .... .. ......... .... ........ ... .................. ... .. .. .................. ........ 54

4. Process Map .............. ....................................................................................... 59 5. References ........................................................................................................ 63

CHAPTER IV: THE SANDIGANBAYAN 1. History ................................................................................................ .............. 73

2. Organizational Structure ...................... ..... .. ................................................... 76 3. Functional Description .................................................................................... 76 4. Process Map ......... ......... ................................................................................... 78 5. References ......................................... ...................... ......................................... 78

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CHAPTER V: THE COURT OF TAX APPEALS 1. History ............... .................. ............................................................ ................. 80 2. Organizational Structure ................................................................ ................ 80

3. Functional Description .................................... ..................... ......... .. ................ 81 4. Process Map ..................................................................................................... 82

5. References ........................................................................................................ 83

CHAPTER VI: THE REGIONAL TRIAL COURT/ SECOND LEVEL COURTS

1. History .............................................................................................................. 87

2. Organizational Structure ................................................................................ 87

3. Functional Description .................................................................................... 88

4. Process Map ............................................. ...... ............... ...... ........................... 110 5. References ....................... .......................................... ..................................... 123

CHAPTER VII: THE METROPOLITAN TRIAL COURT/ FIRST LEVEL COURTS

1. History ...... .................................... ................................................................ . 124 2. Organizational Structure .. ...... ...................................................... ...... ......... 124 3. Functional Description .................................................................................. 124 4. Process Map ................................................. .. ............... .......... ...................... . 146

5. References .......................................................................................... ........... 147

ANNEXES Annex A Annex B

Annex C

Annex D Annex E

Annex F Annex G Annex H

Annex I

Annex J Annex I<

Relevant Interested Parties ........................................................ 148 Service Process Map of the Judiciary ........................................ 153 Procedures on Monitoring and Maintaining Client Satisfaction .................................... ............. . 154

Client Satisfaction Survey Form ................................................. 157

Control of Documents ................................................................ 158 Control of Records ....................................................................... 163

Registry of Controls of External Providers ......... ..................... 168 Control of Nonconforming Outputs .............. ............................. 173 Control of Nonconformity Matrix ............................................. 178

Corrective Action ......................................................................... 179

Corrective Action Form ............................................................... 183 Internal Quality Audit .................................................................. 185

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CHAPTER I THE JUDICIARY

1. INTRODUCTIO N

This Quality Manual intends to benefit all court users, employees and other stakeholders of the Judiciary. This is structured to detail compliance with ISO 9001:2015 standards. The Activity within the scope is limited to the processing of initiatory pleadings; from receipt of the initiatory document, such as, complaint, petition, appeal or records, by the docketing office of the court up to the issuance of the court's initial action.

The Control of this Quality Manual includes the preparation by the Committee on Judiciary-wide Performance-based Bonus (JWC-PBB) and its Technical Working Group (TWG) in collaboration with the Quality Management System (QMS) Core Team. It is reviewed by the JWC-PBB prior to its submission to the Court En Banc for approval. The Top Management headed by the Chief Justice and the Supreme Court En Banc and its designated Officials/Committee has the responsibility to control, revise and update the Manual to ensure its applicability.

This Manual is controlled with document name, code, version, effectivity date and control seal/electronic seal/ barcode. Copies issued within the organization shall bear the official stamp of each court. Soft copies are stored in a centralized QMS library within the network with appropriate access rights of concerned employees. The Judiciary employees can access the QMS library on a "read only" mode. Only the designated official, Quality Management Representative (QMR), Deputy QMR, Records Officer (RO) and IT Officer can have full access to the library. In the event that there is a need to have a printed copy, a request shall be submitted to the concerned court/office for approval.

Users of this Manual include the Top Management composed of the Members of the Supreme Court, Presiding Justices of the Court of Appeals, the Sandiganbayan and the Court of Tax Appeals, the Courts' Officials and

other concerned officers within the organization. This Manual can be used for training of the employees of the Judiciary. Each court shall be provided with a copy of this Manual, as pertinent to them . The Office of the Chief Justice, Offices of the respective Presiding Justice, Office of the Court Administrator, and Executive Judges are responsible for the dissemination of this Manual to their respective courts/offices . Requests of copies from court users/stakeholders, certification body and other interested parties shall be with the permission of the top management or the management representative.

This Quality Manual shall be constantly updated based on the ISO 9001:2015 standards, appropriate laws, the Judiciary-wide policies,

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relevant changes in the organization, applicability, and best practice, if any. Redistribution, therefore, is required, when applicable.

2. TERMS, ABBREVIATIONS AND DEFINITIONS

Operative terms, abbreviations and definitions are as follows:

2.1 Terms and Definitions

Agenda - are reports of pleadings, motions, documents, and other papers filed in each case for consideration by the court.

Case Administration System (CAS) - is a system where the pleadings, letters, resolutions, decisions, entry of judgment, and all relevant information regarding any particular case identified by a G.R. number or a UDK number are encoded.

Case Management Information System (CMIS) - is an application system for monitoring caseload, case output and case history with automated raffle of cases1, features calendaring and capturing information on payment of docket fees, case parties and courts of origin.

Division - court's session requiring participation of the members of the divisions of the court.

Docket number - is a unique identification assigned to a new case filed in court usually consisting of letters as prefix and numbers assigned chronologically. It may also contain another set of letters as

suffix, which shall identify the case for record purposes until its termination.

En Banc - is a court's session requiring participation of the entire membership of the court.

Filing - the act of presenting the pleading or other paper to the court which may either be done personally or through registered mail.

G.R. No. - General Register number is the number assigned to cases by the concerned docketing office (a) upon payment of the corresponding docket fees prescribed in Rule 141 of the Rules of Court; (b) upon receipt of a directive of t he Court, through a resolution, declaring the filer as an indigent; (c) when declared as exempt from paying docket fees under the Rules of Court based on

1 CTA CMIS has no automated raffling of cases.

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the nature of the action filed in Court; or (d} when filed by the government which, under Rule 141 of the Rules of Court, is exempted from paying the docket and legal fees.

Initiatory Pleadings - are complaints, appeals or petitions that initiate an application for relief filed before the court.

Interested Parties - refer to stakeholders who are directly, indirectly and perceived to be affected by a decision or activity.

Legal Requirement - refers to requirement which are both statutory and regulatory.

Litigant - is a party in a case represented by his or her counsel.

Agenda with action - is the copy of the agenda containing the handwritten notes/actions taken by the court on every pleading or motion filed in a case which shall serve as basis in the preparation of the minutes of the session by the Office of the Clerk of Court or of the Division Clerks of Court.

Minutes of the Court's Session - refer to the collection of actions taken by the Court on the pleadings reported in the Agenda. This may take the form of a minute resolution, unsigned resolution, decision, or signed resolution per item in the agenda.

Motion - is a written request by a party to the Court for action.

Petitioner - is a party instituting an action or a party who presents a petition to the Court.

Pleadings - are written statements of the respective claims and

defenses of the parties submitted to the court for appropriate judgment.

Processing slip - is a slip that serves as the checklist of the requirements of the Rules of Court for filing a case. It contains information on the compliance or non-compliance by the appellant or petitioner with such requirements, as gathered from the initiatory pleading filed.

Raffle - is a process used in determining the assignment of cases for

the members of the court.

Resolution/Order - is the document embodying the court's initial action on the case.

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Respondent - is a party against whom an action or relief is prayed, or one who opposes the prayer in the petition.

Reporting Slip - is a form used by the docketing office to inform the Court, through the Office of the Clerk of Court, that a litigant filed a petition or an appeal. It also serves as basis in preparing matters included in the Agenda.

Rollo - is a folder encasing all or iginal pleadings and other documents filed under the same docket number.

Top Management - shall refer to the Members of the Supreme Court, Presiding Justices of the Court of Appeals, the Sandiganbayan and the Court of Tax Appeals, the Courts' Officials and other concerned officers within the organization.

UDI< No. - refers to the Undocketed number assigned to cases w ith no

payment made or with insufficient payment of docket and legal fees.

2.2 Abbreviations SC - Supreme Court CA- Court of Appeals SB - Sandiganbayan CTA- Court of Tax Appeals LC- Lower Courts RTC- Regional Trial Court SOC - Shari'a District Court MeTC- Metropolitan Trial Court MTCC - Municipal Trial Court in Cit ies MTC - Municipal Trial Court MCTC - Municipal Circuit Trial Court SCC- Shari'a Circuit Courts

!RSC - Internal Rules of the Supreme Court IRCA- Internal Rules of the Court of Appeals JRD - Judicial Records Division NLRC - National Labor Relations Commission SCRA - Supreme Court Reports Annotated RRCTA- Revised Rules of the Court of Tax Appeals

IRCTA - Internal Rules of the Court of Tax Appeals NIRC - National Internal Revenue Code BIR - Bureau of Internal Revenue CIR - Commissioner of Internal Revenue NTCC - National Tariff and Customs Code CMTA- Customs Modernization and Tariff Act BOC - Bureau of Customs

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COC - Commissioner of Customs

CBAA - Central Board of Assessment Appeals JRO - Judicial Records Office (docket office of the Supreme Court) OCA- Office of the Court Administrator OAS - Office of Administrative Services, either of the SC or OCA FMBO - Fiscal Management and Budget Office CCDD - Cash Collections and Disbursement Division FMO - Financial Management Office, OCA MISO - Management Information Systems Office JDF - Judiciary Development Fund SAJ - Special Allowances for The Judiciary FIDU - Fiduciary Account VCF- Victims Compensation Fund LRF - Legal Research Fund STF - Sheriff Trust Fund eCourt - Electronic Court eRaffle - Electronic Raffle CV - Civil Cases in eCourt CR- Criminal Cases in eCourt LRC - Land Registration Cases SP - Special Proceeding CANA - Certificate of Authenticity of a Notarial Act ECC - Executive Clerk of Court SPMS - Strategic Performance Management System OPCR - Office Performance Commitment and Review DPCR - Division Performance Commitment and Review IPCR - Individual Performance Commitment and Review

3. THE JUDICIARY

3.1 History

3.1.1 The Judicial System of the Pre-Spanish Filipinos

When the Spanish first arrived in the Philippines to colonize the archipelago, the Spanish colonizers of the Philippines encountered an indigenous population that had no written laws but had a system of rules derived from customs, usages, and tradition. These rules, akin to laws, were believed to be Godgiven and were orally transmitted from generation to generation. Significantly, though evolving from widely dispersed islands across the archipelago, these rules proved to be very similar to each other. There were no judges and lawyers who were trained

formally in the law, although there were elders who devoted time to the study of the customs, usages, and traditions of their tribes to qualify them as consultants or advisers on these matters.

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The barangay, which was the basic unit of government, was a family-based community of 30 to 100 families occupying a pook ("locality" or "area") and headed by a chieftain, called a datu, who exercised all functions of government - executive, legislative, and judicial. In the exercise of his judicial authority, the datu acted as a hukom ("judge") in settling disputes and deciding cases within his barangay.

3.1.2 The Judicial System Under the Spanish Regime

During the early Spanish occupation, King Philip II established the Real Audiencia de Manila which was given not only judicial but legislative, executive, advisory, and administrative functions as well. Composed of the incumbent Governor General as the presidente (presiding officer), four oidores (equivalent to associate justices), and asesor (legal adviser), and alguacil mayor (chief constable), among other officials, the Real Audiencia de Manila was both a trial and appellate court. It had exclusive original, concurrent original, and exclusive appellate jurisdictions.

Initially, the Audiencia was given a non-judicial role in the colonial administration to deal with unforeseen problems within the territory that arose from time to time - it was given the power to supervise certain phases of ecclesiastical affairs as well as regulatory functions such as fixing of prices at which merchants could sell their commodities. Likewise, the Audiencia also had executive functions, like the allotment of lands to the settlers of newly established pueblos. However, by 1861, the Audiencia had

ceased to perform these executive and administrative functions and had been restricted to the administration of justice.

When the Audiencia Territorial de Cebu was established in 1886,

the name of the Real Audiencia de Manila was changed to Audiencia Territorial de Manila.

3.1.3 The Judicial System During the American Occupation

As expected, the subsequent occupation by the Americans of the Philippine Islands in the late 1890s after Spain's defeat in the Spanish-American War paved the way for considerable changes in the control, disposition, and governance of the Philippines.

The judicial system established during the regime of the military government functioned as an instrument of the executive branch, not of The Judiciary.

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On May 12, 1899, Secretary of State John Hay proposed a plan for a colonial government of the Philippine Islands which would give Filipinos the largest measure of self-government. The plan contemplated an independent judiciary with judges chosen from a list of Americans and qualified locals.

On May 29, 1899, the Military Governor for the Philippines, General Elwell Stephen Otis, issued General Order No. 20 reestablishing the Audiencia Territorial de Manila, which was to apply Spanish laws and jurisprudence recognized by the American military governor as continuing in force. The Audiencia was composed of a presiding officer and eight members organized into two divisions: the sofa de lo civil or the civil branch, and the sofa de lo criminal or the criminal branch.

It was General Otis himself who personally selected the first appointees to the Audiencia. Cayetano L. Arellano was appointed

President (equivalent to Chief Justice) of the Court, with Manuel Araullo as president of the sofa de lo civil and Raymundo Melliza as president of the sofa de lo criminal. Gregorio Araneta and Lt. Col. E.H. Crowder were appointed associate justices of the civil branch, while Ambrosio Rianzares, Julio Llorente, Major R. W. Young, and Captain W. E. Brikhimer were designated associate justices of the criminal branch. Thus, ,the reestablished Audiencia was the first agency of the new insular government where Filipinos were appointed side by side with Americans.

3.1.4 The Establishment of the Supreme Court of the Philippines

On June 11, 1901, the Second Philippine Commission passed Act

No. 136, entitled An Act Providing for the Organization of Courts

in the Philippine Islands, formally establishing the Supreme Court of the Philippine Islands and creating Courts of First Instance and

Justices of the Peace Courts throughout the land. The judicial organization established by the Act was conceived by the American lawyers in the Philippine Commission and was patterned in its basic structures after similar organizations in the United States.

Act No. 136 abolished the Audiencia established under General Order No. 20 and declared that the Supreme Court created by the Act be substituted in its place. This effectively severed any nexus between the present Supreme Court and the Audiencia.

3.1.5 The Judiciary Under the Constitutions


The 1987 Constitution, similar to the 1935 and 1973 Constitutions, vests the Judicial Power "in one Supreme Court and in such lower

courts as may be established by law." (Art. VII, Sec. 1)

(The chapters on the various courts provide their constitutional and statutory history.)

3.2 Organizational Structure

The Philippine judiciary is a hierarchical organization consisting of four levels, with the Supreme Court at the top tier exercising administrative supervision over all courts and court personnel and wielding jurisdiction to "review, revise, reverse, modify, or affirm on appeal or certiorari, as the law or the Rules of Court may provide final judgments or orders of lower courts" in cases specified in Art. VIII, Sec. 5(2) of the 1987 Constitution. Within each level, the courts are coordinate and equal and do not enjoy review jurisdiction over each other's decisions, resolutions, writs, and processes.

3.2.1 First Level

In the first tier are the courts of the first level consisting of the Metropolitan Trial Courts (MeTCs), which are established in

Metropolitan Manila; the Municipal Trial Courts in Cities (MTCCs), in every city which does not form part of Metropolitan Manila; the Municipal Trial Courts (MTCs), established in each of the other

cities or municipalities; and Municipal Circuit Trial Courts (MCTCs), created in each circuit comprising such cities and/or

municipalities as grouped by law.

At the same level are the Shari'a Circuit Courts (SCCs). Shari'a

Courts have been established in Islamic regions and provinces to interpret and apply the Code of Muslim Personal Laws (under Presidential Decree No. 1083). Their decisions are appealable to the Shari'a Appellate Court which, however, has yet to be organized.

3.2.2 Second Level

The second tier consists of the Regional Trial Courts (RTCs) established in each of the thirteen (13) regions in the Philippines. Each RTC may be composed of a single sala or of severa l branches. RTCs have both original and appellate jurisdiction. In exercising original jurisdiction, RTCs act as trial courts receiving evidence in the first instance from the parties to a case falling within its

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jurisdiction; in exercising appellate jurisdiction, the RTCs act as courts of appeal over the decisions of the courts of the first level.

Also on the same level are the Shari'a District Courts (SDCs), whose decisions are appealable to the still-to-be organized Shari'a Appellate Court. Pending such organization, SOC decisions are reviewed by the Supreme Court through the special civil action of certiorari under Rule 65 if the issue is one of jurisdiction or through a petition for review on certiorari by way of appeal under Rule 45. (Macawiag v. Balindong, GR No. 159210, September 20, 2006)

3.2.3 Third Level

At the third tier of the hierarchy are three col legiate courts, one of which is the Court of Appeals (CA). The CA is the primary appellate court of the Philippines, exercising its powers, functions, and duties through 23 divisions of three members each. It sits in three stations - the City of Manila, Cebu and Cagayan de Oro. The CA's 18th, 19th and 20th Divisions comprise the CA Visayas

Station and are located in Cebu City, while its 21st, 22nd, and 23rd Divisions comprise the CA Mindanao Station and are based in Cagayan de Oro City. The first 17 Stations are located in the City of Manila

The two other collegiate courts are the Sandiganbayan (SB) and Court of Tax Appeals (CTA). Unlike the CA, these courts have very specific jurisdictions.

The CTA is a special collegiate court composed of a Presiding Justice and eight Associate Justices; it may sit en bane or in three divisions of three Justices each. RA 9282, which took effect on March 30, 2004, has elevated the status of the CTA to that of the

Court of Appeals.

The SB is an anti-graft court that has jurisdiction to try public officers with a Salary Grade of 27 and above (including any coaccused who are private persons) charged w ith criminal cases involving violation of the country's laws on graft and corruption,

particularly RA 3019, as amended. Under RA 10660, the appointment of six additional justices comprising two additional divisions is provided. With the operation of RA 10660, there are now 21 Sandiganbayan Justices sitting in seven divisions of three members each (Section 1 of RA 1066).

3.2.4 Fourth Level

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At the top tier is the Supreme Court (SC). It is presided over by a Chief Justice and is composed of fourteen (14) other Justices. The SC may adjudicate en bane or in three divisions of five Justices each. Under the Const itution, it has supervision over the courts and court personnel as well as over all the members of The Judiciary. Its members sit until retirement at age 70 or unless sooner removed by reason of ill health, death, or conviction after

impeachment.

Decisions of the Court, whether sitting en bane or in division, are imbued with authoritativeness and, unless reconsidered by the Court, are considered part of the law of the land. ·

3.3 Mandate

Col!rt of Appeals

Hegional Trial Cour ts Shar i';.a Dislric l Courts

M l!ll lO!\ltllt11n l r'l li l C.111tl'J Munlr,lpnl Mal Caui1111n Cii io

M1ml\llp11l T1lol Cauru Mul\l1;lp"I Clrtul l 11 lwl Cou1lll

Sluu ~'" C\tc;ult Cnmu

3.3.1 Supreme Court and Lower Courts

The Supreme Court of the Philippines and the Lower Courts perform adjudicat ive functions vested on them by the Phi lippine Constitution and other applicable laws. Their judicial power includes "the duty of t he courts of justice to settle actual controversies involving rights which are legally demandable and

enforceable, and t o determine wh ether or not there has been a grave abuse of discretion amounting to lack or excess of jurisdiction on t he part of any branch or instrumentality of t he Government."

3.3.2 Court of Appeals

The Court of Appeals exercises appellate jurisdiction on all cases not falling within the original and exclusive jurisdiction of the

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Supreme Court. It exercises original jurisdiction on the issuance of

writs of mandamus, prohibition, injunction, certiorari, habeas corpus and all other writs, whether or not in aid of its appellate

jurisdiction. The mandate of CA was expanded by Batas Pambansa Big. 129 or The Judiciary Reorganization Act of 1980, which vested authority to assume jurisdiction over actions for annulment of

judgments of the Regional trial Courts and the power to perform all acts necessary to resolve factual issues falling within its original and appellate jurisdiction. Republic Act No. 7902 further expanded the jurisdiction of the CA to include the review of decisions, resolutions, awards, and orders of the Securities and Exchange Commission, Social Security System, Employees Commission, and the Civil Service Commission. The decisions and resolutions of the National Labor Relations Commission are also initially reviewable by the Court of Appeals (St. Martin Funeral Home v. NLRC, 295 SCRA 414).

Pursuant to A.M. No. 05-11-04-SC, the CA has jurisdiction over petitions for freeze orders on any monetary instrument, property or proceeds covered by Anti-Money Laundering cases under

Republic Act No. 9160. In addition, the CA was also granted jurisdiction over petitions for Writs of Amparo (A.M. No. 07-9-12-SC) and Writ of Habeas Data (A.M. No. 08-1-16-SC).

3.3.3 Sandiganbayan

The Sandiganbayan is a constitutionally mandated court established under the 1973 and 1987 Philippine Constitution to try and decide criminal and civil cases against government officials and employees accused of graft and corruption and other offenses.

The jurisdiction of the Sandiganbayan is perhaps one of the most

often amended provision from the 1973 Constitution to RA 8249

of 1997. Before RA 8249, jurisdiction of the Sandiganbayan was determined on the basis of the penalty imposable on the offense charged. Then, it was amended such that regardless of the penalty, so long as the offense charged was committed by a public officer, the Sandiganbayan was vested with jurisdiction. Under RA 8249, to determine whether the Sandiganbayan has jurisdiction, lawyers must look into two (2) criteria, namely:

The nature of the offense and the salary grade of the public official.


Thus, Sec. 4 of R.A. No. 8249 provides that the Sandiganbayan shall have original exclusive jurisdiction over:

I. Violations of R.A. No. 3019 (Anti-graft and Corrupt Practices Law);

II. RA 1379 (Forfeiture of Illegally Acquired Wealth); Ill. Crimes by public officers or employees embraced in Ch. II,

Sec.2 Title VII, Bk. II of the RPC (Crimes committed by

Public Officers) namely:

a. Direct Bribery under Art. 210 as amended by BP 871, May 29, 1985;

b. Indirect Bribery under Art. 211 as amended by BP 871,

May 29, 1985;

c. Qualified Bribery under Art. 211-A as amended by RA 7659, Dec. 13, 1993;

d. Corruption of public officials under Art. 212

where one or more of the accused are officials occupying the following positions in the government whether in a

permanent, acting or interim capacity, at the time of the commission of the offense:

1) Officials of the executive branch occupying the positions of regional director and higher, otherwise classified as Grade 27 and higher, of the

Compensation and Position Classification Act of 1989 Republic Act No. 6758) specifically including:

a) Provincial governors, v ice-governors, members of the sangguniang panlalawigan, provincial

treasurers, assessors, engineers and other

provincial department heads; b) City mayors, vice-mayors, members of the

sangguniang panglungsod, city treasurers, assessors, engineers and other department heads;

c) Officials of the diplomatic service occupying the position of consul and higher;

d) Philippine Army and Air force colonels, naval

captains and all officers of higher rank; e) Officers of the PNP while occupying the position of

Provincial Director and t hose holding the

rank of Senior Superintendent or higher; f) City and provincial prosecutors and their assistants;

officials and the prosecutors in the Office of the

Ombudsman and special prosecutor;

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g) President, directors or trustees or managers of

government owned or controlled corporations, state universities or educational institutions or foundations;

2} Members of Congress and Officials thereof classified as Grade 27 and up under the Compensation and Classification Act of 1989;

3} Members of The Judiciary without prejudice to the provision of the Constitution;

4} Chairmen and members of Constitutional Commissions, without prejudice to the provision of the Constitution;

5) All other national and local officials classified as Grade 27 and higher under the Compensation and Position Classification Act of 1989.

IV. Other offenses or felonies whether simple or complexed with other crimes committed in relation to their office by the public officials and employees mentioned above;

V. Civil and Criminal Cases filed pursuant to and in

connection with EO 1, 2, 14 & 14-A issued in 1986 VI. Petitions for issuance of Writ of mandamus, prohibition,

certiorari, habeas corpus, injunction and other ancillary writs and processes in aid of its appellate jurisdiction;

Provided, jurisdiction is not exclusive of the Supreme Court

VII. Petitions for Quo Warranto arising or that may arise in cases filed or that may be filed under EO 1, 2, 14 & 14- A

VIII. OTHERS provided the accused belongs to SG 27 or

higher:

a) Violation of RA 6713 - Code of Conduct and Ethical

Standards b) Violation of RA 7080 -THE PLUNDER LAW

c) Violation of RA 7659 - The Heinous Crime Law d) RA 9160 - Violation of The Anti-Money Laundering

Law when committed by a public officer e) PD 46 referred to as the gift-giving decree which

makes it punishable for any official or employee to receive directly or indirectly and for the private person

to give or offer to give any gift, present or other valuable thing on any occasion including Christmas, when such gift, present or valuable thing is given by reason of his official position, regardless of whether or not the same is for past favors or the giver hopes or expects to receive a favor or better treatment in the

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future from the public official or employee concerned in the discharge of his official functions. Included within the prohibition is the throwing of parties or entertainment in honor of the official or employee or his immediate relatives.

f) PD 749 which grants immunity from prosecution to any person who voluntarily gives information about

any violation of Art.210, 211 or 212 of the RPC, RA

3019, Sec.345 of the NIRC, Sec. 3604 of the Customs and Tariff Code and other provisions of the said Codes penalizing abuse or dishonesty on the part of the public officials concerned and other laws, rules and regulations penalizing graft, corruption and other forms of official abuse and who willingly testifies against the public official or employee subject to certain conditions.

It should be noted that private individuals can be sued in cases before the Sandiganbayan if they are alleged to be in conspiracy with the public officer.

The Sandiganbayan is vested with appellate jurisdiction over final judgments, resolutions or orders of the RTC whether in the exercise of their original or appellate jurisdiction over crimes and civil cases falling within the original exclusive jurisdiction of the

Sandiganbayan but which were committed by public officers below Salary Grade 27.

The term "Sandiganbayan" is a Filipino word, meaning "support of the nation." Implicit in the name is the idea that the people can rely on this body for the attainment of the specific goals

addressed to its attention .

3.3.4 Court of Tax Appeals

The Court of Tax Appeals exercises exclusive appellate jurisdiction

to review by appeal, decisions of the Commissioner of Internal Revenue in cases involving disputed assessments, refunds of internal revenue taxes, fees or other charges, penalties imposed in relation thereto, or other matters arising under the National Internal Revenue Code or other law or part of law administered

by the Bureau of Internal Revenue; decisions of the Commissioner of Customs in cases involving liability for customs duties, fees or other money charges; seizure, detention or release of property

affected; fines, forfeitures or other penalties imposed in relation thereto; or other matters arising under the Customs Law or other

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law or part of law administered by the Bureau of Customs; in automatic review cases where such decisions of the Commissioner of Customs favorable to the taxpayer is elevated to the Secretary of Finance; and decisions of the Secretary of Trade and Industry, in the case of non-agricultural product, commodity or article, or the Secretary of Agriculture, in the case of agricultural product, commodity or article, in connection with the imposition of the Anti-Dumping Duty, Countervailing and

Safeguard Duty.

The CTA's original jurisdiction was expanded to include criminal cases involving violations of the National Internal Revenue Code and the Tariff and Customs Code and in local collection taxes where the principal amount of taxes and fees, exclusive of charges and penalties, claimed is one million pesos or more.

The CTA also exercises appellate jurisdiction over the decisions of the Regional Trial Courts in criminal offenses arising violations of the National Internal Revenue Code and the Tariff and Customs Code and other laws administered by the NIRC and BOC; local tax cases; decisions of the Central Board of Assessment Appeals in cases involving the assessment and taxation of real property; and collection of internal revenue taxes and customs duties the assessment of which have already become final.

3.4 Vision


An independent, impartial, effective and efficient Judiciary, protective of the rights of the people and the democratic institutions to ensure sustainable human development.


A Court which acts swiftly and fairly in the administration of justice at all times.

3.4.3 Sandiganbayan

Envisions a judicial institution that the Filipino people can rely on for the attainment of the highest norms of official conduct

required of public officers and employees.

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3.4.4 Court of Tax Appeals

A specialized tax court that is impartial, competent, transparent,

and worthy of public trust and confidence, ensuring faithful compliance with tax laws.

3.5 Mission


To uphold the rule of law through fair, expeditious and timely

judicial process in defending the constitutional and democratic rights and welfare of the people, and consistently pursue effective and efficient administration of justice.


It is the mission of the Court of Appeals:

1. To streamline the Court's adjudicative processes to ensure the delivery of justice real-time by eliminating unnecessary

time lags (waiting time) in the completion and decision stages of cases.

2. To guarantee transparency and accountability in both adjudicative and administrative processes, through appropriate information, education and communication

strategies that will involve the public and enhance trust and

confidence in the Court and its systems.

3. To institutionalize a capacity building program that wil l utilize

the highest metrics for ethical and professionalism evaluation

and assessment, and continuing knowledge and skills development and enhancement.

3.5.3 Sandiganbayan

The Sandiganbayan's mission is to give life and meaning to the

constitutional precept that a public office is a public trust and to impress upon public officers and employees their duty to serve

with the highest degree of responsibility, integrity, loyalty and

efficiency that they are at all times accountable to the people. It

carries out this objective by conducting expeditious trials of

criminal and civil cases involving offenses committed by public

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officers and employees, including those employed in governmentowned or controlled corporations.

3.5.4 Court of Tax Appea ls

The mission of the CTA is to achieve fair and speedy collection of taxes by the Government; to provide adequate judicial remedies to taxpayers against unreasonable or unjust tax assessments and refund of excessive or erroneously collected taxes; to render proper interpretation of tax statutes; to adhere to the independence of The Judiciary with utmost deference for public trust and confidence in The Judiciary.

3.6 Core Values of The Judiciary

Integrity Independence Transparency and Accountability

Accessibility Efficiency and Accuracy in the Judicial Processes Equality Impartiality Personal Responsibility Professionalism Fairness Fidelity to Duty Conscientiousness Competence Adaptability to Change Timeliness Adherence to Ethical Standards Dependability Confidentiality

RELATED DOCUMENT INFORMATION: Code of Conduct for Court Personnel (AM No. 03-06-13-SC) Code of Judicial Conduct (AM No. 03-05-01-SC) Code of Conduct and Ethical Standards for Public Officia ls and Employees (RA No. 6713)

4 . CONTEXT OF THE ORGANIZATION

4.1 Understanding the organization and its context

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The Judiciary shall determine the external and internal issues relevant to its purpose and strategic direction that can affect its ability to achieve the intended results of its quality management system.

The Judiciary shall monitor and review the information about these external and internal issues. The process of identification, monitoring

and reviewing internal and external issues shall be performed in accordance with the Planning Procedure to be conducted on an annual basis.

4.2 Understanding the needs and expectations of interested parties

Due to the effect or potential effect on the organization's ability to consistently provide services that meet the needs of court

users/stakeholders and applicable statutory and regulatory requirements, the Judiciary shall identify the following:

a. interested parties related to the QMS; b. needs, expectations and requirements of interested parties

relevant to the QMS and which of these needs, expectations and requirements become compliance obligations.

The Judiciary shall monitor and review interested parties and their relevant requirements. Further, identification

the information on these needs, expectations and of interested parties,

monitoring and reviewing their needs, expectations and requirem ents, including compliance obligation, shall be in accordance with the Process Map.

RELATED DOCUMENT INFORMATION: - List of Relevant Interested Parties - See Annex "A"

4.3 Determining the scope of the quality management system

The Judiciary shall determine the boundaries and applicability of the QMS to establish its scope. The determination shall take into account:

a. the external and internal issues; b. the compliance obligations; c. the organizational units, functions and physical boundaries; d. the activities, processes and services; and e. the authorities and ability to exercise control and influence.

Applicability of the QMS is limited to the processes involved from the time of filing of judicial cases until the issuance of the concerned Court's initial action on newly-filed judicial cases. For the Court of

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Appeals, the QMS applies only to the Manila Station. For the

Sandiganbayan, the QMS applies only to the Quezon City station. For

the Lower Courts, the QMS applies only to the RTC of Makati City and MeTC of Quezon City as pilot courts.

4.4 Quality Management System and Its Processes

4.4.1 The Judiciary shall establish, implement, maintain and continually improve the QMS including the processes needed and their interactions, in accordance w ith the requirements of ISO 9001:2015. Likewise, the Judiciary shall maintain and retain documented information.

The processes supporting the organization includes the development and management of human resources,

construction and management of facilities, management of procurement processes in accordance with the

regulatory requirements, management of financial resources, information technology, legal and ethica l issues, environmental, health and safety and external

relationships.

4.4.1.1 Service Process Map and Their Interaction

The filing of a case is initiated by personally filing to or

sending by mail to the docketing office of the Court any initiatory pleading or initiatory motion, complaint

or document with prayer for relief. This may also

include the transmittal to the appellate Court of the

original records of criminal cases and of civil cases

where the Notice of Appeal was given due course. This

leads to the receiving and processing of the initiatory

pleadings, motion for extension, initiatory document

or original records, the raffle of the case, action of the

court and the issuance and release of the court's

initial action.

RELATED DOCUMENT INFORMATION: - Service Process Map of The Judiciary - See Annex "B"

- Rules of Court - Manual for the Clerks of Court

- Internal Rules

5. LEADERSHIP

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5.1 Leadership and Commitment

Top management shall always demonstrate leadership and

commitment with respect to the QMS by:

a. taking accountability for the effectiveness of the QMS; b. ensuring that the quality policies and objectives are

established for the QMS and are compatible with the context

and strategic directions and attuned with the vision and mission of the Judiciary;

c. ensuring integration of the QMS requirements into the Judiciary's processes;

d. promoting awareness on the use of the process approach and risk-based thinking;

e. ensuring that the resources needed for the QMS are available; f . communicating the importance of effective quality

management and of conforming to the ISO 9001:2015 requirements as well as statutory and regulatory requirements;

g. ensuring that QMS and its processes achieve its intended resu lts;

h. engaging, directing and supporting persons to contribute to the effectiveness of the QMS;

i. promoting continual improvement; and j. supporting other relevant management roles to demonstrate

their leadership as it applies to their areas of responsibility.

5.1.1 Court Users/Stakeholders focus

Top management shall always demonstrate leadership and commitment with respect to court user/stakeholder focus by ensuring that:

a. Court user/stakeholder requirements and the applicable statutory and regulatory requirements are determined, understood and consistently met;

b. the risks and opportunities that can affect conformity

of services and the ability to enhance customer satisfaction are determined and addressed;

c. Court Users/Stakeholders satisfaction is monitored and enhanced.

RELATED DOCUMENT INFORMATION: - Survey - Procedure on Monitoring and Maintaining Client Satisfaction - See Annex "C"

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5.2 Quality Policy

The Top Management established and issued a Quality Policy:

The Philippine Judiciary is an independent and co-equal branch of the government that is empowered by the Constitution to exercise judicial power. It is committed to provide independent, impartial, effective and efficient administration of justice to secure the public's right to speedy and fair disposition of their cases:

To achieve this, THE JUDICIARY shall:

1. Uphold the rule of law by preserving and defending the Constitution, effecting the laws of the country, and protecting the rights of the people;

2. Guarantee an independent and credible judicial institution by requiring the highest professional and moral standards from its Members, officials and employees;

3. Ensure stability of jurisprudence so that there is a fair degree of

predictability, rationality, speed and responsiveness of judicial actions;

4. Continually employ reforms and innovations to increase the courts' efficiency and accessibility;

5. Provide its Members, officials and employees the highest quality work environment conducive to the faithful discharge of their functions; and

6. Institute a quality management system that complies with the international standard of good practice as well as constitutional, legal and regulatory requirements; and pursue the highest

standard to improve the effectiveness and efficiency of its quality management system.

The above Quality Policy shall be:

a. disseminated and communicated to all persons working for or on behalf of the Judiciary, and all other relevant interested parties and applied within the Judiciary including non-organic employees and relevant interested parties so that they are aware of their respective duties on quality;

b. maintained and made available documented information;

c. reported by the QMS Core Team to the Top Management on the needs of distribution within the organization and relevant

interested parties; and


d. periodically reviewed through management review or changes of business scope, services, technology to ensure that the quality policy adapts to the needs of the changing times.

5.3 Organizationa l Roles, Responsibi lities and Authorities

The top management of the Judiciary shall ensure that the responsibilities and authorities for relevant roles are assigned, communicated and properly implemented within the organization.

(The 201 File is kept by the OAS.)

Likewise, the QMS Core Team shall have the responsibility and authority to do the following:

a) ensure that a QMS is maintained in accordance 9001:2015 standards;

established, implemented and with the requirements of ISO

b) ensure that the processes deliver their intended outputs;

c) Report to the Top M anagement for its review the performance of the QMS including recommendations and opportunities for improvement;

d) ensure the promotion of customer focus throughout The

Judiciary; and

e) ensure that the integrity of the QMS is maintained when

changes to the QMS are planned and implemented.

QMS CORE TEAM

QUALITY PLANNING TEAM

Name and Position . . rT,,- ..

Office • c I. - .· l •, . '

.: ·1 ...

1. Atty. Basilia T. Ringo! Judicial Records Office, Supreme Court Deputy Clerk of Court and Judicial Records Officer

2. Atty. Sweet Ivy G. Espejo Office of the Division Clerk of Court, Court Attorney Ill First Division

3. Atty. Rachelle E. Uy-Trinidad Office of the Division Clerk of Court, Court Attorney Ill Second Division

4. Atty. Anita Jermerlan Ry Office of the Executive Clerk of Court,

Assist ant Clerk of Court Court of Appeals

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5. Atty. Ritchelle M. Desingano-Yranela

Court Attorney IV 6. Atty. Margarette Y. Guzman

First Division Clerk of Court (Executiv Clerk of Court Ill)

7. Atty. Maria Corazon Cecilia H. Pineda

Clerk of Court VII 8. Ms. Gemma S. Besinio

Clerk of Court Ill

WORKPLACE MANAGEMENT TEAM

2. Ms. Ana Leah G. Sevilla Budget Officer Ill

3. Atty. Thomas Elliot A. Mandez Court Attorney IV

4. Mr. Florecel M. Sebastian

Executive Assistant II 5. Dir. Elsie R. Tiauzon-Forteza

Chief of Office 6. Atty. Shielani Agnes B. Dingle

Court Attorney V

7. Ms. Teresa P. Atilon Administrative Officer Ill

8. Mr. Rolando C. Josue SC Supervising Judicial Staff Officer

Office of the Presiding Justice1

Sandiganbayan Office of the Division Clerk of Court, First Division, Court of Tax Appea ls

Office of the Clerk of Court, RTC, Makati City Office of the Clerk of Court, MeTC, Quezon City

Personnel Division, Office of Administrative Services, Supreme Court

Budget Division, Fisca l Management and Budget Office

Office of the Presiding Justice1 Court of Appeals Office of the Executive Clerk of Court

Ill, First Division, Sandiganbayan

Office of Administrative and Finance Services, Court of Tax Appeals Office of the Presiding Justice, Court of Tax Appeals

Office of the Clerk of Court, RTC, Makati City

Office of Administrative Services, Office of the Court Administrator

DOCUMENTS AND RECORDS CONTROL TEAM

1. Atty. Diana G. Ligero-Tong Court Attorney VI

2. Mr. Renato M. Sister Supervising Judicial Staff Officer

3. Mr. Dennis S. Macaranas

Records Officer II 4. Mr. Benjamin D. Pineda, Jr. Chief Judicial Staff Officer

5. Mr. Jaime A. Rayco Records Officer II

Judicial Records Office, Supreme Court Judicial Records Division, Court of Appeals Judicial Records Division,

Sandiganbayan Judicial Records Division, Court of Tax Appeals

Office of the Clerk of Court, RTC, Makati City

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6. Ms. Leonora A. Bautista

Records Officer II

INTERNAL QUALITY AUDIT TEAM

(PROCESS QUALITY REVIEW TEAM)

.· Name and Position 1' Ill_";~-, •4 ";"-~·: ~· ,~- ~ • ~ .. ;·t~'1t'foYi~ -~ ' ' _I

. [ ·., _ '. t ~~·i:z: t::;

1. Atty. Anna Li R. Papa-Gombio

Deputy Clerk of Court, En Banc

2. Atty. Glory V. Villanueva-Mauricio

Court Attorney IV

3. Atty. Jennifer P. Sison Court Attorney II

4. Atty. Belinda M. Atienza

Court Attorney IV

5. Atty. Abigail S. Domingo-Layla

Division Clerk of Court

6. Mr. Guillermo S. Nacario, Jr.

Supervising Judicial Staff Officer

7. Atty. Theresa G. Cinco-Bactat

Assistant Clerk of Court, En Banc

(Executive Clerk of Court Ill)

8. Atty. Megan Daphne Musni

Executive Assistant

9. Atty. Eduardo C. Tolentino

Court Attorney V

10. Atty. Jocelyn T. Fabian Court Attorney VI

QMS Core Team

TOP MANAGEMENT

Office of the Clerk of Court, MeTC,

Quezon City

Office· ~· . ,' • ~· · •;.;-·~:__..;.i-ti '·::.i.~' ~rJ,. '" .-r•·• ·)'. ., ··,,~;· . ~

Office of the Clerk of Court, En Banc

Office of the Division Clerk of Court,

Third Division, Supreme Court

Judicial Records Office, Supreme Court

Program Management Office, Supreme Court

Eleventh Division, Court of Appeals

Judicial Records Division,

Sandiganbayan

Court f Tax Appeals

Office of the Court Administrator

Lega l Office, Office of the Court

Administrator

Office of Chief Justice Maria Lourdes P.A. Sereno

a) The Supreme Court En Banc shall lead the establishment,

implementation, monitoring and maintenance of the QMS;

b) Ensure that quality objectives are set at relevant functions

consistent with the Quality Policy; c) Communicate the importance of meeting court

use rs/stakeholders requirement;

d) Dete rmine and provide necessa ry resources and ensure that

these are adequately available; and

e) Conduct management review meetings.

QUALITY MANAGEMENT REPRESENTATIVE

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a) Oversee the establishment, documentation, and effective implementation of the QMS;

b) Act as liaison with external parties on matters relating to t he organization's QMS;

c) Develop procedures for Internal Audit, Management Review,

managing nonconformities and corrective actions; and d) Report QMS performance to Top Management for review

and continual improvement.

DEPUTY QUALITY MANAGEMENT REPRESENTATIVE

a) Assist the QMR in performing its duties and responsibilities; and

b) Assumes responsibility in the absence of the QMR.

SECRETARIAT

a) Assist in the delivery of administrative requirements; and b) Coordinate logistical requirements needed for the QMS

implementation.

DOCUMENTS AND RECORDS CONTROL

a) Consolidate all the documented information requirements

for the Quality Manual, Process Map and related quality system documents;

b) Issue and control distribution of quality system documents; c) Maintain master copies and master list of the said documents; d) Coordinate the development of records management aligned

and integrated with ISO 9001:2015; and e) Closely coordinate with section heads on all matters

concerning records management, especially on records

generated from the process within the scope of QMS.

INTERNAL AUDIT TEAM

a) Coordinate, facilitate, establish and monitor the implementation of the audit program;

b) Identify the necessary resources for managing the audit

program; c) Provide criteria for the selection of the QMS Internal Auditors;

and d) Coordinate and provide inputs to the selection and training

of QMS Internal Auditors.

TRAINING AND EDUCATION TEAM


a) Plan and coordinate echo sessions on the concepts of ISO and other relevant approaches in order to promote understanding, active participat ion, commitment and

cooperation towards the establishment, sustenance and improvement of QMS.

QUALITY WORKPLACE TEAM

a) Develop, monitor and maintain quality workplace standards.

POLICIES, SYSTEMS, PROCEDURES TEAM

a) Coordinate closely with section heads on all matters concerning policies, systems and procedures;

b) Consolidate all the policy, system and procedural requirements in all departments; and

c) Develop necessary policies, systems and procedures for strict implementation.

COURT /OFFICE REPRESENTATIVES

a) Provide necessary information and insight, responsible for the ongoing development, implementation and maintenance of the QMS within their courts/offices. They shall ensure that the quality processes in place are in line with the quality objectives.

RELATED DOCUMENT INFORMATION:

- Special Order/Memorandum Order/Authorization for the Creation of QMS Core Team

6. PLANNING

6.1 Actions to address risks and opportunities

The Judiciary shall consider the external and internal issues, requirements, needs and expectations of interested parties and shall

determine the risks and opportunities that need to be addressed to:

a. give assurance that the QMS can achieve its intended result; b. enhance desirable effects; c. prevent, or reduce, undesired effects; d. achieve continual improvement (by integrating and

implementing actions into its QMS aside from evaluating the effectiveness of actions taken).


6.2 Quality objectives and planning to achieve them

The Judiciary shall ensure that quality objectives are established annually at relevant levels, functions and processes. The objective establishment process takes into account conformity to adjudicatory processes and court users/stakeholders satisfaction, compliance with relevant laws statutory rules and regulations and in consideration of risks and opportunities.

Thus, the Judiciary shall see to it that quality objectives are:

a. consistent with the Quality Policy; b. measurable and achievable; c. monitored; d. communicated; e. updated as appropriate; and f . documented and maintained.

6.3 Planning of changes

The changes to the QMS shall be carried out in a planned manner, and as needed, considering:

a. the purpose of the changes and their potential consequences; b. the integrity of the QMS; c. the availability of resources; and d. the allocation or reallocation of responsibilities and

authorities.


- Control of documents - See Annex "D" - Control of records - See Annex "E"

7. SUPPORT

7.1. Resources

The Judiciary shall determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the QMS. It shall also consider:

a. the capabilities of, and constraints on, existing internal resources; and

b. the needs to be obtained from external providers.

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7.1.2 Human resources

The Judiciary shall commit to provide the people necessary for

the effective implementation of the QMS and control of processes.

RELATED DOCUMENT INFORMATION: - Organizational Chart -csc Rules

- Human Resource Manual

7.1.3 Infrastructure

The Judiciary shall determine, provide and maintain the necessary infrastructure for the operation of its processes to achieve conformity of services.

RELATED DOCUMENT INFORMATION: - Organizational Chart - Human Resource Manual - Internal Rules

7.1.4 Environment for the operation of processes

The Judiciary shall determine, provide and maintain an environment that will facilitate efficient performance of functions for the operation of its processes, to achieve optimum delivery of

services.

RELATED DOCUMENT INFORMATION: - Organizational Chart - Human Resource Manual

7.1.5 Monitoring and measuring resources

The Judiciary shall determine and provide the resources needed to ensure valid and reliable results when monitoring or measuring to verify the conformity of services to the requirements and quality performance.

The Judiciary shall ensure that the resources provided:

a. are suitable for the specific type of monitoring and measuring

activities being undertaken; b. are maintained to ensure their continued fitness for their

purpose.

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The Judiciary shall retain appropriate documented information as evidence of fitness for the purpose of monitoring and measuring resources.

7.1.6 Organizational l<nowledge

The Judiciary shall determine the organizational know ledge and

learnings necessary for the operation of its processes and to achieve conformity of services.

This knowledge shall be maintained and made avai lable to the

extent necessary.

When addressing changing needs and trend s, t he Judiciary shall consider its current knowledge and determine how to acqu ire or access any relevant additional knowledge.

RELATED DOCUMENT INFORMATION: - Administrative Circu lars, Administrative Orders and Other Issuances

7.2 Competence

The Judiciary shall:

a. determine the competence necessary for the work under the personnel's control that affects the quality of performance

and effectiveness of the QMS;

b. ensure that these personnel are competent on the basis of appropriate education, training and experience;

c. take action to acquire the necessary competence and evaluates the effectiveness of the actions taken;

d. Retain appropriate documented information as evidence of

competence.


- Organizational Chart - Standard Operating Procedure of OAS

- Job Profile /Description per position

- Qualification Standards - Training Needs Assessment

- Competency Framework Model

7.3 Awareness

The Judiciary shall ensure that all court personnel are aware of:


a. the Quality policy; b. related Quality objectives;

c. their contribution to the effectiveness of the QMS including the significant aspects and related actual or potential environmental impacts associated with their work; d. the implications of not conforming with the QMS requirements.


- Quality Manual - Qua lity Objectives in the OPCR, DPCR and IPCR - Qua lity Objectives: Performance vs Target - Benchmark - Attendance Sheets - Attendance on certa in training programs related to QMS - Website

- Newsletter - Issuances

- Training modules and seminar attendance sheets

7.4 Communication

The Judiciary shall identify t he need communications relevant to the communication channels that are

for internal and externa l QMS including various

being utilized such as memorandums, circulars, office orders, internal publication, social media, emails, websites, portals, bulletin boards, telephone and video conferencing systems, among others.

7.5 Documented informat ion

Documentation structure in the Judiciary is as follows:

Level 1: Constitution, Laws and Other Issuances - This is t he highest

level of Qual ity System documentation which provides for the constitutiona l, statutory and regulatory requirements as to t he processes of t he Judiciary.

Level 2: Quality Manual - It contains the quality policy, organizational structure, resource management, and specific policies for processes and quality control and improvement.

Level 3: Procedures and Work Instructions Manual (PAWIM) with Process Maps - These are operational guides on what the organization does and how it achieves stated policies. It also provides guidance on how to communicat e and perform various activities. It

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CODE

includes operational instructions that describe the detailed series of

steps in performing routine activities.

Level 4: Quality Records - These include records providing evidence of conformity to the established procedures and operational instructions, as well as the Judiciary's QMS. This could be in the form of checklists, forms, templates and other support documentation.

7.5.1 Creating, updating and controlling documented information

When creating and updating documented information, the Judiciary shall ensure that the document shall have the appropriate:

a. identification document code or reference which shall serve as the document control number for tracking, title, effectivity

date, version and author or issuance, to wit:

REPRESENTS SC-QMS Documented Information 2-3

letter code

###

DD

MM yyyy

Operation

Procedures ·and Work Instructions Manual (PAWIM), guides, work instructions, etc. The list includes other departments even outside the scope of the QMS for clarity purposes only SC specific for Supreme Court

CTA specific for Court of Tax Appeals SB specific for Sandiganbayan Others

... Documented information number

Day Month

Year

b. format (language shall be in English, in Calibri font, and generally, 14 text size). All templates shall have appropriate footnote based on the agreed templates and or format. There shall be a prescribed organization logo, internal and external look and feel of templates for compliance at all times.

c. Review and approval for suitability and adequacy (This shal l be based on communication matrix. )

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RELATED DOCUMENT INFORMATION: - Control of Documents - See Annex "D"

- Control of Records - See Annex "E"

8. OPERATION

8.1 Operational planning and control

The Judiciary shall plan, implement and control the processes needed

to meet the requirements for the provision of its services and

implement the actions determined in planning, as described in

Section 6 of this Quality Manual, by:

a. determining requirements for the services;

b. establishing criteria for:

1. the processes; and

2. the acceptance of the se rvices;

c. determining the resources needed to achieve conformity to

the se rvice requirements; d. implementing control of the processes in accordance w ith the

criteria;

e. determining, maintaining and retaining documented information to the extent necessary:

1. to have confidence that the processes have been carried out as planned;

2. to demonstrate the conformity of services to their

requirements;

The output of this planning shall be suitable for the Judiciary's core

process and operation.

Targets are based on the mandate, mission, vision and core values of

the Judiciary. Targets are determined based on historical data and

benchmarking, w ith the approval of the Top Management. The

Judiciary shall control planned changes, review consequences, and take action to mitigate any adverse effects. It shall also ensure that

outsourced processes are controlled.


- Constitution - Genera l Appropriations Act

- Planning, Programming and Budgeting Workshop

8.2 Requirements for services

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The Judiciary shall identify, determine and implement arrangements for communication with its customer relating to general information, inquiry and court users/st akeholders feedback through:

a. Client satisfaction survey form b. Public Assistance and Complaints Desk

c. Consultation meetings with prospect and existing court users/stakeholders, partners and other interested parties (e.g. Publications, Pilot-testing)

d. Multimedia for information/advocacy campaign on various socio-civic programs and accomplishments in liaison with the

Judiciary e. Signage

RELATED DOCUMENT INFORMATION: - Client Satisfaction Survey Form - Organizational Chart - Ulat ng Hudikatura - Issuances - Rules of Court

8.3 Design and development of services

All conceptual designs and technical specifications shall be based on

the needs of the court users/stakeholders.


- Supreme Court En Banc Resolution - Relevant Interested Parties - See Annex "A"

- Amendments on the Rules of Court - Issuances

8.4 Control of externa lly provided processes and services

The Judiciary currently outsources some of its services especially if personnel are not presently included in the approved Table of Organization. Some of the externally provided services include: janitorial services, security services, air-condition maintenance, service vehicle maintenance, and warehousing of records.

The Judiciary shall ensure that controls are applied to externally provided processes and services in conformity to the requirements. It shall determine the controls to be applied and ensure that they do not adversely affect the Judiciary's ability to deliver the services.


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- Annual Procurement Plan - Terms of Reference

- Award

- Contract

- Registry of Controls of External Providers - See Annex "F"

8.5 Service provision

The Judiciary currently controls the services relative to the filing of

the initiatory pleadings, motion, document or original records up to

the Court's first action which include:

1) having documented information;

2) ensuring that suitable monitoring resources are determined and maintained;

3) ensuring suitable infrastructure and environment; 4) appointment of competent personnel; 5) implementation of actions to prevent human error;

6) identification and traceability of cases by having a unique docketing system;

7) managing any changes following the Control of Records Matrix; and

8) controlling the release of records following the Control of Records Matrix.

RELATED DOCUMENT INFORMATION: - Constitut ion - Rules of Court

- Internal Rules

- Control of Records Matrix - CMIS Manual

8.6 Control of nonconforming outputs

The Judiciary currently ensures that outputs that do not conform to

the requirements are identified and controlled to prevent unintended use or delivery.

RELATED DOCUMENT INFORMATION: - Control of Nonconforming Outputs - See Annex "G" - Control of Corrective Act ions - See Annex "H"


9. PERFORMANCE EVALUATION

9.1 Monitoring, measurement, analysis and evaluation

9.1.1 General

The Judiciary shall:

a. Identify its Major Final Output (targets); b. Determine what needs to be monitored and measured; c. Determine the methods for monitoring, measuring, analyzing

and evaluating to ensure valid results; d. Determine when the monitoring and measuring should be

performed; e. Determine when the results shall be analyzed and evaluated;

and f. Provide intervention to maintain or improve performance

RELATED DOCUMENT INFORMATION: - Quality Objectives - SPMS (OPCR/DPCR/IPCR}

9.1.2 Court Users/Stakeholders Satisfaction

The Judiciary shall monitor court user's/stakeholder's perception and shall analyze and evaluate appropriate data and information arising therefrom in order to gauge if the court user/stakeholder requirements have been fulfilled.

RELATED DOCUMENT INFORMATION: - Procedures on Monitoring and Maintaining Client Satisfaction

- Client Satisfaction Survey - Client Satisfaction Survey Results

9.2 Internal Audit

The Judiciary's Internal Quality Audit procedure is establ ished and activity is conducted once a year according to planned arrangements. It is to be effectively implemented and maintained.

RELATED DOCUMENT IN FORMATION: - Quality Procedure on Internal Quality Audit - See Annex " I"

- Audit Program - Audit Plan - List of QMS Internal Audit Team - Non-Disclosure Agreement for Auditors

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- Aud it Itinerary - Audit Checklist and Audit Notes - Audit Summary Report

9.3 Management review

The Judiciary will review the organization's QMS once a year to

ensure its continuing suitability, adequacy, effectiveness and

alignment with t he strategic direction of the organization taking into consideration:

a. the status of actions from previous management reviews b. the changes in the external and internal issues that are

relevant to the QMS

c. the information on the performance and effectiveness of the QMS including:

c.1 court users/stakeholders satisfaction and feedback from relevant interested parties

c.2 extent to w hich Quality objectives have been met c.3 process performance and conformity to services c.4 nonconformities and corrective actions c.5 monitoring and measurement results c.6 audit resu lts c.7 performance of externa l providers

d. the adequacy of resources e. t he effectiveness of actions taken to address risks and

opportunities

f . the opportunities for improvement

RELATED DOCUMENT INFORMATION: - Minutes of the Management Review Meeting - Control of Documents - See Annex "D" - Control of Records - See Annex "E"

10. IMPROVEMENT

The Judiciary shall continually improve the suitability, adequacy and effectiveness of the QMS through ana lysis and evaluation, using outputs

from management review, correction and corrective action reports, breakthrough change, innovation and re-organizat ion.

11. REFERENCES

See Reference Matrix for each Court.

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CHAPTER II THE SUPREME COURT

1. History

1.1 The Establishment of the Supreme Court of the Philippines

On June 11, 1901, the Second Philippine Commission passed Act No. 136, entitled An Act Providing for the Organization of Courts in the Philippine Islands, formally establishing the Supreme Court of the

Philippine Islands and creating Courts of First Instance and Justices of the Peace Courts throughout the land . The judicial organization established by the Act was conceived by the American lawyers in the Philippine Commission and was patterned in its basic structures after similar organizations in the United States.

Act No. 136 abolished the Audiencia established under General Order No. 20 and declared that the Supreme Court created by the Act be

substituted in its place. This effectively severed any nexus between the

present Supreme Court and the Audiencia.

1.2 The Supreme Court During the 1935 Constitution

1.2.1 During the Commonwealth

The ratification of the 1935 Philippine Constitution brought the principle

of separation of powers to the Philippines. This separation of powers was not done by express and specific provision in the Constitution but by actual division of powers of the government - executive, legislative

and judicial - provided in specific articles of the 1935 Charter.

As in the United States, the judicial power was vested by the 1935 Constitution "in one Supreme Court and in such inferior courts as may

be established by law." It devolved on the judiciary to determine

whether the acts of the other two departments were in harmony with

the fundamental law.

The Court during the Commonwealth was composed of "a Chief Justice and ten Associate Justices, and may sit en bane or in two divisions, unless otherwise provided by law."

1.2.2 The Second Republic

The ending of the Japanese occupation and the subsequent independence of the Philippines from the United States saw the passage

of Republic Act No. 296 or the Judiciary Act of 1948. This law provided for a more comprehensive characterization of the jurisdiction of the


Court by grouping together the cases over which the Supreme Court could exercise exclusive jurisdiction to review on appeal, certiorari, or writ of error.

1.3 The Supreme Court Under the 1973 Constitution

The declaration of Martial Law through Proclamation No. 1081 by former President Ferdinand E. Marcos in 1972 ended the effectivity of

the 1935 Constitution and ushered in the 1973 Constitution. This would have impact on the Court's exercise of its judicial power as well as its

relationship w ith the two other branches of government under the

principle of separation of powers ordained by the 1935 Constitution and

carried over to the 1973 Constitution.

Significant to the Court's exercise of powers was its recognition of Amendment No. 6 to the 1973 Constitution which gave the President legislative powers even while an elected legislative body continued to function. This put the Court in a situation of having to pass upon presidential decrees and proclamations, letters of instruction, and other presidential issua nces which under Amendment No. 6 were to have the force and effect of law.

Also, largely defining the relationship between the Court and the Executive Branch was its co-existence with military commissions created pursuant to the martial law powers of the President which were given jurisdiction to try civilians for crimes which fell within the jurisdiction of the regular courts which continued to remain open and functioning.

The 1973 Constitution increased the number of the members of the

Supreme Court from 11 to 15, with a Chief Justice and 14 Associate Justices. The Justices of the Court were appointed by the President alone without the consent, approval, or recommendation of any other body or officials.

1.4 The Supreme Court Under the Revolutionary Government and the Freedom Constitution

The successfu l upheaval that was known worldwide as the "People Power Revolution" saw the assumption into office of President Corazon C. Aqu ino as the seventh President of the Republic. One of her first acts was to declare t he existence of a revolutionary government under Proclamation No. 1 dated February 25, 1986. Among the more significant portions of t his Proclamation was the directive to "a ll appointive officials to submit their courtesy resignations beginning w ith the members of the Supreme Court." Heeding the call, the members of the judiciary - from the Supreme Court to the Municipal Circuit Courts -

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submitted their resignations. President Aquino then proceeded to reorganize the entire Court, appointing all 15 members, and also the lower courts.

On March 25, 1986, President Corazon Aquino, through Proclamation No. 3, also abolished the 1973 Constitution and put in place a Provisional "Freedom" Constitution. Under Article 1, section 2 of the Freedom Constitution, the provisions of the 1973 Constitution on the judiciary were adopted insofar as they were not inconsistent with Proclamation No. 3.

On March 25, 1986, President Aquino issued Proclamation No. 3, Article V of Proclamation No. 3 also provided for the convening of a Constitutional Commission composed of 50 appointive members to draft a new constitution; this would be implemented by Proclamation No. 9. The output of the Constitutional Commission of 1986 was submitted to the people for ratification on February 2, 1987. The ratification of the 1987 Constitution ended the effect ivity of thee

Freedom Constitution of 1986.

1.5 The Supreme Court Under the 1987 Constitution

The 1987 Constitution, simi lar to the 1935 and 1973 Constitutions, vests the judicial power "in one Supreme Court and in such lower courts as may be established by law." (Art. Vil, Sec. 1) Whi le the exercise of judicial power is shared by the Supreme Court with all the lower courts, it is only the Supreme Court's decisions that are vested with precedential value as only its interpretations of the Constitution and the laws carry doctrinal authority.

Unlike all previous Constitutions, however, the 1987 Constitution defines the concept of judicial power in a very specific way. Art. VIII,

Section 1, paragraph 2 provides that "(j)udicial power includes the duty of the courts of justice to settle actual controversies involving rights

which are legally demandable and enforceable, and to determine whether or not there has been a grave abuse of discretion amounting to lack or excess of jurisdiction on the part of any branch or instrumentality of the Government." The latter phrase expands the authority of the courts and dilutes the effectivity of the "political question" doctrine which places specific questions best submitted to the political wisdom of the people beyond the review of the courts.

The 1987 Constitution also provides for specific safeguards to enhance judicial power and to protect judicial independence. The framers of the 1987 Constitution added new provisions to ensure the independence of the judiciary. These safeguards are found in the following provisions:

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1) The grant to the judiciary of the right to enjoy fiscal autonomy to isolate the courts from the caprice and vindictiveness of lawmakers. "Appropriations for the Judiciary may not be reduced by the legislature below the amount appropriated for the previous year, and, after approval, shall be automatically and regularly released." (Art. VIII, Sec. 3)

2) The grant to the Chief Justice of authority to augment any item in the

general appropriation law for the judiciary from savings in other items

of sa id appropriation as authorized by law. {Art. VI, Sec. 25[5])

3) The removal from Congress of the power to deprive the Supreme Court of its jurisd iction over cases enumerated in Section 5 or Article VIII. 4) The gra nt to the Court of the power to appoint all officials and employees of the judiciary in accordance with the Civil Service Law. (Art. VIII, Sec. 5 [6])

5) The removal from the Commission on Appointments of the power to confirm appointments of justices and judges. (Art. VIII, Sec. 8) 6) The remova l from Congress of the power to reduce the compensation or salaries of the justices and judges during their continuance in office. (Art. VIII, Sec. 10) 7) The prohibition against the removal of judges through legislative reorganization by providing that "(n)o law sha ll be passed reorganizing the Judiciary when it undermines the security of tenure of its members." (Art. VIII, Sec. 2) 8) The grant of sole authority to only the Supreme Court to order the temporary detail of judges. (Art. VIII, Sec. 5[3]) 9) The grant of sole authority to only the Supreme Court to promulgate rules of procedure for the courts. (Art. VIII, Sec 5[5]) 10) The prohibition against designation of members of the

Judiciary to any agency performing quasi-judicial or administrative function. (Art. VIII, Sec. 12) 11) The 1987 Constitution lodged administrat ive supervision over t he lower courts and its personnel in the Supreme Court. {Art. VIII, Sec. 6)

The Supreme Court under the 1987 Constitution is composed of a Chief Justice and 14 Associate Justices. The members of the Court are appointed by the President from a list prepared by the Judicial and Bar Council of at least three nominees for every vacancy. This new process is intended to insulate the courts of justice from polit ical pressure, ensure the choice of competent judges, and fill existing vacancies without undue delay.

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2. Organizational Chart

SUPREME COURT EN BANC

Office of the Chief Justice

Office of the Clerk of Court

En Bone

Office of Associate Just ices

1" Division 11 2•d Division 11 3rd Division Clerk of Court Clerk of Court Clerk of Court

Judicial Records Office

Office of Admini!:trative

Services

3. Functional Description

Fiscal Management & Budget Office

3.1 Offices of the Clerks of Court

l\1lanagement Information

Systems Office Printing Service

The Offices of the Clerks of Court (En Banc, First, Second and Third Divisions) provide adjudicative support to the Court, sitting en bane or in Divisions. They prepare the agenda and minutes of the Court's sessions; issue and release notices of all Court resolutions and facilitate the service thereof to parties or their counsels; promulgate Court judgments and orders; and prepare periodic and annual reports to keep the Court informed of the Court's performance.

The Clerk of Court En Banc further provide non-adjudicative support as he/she exercises general supervision over all offices and services under the Office of the Clerk of Court En Banc; proposes, reviews and executes budgetary and financial transactions of the Court; coordinates the operations and activities of all offices and organizational units of the

Court to ensure efficiency; and studies and recomm ends reforms including research and studies required in aid of the Court's deliberations.

3.2 Judicial Records Office

The Judicial Records Office manages the activities in connection with judicial processes from the filing of judicial cases to the entry of judgment and the remand of records of cases disposed of. It controls the receipt, processing and reporting of pleadings filed before the Court in judicial cases. It is charged with the custody of rollos and records of cases, including transcripts and exhibits.

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The JRO further prepares, or assists in the preparation of, data/statistics on judicial cases, and helps in the planning and evaluation of work programs for the systematic management of judicial records.

3.3 Office of Administrat ive Services

The Offices of Administrative Services of the Supreme Court t akes

charge of the processing of appointments of personnel of the Supreme Court. It plans, recommends and implements personnel management and development programs of the Court. It formulates and implements policies, guidelines, procedures and t echniques for more effective operation of an office.

It initiates and/or recommends career and employee development programs, incentives and award system, employee health, welfare and recreation se rvices, performance and efficiency rating, and promotion plans for adoption and implementation by the Supreme Court.

The OAS likewise manages the supply and property requirements of the Court, and provides housekeeping and security services.

3.4 Fiscal Management and Budget Office

The Fisca l M anagement and Budget Office of the Supreme Court takes the lead in the preparation of the budget of the Judiciary by assisting the Budget Committee in the review, consolidation and submission of the Judiciary's budget estimates and financial reports. In connection, the FMBO is charged with the preparation of the budget of the Supreme

Court and the lower courts.

It further manages the expenditures of the Supreme Court, and for that purpose, it is responsible for the fiscal, budget, accounting and cashiering activities of the Court.

As a measure to professionalize the Judiciary's budgeting process founded upon a results-based framework articulated in the Philippine Development Plan, the Supreme Court has, since 2015, created a Budget Committee tasked to finalize the Judiciary's budget for the succeeding year, submit t he sa me to the Congress through the Department of Budget and Management, and conduct the budget defense of t he Judiciary.

3.5 M anagement Information Systems Office

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The Management Information Systems Office functions as overall

network administrator for the whole judicial information technology network. It plans, recommends and implements policies, guidelines, procedures and techniques concerning improved records management and data processing operations. It develops and maintains efficient computer usage; introduces and implements change management programs; and identifies and recommends various ways to maximize use of information and communication technology for improvement of services. The MISO likewise renders technical and/or administrative assistance/advice on difficult and complicated ICT matters.

3.6 Printing Service

The Printing Service is responsible for the printing activities and projects of the Supreme Court. Specifically, it is tasked to print ro//os of judicial cases and such other forms and documents that require professional printing.

As part of its function, the Printing Service implements policies, rules and regulations relating to printing; devises systems and formulates procedures for the improvement of the printing service; and recommends the acquisition of printing materials, equipment, and supplies.

4. Process Map

Figure 4 .1


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5. References

PROCESS

• Process in g of

Initiatory

Pleading

SUB-PROCESS

• Receiving and processing of

Initiatory

Pleadings o r motions

• Action of the

Court

• Issuance and Release of Initial Action/Resolutio n

REFERENCES

• The 1987 Ph ilippine Const it ut ion

• The Rules of Court

• The 2002 Revised Manual for Clerks

of Court (vols. 1 & 2)

• CAS 2.0 User Manual

• SC Administrative Matters: o Internal Rules of the Supreme

Court (A.M. No. 10-4-20-SC) o Proposed Rules on E-Fil ing (A.M .

No. 10-3-7-SC) o Efficient Use of Paper Rule (A.M .

No. 11-9-4-SC)

o Guidelines on Submission and Processing of Soft Copies of Supreme Court Bound Paper

Pursuant to the Efficient Use of Paper Rule (AM No. 10-3-7-SC

and AM No. 11-9-4-SC) o 2004 Rules on Notaria l Practice

re Competent Evidence of

Identity (AM No. 02-8-13-SC)

o Revised Upgrading of Schedu le of the Legal Fees in the Supreme

Court and Lower Courts under

Ru le 141 of the Ru les of Court (AM No. 04-2-04-SC)

o Re: R.A. No. 9406, Exempting

Clients of PAO from Payment of Docket and Other Fees. (A.M.

No. 07-5-15-SC)

o Request for Amendment of Processing Slips for Motion for

Extension to File Petit ion, Petition for Review on

Cert iorari, Petition for Certiorari,

Proh ibition, Mandamus, Etc. (AM No. 09-1-13-SC)

o Statement of Contact Detai ls of parties or their counsels in all

pleadings filed wit h the


Supreme Court (A.M. No. 07-6-5-SC)

o Filing of Petitions/Pleadings After Office Hours (AM No. 06-8-18-SC)

o Request of Puno & Puno Law Offices to be Allowed to

Examine and Reproduce the

Pertinent Records and Case Files Relating to Palinpinon and Tongonan Geothermal Power Plant and National Power Corporation and to Make Inquiries and Conduct Interview with Personnel, Officers, and

Employees of this Court (AM No. 09-7-5-SC)

o Re: Computation of Time When the Last Day Falls on a Saturday, Sunday or Legal Holiday and a Motion for Extension Filed on Next Working Day is Granted. (A.M. No. 00-2-14-SC)

o Pleadings for Reporting in the Agenda (AM No. 15-04-05-SC)

o SC Bar Matters: o Requirement

Receipt No. Payment of

that Official and Date of

Current IBP Membership Dues be Indicated by Counsel for IBP Resolution No. XIV-1999-63 (BM No. 287)

o Request to Require Lawyers to Indicate in the Pleading their Number in the Roll of Attorneys (BM No. 1132)

o Recommendation of MCLE Board to Indicate n All Pleadings Fil ed with the Courts the Counsel's MCLE Certificate of Compliance or Certificate of Exemption (BM No. 1922)

• En Banc Resolution: o L-26112 and L-30240 dated

December 2, 2008 (re Denying

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the request for a certified true

copy of the Decision because the letter-sender is not a party to these cases)

• En Banc Memorandum: o Copies of Documents Wh ich the

Supreme Court Was Merely Furnished (August 22, 2013)

• JRO Memorandums: o Request for Authority to

Implement a Standard

Transmittal of Mails (May 7, 2014)

o Mandatory Use of Barcode Labels and Uniform Envelope Template for the Official Mail Matters of the Supreme Court (January 4, 2016)

o Soft Copies of Penned Decisions,

Signed Resolutions/Extended Resolutions and Minute

Resolutions (October 21, 2014)

• JRO Internal Memorandums: o Protocol on Change of Entry in

the Docket Books and Case Administration System

(November 25, 2013) o JRO Protocols in Making Entries

in the Docket Books (August 25, 2016)

o JRO Protocols in Answering

Public Queries and Requests (IM

No. 12, February 29, 2016)

o JRO Protocols on Case Verification (IM No. 2017-06,

March 30, 2017) o OAS Process from Receipt to

Transmitta l of Mail Matters (IM

No. 2016-16, March 17, 2016) o Receipt of Pleadings (IM No.

2016-02, January 19, 2016) o Distribution of Original

Subsequent Pleadings and Extra

Copies and Photocopies of

Subsequent Pleadings (IM No.


2016-30 and 30-A, July 1, 2016 & August 24, 2016)

o Mail Address Formats and Zip Codes Requirements (IM No. 2016-37, July 15, 2016)

• PH ILPOST Issuances: o Guidelines on the Mandatory

Use of Barcode Labels on Domestic Registered Mails (PHILPOST Circu lar 15-49, September 28, 2015)

o PH ILPOST Letter dated June 10, 2016 re Mail Address Formats and Placement of Zip Codes

• Office Process Manuals/Flowcharts • Orders and Circu lars

• Sec. 44 of R. A. No. 9262 "AntiVio lence Against Women and Their Children Act of 2004" (Confidentia lity)

• Supreme Court (A. M . No. 03-06-13-SC) Code of Conduct for Court Personnel

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CHAPTER Ill THE COURT OF APPEALS

1. History

The Court of Appeals (CA) was created on February 1, 1936 by virtue of

Commonwealth Act No. 3, promulgated on December 31, 1935, with eleven (11} judges. The CA's judges were named justices and its composition was increased to fifteen (15} justices by Commonwealth Act No. 259 (April 7, 1938). Executive Order No. 4 (1942) increased the number of justice to

seventeen (17). during the latter part of 1944, the CA was regionalized into five (5) Districts. However, it was abolished during the Japanese

Occupation by virtue of Executive Order No. 37 (1945).

The CA was reconstituted by Republic Act No. 52 on October 4, 1946, with a presiding justice and fourteen (14) associate justices. Several legislations were passed to increase the membership of the Court in the subsequent decades, until The Judiciary was reorganized by Batas Pambansa Big. 129

(1983), which named the CA as Intermediate Appellate Court. On July 28, 1986, former President Corazon C. Aquino issued Executive Order No. 33, which restored the Court's designations as the Court of Appeals.

On February 23, 1995, R.A. No. 7902 was passed, expanding the jurisdiction

of the Court of Appeals effective March 18, 1995.

On December 30, 1996, Republic Act No. 8246 created six (6) more divisions in the CA, thereby increasing its membership to sixty-nine (69) justices. Furthermore, Republic Act No. 8246 created two (2) stations of

the CA - a Cebu City station for the Visayas Region and a Cagayan de Oro City station for the Mindanao Region.

2. Organizatonal Structure

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DOCUMENT CODE: JUD·OMS·OM·OOl ; EFFECTIVITY DATE: · VERSION:.Q.; ISSUED BY: _ _ PAGE 53 OF 198

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3.1 The Court En Banc

The Court of Appeals En Banc is composed of the Presiding Justice and sixty-nine {69} Associate Justices.

The Office of the Presiding Justice implements policies, executes the

resolutions and enforces the orders of the Court of Appeals En Banc. It performs the functions specifically vested upon him by the law, rules and regulations or those implied therefrom and performs all other functions and duties inherent in his position . The offices of the Associate Justices assist the Presiding Justice in his adjudicative and administrative functions.

3.2 Office of the Presiding Justice

Decide appealed and AMLA cases. Responsible for the overall administrative matters concerning the court.

3.3 Office of the Associate Justice

Decide appealed cases and resolve motions, petitions and other pleadings relative thereto.

3.4 Office of the Clerk of Court

The Office of the Clerk of Court acts as the administrative officer of the Court. It is under the direct supervision of the Presiding Justice and is

accountable to the Court. It takes charge of the administrative supervision of the Court and exercises general or administrative supervision over subordinate officials and employees, except the coterminus staff. It assists the Presiding Justice in the formulation of programs and policies for consideration of the Court en bane.

It shall also be the duty of the Office of the Clerk of Court to:

1. disseminate information concerning court activities of public interest and answer questions concerning the Court and official actuations of Justices;

2. answer queries from litigants, counsel and interested parties pertaining to the status of cases pending in the Court;

3. perform other functions as may, from time to time, be assigned to it by the Presiding Justice or the Court.

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3.5 Office of the Assistant Clerks of Court

The Office of the Assistant Clerk of Court assists the Clerk of Court in the performance of her duties and functions; performs such other duties and functions as may be assigned by the Presiding Justice or the Clerk of Court and in case of vacancy in the position of the Clerk of Court, the Assistant Clerk of Court shall act as Acting Clerk of Court, until her successor shall have been appointed and qualified; in case of absence or incapacity of the Clerk of Court the Assistant Clerk of Court shall perform the duties of the Clerk of Court, until the latter reports for duty.

3.5 Office of the Division Clerks of Court

The Office of the Division Clerks of Court is under the direct control and supervision of the Chairman of the Division. It takes charge of the pre

and post adjudicative matters relative to cases brought to the Court.

3.6 Raffle Committee

The Raffle Committee is in charge of assignment of cases by raffle to the different justices, ensures its proper and equitable distribution and

keeps a general record of such assignment. Actual process of raffling through a lotto-like device is carried out by a Raffle Committee of three

Court of Appeals Justices assisted by the Raffle Staff. Th e results of the daily raffle are disseminated to the appropriate offices. It guarantees the transparency of the whole process which requires utmost honesty and efficiency, initiative judgments and discretion based on established principles and policy.

3. 7 Judicial Records Division

The Judicial Records Division takes charge of case docketing activities like receiving, compiling, processing, reporting all pleadings necessary

for the proper adjudication of appealed judicial cases whether civil or criminal in nature and also original actions falling under the jurisdiction of the Court of Appeals. It administers records keeping policies, procedures and techniques, implements and evaluates programs for the systematic management of judicial records; prepares entries of judgment; maintains systematic filing and records keeping. It is also in charge of remanding decided cases to the court of origin, and acts as

case records custodian for the Court.

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3.8 Information and Statistical Data Division

The Information and Statistical Data Division serves as the center for systematic exchange or dissemination of information about the Court and renders prompt, sincere and accurate case information service assistance to the public; collates from the offices of the Justices, and submits to the Office of the Court Administrator and other requesting government agencies monthly, quarterly, semi-annual and annual

statistical reports on case accomplishments, case load and case disposal

3.9 Accounting Division

The Accounting Division takes charge of accounting and monitoring of all court financial transactions, revenues, collections and remittance. Its functions include general supervision and administrative control of activities in financing. budgeting, accounting, collections, and other related matters including processing and control of staff salaries and other financial concerns.

3.10 Fiscal Management and Budget Division

The Fiscal Management and Budget Division prepares and executes the

annual budget of the Court, initiates plans and budget preparation for better uti lization of Court funds, fiscalizes the Court's financial interest to cover budget deficiencies and corrective measures needed. It prepares reports as required by the Department of Budget and Management, Commission Audit and other government agencies. It is in charge of budget allotment and control for the Court and provides advise and assistance to the Court on the status of appropriations,

allotment and such other financial matters as maybe needed.

3.11 General Services Division

The General Services Division is in charge of Court buildings, grounds and facilities, supervises the janitorial agency maintaining the court premises, coordinates with other government agencies and private entities on needed major repairs and services in the Court, sends out by mail or personal deliveries, official court notices and processes.

3.12 M anagement Audit Division

The Management Audit Division performs performance audit of the different offices of the Court, pre-a udits payrolls, vouchers and performs actual inspection of all purchased supplies. It acts as adviser for the court's financial management program.


3.13 Cash Division

The Cash Division· takes charge of cash disbursements, reports and collections, payment of salaries and wages of justices, officials and employees of the court to include casual and contractual employees; supervises the preparation of collection reports and daily deposits to Land Bank of the Philippines of all monies, checks, money orders for the court; checks preparation, issuance of official receipts for various funds and check releasing, records of miscellaneous matters and transactions.

3.14 Personnel Division

The Human Resources Management Division provides essential support services to the Court through personnel administration and management, human resource training and development, administration of leave matters, employees' welfare and benefits, retirement and personnel discipline. It also attends to personnel actions such as appointment, recruitment, promotion, transfer, re-employment, detail, demotion, retirement and separation and is also in charge of Court plantilla, notice of salary adjustment and step increments.

3.15 Reporter's Division

The Reporter's Division keeps custody of the originals of decisions and final resolutions in binded form, cause its publication in the Court of Appeals Reports Annotated (CARA) and in the Official Gazette decisions and final resolutions; prepares and publishes with each reported decision and final resolution a concise synopsis of the facts necessary for a clear understanding of the case, the names of counsel, the material and controverted points involved, the authorities cited therein and a syllabus which shall be confined to points of law; and calls the attention of the Presiding Justice to conflicting decisions, in which case

the Presiding Justice shall convoke the Divisions concerned to resolve

the same.

3.16 Library Services Division

The Library Services Division assists the Presiding Justice, Associate Justices, officials and lawyers of the Court, including private practicing attorneys, in their legal research tasks; is in charge of acquisition, inventory and distribution of all law book collections, law journals and the like to the Presiding Justice, Associate Justices.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ·VERSION :~ ISSUED BY: __ PAGE 57 OF 198

3.17 Medical and Dental Divisions

The Medical and Dental Services Division attends to the health needs of

all justices, officials and employees of the Court through free medical and dental consultation and treatment, pre-employment physical examinations, laboratory tests including electrocardiogram {ECG} and certain modalities of physical therapy. Medications for commonly occurring ailments are dispensed free to sick employees. It is also in

charge of the CA Health and Welfare Plan available to all Justices, court officials and employees alike.

3.18 Property and Supply Management Division

The Property and Supply Management Division is in charge of procurement, inventory, budget projections, and maintenance of all Court properties, equipments, and supplies. It is also in charge of the cleanliness, peace and order, maintenance, repairs of the Court of Appeals cottages and administration building located at Baguio City.

3.19 Management Information Systems Division

The Management and Information Systems Division is in charge of all information technology needs of the Court; provides technical services related to the planning, development, maintenance and implementation of information systems; supports and guides the Court in its computerization efforts or implementation of new technology, and performs systems update and enhancements of existing systems in the Court.

3.20 Security Services

The Security Services is in charge of formulation, evaluation and

management of security systems for the Court of Appeals premises, property and Justices, officials and employees. It also maintains peace and order, safeguards the properties of the Court and performs other related functions as may be assigned by the Presiding Justice.

DOCUMENT CODE: JUD·QMS·OM·OOl ; EFFECTIVITY DATE: · VERSION:J!..; ISSUED BY: __ PAGE 58 OF 198

4. Process Map

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Figure 4.1

COURT OF APPEALS Core· Process (Receiving to Initial Action) Page 1018

Pmcest; tor Civil C:i<es

FORVIAAD RECE!VE ClruGllW. RECORDS

AND Pl.EAOll/GS

BAACOOE ORJG:JrW.

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Figure 4.2

COURT OF .APPEALS Coro Process (Receiving to lnltlal Action) Page 2 ol 8

Process tor Scx..-'CiaJ Cnses

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SPEOALCASB SECTONS (E!ACJ(ROOH)

J UDICIAL RECORDS DIVISION & CASH D.IVISION - 'PROCESSING OF CASES PERSONNAtl Y FILED

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ____ ; VERSION:_Q_; ISSUED BY: __

ENCOOE PAYM:alT UI CMlS

PAGE 59 OF 198

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Figure 4.3

COU RT OF APPEALS Core Process (Rl!Cc.lvlng to Initial Action) P•go 3 ot 8

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RECEMOIO RESPECTIVE

SCCTIOtlc;/ IJtalTS

J UOICIAL R ECORDS D.lVSION - PROCESSING O F CASES FI LED VIA MAiL

Figure 4.4

COURT O F APPEALS Core Process (Roccivlng t o J nitlai Action) Page4ol 8

MOlllTORllfGOF THE

ASSIGN

OOCXET l.\JM!IER

PflCPAll(

ROUOCOVER

·~· 00 ... W H =·a~~~ r 8-1 Cl tCO< DIW..:H natK OF 10 FILE ORICF I SUOMISSION OF H RE.l'ORT TO ORIGllJAL H C<XJRT (lF REO'.lRDS MatOAAl.OA (IF PLEADlllGS /'5 COllCIRllID [)lVlSIO!I RE COO OS AAf lNCOMPlETC) RECORDS /IRE PRCSOllll€0 tlY TuE Q.flU( Of COOOT

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JUDIO AL RECORDS DIVISION · PROCESSING OP' APPEALED CASJ:S WTili ORIG INAL RECORDS

DOCUMENT CODE: JUD-QM S-QM -001 ; EFFECTIVITY DATE: · VERSION:.Q..; ISSUED BY: __ PAGE 60 OF 198

Figure 4.5

~

~~+.~ COURT OF APPEALS \ ~~~ Core Process (Receiving to Initial Adlo.n)

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110

9 RECEIVE ROWl5

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THE DAY

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CMIS

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RAFFLE

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CMlS

RAFR.E PllOPER

DElERMINE JUSTICE TO

H/lNDLE CASE

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SPECIAL CASES IN RECOODOOOK

RECORD RAFFU'D

CASES IN TH!: RECORDOOOK

OELIVER ROtl.05 TOJUOIOAL

REC OROS D!V!SION

PROVIDE C!Jl7f OF RAFR.E UST TO JUSTICES/ JRO/

lrfTBtNAL AUDIT

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(RmtE C:Ol.O.lrTTEE)

llELlVER llOU.OSTO PONENTE

I RAFFLE COMMITTEE . RAFFLE CASES I

Figure 4.6

COURT OF APPEALS Coro Process (ReccMng to InltJal Action) Page 6ol 8

PmrPQi for("M l.and Qjmjnri1 G'JCl!:S

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WITH PU:ADING

Et/CODE IN 0 115

f'rog:ss for Special eases

YES

PREPAAATIOll'' Of MINlTTE

P.fSOUJTION

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WITH INITIATORY PLEADING (ENCODE)

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FORWARD TO MJ\IUllG

(COPIES f<Ji1: PARTIES! COU1l5a)

l'IU:Pl<AATIOll' OFAGENOUM/

OlKl:UST

PREPAAATIOI~·

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ENCODE 11l CHIS

OFFICE OF THE DlVJSION CLERKS OF COURT· PROCESSING OF CASES

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __

FORWAADlO Cff!CE Of

l\JST!CE Fall Af'TlON

.~ r--1 CMIS I

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FDMIAAD ROLLO lOJUDIOAL

RECORDS OJVIS!ON

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e

PAGE 61 OF 198

Figure 4.7

{t~ COURT OF APPEALS Core Proaiss (Rccelving t o Initial Action) Page 7 ol 8

R!JEVE ROI.LO IV/

JIClCD J\GEllO\JM

EliroDe IN CMIS

ll!W•AA(• ~llNUTE

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~ Receive ltOU.O I . \ 01cooe IN W( EXTCNDCD r • OUS RESOLUTION

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RESOl.IJT10U

' Prcp.'lre indudl!S typing, d \ccklng 11nd Signing ti-1 lhc DCC

PRE.PAA£" NOTICE Of

R£SOLUTION

CllCOOEIN CMIS

STITCH COP'YTO

ROllO

RELEASE HAIL COPIES roll PAATIES

STITCH COPY TO

ROLLO

OFFICE ·OF THE DIVISION CLERKS OF COURT· PROCESSING OF CASES

Figure 4 .8

U~\\ COURT OF APPEALS

i1~$ ~:v': :.':':css (Rcc~lvlng t o lnlt lal Action)

~ Rrcrr111; Rou.o r ROOI AAFFlE ~

RECEIVE ROI.LO VllTH AGENOLf1

FROM DCC

PIU:PME EX1ENOCO

RESOWllON (l ll rTMI. AC00f<)

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MEMOCRS FOR SIGNltlG

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RESOWTION SE/IT TOOCC

ROU.OWlltt ACT!Oll ON Tl1E llGENDU>I ~Nr

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OFFICE OF THE JUSTICES - ISSUANCE OF INITJAL A.CT.ION

DOCUMENT CODE: JVD-QMS-QM-001 ; EFFECTIVITY DATE: ____ ; VERSION:.Q.; ISSUED BY: __

~-

F'ORWAAO TOJl\D

PAGE 62 OF 198

5. References

Process I Sub-Process

1. Issuance of Court's Initial Action

References

• Mission and Vision

• CMIS Manual verl.O

• Office order on period of accepting pleadings in OSPC

• Comment of Justice Rosmari Carandang dated September 14, 2015 (Response to Query on Petition for Annulment of Judgment Previosly Given Due Course by Three Justices Who Had Since All Been Retired, be Re-Raffled Courtwide)

• Memorandum dated November 11, 2015 (Uploading to CMIS)

• Memorandum dated November 11, 2015 {Uploading of Resolutions for Temporary Restraining Orders and Writ's of Preliminary Injunction in CMIS)

• Amended Office Order No. 557-09-CMV (Amended Interim Guidelines for the Implementation of the CACMIS and the Parameters for the Design and Implementation of eRaffling in the Court of Appeals)

• Memorandum dated July 30, 2016 for Raffle Committee Staff (Regularly update CMIS)

• Memorandum dated July 30, 2010

for Division Clerks of Court, Private Secretaries of Justices (Procedure in updating CMIS)

• Memorandum dated August 17, 2010 (Guidelines for the Implementation pf Court of Appeals - CMIS v2.0)

• Memorandum dated November 24, 2011 for All Private Secretaries (Monthly Report New Format)

• Memorandum dated August 1, 2014 for Division Clerks of Court


and Judicial Records Division (Procedure in preventing spread of virus and malware)

• Law, Guidelines, Administrative Circulars

• 1987 Constitution

• Rules of Court

• 2002 Revised Manual of the Clerk of Court

• 2009 Interna l Rules of the Court of Appeals

• 2004 Rules on Notarial Practice regarding competence

• Supreme Court Administrative Matters

• A.M. No. 11-9-4-SC {Efficient Use of Paper Rule), November 13, 2012

• A.M. No. 02-8-13-SC (Rules on Notarial Practice re Competent Evidence of Identity), February 19, 2008

• A.M. No. 07-5-15-SC (Republic Act No. 9406 Exempting Clients of PAO of Docket Payments and Other Fees), June 12, 2007

• A.M. No. 03-05-01-SC - New Code of Judicial Conduct for the Philippine Judiciary (June 1, 2004)

• AM No. 09-7-06-CA - Internal

Rules on the Proper Disposal of Case Rollos of the Court of Appea ls

• AM No. 170-2008 - Revised Guidelines in the Disposal and/or Destruction of Court Records, Papers and Exhibits (November 11, 2008)

• Amended Administrative Circular No. 83-2015 Protocols and Procedures in the Promulgation, Publication, and Posting on

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the Websites of Decisions, Final Resolutions, and Final Orders Using Fictitious Names/ Personal Circumstances (September 5, 2017}

• Supreme Court Bar Matters

• B.M. No. 287 - Requirement that Official Receipt No. and Date of Payment of Current IBP Membership Dues be Indicated by Counsel for IBP Resolution No. XV-1999-63 (July 9, 1985 & September 26, 200}

• B.M. No. 1132 - Request to Require Lawyers to Indicate in the Pleading Their Number in the Roll of Attorneys, (November 12, 2002 & April 1, 2003)

• B.M. No. 1922 Recommendation of M CLE Board to Indicate in all Pleadings Counsel's Certificate of Compliance or Certificate of Exemption (September 2, 2008 & January 14, 2014)

• National Archives of the Philippines Issuances

• NAP General Circular No. 1 -Rules and Regulations

Governing the Management of Public Records and Archives Administration

• Philpost Issuances • Philpost Circular No. 15-49 -

Guidelines on the Mandatory Use of Bar Code Labels on Domestic Regist ered M ails (September 28, 2015)

• Division Clerk of Court Forms

• CA-Dec Form 0001 (Resolution)

• CA-Dec Form 0002 (Monthly

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Report of Temporary Restraining Order Issued)


Report of Writ of Preliminary Injunction Issued)


Report of Loose

Motion/Pleading Filed with Prayer for Issuance of TRO)

• CA-Dec Form 0005 (Agendum)

• CA-Dec Form 0006 (Monthly Inventory of Cases with Pending Motion for ReconsiderationPer Justice and Category)

• CA-Dec Form 0007 (Monthly Reportt of Entry of Judgment Issued Per Justice and Category)

• CA-Dec Form 0008 (Monthly List

of Case Referrals to the

Philippine Mediation Center (PMC) For Mediation Per Category)

• CA-Dec Form 0009 (Monthly Summary of Cases Referred to

Philippine Mediation Center-CA Unit (PMC-CA))


Case Disposa l Report (List of Promulgated Cases) Per Justice and Category)

• CA-Dec Form 0011 (Monthly Case Disposa l Report (List of

Active Cases) Per Justice, Category and Status))

• Notice of Resolution - Initial

• Judicial Records Division Forms

• CA-JRD-Form No. 0001 (Litigants

Letter Request for Plain copy of Pleading/Document)

• CA-JRD-Form No. 0002 (Litigants

Letter Request for Certified True Copy of Pleading/Document)

• CA-JRD-Form No. 0003 (Certification on Submitted, Verified and Completeness of

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2. Human Resources

Processes

Minutes and Transcript of

Stenographic Notes of Cases)

• CA-JRD-Form No. 0004 (Checklist of Documents required under the Rules of Court)

• CA-JRD-Form No. 0005 {Details of Documents Received Per Case

Category)

• CA-JRD-Form No. 0006 (Details of Fees for Payment Per Case

Category )

• CA-JRD-Form No. 0007 (Details

of Fees Received Per Case Category)

• CA-JRD-Form No. 0008 (Exit Pass)

• CA-JRD-Form No. 0009 (Report

of Pleadings to the Division Clerk of Court)

• Court-wide Forms

• CA Form No. 0001 (Customers Satisfaction Survey Form)

• Organizational Chart

• Civil Service Rules

• 2017 Omnibus Rules on

Appointments and Other Human

Resource Actions

• 2017 Rules on Administrative

Cases in the Civil Service (2017

RACCS)

• Republic Act 6713 (Rules of the

Implementing the Code of

Conduct and Ethical Standards

for Public for Public Officia ls and

Employees)

• Republic Act 3019 (Anti-Graft and Corruption Practices Act)

• Republic Act 9485 (Anti-Ref Tape

Act of 2007)

• Qualification Standards Revised

1997

• Book V of Executive Order 292 and Its Omnibus Rules, As

Amended

DOCUM ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ____ ; VERSION:_Q_; ISSUED BY: __ PAGE 67 OF 198

3. Procurement Process

• Rule XVI of the Omnibus Rules Implementing Book V of 292 -Omnibus Rules on Leave (July 2010)

• Forms

• CIVIL SERVICE FORM N0.48 (Daily Time Record)

• CA-HR Form No. 0002 (Official Business Authorization Form)

• CA-HR Form No. 0003 (Application for Leave)

• CA-HR Form No. 0004 (Report of Absences and Tardiness (RAT))

• CA-HR Form No. 0006 (Trainings, Seminars Survey Questionnaires)

• CA-HR Form No. 0007 (Certificate of Compensatory Overtime Credit)

• CA-HR Form No. 0008 (Personal Data Sheet)

• CA-HR Form No. 0010 (Notice of Salary Adjustment)

• CA-HR Form No. 0011 (Not ice of Step Increment)

• CA-HR Form No. 0012 (Application for Mutual Aid Benefit)

• CA-HR Form No. 0013 (Office Performance Commitment and Review Form)

• CA-HR Form No. 0014 (Individual Performance Commitment and Review Form)

• CA-HR Form No. 0021 (Clearance)

• Memorandum dated January 27, 2015 (Guidelines on the Replacement Cycle for Computers and Laptop)

o Republic Act No. 10924 - General Appropriations Act of 2017

o Department of Budget Management Circulars

• Budget Circular No. 2016-5 -

DOCUMENT CODE: JUD·OMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 68 OF 198

4. l.T. Equipment Repair and

Maintenance

5. Measurement

and Improvements

6. Accounting

Processes

Revised Guidelines Acquisition in the

on the Use of

Government Motor Vehicles (August 22, 2016)

• Forms • CA-Prop-Appendix 61 (Purchase

Order)

• CA-Prop-Appendix 62

(Inspection and Acceptance Report)

• CA-Prop-Appendix 63

(Requisition and Issue Slip)

• CA-Prop-Appendix 64 (Report of Materials and Suppl ies Issued)

• CA-Prop-Appendix 65 (Waste Material Report)

• Forms

• MISD Form-02 (Revl-1) - l.T. Service Request Form

• MISD Form-03 (Revl-1) - l.T. Technical Report

• MISD Form-04 (Revl-1) - Pre

and Post Repair Inspection Report (1.T. Equipment)

• SPMS • Monthly Disposal Report

• Quarterly Report

• Annual Accomplishment Report of the Court of Appea ls

• Forms

• CA-Acctg. Appendix 1 {General

Journal)

• CA-Acctg. Append ix 2 (Cash

Receipts Journal)

• CA- Acctg. Appendix 3 (Cash Disbursement Journal)

• CA-Acctg. Appendix 4 (Check Disbursement Journal)

• CA-Acctg. Appendix 5 {General Ledger)

• CA-Acctg. Appendix 6 (Subsidia ry

Ledger)

• CA-Acctg. Appendix 7 (Registry


Of Revenue And Other ReceiptsSummary)

• CA-Acctg. Appendix 7 A (Registry Of Revenue And Other Receipts (RA & FAP))

• CA-Acctg. Appendix 7B (Registry Of Revenue And Other Receipts

(SAGF)) • CA-Acctg. Appendix 7C (Registry

Of Revenue And Other Receipts (IG))

• CA-Acctg. Appendix 70 (Registry Of Revenue And Other Receipts (TR & IG TF))

• CA-Acctg. Appendix 15 (Notice of

Budget Ulization Request and Status Adjustment)

• CA-Acctg. Appendix 23 FAR No. 3 (Monthly Report of Disbursements)

• CA-Acctg. Append ix 24 FAR No. 5 (Quarterly Report of Revenue and Other Receipts)

• CA-Acctg. Appendix 28 (Order of Payment)

• CA-Acctg. Appendix 32 (Disbursement Voucher)

• CA-Acctg. Appendix 36 (Journal Entry Voucher)

• CA-Acctg. Appendix 54 (Schedule of Accounts Payable)

• CA-Acctg. Appendix 55 (Schedule of Accounts Receivable)

• CA-Acctg. Appendix 56 (Registry of Accounts Written-Off)

• CA-Acctg. Appendix (Cash-MDS, Regular Monthly Reconciliation Statement)

• CA-Acctg. Appendix 81 (Cash-inBank, Local Currency Current Account, Monthly Reconciliation Statement)

• CA-Acctg. Form 0001 (Routing Slip)

DOCUMENT CODE: JUD-OMS-OM-001 ; EFFECTIVITY DATE: · VERSION:JL ISSUED BY: __ PAGE 70 OF 198

7. Audit Processes

8. General Services

• Forms

• CA-Mad Form 0001 (Dai ly Report of Cases for Raffle)

• CA-Mad Form 0002 (Daily Observations on Raffle of Cases)

• CA-Mad Form 0003 (Monthly

Summary of Raffled Cases )

• CA-Mad Form 0004 (Monthly

Sequential Report of Daily Raffle of Cases Per Category)

• CA-Mad Form 0005 (Monthly Report on Observations on Cases Raffled)

• CA-Mad Form 0006 (Monthly Report on Number of Cases

Raffled Per Justice)

• CA-Mad Form 0007 (Report on Zero Backlog Project Cases Per

Status and Category)

• CA-Mad Form 0008 (Breakdown of Physical and Picture

Inventory)

• CA-Mad Form 0009 (Summary of Physical and Picture Inventory)

• CA-Mad Form 0010 (Detail Case Listing for Entry of Judgment)

• CA-Mad Form 0011 (Summary of

Cases for Entry of Judgment)

• CA-Mad Form 0012 (Detail Case

Listing for Motion for

Reconsideration and Status)

• CA-Mad Form 0013 {Summary of

Cases for Motion for

Reconsideration and Status)

• CA-Mad Form 0014 (Monthly Sequential Report of Daily Raffle

of Cases)

• CA-Mad Form 0015 (Leave Card Working Paper)

• CA-Mad Form 0016 (Document Monitoring Sheet)

• CA-Mad Form 0017 (Annual

Accomplishment Report)

• Forms

DOCUM ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITV DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 71 OF 198

Processes • CA-GSD-Appendix 77 {Construction and Project Ledger Card)

• CA-GSD-Form No. 0001 {Service

Request) 0 CA-GSD-Form No. 0002 {Daily

Monitoring Service Report)

• CA-GSD-Form No. 0003 (Notice

of Hauling)

• CA-GSD-Form No. 0004 (Certificate of Accomplishment)

• CA-GSD-Form No. 0005 (Return Slip)

• CA-GSD-Form No . 0006 {Electrician's Service Report)

9. Feedback • Procedure in Evaluating Customer Management Feedback

DOCUMENT CODE: JUD·QMS·QM·OOl ; EFFECTIVll'I' DATE: • VERSION:Jl; ISSUED BY: __ PAGE 72 OF 198

CHAPTER IV SANDIGANBAYAN

1. History

The creation of the Sandiganbayan was originally provided for by Article XIII of the 1973 Constitution:

"SEC. 5. The Batasang Pambansa shall create a special court, to be known as Sandiganbayan, which shall have jurisdiction over criminal and civil cases involving graft and corrupt practices and such other offenses committed by public officers and employees, including those in government-owned or controlled corporations, in relation to their office as may be determined by law.

Pursuant to this mandate, the late President Ferdinand E. Marcos, exercising the emergency legislative power granted him under Amendment No. 6 of the 1976 Amendments to the 1973 Constitution, issued on June 11, 1978, Presidential Decree No. 1486 creating the Sandiganbayan and putting it on the same level as what were then known as the Courts of First Instance (now the Regional Trial Courts). Shortly thereafter, Presidential Decree No. 1606 issued on December 10, 1978, elevated the Sandiganbayan to the level of the Court of Appeals.

The SB commenced its operation on February 12, 1979. Initially, the Sandiganbayan had only one Division, composed of the Presiding Justice, Hon. Manuel R. Pamaran, and two Associate Justices, Hon. Bernardo P.

Fernandez and Hon. Romeo M. Escareal, and a skeleton force of fifteen (15) personnel. Three years thereafter, the Second Division started its

operations. The appointment of three more Justices in the Third Division on August 4, 1982 completed the full membership of the Court.

The historic EDSA Revolution of February 1986 signaled the beginning of a

new dispensation and caused substantial changes in the entire government

machinery, including the judiciary. However, both the Freedom Constitution and the new Constitution have seen fit to maintain the Sandiganbayan as one of the principal instruments of public accountability. In furtherance of this, its jurisdiction was broadened to include the socalled "ill-gotten wealth" cases investigated by the Presidential Commission on Good Government (PCGG} through Executive Orders No. 14 and No. 14-A. Pursuant to the reorganization program of the new government, some of the members of the Court resigned and Hon. Francis E. Garchitorena was appointed as the new Presiding Justice.

Subsequently, other laws including Republic Acts No. 7975 and No. 8249 were enacted, amending P.O. No. 1606, which further strengthened the

DOCU M ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ____ ; VERSION:_Q_; ISSUED BY: __ PAGE 73 OF 198

functional and structural organization of the Sandiganbayan. These laws

limited the jurisdiction of the Sandiganbayan to cases involving public

officials occupying positions specifical ly enumerated in Section 4 of R.A. No.

8249, and those classified as Salary Grade 27 and higher.

In May 1, 2015, R.A. No. 10660 took effect. This law added two (2) more

Divisions to the five Divisions of the SB and amended its jurisdiction and

certain procedures. The Sandiganbayan is presently composed of a

Presiding Justice and twenty (20) Associate Justices who sit in seven (7)

Divisions of three Justices each in the trial and dete rmination of cases.

STATUTORY HISTORY OF THE SANDIGANBAYAN

1. PRESIDENTIAL DECREE NO. 1486 - CREATING A SPECIAL COURT TO

BE KNOWN AS "SANDIGANBAYAN" AND FOR OTHER PURPOSES -

promulgated June 11, 1978;

2. PRESIDENTIAL DECREE NO. 1606 - REVISING PRESIDENTIAL DECREE

NO. 1486 CREATING A SPECIAL COURT TO BE KNOWN AS "SANDIGANBAYAN" AND FOR OTHER PURPOSES - promulgated

December 10, 1978;

3. PRESIDENTIAL DECREE NO. 1629 - AMENDING PRESIDENTIAL

DECREE NO. 1486 CREATING A SPECIAL COURT TO BE KNOWN AS

"SANDIGANBAYAN", AS REVISED BY PRESIDENTIAL DECREE NO. 1606 -

promulgated July 18, 1979;

4. PRESIDENTIAL DECREE NO. 1822 - PROVIDING FOR THE TRIAL BY COURTS-MARTIAL OF MEMBERS OF THE ARMED FORCES CHARGED

WITH OFFENSES RELATED TO THE PERFORMANCE OF THEIR DUTIES -

promulgated January 16, 1981;

5. PRESIDENTIAL DECREE NO. 22-A - AMENDING SECTION 1, P.O. NO.

1822, PROVIDING FOR TRIAL BY COURTS-MARTIAL OF MEMBERS OF

THE ARMED FORCES CHARGED WITH OFFENSES RELATED TO THE

PERFORMANCE OF THEIR DUTIES - promulgated January 16, 1981;

6. BATAS PAMBANSA BLG. 129 - THE JUDICIARY REORGANIZATION

ACT OF 1980 - promulgated August 14, 1981;

7. PRESIDENTIAL DECREE NO. 1850 - PROVIDING FOR THE TRIAL BY

COURTS-MARTIAL OF MEMBERS OF THE INTEGRATED NATIONAL

POLICE AND FURTHER DEFINING THE JURISDICTION OF COURTS

MARTIAL OVER MEMBERS OF THE ARMED FORCES OF THE

PHILIPPINES - promulgated October 4, 1982;

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8. PRESIDENTIAL DECREE NO. 1860 - AMENDING THE PERTINENT

PROVISIONS OF PRESIDENTIAL DECREE NO. 1606 AND BATAS

PAMBANSA BLG. 129 RELATIVE TO THE JURISDICTION OF THE

SANDIGANBAYAN AND FOR OTHER PURPOSES - promulgated January

14, 1983;

9. PRESIDENTIAL DECREE NO. 1861 - AMENDING THE PERTINENT

PROVISIONS OF PRESIDENTIAL DECREE NO. 1606 AND BATAS

PAMBANSA BLG. 129 RELATIVE TO THE JURISDICTION OF THE

SANDIGANBAYAN AND FOR OTHER PURPOSES - promulgated March

23, 1983;

10. PRESIDENTIAL DECREE NO. 1952 - AMENDING SECTION ONE OF

PRESIDENTIAL DECREE NO. 1850, ENTITLED 'PROVIDING FOR THE

TRIAL BY COURTS-MARTIAL OF MEMBERS OF THE INTEGRATED

NATIONAL POLICE AND FURTHER DEFINING THE JURISDICTION OF

COURTS-MARTIAL OVER MEMBERS OF THE ARMED FORCES OF THE

PHILIPPINES' - promulgated September 9, 1984;

11. EXECUTIVE ORDER NO. 14 - DEFINING THE JURISDICTION OVER

CASES INVOLVING THE ILL-GOTIEN WEALTH OF FORMER PRESIDENT

FERDINAND E. MARCOS, MRS. IMELDA R. M ARCOS, MEMBERS OF

THEIR IMMEDIATE FAMILY, CLOSE RELATIVES, SUBORDINATES, CLOSE

AND/OR BUSINESS ASSOCIATES, DUMMIES, AGENTS AND NOMINEES

- promulgated May 7, 1986;

12. EXECUTIVE ORDER NO. 14-A - AMENDING EXECUTIVE ORDER NO.

14 - promulgated August 18, 1986;

13. EXECUTIVE ORDER NO. 101 - FURTHER AMENDING PRESIDETIAL

DECREE NO. 1486, AS AMENDED BY PRESIDENTIAL DECREE NO. 1606

CREATING A SPECIAL COURT TO BE KNOWN AS 'SANDIGANBAYAN' -

promulgated December 24, 1986;

14. EXECUTIVE ORDER NO. 184 - AMENDING SECTION 3 OF

PRESIDENTIAL DECREE NO. 1606 - promulgated June S, 1987.

15. REPUBLIC ACT NO. 10660 - AN ACT STRENGTHENING FURTHER

THE FUNCTIONAL AND STRUCTURAL ORGANIZATION OF THE

SANDIGANBAYAN, FURTHER AMENDING PRESIDENTIAL DECREE NO.

1606, AS AMENDED, AND APPROPRIATING FUNDS THEREFOR -

effective May 1, 2015.

DOCUMENT CODE: JUD·OMS·OM-001 ; EFFECTIVITY DATE: ____ ; VERSION:..Q.; ISSUED BY: _ _ PAGE 75 OF 198

2. Organizational Structure

ArdllftJ SK~cn

lntmlll~Otl

S•vk:n

Offk:iofttie

Republic of the PhiUppines e Sandiganbayan

Orgonizolionol Chort

OOitt offht Prtsldii1llstk1 ----,-

AJ:md11~,.J~icn I-----<

Eral.ll.r1Dauo1

tc.n II O!laofct.1ECCIV

a.p11titMmdl 1r.t

Tetl':tiallS:1fl

Biilr;«&.rnar.tt: o;..~on

st.rin'ltdStwrity StrwicH


3.1 Office of the Presiding Justice

Implements the policies, executes the resolutions and enforces the orders of the Court En Banc; performs the functions specifically vested upon him or her by law, rules and regulations or those implied therefrom; performs all other functions and duties inherent in his or her position.

3.2 Office ofthe Clerk of Court

Assists the Court in providing the necessary t echnical and administrative support; exercises supervision over the st aff and employees; takes charge of pre and post adjudicative matters.

3.3 Lega l Research & Technical Staff

Provides lega l and technical assistance to the Court by conducting lega l research and studies; t akes charge of all lega l and related matters.

3.4 Office of the Deputy Clerk of Court (For Each Division of the Court)

DOCUMENT CODE: JUD·OMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 76 OF 198

Assists the Clerk of Court in providing technical and administrative

support and assistance to the concerned Division of the Court; takes charge of the pre and post adjudicative matters relative to cases assigned to the concerned Division.

3.5 Judicial Records Division

Takes charge of docketing of cases; plans, implements and evaluates programs for the systematic management of judicial records; and, performs other related functions. Prepares entries of judgment; issues copies of decisions, resolutions and orders; maintains a systematic filing and records keeping; and handles the Court's information system, monitoring requests for statistical data .

3.6 Administrative Division

Attends to the manpower development and service needs of the

Court; performs all functions relative to administrative and personnel matters. Attends to the procurement and maintenance of the properties, supplies and equipment of the Court, including the Court's physical plant. Takes charge of the collection and disbursement of the Court.

3. 7 Budget and Finance Division

Prepares and implements the budget of the Court; initiates plans and strategies for more effective utilization of funds allotted to the Court; fiscalizes the agency's financial interest including disclosure of deficiencies in need of corrections. Keeps accounting records for the Court; prepares reports required by the Department of Budget and Management, Commission on Audit, and other government agencies.

3.8 Management Information Systems Division

Provides technical services related to the planning, development, implementation and maintenance of information systems; takes charge of all the information and communications technology requirements of the Court.

3.9 Sheriff and Security Services Division

In charge of the formulation, implementation and evaluation of plans and programs for the systematic management of security of the Sandiganbayan premises, property, and personnel; performs other related functions. Takes charge of the formulation of systems for the effective services of Court processes and enforcement of Writs;


"' w

"'

il ~ t:; p, 0

§ ~ "' ~ z 0

"' 5 i3

serves as liaison office with the various law enforcement agencies and the media regarding all court orders and processes and other court related matters; takes custody of all accused pending posting of bail

and/or turnover accused who voluntarily surrenders to the authorized detention centers; takes charge of the formulation of effective management and implementation of all kinds of court orders/processes and Writs.

4. Process Map

Q .iv. ISO-ALIGNED conE PROCESS OF FILING AND RECEIVING OF CASES UP TO THE ISSUANCE OF INITIAL RESOLUTION OF THE CASE

FILING OF NEW CASES

CHECKING OF CASE I DOCUMENTS AS fl lEO

PREPllR/ITIOll OF ORDER OF PAYM ENT ANO ISSUANCE OF

OFFICIAL RECEIPT by THE CASHIER

RECEIPT OF CASE FILED

PREPARATIO

Nor CASE FOLDER

REFERRAL OF MUlllPlE CAS£S TO Tl\( LEGAL RESEAROI ANO

TEOIHICALSTAfF PRC-RAFHC l-L::J~~

rncoor1G 1r11tt: OUAllA9' Of"TH[

OOUCTSlC.ltOH nt: JID.fYAtn0£T41.S

OfTKOOl

TRA NSMIT RECORDSi TO THI: OIVISION

CONCERNED

STITOllr~G OF CASE FOLDER

5. References

PROCESS

Receiving of new cases [Civi l, Criminal, Special Civil Action (SCA) and Appealed]

PRCPAREAGtNOUM FOR TRAtlSMITTllE AGENOUM OEttRM INAl lONOF TOlHECHAIRPERSON OJ:

PlmlY\BLECAUS( THE DIVIS.ION

SUB-PROCESS

a. Receiving and docketing

b. Payment c. Referral of

multiple cases to the Legal Research and Technica l Staff for determination of related or not related cases

ISSUE ll-41TIAL AESOLUTIQr~

REFERENCES

a. 1987 Philippine Constitution, (Law creating the Court)

b. Revised Internal Rules of the Sandiganbayan

c. Revised Rules of Court

d . Office Memorandum

e. A.M. No. 11-9-04-SC Efficient Use of Paper

DOCUMENT CODE: JUD·OMS·OM·OOl ; EFFECTIVITY DATE: · VERSION:.Q_; ISSUED BY: __ PAGE 78 OF 198

SCA and Civi l Case/s I Payment of fil ing fees f iled by privat e for SCA and Civil Case individua l and entity

Receivi ng of newly a. Preparation of fi led cases i.e. Agenda

Criminal, Civi l, SCA, b. Tra nsmittal of t he Appea led from the Agenda to the Docket Section Chairperson of

t he Court for issua nce of

Resolution

c. Receipt of initial

reso lution

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ___ _ ; VERSION:_Q_; ISSUED BY: _ _

Ru le

f. SB Office and Administrative

Orders

a. Revised Rules of

Court b. Revised Internal

Rules of the

Sandiganbayan

a. Revised Rules of Court

b. Revised Internal Rules of the Sandiganbayan

c. A.M. No. 15-06-

10-SC (Revised Guidelines for

Continuous Tria l of Criminal Cases)

d. 2002 Revised

Manual for

Clerks of Court

PAGE 79 OF 198

CHAPTERV COURT OF TAX APPEALS

1. History

The Court of Tax Appeals (CTA) is a specialized court created by virtue of Republic Act No. (R.A.) 1125 on June 16, 1954. Finding the need to further expand its jurisdiction, R.A. 9282 was enacted on April 23, 2004 elevating the CTA's rank to the level of a collegiate court with special

jurisdiction and increasing the composition of the CTA from single sala t o two Divisions and an En Banc. R.A. 9503 was passed on June 12, 2008

to enlarge the organizational structure of the CTA by creat ing a Third Division. It now has three Divisions composed of three justices each and an En Banc with a total composition of nine Justices comprising of one Presiding Justice and eight Associat e Justices.

2. Orga nization al Chart

COURT OF TAXAPPEALS ORGANJZATIONAL CHART

:--- -- --- ------- -- --- -· -- ---·- ---- --- -------- -· -- --· -- ---- --- ---- ---1 Presiding Justice

1------1 Associate Justices

lnl•milAudlt Soni<" ........

MIS Division

Office of Legal and Technical Services

Tn Specltll1lt llvl,lon

Office or the Clerk of Court

Office of the CTA Division Clerk or Court

Judicial Records Division

.,,, .... _,.I , ...... .. 1 r11•n11r1 · · ·- Plitflfd• DNtlflp.

Seclktt lllMlllf'I!

Property and Supply

Division

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: • VERSION:JL; ISSUED BY: __

Office of Administrative and Finance Services

PAGE 80 OF 198

3. Funct ional Description

COURT OF TAX APPEALS FUNCTIONAL CHART

Pre11dlng Just~e Plfllmu ,Wod lllltCl>l llli liipllll1e1 t~ lo~ llidliMJ Mlclilo1~ t• Crurt

I . Am1clate1Justtces

P"1oml ~oca ln:bl IHillit,B NJ!irdiiM <1.7~-

I I

ECC IV [Clerk of Coortl I Office oil!!} al and Tecl!nlc~ Se~~e~ ECC Ill (Assl Cle1k of Court (Chief of Office)

Internal Audit Services l; mi00q)e''1i!lb00j&\d1under'1e~bdlleA?lililJ.lm, tc lllbllinimila~.rJpreli~ adlillinl~ll'Olle~'111<41tli!!oo illllllrjri!illmdtc~t.v.Vr a)p!filonmlllll~~ ~e i))UTl!lll~ pe!lll'fd, b).,,;Jca'Jlll.-d M3,-1~ d4\!l'f ~litMl!dQind da!l piall:Ol brlle ~ !/ll!ll1 b ll!(~!lMt!>!'d.<d~r~~ cJ11rlcaliAanaoo~rri11M M~mw;l~ pmdmao1d ~~rnlle111id iegilartinl we5'd'1lll6'!\j ~odi1g11illli!crd~tCM~ifniJ(lijl11lill)011(!1( ir.1 c) •ef".]~IQJil~~'"'('!Jao:llfio:l11Ji .. ~(l'd~ort'11ioQo-9m'-'ied~<illorr1~11J

Otnce ol Admlnhtmtlve and Finance Serv~es (Chief d Office)

Al!llf ~I JU![~1~'1e tii~d~ fo8n!ll:imc.<~~ll'J f\orde! l'.o~ ar.d ~dvd 1111ilm b t~ ())uii [email protected] ~ 0.tlSlel llekmw:iii 0-.~0t.illltt.Cl:li ilfu.'-pt!ll!m ~ OO,U\1mlit 5'lp?ll1 iJrdw ~"1 noo«lpll&e !I' 1t1tati( ~"'""'!•«el b)dard lll!lollNlltl;rde:l! 111'1 Rt;ll't(t 1Ji,~i:l1. f'mi<lll ard SiJ~~ 0.111\ Gairi 5a'lal olnti>iri.1tlll:<i((,i CwjRtjlllllr °""'I "«I-Al llll lo\d Strullf Sir.re Uni

I Execut~e Cle1ks of Court 11!

IQM1bnClir'llolCollt) . I

Executive Clerks of Court I! IAu\OM~l!IC!l*iolC?iill

:• JO~hlo111

Jilllt t.cir•\t.li!Xts~ M.!6t~dCMdlllniliailml lil1d piill~• pmi'~ 111,ml111·4901~lllOOl>.1'11lnoil\ldalk!w MrJi*a•'ie fun(t001

I Judicial Records Dr1ision Administrative Function Finance Functklo

MISDMslon Ciilltl".Nll1!aM Tax S~eclal ~ts Dlv~lo~ PU\=I=~ {IM.]C\~&Cl:li)

~ · !kll& ' ~ ra111 c1~~' or litl!lrg c1 C1111, p111. Coit~ b CM !Wlil.!d b d!dioi and l\fi.mllllmcl.!!ti b.il)ridt1Cait

o:~ur.dlr~eClli! rlll!C~~olCalll irp!arer.5 all1 ~·•~RI PftlllilllS bl Ii! 1~11iniio'Jirrea111il!1Mlaltdl!Jlill) ~kllls~li!~~llld!IM:t ilrlllil!I plin tr~ elltl!t 1izm of !~ l1lm)llll'I at IJill;lj !Uri; tam ~ew l~ill~1ol te CWrl. rli ne<ds art~ !:oolt petrmi 111.rdaultl.f U<lsilJ:l,j blie!lilJ~~lie~!

PIC!i111Ellrd1elliccll!!iltdblh!Jllrvitg, 5lli~ a:pils at dl:isbn9, !!!Mn, 1lltrl r,d 1'11\™ ~!!WI rejXXll ih:lilWJ ~OOl!irl~.ti~lrld~~--b f~miMet~illllUnlr~lllXl'Ulrl lie ~eiojmnt ir!illllll1liliilrl Ull mi!llrw of cd1~! afil$tAll lnlniM~ I !!*miCffr~ leg~ a/Id llllllnt111 i:Jre1 of eoci C8l:. lie ~' ~ra a111 11\ll1ilrm o1 re CMl'fr4ll ~ll!Jlt'!dbr~:

1n!'.1111!:11 !~lar.l; !*'core of~~ •bmolOO ar<I Wild! ~. ~Cl lie imfl r~'!ddcbl:af~. li!SJJfeils r/ llt1ler.ei. 1Ujlp!es aoJ ~1 d ~l Col\ Oepmtar~llllJ.\r~ 1.nd camL!Uu• l!rllniaJI n>qUl!OOl of obar.£0\ r~!tm; nmllrs ~J!Sl! Irr ll'.!'1 pa'e •hi:h l!!IJ b le 111111ri m.l!OJ &~ Cooris in~t.iilli\ llllet1!1111 Camnlln oo Ml llll o!'Cf \ll'~ ~t Co<tl.rdf"ibln!~~relllldhi!dlllll !~l!!i:il i!!!A, E!ll1Jf!! &r<ly upllllnj cl r~bb;grMl>J~doi!d ~;j l"i«J1\nlm!!tl &I f't'9tfr ~.!lid b OJ!f!lel lale1dla~1ott1tolmmd

da:isim all1 m:l/Jlnl ~~! CG.11"1 v.M.i; 1<1101e t~liM/ ar<I pilbrl'$ rf1tj relll!d -lclli!C(~'\alll~olier

oolpelilrmolll!rrelJledfurd1011 ~ndliro rcl:l!>lmru

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 81OF198

COURT OF TAX APPEALS PROCESS MAP

:.: a! UJ ~ ...J

u ::i z 0 52 u V> u.

~ 0

Cl

I-

"" ::i 0 u u.. Q ~

"' w r::l

c: \!.! :t: ~ u

UJ w .,.

Cl.. !:::: -= ro ..,:

~ ;? 0

Vl u Vl UJ

...J ClJ u. u u. 0 •cl:

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Cl..

"' o::i ;:

(1J

c 0 0.. ......_ ..., <;t; 0

, , .,;ew compLr.!itit1r. ~h eet

vority cor.op•~otion ~rilirig tH~

Roce),•• p•'(m•M/ '--------' iuu~ r:c~ipt

j C:O t4:.iC~ t1#Jc: ~! C!l!-! ?-t; p;;me:ljtt

Prl! f<!t! ~;et1dum tor p~nent~

OR IU :.!C SU!rlMOM

¢~ 1mir.m(:'IQ

:4miti.J~ctit

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t3 .;,1 z 0 g >

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5. References

PROCESS

• Adjudication of Initiatory Pleading

SUB-PROCESS

• Receiving and processing of Initiatory Pleading or motion

• Adjudication • Issuance and

Release of Initial Action/Resolutio n

REFERENCES

• 1987 Constitution • R.A. 1125, An Act

Creating the Court of Tax Appeals, as amended by R.A. 9292, effective April 23, 2004; and R.A. 9503, effective July 5,2008

• Revised Rules of the Court of Tax Appeals, approved by the Supreme November (A.M. No. CTA)

Court on 22, 2005 05-11-07-

o Revised Rules of Court

• Internal Rules of the Court of Tax Appeals

• Revised Manual for Clerks of Court (Vols. 1 and 2)

o A.M. No. 02-8-13-SC Resolution, 2004 Rules on Notarial Practice, dated July 6, 2004

• A.M. No. 11-9-4-SC,

Efficient Use of Paper

Rule, dated September 3,2012

• CTA En Banc Resolution No. 03-2008, Guidelines in the Handling of BIR and Other Court Records, effective March 25, 2008

o CTA En Banc Resolution

No. 03-2010, dated June 17, 2010


• CTA En Banc Resolution No. 09-2010, dated November 2, 2010, as amended by CTA En Banc Resolution No. 04-2012, dated September 3, 2012

• CTA En Banc Resolution

No. 01-2013, dated January 8, 2013, as

amended by CTA En Banc Resolution No. 02-2013, dated

February 5, 2013 • CTA En Banc Resolution

No. 05-2013, Required number of copies to be filed for Petition for Review and other pleadings, dated May 28,2013

• CTA En Banc Resolution No. 03-2014, Guidelines for the Implementation of the Court of Tax Appeals Case Management Information System (CTA-CMIS)

Enhancement Project, CTA-CMIS Version 2.1, dated June 3, 2014

• CTA En Banc Resolution No. 06-2015, Documentary Stamps on Judicial Affidavits, dated September 15, 2015

• CTA En Banc Resolution No. 03-2016, Use of Gender-Fair Language, dated April 22, 2016

• CTA En Banc Resolution No. 04-2016, Orders Given in Open Court, dated May 31, 2016

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• CTA En Banc Resolution

No. 06-2016, Disposition of Books, Documents and Records Introduced in Evidence, dated July

12,2016 • CTA En Banc Resolution

No. 08-2016, dated August 30, 2016

• Resolution Adopting Certain Guidelines in the Docketing/Numbering of Court of Tax Appeals Cases Based on the Expanded Jurisidiction of the CTA under R.A. 9282, dated September

10,2004 • Memorandum dated

September 9, 2013, signed by Atty. Elvessa P. Apolinario, Clerk of

Court, Re : Office Hours is from 8:00 a.m to 4:30 p.m. from

Mondays to Fridays • SC Adminstrative

Circular No. 35-2004, Guidelines in the Allocation of the Lega l

Fees Collected under Rule 141 of the Rules of

Court, as amended, between the Special Allowance for the Judiciary Fund and the Judicial Development Fund, dated August 12, 2004

• SC Amended Administrative Circular No. 35-2004, Guidelines in the Allocation of Lega l

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Fees, dated August 20, 2004

• OCA Circular No. 88-2007, Guidelines in the

Implementation of

Section 1 of Rule 141 of the Rules of Court, as

amended, dated

August 28, 2007

• CTA Administrative

Circulars

• CTA Administrative Orders

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CRIM. CASES U~lfT

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CHAPTER VI REGIONAL TRIAL COURT/ SECOND LEVEL COURTS

1. History

Formerly called as the Court of First Instance since the Spanish

era . It continued throughout its colonization under Spanish and Americans. After the Independence from the United St at es of America, Republic Act No. 296 or Judiciary Act of 1948 was

enacted to reinforce its jurisdictional powers of t he Court of First Instance. Under its law, it has the power to try Civil and Criminal

cases, as well as Appeals from decisions made by the

Municipality and City Justice of the Peace Courts. In addition, there were Special Court s created to try special ized cases.

Therefore, The Interim Batasang Pambansa has passed Batas Pambansa Bilang 129 , The Judiciary Reorganization Act of 1980

w hich reorganized the Lower and Intermediate Courts in the Country which include the change of Court of First inst ance to Regional Trial Court.

2. Organizational Structure

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Office of the E~ecutlve Judge

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1. CLERKS OF COURT

1.1. Office of the Clerk of Court of a Multiple Sala Court

1.1.1. Clerk of Court

1.1.1.1. Is the administrative officer of the Court under

the supervision of the Executive Judge; 1.1.1.2. Has control and supervision over the personnel,

all properties and supplies in his office; 1.1.1.3. Acts on applications for leave of absence and

signs daily time records of his staff, as well as security and janitorial service personnel;

1.1.1.4. Determines docket fees; 1.1.1.5. Assists in the raffle of cases to the branches and

judicial notices/summons to accredited publishers; 1.1.1.6. 1.1.1.7. 1.1.1.8.

Issues clearances in appropriate cases; Acts as ex-officio notary public; Acts as ex-officio sheriff;

1.1.1.9. Represents the Court in administrative dealings with the local government and other agencies; and

1.1.1.10. Performs and discharges such duties as may be assigned by the Executive Judge.

1.1.2. Assistant Clerk of Court 1.1.2.1. Assists the Clerk of Court in the performance of

the latter's duties and responsibilities; 1.1.2.2. Acts a Clerk of Court in the absence of the

incumbent; and 1.1.2.3. Performs and discharges such duties as may be

assigned by the Executive Judge.

1.2. Branch Clerk of Court 1.2.1. is the extension of the Clerk of Court for administrative

purposes and performs some of the functions and duties of the Clerk of but only within the branch, subject to the

supervision and control of the Presiding Judge; 1.2.2 . is the custodian of the Court's properties and premises; 1.2.3. attends hearing, takes charge of the administrative aspects

of its business, and chronicles its directions; 1.2.4. keeps the following books:

1.2.4.1. General Docket Each page shall be numbered and prepared for receiving all the entries in a single case and shall enter


therein all cases, numbered consecutively in the order in which they were received and, under the heading of

each case and a complete title thereof, the date of each paper filed or issued, of each order of judgment entered, and of every step taken in the case, so that by reference to a single page the history of the case may be seen.

1.2.4.2. Judgment Book It contains a copy of each judgment rendered by the Court in the order of its date.

1.2.4.3. Book of Entries of Judgments It contains at length in chronological order entries of all final judgments or orders of the Court.

1.2.4.4. Execution Book It contains records in chronological order of each execution, and the officer's return thereon, by the virtue of which real property has been sold.

The general docket, judgment book. Entries book and execution book shall be indexed in alphabetical order in the names of the parties, and each of them. If the Court so directs, the Clerk of Court shall keep two (2) or more of either or all the books and dockets above mentioned, separating civil from criminal cases, or actions from special proceedings, or otherwise keeping cases separated by classes as the Court shall deem best.

1.2.5. keeps a daily records of the Court's activities in a book known as the Court Journal, wherein daily entries shall be made of: 1.2.5.1. Time of opening, recess and closing of the Court 1.2.5.2. Cases tried or heard and status of each 1.2.5.3. Decisions or orders released 1.2.5.4. Cases filed 1.2.5.5. Subpoenas, notices or warrants issued

1.2.5.6. Returns received 1.2.5.7. Other matters as may be specified by the Supreme

Court. The entries for each day shall be certified by the Clerk of Court or Branch Clerk of Court, as the case may be, and the

Court Journal shall be open to public inspection. 1.2.6. receives and keeps the necessary papers of a case in their corresponding files; 1.2. 7. supervises the withdrawal of all records of cases to be heard

and the preparation of the notices of hearing, calendar reports,

minutes, monthly reports of cases, inventory of cases, index of exhibits and paging of records;

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1.2.8. sees to it that all returns of notices are attached to the corresponding records and that all the pieces of documentary evidence properly marked during the hearing are collected in the exhibit folder;

1.2.9. signs summonses, subpoenas and notices; remittances of prisoners, certified true copies of decisions and orders, letter of administration and guardianship, transmittal of appealed cases, indorsements and communications, and monthly

reports of cases; 1.2.10. signs releases of prisoners, writs and other processes upon

order of the Court; 1.2.11. keeps tab of the attendance and whereabouts of personnel

during office hours; 1.2.12. receives evidence, when so commissioned, such as in

petitions for appointment of administrators and I or executors, receives, guardians, accounting reports and similar incidents, without fees;

1.2.13. represents the Presiding Judge, when designated by the latter, in ocular inspection and acts as hearing officer in the taking of depositions; and

1.2.14. performs such other functions as may be delegat ed by the Clerk of Court and/or assigned by the Presiding Judge.

2. OTHER COURT PERSONNEL


2.1.1. Administrative Officer II I Administrative Officer Ill 2 .1.1.1. assists the Administrative Officer IV ( or 111, as the

case may be) in his administrative functions pertaining to his assigned section with regard to records, supplies, equipment, personnel, notaries public and general services, and does related work;

2.1.1.2 initials requisitions for suppl ies and material, applications for leave and other employees benefits for signature of the Clerk of Court;

2.1.1.3. implements administrative policies and procedures as directed by Clerk of Court;

2.1.2. Administrative Officer I 2.1.2.1. assists the Administrative Officer II in the

supervision of the operations and activities of Unit

or Section; 2.1.2.2 studies and makes suggestions to improve work

methods and

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procedures for a more effective operation of the Unit or Section;

2.1.2.3. takes actions on delegated routine matters; 2.1.2.4 makes periodic reports of activities and

accomplishment of the Unit; and 2.1.2.5. does related work.

2.1.3 . Records Officer II/ Records Officer Ill 2.1.3.1. directs and supervises the activities of all sections

under the division, including the personnel thereof engaged in record management activities;

2.1.3.2. is responsible for the custody and safekeeping of

records, papers and documents; 2.1.3 .3. authenticates copies of records and causes their

repair and rebinding; 2.1.3.4. recommends changes and modifications to

improve the recordings system; 2.1.3.5. maintains an effective filing and storage system

for easy access; 2.1.3.6. prepares answers to correspondence and

communications relative to the records kept by the Section;

2.1.3.7. checks all records, papers and documents to determine sufficiency and compliance with rules;

2.1.3.8. keeps track of all incoming and outgoing records

and their whereabouts; 2.1.3.9. oversees periodic sanification of records and their

environs; and 2.1.3.10. performs other duties that may be assigned to him.

2.1.4. Librarian II 2.1.4.1. directs the operations and activities of the Library

Unit/ Section and supervises the personnel

thereof;

2.1.4.2. implements policies, directives, rules and regulations relating to library administration;

2.1.4.3. plans and makes work assignment and schedule; 2.1.4.4. answers questions involving research and

reference materials, and the use of indexes and

bibliographies; 2.1.4.5. advises library personnel in the proper

maintenance of library records; 2.1.4.6. renders assistance to researchers in the use of the

library and its resources; 2.1.4.7. selects and recommends reference material for

acquisition; and


2.1.4.8. does related work.

2.1.5. Cashier II 2.1.5.1. makes physical deposits and withdrawals of cash

as may be authorized by the Clerk of Court;

2.1.5.2.

2.1.5.3. 2.1.5.4.

receives collection of cash clerks and consolidates daily collection reports; prepares statements of cash accountability;

verifies cash balance of lower-grade receiving cashiers by comparing cash on hand with book balances;

2.1.5.5. verifies the posting of cash advances, disbursements, collections and deposits;

2.1.5.6. prepares daily cash position reports and other monthly reports of collections and disbursements; and


2.1.6. Cashier I

2.1.6.1. assists Cashier II in the performance of his functions; and

2.1.6.2. performs functions of Cashier Ill in the absence of plantilla positions for Cashier II and Cashier 111;

2.1. 7. Statistician II 2.1.7.1. directs and supervises the activities in the

Statistics Section; 2.1.7.2.

2.1.7.3.

2.1.7.4.

2.1.7.5.

2.1.7.6.

2.1.7.7. 2.1.7.8.

2.1.7.9.

studies and devises methods and techniques to obtain statistical data or to reduce them into

appropriate form; analyzes available statistical materials relative to their coverage, methods employed and limitation; evaluates results of statistical surveys and similar inquiries for accuracy, consistency and conformity

to standards gathers, complies, transforms, computes and summarizes statistical data on cases filed, disposed of a pending in the lower courts; assists in the preparation of statistical tables, charts and graphs of the volume of cases filed, disposed of and pending in the courts as well as rates of performance of the judges;' designs form for statistical use; devises and adopts techniques, methods and procedures for effective statistical work; reviews work of statistical clerks and aides; and

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2.1.8. Statistician I 2.1.8.1.

2.1.8.2.

2.1.8.3.

2.1.8.4. 2.1.8.5.

2.1.8.6.

selects, compiles, transforms, computes and summarizes statistical data on performance of judges, cases filed, disposed of pending in the courts, status of employment, number of personnel, inventories, as well as other relevant statistics; prepares forms for statistical worksheets and tables according to instructions; computes simple statistical measures of central

tendencies and variability as well as nonparametric statistics; utilizes simpler statistical formula; assists in the preparation of questionnaires and tabular presentation of statist ics; and conducts filed canvass, whenever necessary, to obtain specified statistical information.

2.1.9. Assistant Statistician 2.1.9.1. assists the Statistician II and Statistician I in

performing functions mentioned in 2.1.7.1. and 2.1.7.2.

2.1.10. Social Welfare Officer II 2.1.10.1 conducts interviews and home visits to parties or

wards; 2.1.10.2.

2.1.10.3.

2.1.10.4.

2.1.10.5.

2.1.10.6.

2.1.10.7.

contacts all possible informants regarding accused minors;

prepares case study reports based on interviews and home visits;

provides individual and group counseling service

and other necessary social services and assistance;

refers, by direction of th e Court, parties or

individuals to appropriate agencies for rehabilitation; appears in Court as witness to supplement his written case study reports submitted to the trial judge; and does related work.

2.1.11. Court Stenographer Ill 2.1.11.1. takes stenographic notes on all matters that

transpire during court hearings or preliminary investigations and transcribes them;

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2.1.11.2.

2.1.11.1.

take down and transcribes, in final form, dictations of the Judge I Clerk of Court; and does related work.

2. 1.12. Court Interpreter Ill

2.1.12.1. acts as translator of the Court; 2.1.12.2. 2.1.12.3.

2.1.12.4.

2.1.12.5. 2.1.12.6.

2.1.12.7.

2.1.13. Clerk IV 2.1.13.1.

2.1.13.2.

2.1.13.3.

2.1.13.4.

2.1.14. Clerk Ill 2. 1.14.1.

2.114.2.

2.1.14.3.

2.1.14.4.

2.1.14.5.

attends court hearings; administers oath to witnesses;

marks and keeps, under the direction of the Clerk of Court/Branch Clerk of Court, a ll exhibits

submitted in evide nce;

prepares minutes of t he court sessions; maintains and keeps in custody a record book of cases calendared for hearing; and performs such other duties as may be assigned by the Judge and/ or Clerk of Court.

assists in the supervision of the Administrative Section; prepares requisitions of supplies and materials for all branches and the Office of the Clerk of Court; attends to the general services requirements of all the branches and of the Office of the Clerk of Court; and performs other duties that may be assigned.

receives and docket cases filed with the Office of

the Clerk of Court; maintains and keeps custody of docket books for criminal, civi l, special civil actions, land registration, special proceedings, administrative cases and reconstituted cases;

indexes cases fil ed with the Office of the Clerk of Court; prepares and initials clearances; and

performs other duties that may be assigned to him.

2.1.15. Process Server 2.1.15.1. serves court processes such as subpoena,

summons, court order and notice; 2.1.15.2. prepares and submits return of court processes; 2. 1.15.3. monitors messages and/or delivers court mails;

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2.1.15.4.

2.1.15.5.

maintains and keeps custody of record book of

court mail matters received and dispatched by him; and performs such other duties as may be assigned to him.

2.1.16. Utility Worker 2.1.16.1. performs a variety of low level functions, such as

janitorial work, stitching of case records, mesengerial work; and

2.1.16.2. does related work as directed

1.1.1. Administrative Division

1.1.1.1. Collecting Section a. Assesses filing fees and allocates the fees to

different accounts; b. Receives payments for filing fees, judicial

deposits and other fees such as clearances, notarial and extra-judicial commissions;

c. Deposits collections to, and withdraws funds from, bank; and

d. Prepare reports of collections, deposits and withdrawals.

1.1.2.2. Notarial Section

1.1.2.3.

a. prepares notarial commissioning and oath of office and submits them to the Executive Judge for approval after verification as to authenticity and correctness of the documents presented;

b. issues authenticated and certified copies of

documents filed by commissioned notaries public;

c. receives all notarial reports for filing, sorting and safekeeping; and

d. Maintains efficient archives of these notarial reports for preservation and to facilitate retrieval.

Records and Archives Section a. Receives records of terminated cases for

filing; and b. Maintains efficient archives of these

records for protection and to facilitate retrieval.


1.1.2.4.

1.1.2.5.

1.1.2.6.

Personnel Section a. Maintains personnel files; b. Prepares certifications and clearances for

personnel; and c. Distributes salary checks and other benefits.

Property and Supplies Section

a. Maintains accurate inventory of property and supplies; and

b. Requisitions, receives, records and distributes property I supplies to personnel.

Statistics Section a. Gathers, maintains and prepares statistical

data on cases filed and raffled; and b. Designed and submits statistical reports,

including inventory of cases.

1.1.2.7. Library Section

1.1.2.8.

1.1.2.9.

a. Requisitions books and other printed matters from the Supreme Court and receives donated books; and

b. Maintains and keeps books and printed matters for research and reference purposes.

The Pool Section This is composed of Stenographers, Interpreters and Sheriffs, who may be assigned to the different branches of the Court, whenever requested, to fill in

vacancies arising from leave of absence, retirement, resignation or transfer, and of Social Workers who are assigned to Family Courts.

Clerk of Court as Ex-Officio Sheriff 1.1.2.9.1.Serve summonses and notices of raffle in

initiatory pleadings with application for temporary restraining order and

preliminary injunction; 1.1.2.9.2.Serves processes and implements writs

coming from: a. The branches of the Court in the

absence of the branch sheriff;

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b. The other courts of the country, including the Court of Appeals and the first level courts; and

c. The offices and quasi-judicial agencies of the Government.

1.1.2.9.3.Serves summonses and process coming from foreign countries.

SPECIFIC FUNCTIONS AND DUTIES

1. ADJUDICATIVE SUPPORT FUNCTIONS

1.1. Office of the Clerk of Court and Single Sala Court

1.1.1. Filing with the Court

1.1.1.1. Manner of filing - The filing of pleadings, appearances, motion, notices, orders, judgments and all other papers shall be made by presenting the original copies thereof, plainly indicated as such, personally to the Clerk of Court or by sending them by registered mail.

a. Personal - The Clerk of Court shall endorse on the pleading the date and hour of filing.

The complaint is deemed filed when the date and hour of filing are written or stamped by the clerk on the complaint. The Clerk of Court is directed not to docket the complaint unless the correct docket fees are first paid. In case of indigent litigant, the case should not be docketed unless the order of the Judge allowing him to litigate as such has been issued.

b. Registered mail - The date of mailing of motions,

pleadings or any other papers or payments or deposits as shown by the post office stamp on the envelope or the registry receipt shall be considered as the date of their filing, payment or deposit in the court. The envelope shall be attached to the record.

If the docket fees are not enclosed with the registrymailed complaint, or if the amount of the fees sent is short of that required by law, the Clerk of Court shall immediately inform the plaintiff thereof and apprise the Court accordingly.


1.1.1.2. Payment of Docket and other Legal Fees - Upon the filing of the pleading or other application which initiates an action or proceeding, the fees prescribed thereof shall be paid in full.

a. Guidelines - No case should be assigned a number until the filing fee is paid and in case of indigent party,

until the motion to litigate as indigent party is

approved by the Court I Executive Judge

b. Exemptions from payment of court fees -

b.l. Indigent litigants - Indigent litigants (a) whose gross income and that of their immediate family do not exceed four thousand (4,000.00) pesos a month if residing in Metro Manila, and three thousand (3,000.00) pesos a month if residing outside Metro Manila, and (b) who do not own real property with an assessed value of more than fifty thousand (50,000.00) pesos shall be exempted from the

payment of legal fees. The legal fees shall be a lien on any judgment rendered in the case favorably to the indigent litigant, unless the Court otherwise provides.

To be entitled to the exemption provided in Rule 141,

the litigant shall execute an affidavit that he and his immediate family do not earn a gross income above mentioned, nor do they own any real property with the assessed value aforementioned, supported by an

affidavit of a disinterested person attesting to the truth of the litigant's affidavit.

Any falsity in the affidavit of litigant or disinterested person shall be a cause to strike out the pleading of that party, without prejudice to whatever criminal liability may have been incurred.

b.2. Government exempt - The Republic of the Philippines, its agencies and intrumentalities, are exempt from paying the legal fees provided in Rule 141. Local governments and government-owned or

controlled corporations with or without charters are not exempted from paying such fees.

However, all court actions criminal or civil, instituted at the instance of the provincial, city or municipality


treasurer or assessor under Sec. 280 of the Local Government Code of 1991 shall be exempt from the payment of court and sheriff's fees

b.3 Tenant-farmer, agricultural lessee or tiller, settler or amortizing owner-cultivator.

1.1.2. Receiving and Docketing

1.1.2.1. Receiving In single sala, initiatory and subsequent pleadings shall be filed with the Clerk of Court.

In multiple sala, initiatory pleadings shall be filed with the Office of the Clerk of Court and subsequent pleadings shall be filed directly with the branch to which the case is assigned.

1.1.2.2. Docketing a. In a single sala court, the clerk shall keep a General Docket, each page of which shall be numbered and prepared for receiving all the entries in a single case shall enter therein all cases, numbered consecutively in the order in which they were received, and under the heading of each case and a complete title thereto, the date of each paper filed or issued, of each order or judgment entered, and of every step taken in the case, so that, by reference to a single page, the history of the case may be seen.

b. The date and time of filing must be indicated on the cover as well as on the first page of the pleading together with its assigned docket number.

c. The docket number must follow a sequential order corresponding to the date and time of filling of the case which shall be reflected in the Docket Record, in which the docket number, caption, date and time of filing of the case, and the number and date of the official

receipts for the legal fees paid shall be entered.

d. The clerk in charge in the Office of the Clerk of Court shall indicate on the appropriate page of the docket the branch to which the case is raffled and the date of raffling, as well as the dispositive portion of judgment or final order.

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1.1.3. Assignment of Cases / Raffling of Cases The assignment of cases to the different branches of a Court shall be done exclusively by raffle. The assignment shall be done in open session of which adequate notice shall be given so as to afford interested parties the opportunity to be present.

The raffle of cases should be regularly conducted at the hour

and on the day or days to be fixed by the Executive Judge. Only the maximum number of cases, according to their dates of filing, as can be equally distributed to all branches in the particular station or grouping shall be included in the raffle. Cases in excess of the number sufficient to equal distribution shall included in the next scheduled raffle, subject to the exceptions in urgent incidental or interlocutory maters.

1.1.3.1. Notice of raffle a. Notice of the day and hour of the raffle sha ll be posted prominently at the main entrance of the session hall of the Executive Judge and at the bulletin board of the Office of the Clerk of Court. Other notices to the parties may be sent as the interest of Justice may require on request of any party and with the prior approval of the Executive Judge. There shall be no special raffle of any case except on meritorious application in writing by any party to the case and with the approval of Executive Judge.

b. If the regular raffle of cases is scheduled at 2 :00 o' clock in the afternoon of the raffle day, the cut -off period for the inclusion of cases in the list shall be 12:00 o'clock noon to allow sufficient time for the preparation

of a complete raffle list for posting and distribution of copies to all judges before the raffl e. In this connection, each judge in the station must have a copy of the list at least thirty {30) minutes before the scheduled raffle.

c. The list of cases to be raffled must be arranged according to the sequence of their docket numbers. There should be a list for criminal cases and another for civil cases.

d. The list of criminal cases should first enumerate those exclusively cognizable by special criminal courts and/ or courts designated to hear family and youth cases.

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1.1.3.2. Regular Raffle a. A raffle committee shall be composed of Executive Judge, Vice-Executive Judges and two (2) other Judges assigned for the raffle in accordance with the pairing system who shall all be present during the scheduled raffle. The assignment of pairing judges shall be strictly by rotation.

The Committee shall be assisted in the raffle by the Clerk of Court I Assistant Clerk of Court and two (2) stenographers.

b. In stations where there are only two {2} salas, the judges of both and either the Clerk of Court or the Branch Clerk of Court should be present. In the absence of the Executive Judge, the Judge at the station who is the most senior in point of appointment to the Judiciary shall personally conduct the raffle.

c. The raffle must be conducted at the lawyer's table in open court. Under no circumstance may any raffle be made in chambers.

d. The raffle must be conducted in such manner that all branches of the Court in that station or grouping, including vacant salas, shall receive more or less the same number of civil, criminal and other kinds of cases.

However, all vacant salas without judges on temporary assignment or detail therein, or the sala where the judge is on an extended leave of more than 30 days, shall be excluded from the raffle of criminal case {involving

detention prisoners); provided that once the vacancies are filled or the absent judge has returned, the sala shall

be assigned such number of cases as will equalize its caseload equitab ly with the rest of the other branches in

the same station.

e. The members of the Raffle Committee, together with pairing judges assigned for the raffle, shall each confirm in open court the branch to which a case is raffled before the next draw is made.

f. The stenographer shall record accurately the raffle proceedings stating therein, among others, the names of


all those required to be present and the parties attending, if any.

The stenographers shall transcribe, duly accomplish the sign the minutes of raffle proceedings immediately, not later than twenty-four (24) hours thereafter.

g. Every Judge sitting in the Raffle Committee shall

review the entries in the minutes and countercheck them with his own entries in his list before signing on

each and every page thereof. He shall not affix his signature thereon unless he has thoroughly verified the accuracy of the entries in the minutes.

h. Every Judge sitting in the Raffle Committee shall then affix his initials on the right hand corner of the cover page and the first page of the initial pleading, but only after a thorough verification of the accuracy of the assignment of the cases to the branches drawn in the raffle. The Executive Judge shall be the last to affix his initials as herein required only after the proper verification of the accuracy of the entries in t he minutes.

i. The minutes shall be signed in turn by all members of t he Raffle Committee, duly certified by the Executive Judge, and posted immediately at the bulletin boards of the Executive Judge and the Clerk of Court. Each branch shall furnished a copy of the minutes of the raffle.

1.1.3.3. Special Raffle a. Whenever an incidental or interlocutory matter in a case is of such urgent nature that it may not wait for t he regular raffle, the interested party may request the Executive Judge in writing for a specia l raffle. If the request is granted and t he special raffle is conducted, the case shall immediately be referred to the branch to which it corresponds. The Executive Judge shall have no authority to act on any incidental or interlocutory matter in any case not yet assigned to any branch by raffl e.

b. There sha ll be no specia l raffle except upon written application of a party and only upon highly justifiable reason/s t o be determined by the Executive Judge and his Vice Execut ive Judges after due consultation with one another. A certification granting or denying the

DOCUMENT CODE: JUD·OMS·OM-001 ; EFFECTIVITY DATE: ___ ; VERSION:_Q_; ISSUED BY: __ PAGE 102 OF 198

application and citing the reason/s therefor shall be issued accordingly. Such certification shall be attached to the expediente immediately after the initial pleading and shall form part of the record of the case.

c. If the application is granted, the special raffle shall be held in the session hall of the Executive Judge in the presence of the members of the Raffle Committee scheduled to sit in the next regular raffle. A certification to the effect that a special raffle was duly held and that the case was thereafter assigned to the branch drawn in the process shall be issued and signed by all the members of the Special Raffle Committee.

d. The date and tome of the raffle shall be written on the front cover of the expediente and on the first page of the initial pleading and signed by all members of the Special Raffle Committee.

e. In the preparation of the list of cases to be included in the regular raffle, the Clerk of Court shall include the cases thus specially raffled prior to the scheduled

regular raffle, indicating therein the branch to which these cases have been assigned.

f. If the application for special raffle is denied, the case shall be included in the list of cases for the next regular

raffle.

1.1.3.4. Caseload of the Executive Judge - The caseload of the Executive Judge shall be as follows:

a. In case of multiple branches (salas) of not more than two (2), the distribution of cases sha ll be in the

proportion of three (3) cases for the Executive Judge and four (4) for the judge.

b. In case of multiple branches (salas) of not less than three (3} or more than five (5), the distribution of cases shall be in the proportion of two (2) cases for the Executive Judge and three (3) for each of the other judges.

c. In case of multiple branches (salas} of more than five (5), the distribution of cases shall be in the proportion of

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:.Q.; ISSUED BY: _ _ PAGE 103 OF 198

one (1) case for the Executive Judge and two (2) for each of the other judges.

1.1.3.5. Re-assignment of Cases of disqualified/ inhibiting

1.1.3.6.

judges

Inhibitions and disqualifications are judicial actions

which do not require prior administrative approval.

Administrative intervention is necessary only when the inhibition is by a judge of a single sala, and the case has to be transferred to another judge of another station. Administrative intervention is also warranted in case of conflict of opinions among the judges as to the propriety of the inhibition.

a. With respect to single sala courts, only the order of inhibition shall be forwarded to the Supreme Court for appropriate action. The records of the case shall be kept in the docket of the Court concerned while waiting the instruction and/or action of Supreme Court thereon.

b. With respect to multiple sala courts, only the order of inhibition shall be forwarded to the Executive Judge for appropriate action. The records of the case shall be kept in the docket of the Court concerned while awaiting the instruction and/or action of the Executive Judge thereon.

In any case where the Judge concerned is disqualified or voluntarily inhibits himself, the records shall be returned to the Executive Judge and the case shall be included in the regular raffle for reassignment. Another case, similar in category to the one re-assigned, shall be assigned by raffle to the disqualified or inhibiting Judge to replace the case so removed from his Court.

Re-distribution of pending cases in multiple sala stations

In multiple sala stations where former incumbents have either retired or were promoted, leaving undecided pending cases of such volume that the present incumbent finds extreme difficulty in attending thereto, the Executive Judge should promptly make a report and recommendation on


1.1.3.8.

1.1.3.7.

the equitable redistribution of these cases to the other salas. As much as practicable, the incumbent judges should arrive at an agreement on the matter; otherwise, the matter should be brought to the attention of the Court Administrator for prompt action.

Distribution of cases among re-assigned judges a. In order to minimize if not avoid public criticism, every trial judge who has started hearing a case shall continue to hear and decide the case even if a new judge is appointed or designated to replace him. For this purpose, the re-assigned judge shall in the meantime be considered Assisting Judge of the Branch to which he was formerly assigned. If the re-assigned judge is only transferred to another branch in the same seat , the case shall be transferred to the branch to which he is assigned. He shall endeavor to so adjust his calendar as to enable him to dispose of his cases efficiently in his original as well as in his present assignment.

b. Cases submitted for decision at the time of the

appointment of a new judge shall be decided by the judge to whom they were submitted for decision, including motions for reconsideration and motions for new trial thereafter filed. However, if a new trial is granted, the new judge shall preside over the new trial

until terminated .

Unloading of cases and special rules in newly created branches

a. The Executive Judge shall determine the average caseload of each branch by dividing the total number of

cases pending in the station by the number of branches thereat, including those newly created.

b. Each of the original branches may unload its excess over the average number determined in the preceding paragraph, subject to the following restrictions:

b.l. The unloading of cases shall be limited to civil

cases which have not gone beyond the pre-trial stage, and criminal cases where the trial proper has not yet commenced.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:JL; ISSUED BY: __ PAGE 105 OF 198

b.2. In the event of an imbalance in the caseloads because fewer cases are unloaded to new courts while existing courts retain higher caseloads, the caseloads shall be equalized by excluding from the raffle all or some of the existing courts with higher dockets. The existing courts will be included in the raffle only when the caseloads of new courts have attained the average level in the subsequent raffle of additional cases.

c. Thereafter, the raffle shall be affected after the

Executive Judge shall have collated all the cases to be unloaded all the parties have been duly notified. The unloading shall be done strictly by raffle unless otherwise authorized by the Supreme Court.

d. In the meantime that the personnel complements of the newly created courts are being organized, their presiding judges may be assigned to existing courts with which such newly created courts may be paired. For this purpose, the presiding judge of a newly created court as pair judge of an existing court in the same station may hear and resolve cases and incidents requiring speedy action, such as those involving detention prisoner, applications for search warrants, petitions for habeas corpus, and other cases requiring immediate attention.

1.1.3.9. Special rules in newly created seats/ stations

a. In areas with newly created seats/ stations originally

belonging to territorial area of another court (e.g., RTC, Makati where new seats or stations have been established in Muntinlupa, Las Piflas and Paranaque), each branch of the court in the original station is directed to immediately make an inventory of the cases which may be properly allocated to make an inventory of the cases which may be properly allocated to the newly created courts.

b. the following rules shall, likewise, be observed:

b.1. The cases to be unloaded to the courts in the new station shall not exceed 150 for each branch to give ample allowance for cases which may be filed directly with the new courts.

DOCUMENT CODE: JUD-QMS·OM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 106 OF 198

b.2. In the meantime that the clerks of court for

these new seats/stations are not yet appointed, or that no bonded court employee is designated to receive docket and other legal fees, the payment of such docket and other fees shall be made with the Clerks of Court of the Original stations.

Any other administrative problem that may arise in the newly created courts shall be brought to the attention of Court Administrator before any action is taken thereon so that the latter may, if necessary, refer the matter to the Supreme Court for appropriate resolution.

1.1.3.10. Inherited cases

As regards inherited cases which are submitted for decision before trial judges who have been promoted or, for any reason ,are no longer in the service, the

following rules shall apply:

a. Inherited cases shall be decided by judges of existing courts to whom they are assigned. In fact, they are directed to decide these cases with deliberate

dispatch.

b. The Supreme Court, on its own initiative or upon recommendation of the Executive Judge, may direct a judge of a newly created court to decide inherited cases .

c. An inherited case is deemed submitted to a judge for decision after he has received the testimony of the

last witness, and for this purpose, the submission of exhibits and the memorandums of the parties shall

not be taken into account.

1.1.3.11. Dismissed cases when re-filed When a case is dismissed for any cause whatsoever and the same is re-filed, it shall not be included in the raffle

anymore but shall be assigned to the branch to which the original case pertained . If, by mistake or otherwise, such case is raffled and assigned to another branch, the latter must transfer the case to the branch to which it originally belonged, in which event another case shall be

assigned by raffle as replacement.

DOCUMENT CODE: JUD-QMS·OM·OOl ; EFFECTIVITY DATE: · VERSION:.Q_; ISSUED BY: _ _ PAGE 107 OF 198

To give greater force and effect to this rule, all orders of dismissal must be served upon all parties impleaded in the case.

1.1.3.12. Change of venue Request for change of venue shall be forwarded to the Supreme Court for appropriate action without the record of the cases concerned which shall be kept in

their respective courts to await the instruction and/ or action of the Supreme Court thereon. The judge of the

court from which the case is sought to be transferred shall attach his comment and/ or recommendation on such request.

1.1.3.13. Consolidation When action involving a common question of law or fact are pending before the Court , it may order a joint hearing or trial of any or all the matters in issue in the actions; it may order all the actions consolidated; and it may make such orders concerning proceedings therein as may tend to avoid necessary costs or delay.

By analogy, as is the practice in the Court of Appeals, whenever two (2) or more allied cases are assigned to different branches of the same court, the consolidation shall be in the branch with the case bearing the lowest docket number, subject to replacement with a case or cases of the same kind and status.

Notice of the consolidations and replacement shall be given to the parties and their respective counsel.

1.1.3.14. Designated Special Courts The Executive Judges of the Regional Trial Courts shall exclude designated Courts from the raffle of other cases, criminal and civil, whenever in their judgment the caseload of these courts shall prevent them from conducting daily trial of the special cases.

1.1.3.15. Family Courts

a. In case only one (1) branch of the Regional Trial Court has been designated to handle juvenile and domestic relations cases and cases involving juveniles in conflict with t he law, the Executive Judge shall cause the

DOCUMENT CODE: JUD·QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:.Q_; ISSUED BY: __ PAGE 108 OF 198

transfer of the listed cases to the branch so designated

immediately after receipt of the records.

b. In case two (2) or more branches of the Regional Trial Court have been designated to handle the aforementioned cases, the Executive Judge shall, within ten (10) days from receipt of the records conduct the raffle, with notice to the parties, and distribute the cases, together with the records, to the branches involved.

c. In provinces or cities where no branch or branches of the Regional Trial Court have been designated to handle juvenile and domestic relations case or cases involving juveniles in conflict with the law, the Executive Judge shall conduct the appropriate raffle and distribute the said case, together with the records, to the branches of

the Regional Trial Court within ten (10) days from receipt of such records.

1.1.4. Pairing System 1.1.4.1. Multiple Sala Courts

a. A pairing system shall established whereby every branch shall be considered as paired w ith another

branch.

b. Whenever a vacancy occurs by reason of resignation, dismissal, suspension, retirement, death, or prolonged absences of the presiding judge, the judge of the paired

court shall take cognizance of all cases thereat as acting judge therein until appointment and assumption to duty of the regular judge or the designation of an acting

presiding judge or the return of the regular incumbent

judge, or until further orders from the Court.

c. For the purpose of pairing system. Branch I shall paired with Branch 2, Branch 3 w ith Branch 4, and so on; and any branch in a station left w ithout a pair shall be paired with the branch presided by the Executive Judge in addition to the latter's regular pair. In case of vacancy in the two (2) branches paired, with each other, or prolonged absence of both Presiding Judges of the paired branches, the incidental or interlocutory matters pertaining to any or both branches shal l be acted upon

by the Executive Judge "Prolonged absence" means absence of one month or more.

DOCUMENT CODE: JUD-OMS-QM-001 ; EFFECTIVITY DATE: ____ ; VERSION:_Q_; ISSUED BY: _ _ PAGE 109 OF 198

HOW TO FBLE A COMPLAINT OR PETITION RN

CIVIL CASES UNIT , LRC & SPECIAL PROCEEDINGS UNIT

Regular Case

Step 1 Check the Petition/Complaint Legal

Counsel Information, Verification and Certification signed by the petitioner /s and

duly notarized

Step 2 Cashier for the assessment of payment · written

at the back of Prayer

Step 3 Recieved and docket the Petition/Complaint

. Step 4 Cashier for payment and create case no.

Step 5 Back to the Unit for encoding and ranling of case

Step 6 Give the extra copies to the fil er

l l

S~p 7 o;.;wc<hoc=cd"o '"] assigned Branch

..

Re-raffle Case

Step 1 Check the Records base on the Table of

>----·Contents and on what appears or\ the .e-court

Step 2 Return the ·- records to the Branch if

there is a correction

-------

Step 3 If it is correct we

- recieved the table of contents

Step 4 Records are

·- ·brought to the Executive Judge for proper action

- Step·s Cases are re-raffled

,.--·---------.

- .Step 6 Deliver the records to assigned Branch

Case with Temporary Regular Case with no Restraining order (TRO) payments

• ,r----

" Step 1 Check the Petition, Legal

Counsel Information,

- Verification and Certification signed by t he petltioner/s and

duly notarized

Step 1 Check the Petition / Complaint, Legal Counsel

- Information, Verification and Certification signed by t he

Petitioners/ Plaintiff and duly notarized

Step 2 Cashier for the the - assessment of payment wri lten Step 2 Cashier for stamping

at the back of Prayer of"NO FILING FEE AS PER . - SUPREME COURT

MEMORAMDUM A.M. NO. 07-5-15-SC; RE.R.A.NO. 9406

\.

- Step 3 Received and docket the Petition/Complaint

Step 3 Back to Unit concern ,_ Received, docket , encode and

raffle

- Step 4 Cashier for pay_ment and create no. .

>----Step 4 Give the extra copies to

the filer

Step 5 Back to the Unit, issue - minutes of raffle to

respondents/pla intiff

~ Step 4 Deliver the records to

the assigned Branch

,,...--- --..,

Step 6 Process server will serve the notice of raffl e and - summons to the respondents/

plaintiff

I Step 7 If the notice of raffle and summons served or not

- the process server will make a report as Officer's Return

and submit it to the Unit concern

- Step 8 The Unit will raffle the . Petit ion/ Compla int

- ~ l Step 9 Deliver t he records to assigned Branch

ISSUAN.CE ·oF RTC .. CLEARANCE I CERTIFICATION

NO RECORDS 'ON FILE

~. CRIMINAL CASES UNIT

4

Step 1 Secure a . . Prosecutor's Clearance.

Q- .

Ste:p 2 Fill-up· clearance .form

· ~

Step 3 VerifV requested name. w ith e~court and

. Lower.Cou~t Case . Administration System

(LCAS) _, .Q.

Step 4 If there is r:io pending crimina l case,

. pay the c·orresponding : ', · · clearance fee of (50.00 pesos) at the'Cashier ..

.. ~Step 5 . Issue. the duly . :" signed dea·rance and I or

certification ·

~ CIVIL.CASES UNIT and

LRC & SPECIAL :·:PROCEED'INGS UN.IT

Q.

Step 1 , Letter of reques~· addressed to the Clerk of

· · Court

~

Step 2 Verify the name /company involve

• Step 3 If no .records on

file we prepi!!re the certification

4

Step4 Certification signed by the Officer-in

'charge of the unit

Q.

Step 5. . Certification signed by the Clerk of

Court

-Iii

Step 6 Sealed the. Certification

~

Step 7 Cashier for payment of Certification

fee 's (50.00 pesos)

• Step 8 Release the

original. copy of certificate after signing the duplicate

copy as records of the court

·· WITH RECORDS ON FILE

~ CRIMINAL CASE UNIT

Q.

Step 1 . Ve;ify the requested .name with the e-court and Lower Court

·Case Administration . System (LCAS) to determine the case · number and court

assign!"Tlent

0-

Step 2 Secure a certification from the

court where the case was . .. assigned

O'

Step 3 Pay the corresponding

certification fee (SO pesos)

~

Step 4 Issue the duly .' signed cert!fication

incorporating the cert ificate issu'e d by the

~ourt

~ CIVIL CASES UNIT AND

LRC & SPECIAL PROCEEDINGS UNIT

4

Step 1 Letter of request addressed to the Clerk of

Court

4

Step 2 Verify the name/ company involve

Q.

Step 3 FOR LRC & SPECIAL PROCEEDINGS

UNIT we give the information to the

parties where the case is assigned (Case No. and

Branch) and Branch will issue the· Certification or give status of the case

4

Step 3-A FOR CIVIL CASES UNIT issue a

certification with case on file indicating the Case

No. and assigned 13ranch

4

Step 4 Certification signed by the Officer-in

Charge of the Unit

• Step 5 Certification

signed by t he Clerk of · Court

• Step 6 Sea led the

Certification

... Step 7 Cashier fo r the

payment of Certification fee's (SO.OD pesos)

• Step 8 Release t he

Certification

Filing of Appealed Cases from MTC OCC

Step 1 Rece.ving I Docketing of records from MTC-OCCand do.cketed the ·

parties, date and time

Step 2 Records are checked·based .

...... :! on-theTr~hsmittal w·itli tabie.of ' coni:erits .

Step 3 · Endorsementof

. .. Records to · Civil .·. · Unit; RTC~OCCfor'

re-raffle

APPEAL SECTION/ UNIT ' .

.. · Filing of Appealed

Cases fromRTC Branches

Step 1 Receiving I ·Docketing of

records from RTC 1-'-l Branches and

\..

.. docketed the parites, date and

time ..I

~-----·------

Step 2 Records are checked based

. J-J ;on theTransmitta l · with table of

contents ..

r - -----. Step 3 The entire

records, TSN, ·Decision, Notice ·

. . 1-1 of Appeal, Exhibits · and.MiilUtes are . encoded in.the

' • 1 • docket .book

/

'--

I'

Step 4 Records are delivered to Coart of Appeal

and received __ _,.

Filing of Remanded Cases from RTC

Branches

Step.1 Records · are received from RTC Bra nches and

· docl<eted the parties; date and

tirne ·

·------·-.--· Step 2 · Records

are checked based on the Transmittal

with table of contents

.,.------Step 3 Records are returned to

MTC-OCCfo r deli'veryto

Branches and received

Transmittal of Decided Cases from

Court of Appeals

Step 1 Records . ,...... are received from

Court of Appeals

I ' Step 2 Encoding of Transmittal of records; date, CA GR. No., parties and enclosure:

1-

CA- Entry of ·Judgement, CA Decision, oeiginal

records and

\. original TSN

Step 3 Records are delivered to - RTC Branches and

received

r STEP 1: . RfECIEIVUNG/fDfUNG Of. REQUEST . . . .

FOR THE ISSUANCE OF RTC CLEARANCE

. ~111"!.i 'I . . . i"r. ', .· . ~v.·

:. sTIEP 2: .··APl?ROVA!L OIF IR!EQUEST·FOR RSSUANCE Of RTC

CLEARANC.E· BY ,THE. CLERD(/OF COURT

. . ' '

ST.EIP 3 .. A: PREPA~ATIOINl OF RTC

CLEARANCE AS TO: . .

. )>- NO MONEY & PROPERTY-ACCOUNTABILITY

. ; . ~~ ~~~~:~~;~~~~~~~~~-~E CASE

':· .

. ·sTEP·4.~A: '.VERai=ICATDON AND sgGNmNG OF ·

· CLEARJ\NCE :s:Y THg ,oF~ICER-1N.:cHARGE'OF THE ·FOLLOWING: . As to ·No Money.and/or ,Property Accountability . & · No PendingAdmi_nistrative Case ·

>- Cash Section.·

>- Library Unit .

> -Administrative Section

.S'U"EP 5-A: VERIF;CATION AND SDGN.RNG OF

CLEARANCE BY THE.OFFICER-IN-CHARGE OF THE

. ·CRlrJllNAL. cA.'sl=.s.SECTIC)N; ' . As to No Pe_nding Criminal Case ·

. t··1. I J . . . . .

STEP.6-A: VERlf.ICATDON ·~AND :SIGNING OF .

CLEARANCE· BYTHELGU ·MAKA Tl Cl.}"Y O.FFICERS~ IN~CHARGE: ···

_As fo. No . Property Accountability

STIEl? 3·B:

' ?REPARATION OF CEIRT&IFICATION OF NON-ACCOUNT AB iLJTYf ACCOUNT ABILITY

FOR MONEY AND/OR PROPERTY

~I """ii l

~'I' '1 !

1 ti . '

. I , ··.·1· , 1.11 I ''·o . I , , I

STIEP 4~1B: VERaFICATRON AND SIGNING OF

D0CUMEN.T FROM THE STATION OR OFFICE OF I HE

REQUESTING PARTY BY THE:

> Branch Clerk of. Court > .· or the Presiding Ju~ge > or the Officer-in-Charge

SIGNING OF CLEARANCE BY THE:

· ~ Clerk of Court ·VI I

. SIGNING OF CLEARANCE BY THE:

>:>·· E_xecutave Jtudlge

STIEP 1:

RECEIVE and REVIEWthe ·documents submittedfor Fiduciary Claims .

STEP 2: ·

PREPARATION OF VOUCHER and . .

ISSUANCE OF CHECKfor Fiduciary . Claims

STEP.4:

· RECORDIN\3'. 0F_yOUCHER AND · CHECK; ISSUED for Fidu Claims in the . Logbook

·~ STIElfll 3:

CHECKING AND VERIFICATION OF VOUCHER and .CHECK ISSUED for Fiduciary C la ims .,. .....____ ___ _____.....

--~-~·--· STIEP 5:

SIGNING OF VOUCHER AND CHECK ISSUED for Fidu Claims by the Clerk of Court

STEP 6:

. ~REVIEW AND COUNTER-CHECK OF VOUCHER AND CHECK. ISSUED for approval of the Clerk of Court

STIEP 8: .

APPROVAL AND SIGNING OF VOUCHERAND CHECK ISSUED.by the Exec~tiv~J~dge ·

,

• · STEP 7:

APPROVAL AND SIGNING OF VOUCHER A ND CHECK ISSUED by the Clerk of Court

~ ..

STEP 9: .

RELEASING OF CHECK and FILING OF VOUCHER by the Cashier

STEP 3

PRIEPARATDO~ and BSSUANICE Of

VOUCHER. and CHECK .for . STF CLAIDVIS ..

STEP 5 . . . . . .

saG~I~~ o~ v9u~~ERan:d.RE'1DEw .· . ·OF CHECK ISSUED·for.STF CLAIMS

~r ' '

.by tl~e CASHIER ' \ . .

. . ... . . ~ STE!? ·7

.APPROVAL. and SDGNDNG Of

· · VOUCHER"m~d ci-n~cK assUED .. iBY .. . ... :THE CLER~ .OF COURT .

STE!P ··9

. . .·· .APPROVAL ~nd :SDGNING OF .

. :VOUCHERand tff'.IECK ISSUED BY

. THE.VICE ·~XE.CUT!VE JUDGE ,

~

..

I

STEP2 .. i 1.

RETIR.IEVAlL and ATTACHMENT J

OF OFFDCIAL IRECIEIPTS

> STF claims supporting documents . !

STIEi? 4 . i

· RECORDUNG o ·f VOUCHER and i CHECK RSSUED for .STF CLABMS it:m

the LOG.BOOK ;

STEIP 6 . . . I

REVIEW .AND COUNTER-CHECK OF

V OUCHERand·CHECK ISSUED fo~ ' • f

APPROVAL OF THE CllERK OF I

COURT.

(Secretariat)

STIEP 8

RECORDING" OF VOUCHER and : . I

CIHIECK SIGNED BY THE Cit.ERK OF . I

COURY.for ST.F CLADMS in the

LOGBOOK

. (Secretariat)

STEP 11: IRECEIVBNG/IFILBNG OF RIEQUIEST FOR THE ISSUANCE.OF RTC GLEARANCE FOR TRAVEL AUTHORITY

\.

. ll!il : .• 11

, 'I ~v

STE!? Z: APD='ROVAD.. OF RIEQUIEST'fOIRJSSUANC!E OF RTC Cl!EARANCE

BY THE CLERK OF COURT

STErP·3-A: l?.REPA~ATION OF RTC

CLEARANCE AS TO: )>. NO MONEY & PROPERTY ACCOUNT ABILITY ~ NO PENDING ADMINIS.TRATIVE CASE )> NO F?ENDING.CRIMINAL CASE

~ ... i''"[I . II' I . ,.' 1 ... , • •

·~

STEl> .:t-A: VERDFICATDON AND.SBGNDNG OF . ' ' '

DOCUMENT BY THE OFFICER-IN~CHARGE OF

THE FOLLOWING:

As to No Money and/or Property·Accountability & ·_No Pending Administrative Case

;;.>- Cash Section

> Lib rary Unit

';> Administrative Section

111:1 + STEP 5 -A: VERIFDCATH:>N AND SnGNUIJG OF

DOCUMENT BY THE 9FFIC.ER~· IN-CHARGE OF THE

CRIMINAL CASES SECTDON: As to No Pending Criminal Case

11 1t !11 • M'I':•.! , ,,, '1~1·1 .'

I 1'r...- ' .· 1·•1· "" :·f~m11 · .~~~

STEIP 3-B:

PREPARATION OF CIEIRTBIFICATION OF

NON-ACCOUNTABILITY/ACCOUNTABILITY FOR MONEY AND/OR PROPERTY

(!'f ',.\•

ii' 'i'' iPJi. 1!! Ii., \i

STEP 4-B: VIERIFDCAllON AND SIGNING OF . . . DOCUMENT FROM THE STATION OR OFFICE OF T HE REQUESTll\iG PARTY BY THE:

>" Branch Clerk of Court ·· ~ . or the Presiding Judge

>" or the Officer-in-Charge

SDGNDNG OF CLEARANCE BY THE:

>- .Clerk of Court

i·· i; n ' '{ i1 ·~

SIGNING OF CLEARANCE BY THE:

)> Elcecutive Judge

.::/,: ' . :~. '.' ·: .. , '·

NOTARIAL SECTION/UN IT

Certificate of J\u~hority · for a. Nata ria l'J-\C:t {CANA)

Certified:True .Copies of. 1\lota r.iied ' '

' HOWTO, FlLE;.~ .. PETITION FOR ' N.OTARIAL'COMIVllSSION '

' •

. ' . . . ' . . RECEIVINGOF NOTARIAL.REPORTS

:

r---'--~~~~~~ . ...,..,....~.,....~~~~~~~~~~~~~~~~~~

•Step 1. Pre·sent the Notarized document to The Notarial Section for . Verification

•Step 2 Pay corresponding foes of 80.00 pesos per document · : j~step 31.ssuance of CANA s igned by t~e RTC Executive Judge and

Clerkof Court VII approx. 24 hou rs or when signatories becomes available. · ·

•Step 1 Present a written request and copy of notarized doc1:1ments;·if available, for verification

'•Step. 2 Fol lo~ up 'within ·15 working days through phone calls

•Step 3 ·Pay corresponding notarial fees of 10.00 pesos per page and Covering Certifi'cate of fees of 80.00 pesos

•St~p 4 · lssubance of positive or negative certification signed by th.e Clerk of Court-VII and Notarial Section Officer-in~Ch a rge

-----,..---. . .~ •Step 1 Submit an individual notarized Petition for

Notarial Commission tothe Notarial Section togetherwith complete requirements .

· l•Step 2 ·ray correspondingfi lingfees of3,050.00 pesos

•Step 3 Wait for the notice of schedule of Oath Taking through phone calls or mobile messages

• step 4 Oath Taking will be presided by the RTC Executive Judge or RTC Vice Executive Judge

•Step.5 ·Oath of Office will signed by the RTC Clerk of C~urt VII on fr1R same day of oath taking

•Step 6 · Issuance of Appointment signed by the RTC Executive Judge' and Oath of Office signed by

' th RTC Clerk of Court VII "•step 7 Each Commissioned Notaries Publ ic (new

applicants only) shall submit a Compliance . , . togetherwith the impression.of dry seal

•Step 8 · Issuance.of Order {approval of dry seal) signed by.the RTC Execu\ive Judge

l

•Commissioned Notaries Public shall. subllllit their not arized docum:e nts with tra nsmittal letter and copy of registry book to the· notarial section oH.TC-OCC every 10th of the following month after the. Oath Taking

•5tep 1 A-wri.tten request:(for renewaTofcornmission) ·addressed to the RTC. Executive Judge shall be submitted to the RTC OCC Notarial Section ·. ' issUANc::E::oF 'NOTARIAL CLEARANCE . •Ste~· Z pay the co"rres ponding notarial fee~ of 80.00 pesos •Step 3 Issuance of'Clearance duiy signed by Officer-in-Charge

------~------------'I of the Unit and Clerk of Court VII

I.

I· i

..

SOCIAL SERVICE UN I T

APPLICATION FOR VOLUNTARY CONFINEMENT

FLOWCHART

\.

Receives and dockets Petition for Voluntary Confinement

n Assesses if the Petitioner submits

all the necessary requirements for ~esidential Treatment and

Rehabilitation

n Conducts interviews and

counseUing to the petitioher, drug dependent, and their family

members

D Coordinates to other governme_nt

agency/ies; if necessary

n Assists MADAC {Makati Anti-Drug

Abuse Center) and the petitioner in processing the said petition at

RTC-OCC

n Submits the Petition for Voluntary

· Confinement to the Judge· (p.articularly Drug Court) for the

issuance of Order for

Rehabilitation

n Receive a lette r from the Rehab

· recommending the reiease of the Drug Dependeht

D r

Make a draft. of the Release Order to be .approved by the Judge

n --Assist.the Petitioner/sin obtaining

the Release Order from the Judge

I Criminal cases where one or more of the accused or the victim/s is/are minor/s at the time of the commission of the offense (CHILD . IN CONFLICT WITH .THE LAW ICICLl; VIOLATIONS OF R.A. 7610 [Special Protection · of Children against Chi ld Abuse, Exploitatkm and Dis~rihlination Act]}; VIOLATIONS OF R.A. 9262 (ANTIVIOLENCE AGAINST \VOMEN AND THEIR

I 1. Interview the CIClJminor and his/her paqmt5/guardians 2. Conduct home and school visits 3. Conduct collat eraririterviews 4. Coor~inate w itli o ther · governinent agencies -5. ConducUeferrcl, i f needed 6 . .Prep are Case Study f\epor't: 7. Attend court hearings

I In case of Diversion Proceedings reCICL: .... . .. . ·.

1. Attend in Diversion Proce.edings with the Div.ei-s.ion Committees (Prosecutor, PAO, Branch Ci eri.- of Court, Mal<ati Social Weh'=re Department Social Worker, Compiaina0t, · · Parents/Guardians of the CICL, · a·nd. th·e CICL . 2. Formulate programs and services best su ited to the . rehabilitation of the CICL · · 3: Subriii t .Diversion ·Report, subj ectJo.r.the approval .of the Honorable Presiding Ju"dge . 4. Atten.d h eari ng for the' approval of the Diversion Report. ' . .' . 5. toor di11ate w _ith the proper government and non-government agerfcies (induding educational io~titutig11s) . · ·. · · 6. Conduct regular monitoring arid supervision to the CICLand his/her family"·· -7. Conduct r eferral, if needed 8. Attend court hearings (until t he termination of the Diversion Program/case

DUTIES AND RESPONSIBILITIES OF SOCIAL WELFARE OFFICER II

I PETITION FOR ADOPTiON I PETITION FOR .RECOGNITION OF FOREIGN JUDGMENT OF ADOPTION

I . Contact the . petitioner/s

directly' cir· thn .i counsel' or thru registered mail 3. ·schedule initial ,interview with the petitioner/s . 4. Conduct orientation on the petitfoner/s regarding the process/prepar ation of the Child and Home Study .Report 5. Inform 'the petitioner/5. of the

.documentary requireme'nti . 6. Conduct series of interviews and . home :. visits . fo the petitloner/s; his/her family, and the.subject mirior/s · 7. Conduct collateral interviews, school. visits, anCI home visits (on Character References, Relatives, Teachers, among others) 8.locate the birth parents 9.· lntervi,ew and inform the birth parents pf the s_aid Petition and its cons.eq.uences, and confirm their consent in the Petition · · 10. Coordinate with governm.ent ·and non-governm ent 'child placement agendes, if needed 11. Received and attached to the·

· Re.port_· the . documentary requirerne.n·~ · · · · 1 2 .. Sutimit : Child and H()me Study Re.port .. 13. Attend court hearings . 14. Testify in court . . 15. Submit additional Report/s; i f needed

Receives and dockets Court Order/s from the Designated Family Courts (RTC 136) 140) 144)

I PETITION FOR GUARDIANSHIP (OVER THE PERSON OR PROPERTY, OR BOTH OF A MINORl

2. Contact the petitioner/s directly or thru counsel or thru registered mail 3. Schedule initial interview with the petitioner/s . 4. Conduct orientation on t he peti tloner/s regarding the. process/preparation of the Child and Home ·study R.eiJort · . · ·s. Inform the petitioner /s of the documentary r equirements 6. Conduct series :of interviews and horrle visits to the petitioneris>his/her family, and the subject minor/s ·-7. Conduct collateraj interviews, sch,ool visits, and home visits (on Ch~:r"ader Ref'.ereni:es, Relatives, .Teachers, among others) 8. Loc;ate thd>irtb parents, su'rv.iving gr_andparer:it/s, and

. oldest sibling of the minor s: lnteniie·,;.,, and inform the· birth parent!. of.the said Petition and I.ts consequences, and .. confirm the.ir consen't in the · · Peti tfon 10. Coordin.ate with government and [!On-government child . placement a·gendes, if needed lL Received and attache·d-to . the-Report. the.docume.nfar:y· requi r.emeilts _ . ~ · · · · · 12. Submit Chitd and Home . Study Report.-. : 13. Attend ca·urt hearings 14. Testify in court . 15. Submit additional. Report/5, if needed . . : . . ·

.... ·.

I PETITl.ON FOR CUSTODY OF CH!LDREN (AN.D VISITATION RIGHTS)/ PFITION FOR HABEAS CORPUS /LEGAL SEPARATION/ ANNULMENT OF MARRIAGE/ DECLARATION OF NULLliY OF MARRIAGE/ PETITION FOR DISSOLUTION OF CONJUGAL PARTNERSHIP O F GAINS / PETITION FOR SUPPORT AND/OR . ACKNOWLEDGMENT (RECOGNITION O.F PA"'"ERNITY) / PETITION FOR TRO / TPO / 'ppo / PETITION FOR DECLARATION OF PRESUMPTIVE DEATH / PETITION FOR JUDiCIAL RECOGNITION OF FOREIGN DIVORCE AND ENFORCEMENT OF FOREIGN JUDG MENT / SUMMARY JUDICIAL PROCEEDINGS BROUGHT UNDER THE PROV.ISION OF THE. FAMILY CODE OF THE PH

I

2. Contact tlie parties in the case directly or thru counsel or thr u r egistered .mail 3. Schedul·e initial interview with the peti tioner and the re5pondent ·. 4. Conduct or ientatio.n on the parties regarding the pr6ces5/preparation of the Case St1Jdy Rep·ort · 5, lr:iforrn the pet ltiorier/s of the docume.n_tary need~d, if a riy 6. Conduct series of Interviews.and home yisits to the parti es and their familie5 7. Conduct collateral interviews, school visits, and home visits, if needed 8. Coordinate with government ard nongovernment agencies, if needed 9, Received and attached t9 the Report the documentary requirements 10. Submit Case Study Report 11. Attend court hearings 12. Testify in court - . 1.3. Conduct regular monitoring and supervision to t~ e· subj ee): mi not · 14. Submit additio.nal Report/s, if needed

AND OTHER INTERVENING TASK/S

AS PER ORDER OF

/ THE

HONORABLE JUDGE

THE RTC....: ace .CLERK OF COURT

,_ _ __./..._ __ APPL.ICATION

FOR VOLUNTARY CONFINEMENT

PERFORM DUTY .AS OFFICER OF THEDAYOFSSU

1. Receives.~nci dockets Petition for Voluntary c'onfinement 2. Assesses i f the Petitioner submits all the necessary requirements for Residential Treatment and Rehabilitation 3. Conducts interviews and coun'selling to the petitioner, drug dependent, and their . family members . 4. Coordinates to. other .· government agency/ies, if liecessa.ry .. · · · 5.As~ists.MADAC (Makati AntiDrug Abuse Cen.ter) and the :

·petitioner in proce~lng the said petitiqri at ·RTC-oct, · · -· 5. Submits the Peti.ti_on for , Voluntary Confinement to the Judge (p~itlci.Jlarly Drug Court) · for th.e issuance of Order for · Rehabil i tation 7. R_e·c;eives a. le~ter.from. the Rehabilitation Ceriter recciriimeilding i:l:te ref ease of the Drug Dependent . 8. M?k.es draft of the Release .order to be approved by die . .Honorable Judge 9. Assists the Petitici~er/s in obtaining the ~el ease Order from ~h~ Honorable j.udge

STATISTICS OF CASES AND . RANl<ING OF P.ENDING

CASES ..

-11 .

1. Collect s and receives·the Monthly Reports'froin a ll RTC

bra1iches ·

-G .

2. Encodes the entries and prepares the Statistics of Cases · · anc! Ranking·_of Pending Cases

~

3, Prints .and subm its .. the same for signature of .the'Clerk of

. Court

.Q.

4. Submits the signed copies to .. th'<:! Office of the E~~cutiveJudge

·and Office of t he. Cle rk of Court · '• " • '

.Q.

5. FilestheMonthly Re ports, · . Statistics of Cases arid Ranking :

of Pending-Cases for safe ·keeping

STATISTICS UNIT

STATISTICS OFCRIMINAL CASES

e. 1. Pre.pares and prints the

Statistics of Criminal CaseS'fo'rms

Q-

2 . o'istr.ibute~ the forms to all · "RTC branches

·. ~ ..

3. Collects a nd rece'ives the filled-up forms

~

Ll. Encodes tl~e entries and pre pares the Statisticfs of

·Criminal· cases 0-

5. Prints and submits the same for signature:ofthe Clerk of ·

Coli rt ~

( 6. Subn\ itsthe signed copies to the .Qffice of the Executive

Judge, DILG .and Offfice ofthe · Cle rk of Court ·

11-

7. Files•t.he filled-up forms and Statistics of Criminal Cases fo r

safe keeping

SUMMARY REPORT OF DRUGS CASES PER STATION

~

1. Collects and receives t he Quarterly Status Report of Drugs Cases per Court Branch from all

RTC branches ·

"" 2: Encodes the entries and prepares the Summary Report of

Drugs Cases per Station

.tJ · 3. Prints and submits the same

for signature of the Clerk of Court

-0.

4. Submits the signed copies to the Supreme Court, Office of the

Executive Judge and Office of the Clerk of Court

• 5. Files the Quartertly Sta tus

Report of Drugs Cases per Court Branch and Summary Rep.ort of drugs Cases per Station for· safe

keeping

Flowchart of Accounting Section

5. References

~

:PROCESS SU B·PROCESS REFfRENCf SS I

• necelving of New Cases l • Hecelvins and Docketing • 1987 Costitotion Criminal, CMI, LRC Md • Paymen,t • taw creating the court Sped., I Proceedings) • Encoding .. Ru!~s of Court

• Re<:eivi ng of New Cases • Raffling ·• Revrsed Manual for Clerks of w:ithout payments • Dlstr·ibution to assfgried Court (vol. 1&~)

I Branches ., Internal Rules ' • Case :iystem Manual.s

• m.Jles on Notarial Practice

• Ruf es on E-'FiHna . • Efficter1t Use or Paper Rule

{A.M. No; 11·9·4.·SC) • SC Memorandum A.M. No .

07·5·15·SC; 'RE: R.A. No. 9406

• Office l>rocess Manuals/flowcharts

•• ,Order and Circulars • Internal Memorandum

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: _ _ __ ; VERSION:_Q_; ISSUED BY: _ _ PAGE 123 OF 198

CHAPTER VII METROPOLITAN TRIAL COURT/ FIRST LEVEL COURTS

1. History

Prior to the enactment of Batas Pambansa 129 (Judiciary Reorganization

Act of 1980), the lower courts- Court of First Instance/CF! (now RTC), and the City Courts (MeTC/MTC) were established pursuant to Presidential

Decree 500, and these courts were under the Local Government Units. All

appropriations, including plantilla of personnel were under the control of the local government unit were such courts were established.

The Judiciary Reorganiza tion Act of 1980 was enact ed, and created Courts, and established the jurisdiction of cases for the 1st and 2nd level courts, and created additional Regional Trial Courts, Metropolitan Trial Courts, Municipal Trial Courts in Cities.

II. Organizational Structure

OFFICE OF THE CLERK OF COURT

M ETROPOLITAN COURT OF QUEZON CITY

CLERK OF COURT

ASSISTANT CLERK OF COURT . I I I t I I

CASH SECTION CIVIL SECTION I CRIMINAL ADMINISTRATIVE COURTA1DE/ SHERIFFS/ PROCESS

SECTION PERSONNEL UTILITY WORKER SERVE>'RS

I I (CITY/ NATION 1\1.) 1. DELIVERY l. SERVICES OF

OF COURT

RECORDS

I RECORDS CASHIER/ CASH CHECKING RECORDS PROCESSESS

CLERI< CLERKS OFFICER OFF ICER 1 TO (SUMMONS, L TRANSMITTAL

I cc'"": OFDlllLVTIME R£5PECTIVE WRITS,

I I I

RECORD TO BRANCHES SUBPOENA,

I SUPREME 2. MlllNTENA NOTICES)

l. ASSESMENT CLERK NCEAND 2. Pll~ME.NT

COURT CLEANI NG

3. PRE'PAFU\n 1. 2. ISSUANCE Of

ON Of EMPLOYEE'S OFOFFCIE

1. RECEIVlllCi ·OF 2. VOUCHERS/ •CASES

OfFICE 3. MAILING }.

CHECKS 2.. OOCl<CTING ... CLEARANCE OF

4. ISSUANCE J.. rncoonm 3. OFFICE NOTICES

OF OFF101\1. ... Rl\F'FLE s. SUPPLIES

" RECEIPTS ~- ~AN5MITTAL RESOURCES 6.. VElUFICA TIO!ll

7. :

7. RCCOAO a.ERK &

s. l~UANC:COF

COLJRT ~. • CLFARANCE

!&.

flUlit~Ol1a._i

Ill. Functional Description

1. CLERKS OF COURT


1.1.1. Clerk of Court

DOCUMENT CODE: JUO·QMS·QM-001 ; EFFECTIVITY DATE: · VERSION:.!)_; ISSUED BY: __ PAGE 124 OF 198

1.1.1.1. Is the administrative officer of the Court under the supervision of the Executive Judge;

1.1.1.2. Has control and supervision over the personnel, all

properties and supplies in his office; 1.1.1.3. Acts on applications for leave of absence and signs

1.1.1.4. 1.1.1.5.

1.1.1.6.

1.1.1.7. 1.1.1.8. 1.1.1.9.

da ily time records of his staff, as well as security and janitorial service personnel; Determines docket fees; Assists in the raffle of cases to the branches and judicial notices/summons to accredited publishers; Issues clearances in appropriate cases;

Acts as ex-officio notary public; Act as ex-officio sheriff;

1.1.1.10.

Represents the Court in administrative dealings with the local government and other agencies; and Performs and discharges such duties as may be

assigned by the Executive Judge.

1.1.2. Assistant Clerk of Court

1.1.2.1. Assist the Clerk of Court in the performance of the latter's duties and responsibilities;

1.1.2.2. Acts a Clerk of Court in the absence of the incumbent;

1.1.2.3. Performs and discharges such duties as may be

assigned by the Executive Judge

1.2. Branch Clerk of Court 1.2.1. is the extension of the Clerk of Court for administrative purposes and performs some of the functions and duties of the Clerk of but only within the branch, subject to the supervision and control of the Presiding Judge; 1.2.2. is the custodian of the Court's properties and premises;

1.2.3. attends hearing, takes charge of the administrative aspects of its business, and chronicles its directions;

1.2.4. keeps the following books:

1.2.4.1. General Docket Each page shall be numbered and prepared for receiving all the entries in a single case and shall enter therein all cases, numbered consecutively in the order in which they were received and, under the heading of each case and a complete title thereof, the date of each paper filed or issued, of each order of judgment entered, and of every step taken in the case, so that by reference to a single page the history of the case may be seen.

1.2.4.2. Judgment Book

DOCUMENT CODE: JUD-OMS-OM-001 ; EFFECTIVITY DATE: ____ ; VERSION:_Q_; ISSUED BY: __ PAGE 125 OF 198

It contains a copy of each judgment rendered by the Court in the order of its date.

1.2.4.3. Book of Entries of Judgments It contains at length in chronological order entries of all final judgments or orders of the Court.

1.2.4.4. Execution Book

It contains records in chronological order of each execution, and the officer's return thereon, by the virtue of which real property has been sold.

The general docket, judgment book. Entries book and execution book shall be indexed in alphabetical order in the names of the parties, and each of them. If the Court so directs, the Clerk of Court shall keep two (2) or more of either or all the books and dockets above mentioned, separating civil from criminal cases, or actions from special proceedings, or otherwise keeping cases separated by classes as the Court shall deem best.

1.2.5. keeps a daily records of the Court's activities in a book known as the Court Journal, wherein daily entries shall be made of:

1.2.5.1. Time of opening, recess and closing of the Court 1.2.5.2. Cases tried or heard and status of each 1.2.5.3. Decisions or orders released 1.2.5.4. Cases filed 1.2.5.5. Subpoenas, notices or warrants issued

1.2.5.6. Returns received 1.2.5.7. Other matters as may be specified by the Supreme

Court.

The entries for each day shall be certified by the Clerk of Court or

Branch Clerk of Court, as the case may be, and the Court Journal shall be open to public inspection.

1.2.6. receives and keeps the necessary papers of a case in their corresponding files; 1.2.7. supervises the withdrawal of all records of cases to be heard and the preparation of the notices of hearing, calendar reports, minutes, monthly reports of cases, inventory of cases, index of exhibits and paging of records; 1.2.8. sees to it that all returns of notices are attached to the corresponding records and that all the pieces of documentary evidence properly marked during t he hearing are collected in the exhibit folder; 1.2.9. signs summonses, subpoenas and notices; remittances of prisoners, certified true copies of decisions and orders, letter of

DOCUM ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ____ ; VERSION:JL ISSUED BY: __ PAGE 126 OF 198

administration and guardianship, transmittal of appealed cases, indorsements and communications, and monthly reports of cases; 1.2.10. signs releases of prisoners, writs and other processes upon order of the Court; 1.2.11. keeps tab of the attendance and whereabouts of personnel during office hours; 1.2.12. receives evidence, when so commissioned, such as in petitions for appointment of administrators and I or executors, receives, guardians, accounting reports and similar incidents, without fees; 1.2.13. represents the Presiding Judge, when designated by the latter, in ocular inspection and acts as hearing officer in the taking of depositions; and 1.2.14. performs such other functions as may be delegated by the Clerk of Court and/or assigned by the Presiding Judge.

2. OTHER COURT PERSONNEL

2.1. Office of the Clerk of Court of a Multiple Sala Court 2.1.1. Administrative Officer II I Administrative Officer Ill

2.1.1.1. assists the Administrative Officer IV (or Ill, as the case may be) in his administrative functions pertaining to his assigned section with regard to records, supplies, equipment, personnel, notaries public and general services, and does related work;

2.1.1.2 initials requisitions for supplies and material, applications for leave and other employees benefits for signature of the Clerk of Court;

2.1.1.3. implements administrative policies and procedures as directed by Clerk of Court;

2.1.2. Administrative Officer I 2.1.2.1. assists the Administrative Officer II in the

supervision of the operations and activities of Unit or Section;

2.1.2.2. studies and makes suggestions to improve work

methods and procedures for a more effective operation of the Unit or Section;

2.1.2.3. takes actions on delegated routine matters; 2.1.2.4 makes periodic reports of activities and

accomplishment of the Unit; and


2.1.3. Records Officer II I Records Officer Ill 2.1.3.1. directs and supervises the activities of all sections

under the division, including the personnel thereof engaged in record management activities;

DOCU MENT CODE: JUD-Q MS-QM -001 ; EFFECTIVITY DATE: ____ ; VERSION:_Q_; ISSUED BY: __ PAGE 127 OF 198

2.1.3.2. is responsible for the custody and safekeeping of records, papers and documents;

2.1.3.3. authenticates copies of records and causes their repair and rebinding;

2.1.3.4. recommends changes and modifications to improve the recordings system;

2.1.3.5. maintains an effective filing and storage system for easy access;

2.1.3.6. prepares answers to correspondence and

communications relative to the records kept by the Section;

2.1.3.7. checks all records, papers and documents to determine sufficiency and compliance with rules;

2.1.3.8. keeps track of all incoming and outgoing records and their whereabouts;

2.1.3.9. oversees periodic sanification of records and their environs; and

2.1.3.10. performs other duties that may be assigned to him.

2.1.4. Librarian II

2.1.4.1. directs the operations and activities of the Library

2.1.4.2.

2.1.4.3. 2.1.4.4.

2.1.4.5.

Unit/ Section and supervises the personnel thereof; implements policies, directives, rules and regulations relating to library administration; plans and makes work assignment and schedule; answers questions involving research and

reference materials, and the use of indexes and bibliographies;

advises library personnel in the proper maintenance of library records;

2.1.4.6. renders assistance to researchers in the use of the library and its resources;

2.1.4.7. selects and recommends reference material for acquisition; and


2.1.5. Cashier II 2.1.5.1. makes physical deposits and withdrawals of cash

as may be authorized by the Clerk of Court; 2.1.5.2. receives collection of cash clerks and consolidates

2.1.5.3. 2.1.5.4.

daily collection reports;

prepares statements of cash accountability; verifies cash balance of lower-grade receiving cashiers by comparing cash on hand with book balances;

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITI DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 128 OF 198

2.1.5.5.

2.1.5.6.

2.1.5.7.

verifies the posting of cash advances, disbursements, collections and deposits; prepares daily cash position reports and other monthly reports of collections and disbursements; and does related work.

2.1.6. Cashier I 2.1.6.1. assists Cashier II in the performance of his

functions; and 2.1.6.2. performs functions of Cashier Ill in the absence of

plantilla positions for Cashier II and Cashier 111;

2.1.7. Statistician II 2.1.7 .1. directs and supervises the activities in the

Statistics Section; 2.1.7.2. studies and devises methods and techniques to

obtain statistical data or to reduce them into

2.1.7 .3.

2.1.7.4.

2.1.7.5.

2.1.7.6.

appropriate form; analyzes available statistical materials relative to

their coverage, methods employed and limitation; evaluates results of statistical surveys and sim ilar

inquiries for accuracy, consistency and conformity to standards gathers, complies, transforms, computes and summarizes statistical data on cases filed, disposed of a pending in the lower courts; assists in the preparation of statistical tables, charts and graphs of the volume of cases filed, disposed of and pending in the courts as well as rates of performance of the judges;'

2.1.7.7. designs form for statistical use; 2.1.7.8. devises and adopts techniques, methods and

procedures for effective statistical work;

2.1.7.9. reviews work of statistical clerks and aides; and 2.1.7.10. does related work.

2.1.8. Statistician I 2.1.8.1. selects, compiles, transforms, computes and

summarizes statistical data on performance of judges, cases filed, disposed of pending in the courts, status of employment, number of personnel, inventories, as well as other relevant statistics;

2.1.8.2. prepares forms for statistica l worksheets and tables according to instructions;

DOCUMENT CODE: JUD-QMS-QM -001 ; EFFECTIVITY DATE: ____ ; VERSION:_Q_; ISSUED BY: __ PAGE 129 OF 198

2.1.8.3.

2.1.8.4. 2.1.8.5.

2.1.8.6.

computes simple statistical measures of central tendencies and variability as well as nonparametric statistics; utilizes simpler statistical formula; assists in the preparation of questionnaires and tabular presentation of statistics; and conducts filed canvass, whenever necessary, to obtain specified statistica l information.

2.1.9. Assistant Statistician 2.1.9.1. assists the Statistician II and Statistician I in

performing functions mentioned in 2.1.7.l. and 2.1.7.2.

2.1.10. Social Welfare Officer II 2.1.10.1 conducts interviews and home visits to parties or

2.1.10.2.

2.1.10.3.

2.1.10.4.

2.1.10.5.

2.1.10.6.

2.1.10.7.

wards; contacts all possible informants regarding accused minors; prepares case study reports based on interviews and home visits; provides individual and group counseling service and other necessa ry social services and assistance; refers, by direction of the Court, parties or

individuals to appropriate agencies for rehabilitation; appears in Court as witness to supplement his

written case study reports submitted to the trial judge; and

does related work.

2.1.11. Court Stenographer Ill

2.1.11.1. takes stenographic notes on all matters that transpire during court hearings or preliminary

2.1.11.2.

2.1.11.1.

investigations and transcribes them; take down and transcribes, in final form, dictations of the Judge I Clerk of Court; and does related work.

2.1.12. Court Interpreter Ill 2.1.12.1. acts as translator of the Court; 2.1.12.2.

2.1.12.3. 2.1.12.4.

attends court hearings; administers oath to witnesses; marks and keeps, under the direction of the Clerk of Court/Branch Clerk of Court, all exhibits submitted in evidence;

DOCUMENT CODE: JUD·OMS·OM-001 ; EFFECTIVITY DATE: · VERSION:..Q.; ISSUED BY: _ _ PAGE 130 OF 19B

2.1.12.5. 2.1.12.6.

2.1.12.7.

2.1.13. Clerk IV 2.1.13.l.

2.1.13.2.

2.1.13.3.

2.1.13.4.

2.1.14. Clerk Ill

2.1.14.1.

2.114.2.

2.1.14.3.

2.1.14.4. 2.1.14.5.

prepares minutes of the court sessions; maintains and keeps in custody a record book of cases calendared for hearing; and performs such other duties as may be assigned by the Judge and/or Clerk of Court.

assists in the supervision of the Administrative Section; prepares requisitions of supplies and materials for all branches and the Office of the Clerk of Court; attends to the general services requirements of all the branches and of the Office of the Clerk of Court; and performs other duties that may be assigned.

receives and docket cases filed with the Office of the Clerk of Court; maintains and keeps custody of docket books for criminal, civil, special civil actions, land registration, special proceedings, administrative

cases and reconstituted cases; indexes cases filed with the Office of the Clerk of Court; prepares and initials clearances; and performs other duties that may be assigned to him.

2.1.15. Process Server 2.1.15.1. serves court processes such as subpoena,

2.1.15.2.

2.1.15.3. 2.1.15.4.

2.1.15.5.

summons, court order and notice; prepares and submits return of court processes; monitors messages and/or delivers court mails; maintains and keeps custody of record book of

court mail matters received and dispatched by him;

and performs such other duties as may be assigned to him.

2.1.16. Utility Worker 2.1.16.1. performs a variety of low level functions, such as

janitorial work, st itching of case records, mesengerial work; and

2.1.16.2. does related work as directed

2.2. Administrative Division


2.2.1. Collecting Section

a. Assesses filing fees and allocates the fees to different accounts; b. Receives payments for filing fees, judicial deposits and other fees

such as clearances, notarial and extra-judicial commissions; c. Deposits collections to, and withdraws funds from, bank; and d. Prepare reports of collections, deposits and withdrawa ls.

2.2.2. Notarial Section

a. prepares notarial commissioning and oath of office and submits

them to the Executive Judge for approval after verification as to authenticity and correctness of the documents presented;

b. issues authenticated and certified copies of documents filed by commissioned notaries public;

c. receives all notarial reports for filing, sorting and safekeeping; and d. Maintains efficient archives of these notarial reports for

preservation and to facilitate retr ieval.

2.2.3. Records and Archives Section a. Receives records of terminated cases for fi ling; and b. Maintains efficient archives of these records for protection and to

facilitate retrieval.

2.2.4. Personnel Section a. Maintains personnel fil es; b. Prepares certifications and clearances for personnel; and c. Distributes sa lary checks and other benefits.

2.2.5. Property and Supplies Section

a. M aintains accurate inventory of property and supplies; and

b. Requisitions, receives, records and distributes property I supplies to personnel.

2.2.6. Statistics Section a. Gathers, maintains and prepares statistical data on cases filed and

raffled; and b. Designed and submits st atistica l reports, including inventory of

cases. 2.2.7. Library Section

a. Requisitions books and other printed matters from the Supreme Court and receives donated books; and

b. Maintains and keeps books and printed matters for research and reference purposes.

2.2.8. The Pool Section

DOCUM ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 132 OF 198

This is composed of Stenographers, Interpreters and Sheriffs, who may be assigned to the different branches of the Court, whenever requested, to fill in vacancies arising from leave of absence, retirement, resignation or

transfer, and of Social Workers who are assigned to Family Courts.

2.2.9 . Clerk of Court as Ex-Officio Sheriff a. Serve summonses and notices of raffle in initiatory pleadings with

application for temporary restraining order and preliminary injunction;

b. Serves processes and implements writs coming from: i. The branches of the Court in the absence of the branch sheriff;

ii. The other courts of the country, including the Court of Appeals and the first level courts; and

111. The offices and quasi-judicial agencies of the Government. c. Serves summonses and process coming from foreign countries.

SPECIFIC FUNCTIONS AND DUTIES

1. ADJUDICATIVE SUPPORT FUNCTIONS 1.1. Office of the Clerk of Court and Single Sala Court

1.1.1. Filing with the Court

1.1.1.1. Manner of filing - The filing of pleadings, appearances, motion, notices, orders, judgments and all other papers shall be made by presenting the original copies thereof, plainly indicated as such, personally to the Clerk of Court or by sending them by registered mail.

a. Personal - The Clerk of Court shall endorse on the pleading the date and hour of filing.

The complaint is deemed filed when the date and hour of

filing are written or stamped by the clerk on the complaint. The Clerk of Court is directed not to docket the complaint

unless the correct docket fees are first paid . In case of indigent litigant, the case should not be docketed unless the order of the Judge allowing him to litigate as such has been issued.

b. Registered mail - The date of mailing of motions, pleadings or any other papers or payments or deposits as shown by the post office stamp on the envelope or the registry receipt shall be considered as the date of their filing, payment or deposit in the court. The envelope shall be attached to the record.

DOCUMENT CODE: JUD·QMS·QM-001 ; EFFECTIVITY DATE: ____ ; VERSION:.Q.; ISSUED BY: __ PAGE 133 OF 198

If the docket fees are not enclosed with the registrymailed complaint, or if the amount of the fees sent is short of that required by law, the Clerk of Court shall immediately inform the plaintiff thereof and apprise the Court accordingly.

1.1.1.2. Payment of Docket and other Legal Fees - Upon the

filing of the pleading or other application which initiates an action or proceeding, the fees prescribed thereof shall paid in

full.

a. Guidelines - No case should be assigned a number until the filing fee is paid and in case of indigent party, until the motion to litigate as indigent party is approved by the Court I Executive Judge

b. Exemptions from payment of court fees -

b.1. Indigent litigants - Indigent litigants (a) whose gross income and that of their immediate fami ly do not exceed four thousand (4,000.00) pesos a month if residing in Metro Manila, and three thousand (3,000.00) pesos a month if residing outside Metro Manila, and (b) who do not own real property with an assessed value of more than fifty thousand (50,000.00) pesos shall be exempted from the payment of legal fees. The legal fees shall be a lien on any judgment rendered in the case favorably to the indigent litigant, unless the Court otherwise provides.

To be entitled to the exemption provided in Rule 141, the litigant shal l execute an affidavit that he and his

immediate family do not earn a gross income above mentioned, nor do they own any real property w ith the assessed value aforementioned, supported by an affidavit of a disinterested person attesting to the truth of the litigant's affidavit.

Any fa lsity in t he affidavit of litigant or disinterested person sha ll be a cause to strike out the pleading of that party, without prejudice to whatever criminal liability may have been incurred.

b.2. Government exempt - The Republic of the Philippines, its agencies and intrumentalities, are

exempt from paying the lega l fees provided in Rule 141. Local governments and government-owned or

DOCUM ENT CODE: JUD·OMS·OM·OOl ; EFFECTIVITY DATE: · VERSION:.Q.; ISSUED BY: __ PAGE 134 OF 198

controlled corporations with or without charters are not exempted from paying such fees.

However, all court actions criminal or civil, instituted at the instance of the provincial, city or municipality treasurer or assessor under Sec. 280 of the Local Government Code of 1991 shall be exempt from the payment of court and sheriff's fees

b.3 Tenant-farmer, agricultural lessee or tiller, settler or amortizing owner-cultivator.

1.1.2. Receiving and Docketing

1.1.2.1. Receiving In single sala, initiatory and subsequent pleadings shall be filed with the Clerk of Court.

In multiple sala, initiatory pleadings shall be filed with

the Office of the Clerk of Court and subsequent pleadings shall be filed directly with the branch to which the case is assigned.

1.1.2.2. Docketing

a. In a single sala court, the clerk shall keep a General Docket, each page of which shall be numbered and

prepared for receiving all the entries in a single case shall enter therein all cases, numbered consecutively in

the order in which they were received, and under the heading of each case and a complete title thereto, the date of each paper filed or issued, of each order or

judgment entered, and of every step taken in the case, so that, by reference to a single page, the history of the

case may be seen.

b. The date and time of filing must be indicated on the cover as well as on the first page of the pleading together with its assigned docket number.

c. The docket number must follow a sequential order corresponding to the date and time of filling of the case

which shall be reflected in the Docket Record, in which the docket number, caption, date and time of filing of the case, and the number and date of the official receipts for the legal fees paid shall be entered.


d. The clerk in charge in the Office of the Clerk of Court shall indicate on the appropriate page of the docket the branch to which the case is raffled and the date of raffling, as well as the dispositive portion of judgment or fina l order.

1.1.3. Assignment of Cases / Raffling of Cases The assignment of cases to the different branches of a

Court shall be done exclusively by raffle. The assignment sha ll be done in open session of which adequate notice shall be given so as to afford interested parties the opportunity to be present.

The raffle of cases should be regularly conducted at the hour and on the day or days to be fixed by the Executive Judge. Only the maximum number of cases, according to

their dates of filing, as can be equally distributed to all branches in the particular station or grouping shall be included in the raffle. Cases in excess of the number sufficient to equal distribution shall included in the next scheduled raffle, subject to the exceptions in urgent incidental or interlocutory maters.

1.1.3.1. Notice of raffle

a. Notice of the day and hour of the raffle shall be posted prominently at the main entrance of the session hall of the Executive Judge and at the bulletin board of the Office of the Clerk of Court. Other notices to the parties may be sent as the interest of Justice may require on request of any party and with the prior approval of the Executive Judge. There shall be no

specia l raffle of any case except on meritorious application in writing by any party to the case and with the approval of Executive Judge.

b. If the regular raffle of cases is scheduled at 2:00 o' clock in the afternoon of the raffle day, the cut -off period for the inclusion of cases in t he list shall be 12:00 o'clock noon to allow sufficient time for th e preparation of a complet e raffle list for posting and distribution of copies to all judges before the raffle. In this connection, each judge in the station must have a copy of the list at least thirty {30) minutes before the scheduled raffle.

DOCUMENT CODE: JUD·OMS·OM·OOl ; EFFECTIVllY DATE: · VERSION:..Q..; ISSUED BY: __ PAGE 136 OF 198

c. The list of cases to be raffled must be arranged according to the sequence of their docket numbers. There should be a list for criminal cases and another for civil cases.

d. The list of criminal cases should first enumerate those exclusively cognizable by special criminal courts and/ or courts designated to hear family and youth cases.

1.1.3.2. Regular Raffle

a. A raffle committee shall be composed of Executive Judge, Vice-Executive Judges and two (2) other Judges assigned for the raffle in accordance with the pairing system who shall all be present during the scheduled raffle. The assignment of pairing judges shall be strictly by rotation.

The Committee shall be assisted in the raffle by the Clerk of Court I Assistant Clerk of Court and two (2) stenographers.

b. In stations where there are only two (2) salas, the

judges of both and either the Clerk of Court or the Branch Clerk of Court should be present. In the absence of the Executive Judge, the Judge at the station who is the most senior in point of appointment to the Judiciary shall personally conduct the raffle.

c. The raffle must be conducted at the lawyer's table in open court. Under no circumstance may any raffle be made in chambers .

d. The raffle must be conducted in such manner that all

branches of the Court in that station or grouping, including vacant salas, shall receive more or less the same number of civil, criminal and other kinds of cases.

However, all vacant salas without judges on temporary

assignment or detail therein, or the sala where the judge is on an extended leave of more than 30 days, shall be excluded from the raffle of criminal case (involving detention prisoners); provided that once the vacancies are filled or the absent judge has returned, the sala shall

be assigned such number of cases as will equalize its

DOCUMENT CODE: JUD-QMS-QM -001 ; EFFECTIVITY DATE: _ _ _ _ ; VERSION:_Q_; ISSUED BY: __ PAGE 137 OF 198

caseload equitably with the rest of the other branches in the same station.

e. The members of the Raffle Committee, together with pairing judges assigned for the raffle, sha ll each confirm in open court the branch to which a case is raffled before the next draw is made.

f. The stenographer shall record accurately the raffle proceedings stating therein, among others, the names of all those required to be present and the parties attending, if any

The stenographers shall transcribe, duly accomplish the sign the minutes of raffle proceedings immediately, not later than twenty-four (24} hours thereafter.

g. Every Judge sitting in the Raffle Committee shall review the entries in the minutes and countercheck them with his own entries in his list before signing on each and every page thereof. He sha ll not affix his signature thereon unless he has thoroughly verified the accuracy of the entries in the minutes.

h. Every Judge sitting in the Raffle Committee shall then affix his initials on the right hand corner of the cover page and the first page of the initial pleading, but only after a thorough verification of the accuracy of the assignment of the cases to the branches drawn in the

raffle. The Executive Judge shall be the last to affix his initials as herein required only after the proper verification of the accuracy of the entries in the minutes.

i. The minutes shall be signed in turn by all members of

the Raffle Committee, duly certified by the Executive Judge, and posted immediately at the bulletin boards of the Executive Judge and the Clerk of Court. Each branch

shall furnished a copy of the minutes of the raffle.

1.1.3.3. Special Raffle

a. Whenever an incidental or interlocutory matter in a case is of such urgent nature that it may not wait for the regular raffle, the interested party may request the Executive Judge in writing for a special raffle. If the request is granted and the specia l raffle is conducted,


the case shall immediately be referred to the branch to which it corresponds. The Executive Judge shall have no authority t o act on any incidental or interlocutory matter in any case not yet assigned to any branch by raffle.

b. There shall be no special raffle except upon written application of a party and only upon highly justifiable reason/s to be determined by the Executive Judge and his Vice Executive Judges after due consultation with one another. A certification granting or denying the application and citing the reason/s therefor shall be issued accordingly. Such certification shall be attached to the expediente immediately after the initial pleading and shall form part of the record of the case.

c. If the application is granted, the special raffle shall be held in the session hall of the Executive Judge in the

presence of the members of the Raffle Committee scheduled to sit in the next regular raffle . A certification to the effect that a special raffle was duly held and that the case was thereafter assigned to the branch draw n in the process shall be issued and signed by all the members of the Special Raffle Committee.

d. The date and tome of the raffle shall be written on the front cover of the expediente and on the first page of the initial pleading and signed by all members of the Special Raffle Committee.

e. In the preparation of the list of cases to be included in the regular raffle, the Clerk of Court shall include the

cases thus specially raffled prior to the scheduled

regular raffle, indicating therein the branch to which

these cases have been assigned.

f . If the application for special raffle is denied, the case shall be included in the list of cases for the next regular raffle.

1.1.3.4. Caseload of the Executive Judge - The caseload of the Executive Judge shall be as follows:

a. In case of multiple branches (salas) of not more than two (2), the distribution of cases shall be in the

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 139 OF 198

proportion of three (3) cases for the Executive Judge and four (4) for the judge.

b. In case of multiple branches (salas) of not less than three (3) or more than five (5), the distribution of cases shall be in the proportion of two (2) cases for the Executive Judge and three (3) for each of the other judges.

c. In case of multiple branches (salas) of more than five

(5), the distribution of cases shall be in the proportion of one (1) case for the Executive Judge and two (2) for each of the other judges.

1.1.3.5. Re-assignment of Cases of disqualified/ inhibiting judges

Inhibitions and disqualifications are judicial actions which do not require prior administrative approval. Administrative intervention is necessary only when the inhibition is by a judge of a single sala, and the case has to be transferred to another judge of another station. Administrative intervention is also warranted in case of conflict of opinions among the judges as to the propriety of the inhibition.

With respect to single sala courts, only the order of inhibition sha ll be forwarded to the Supreme Court for appropriate action. The records of the case shall be kept

in the docket of the Court concerned while waiting the instruction and/or action of Supreme Court thereon.

With respect to multiple sala courts, only the order of inhibition shall be forwarded to the Executive Judge for

appropriate action. The records of the case shall be kept in the docket of the Court concerned while awaiting the instruction and/or action of the Executive Judge thereon.

In any case where the Judge concerned is disqualified or voluntarily inhibits himself, the records shall be returned to the Executive Judge and the case shall be included in the regular raffle for re-assignment. Another

case, similar in category to the one re-assigned, shall be assigned by raffle to the disqualified or inhibiting Judge to replace the case so removed from his Court.

DOCUMENT CODE: JUD-OMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 140 OF 198

1.1.3.6. Re-distribution of pending cases in multiple sala stations

In multiple sala stations where former incumbents have either retired or were promoted, leaving undecided pending cases of such volume that the present incumbent finds extreme difficulty in attending thereto, the Executive Judge should promptly make a report and recommendation on the equitable redistribution of these cases to the other salas. As much as practicable, the incumbent judges should arrive at an agreement on the matter; otherwise, the matter should be brought to the attention of the Court Administrator for prompt action.

1.1.3.7. Distribution of cases among re-assigned judges

a. In order to minimize if not avoid public criticism, every

trial judge who has started hearing a case shall continue to hear and decide the case even if a new judge is appointed or designated to replace him. For this purpose, the re-assigned judge shall in the meantime be considered Assisting Judge of the Branch to which he was formerly assigned. If the re-assigned judge is only transferred to another branch in the same seat, the case shall be transferred to the branch to which he is assigned. He shall endeavor to so adjust his calendar as to enable him to dispose of his cases efficiently in his original as well as in his present assignment.

b. Cases submitted for decision at the time of the

appointment of a new judge shall be decided by the judge to whom they were submitted for decision, including motions for reconsideration and motions for

new trial thereafter filed. However, if a new trial is

granted, the new judge shall preside over the new trial

until terminated.

1.1.3.8. Unloading of cases and special rules in newly created

branches

a. The Executive Judge shall determine the average caseload of each branch by dividing the total number of cases pending in the station by the number of branches

thereat, including those newly created.

DOCUMENT CODE: JUD·OMS·OM·OOl ; EFFECTIVITY DATE: ____ ; VERSION:..Q.; ISSUED BY: __ PAGE 141OF198

b. Each of the original branches may unload its excess over the average number determined in the preceding paragraph, subject to the following restrictions:

b.1. The unloading of cases shall be limited to civil cases which have not gone beyond the pre-trial stage, and criminal cases where the trial proper has not yet commenced.

b.2. In the event of an imbalance in the caseloads

because fewer cases are unloaded to new courts while existing courts retain higher caseloads, the caseloads shall be equalized by excluding from the raffle all or some of the existing courts with higher dockets. The existing courts will be included in the raffle only when the caseloads of new courts have attained the average level in the subsequent raffle of additional cases.

c. Thereafter, the raffle shall be affected after the Executive Judge shall have collated all the cases to be unloaded all the parties have been duly notified. The unloading shall be done strictly by raffle unless otherwise authorized by the Supreme Court.

d. In the meantime that the personnel complements of the newly created courts are being organized, their presiding judges may be assigned to existing courts with which such newly created courts may be paired. For this .

purpose, the presiding judge of a newly created court as pair judge of an existing court in the same station may hear and resolve cases and incidents requiring speedy action, such as those involving detention prisoner, appl ications for search warrants, petitions for habeas

corpus, and other cases requiring immediate attention.

1.1.3.9. Special rules in newly created seats/ stations

a. In areas with newly created seats/ stations originally belonging to territorial area of another court (e.g., RTC, Makati where new seats or stations have been established in Muntinlupa, Las Piflas and Paranaque), each branch of the court in the original station is directed to immediately make an inventory of the cases which may be properly allocated to make an inventory

DOCUMENT CODE: JUD·QMS·QM-001 ; EFFECTIVITY DATE: · VERSION:.Q.; ISSUED BY: __ PAGE 142 OF 198

of the cases which may be properly allocated to the

newly created courts.

b. the following rules shal l, likewise, be observed: b.1. The cases to be unloaded to the courts in the new station shall not exceed 150 for each branch to give ample allowance for cases which may be filed directly with the new courts.

b.2 . In the meantime that the clerks of court for these new seats/stations are not yet appointed, or

that no bonded court employee is designated to receive docket and other legal fees, the payment of such docket and other fees shall be made with the Clerks of Court of the Original stations.

Any other administrative problem that may arise in the newly created courts shal l be brought to the attention of Court Administrator before any action is taken thereon so that the latter may, if necessary, refer the matter to the Supreme Court for appropriate resolution.

1.1.3.10. Inherited cases

As regards inherited cases which are submitted for decision before trial judges who have been promoted or, for any reason ,are no longer in the service, the following rules shall apply:

a. Inherited cases shall be decided by judges of existing courts to whom they are assigned. In fact, they are directed to decide these cases w ith deliberate dispatch.

b. The Supreme Court, on its own initiative or upon

recommendation of the Executive Judge, may direct a

judge of a newly created court to decide inherited cases.

c. An inherited case is deemed submitted to a judge for decision after he has received the testimony of the last witness, and for this purpose, the submission of exhibits and the memorandums of the parties shall not be taken into account.

1.1.3.11. Dismissed cases when re-filed


When a case is dismissed for any cause whatsoever and the same is re-filed, it shall not be included in the raffle anymore but shall be assigned to the branch to which the original case pertained. If, by mistake or otherwise,

such case is raffled and assigned to another branch, the latter must transfer the case to the branch to which it originally belonged, in which event another case shall be

assigned by raffle as replacement.

To give greater force and effect to this rule, all orders of dismissal must be served upon all parties impleaded in the case.

1.1.3.12. Change of venue

Request for change of venue shall be forwarded to the Supreme Court for appropriate action without the record of the cases concerned which shall be kept in their respective courts to await the instruction and/ or action of the Supreme Court thereon. The judge of the court from which the case is sought to be transferred shall attach his comment and/ or recommendation on such requ est .

1.1.3.13. Consolidation

When action involving a common question of law or fact are pending before the Court , it may order a joint hearing or trial of any or all the matters in issue in the actions; it may order all the actions consolidated; and it may make such orders concerning proceedings therein as may tend to avoid necessary costs or delay.

By analogy , as is the practice in the Court of Appeals, whenever two (2) or more allied cases are assigned to different branches of the same court, the consolidation shall be in the branch with the case bearing the lowest docket number, subject to replacement with a case or cases of the same kind and status.

Notice of the consolidations and replacement shall be given to the parties and their respective counsel.

1.1.3.14. Designated Special Courts

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVllY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 144 OF 198

The Executive Judges of the Regional Trial Courts shall exclude designated Courts from the raffle of other cases, criminal and civil, whenever in their judgment the

caseload of these courts shall prevent them from conducting daily trial of the special cases.

1.1.3.15. Family Courts

a. In case only one (1) branch of the Regional Trial Court has been designated to handle juvenile and domestic relations cases and cases involving juveniles in conflict with the law, the Executive Judge sha ll cause the transfer of the listed cases to the branch so designated immediately after receipt of the records.

b. In case two (2) or more branches of the Regional Trial Court have been designated to handle the aforementioned cases, the Executive Judge shall, within ten (10} days from receipt of the records conduct the raffle, with notice to the parties, and distribute the cases,

together with the records, to the branches involved.

c. In provinces or cities where no branch or branches of the Regional Trial Court have been designated to handle

juvenile and domestic relations case or cases involving juveniles in conflict with the law, the Executive Judge shall conduct the appropriate raffle and distribute the said case, together with the records, to the branches of the Regional Trial Court within ten (10} days from

receipt of such records.

1.1.4. Pairing System 1.1.4.1. Multiple Sala Courts

a. A pairing system shall established whereby every branch shall be considered as paired with another

branch.

b. Whenever a vacancy occurs by reason of resignation,

dismissal, suspension, retirement, death, or prolonged absences of the presiding judge, the judge of the paired court shall take cognizance of all cases thereat as acting judge therein until appointment and assumption to duty of the regular judge or the designation of an acting presiding judge or the return of the regular incumbent judge, or until further orders from the Court.


4. Process Map

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c. For the purpose of pairing system. Brach I shall paired with Branch 2, Branch 3 with Branch 4, and so on; and any branch in a station left without a pair shall be paired with the branch presided by the Executive Judge in addition to the latter' s regular pair. In case of vacancy in

the two {2) branches paired, with each other, or prolonged absence of both Presiding Judges of the paired branches, the incidental or interlocutory matters

pertaining to any or both branches shall be acted upon

by the Executive Judge "Prolonged absence" means absence of one month or more.

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5. References

PROCESS

Receiving of New

Cases Criminal, Civil

SUB-PROCESS REFERENCESS

Receiving Docketing

Payment Encoding

Raffling Distribution assigned

Branches

and I • 1987 Constitution

to

Payment: 1. Filing Fees

a. Regular Case

b. Small Claims Cases

2. Mediation Fees 3. BP 22 cases-

a. Filing Fees

b. Disposal and Dismissal for

Non=Payment of Filing fees.

• Law creating the court

• Rules of Court Revised Manual for Clerks of

Court (vol. 1&2)

Internal Rules

Case System Manuals

Office Process

Manuals/Flowcharts Order and Circulars Internal Memorandum

Rules of Court

Rule 141, Rules of Court OCA Circular No. 51-2011

(Mediation Fees)

1. SC Circular 57-97 (Rules and

Guidelines in the Filing and Prosecution of BP 22 cases) 2. OCA Circular No. 70-97

(Procedural Guidelines in the

Collection of Filing Fees)

3.0CA Circular 141-2003 (Clarification on the matter of

Disposal/Dismissal of BP 22 cases

for non-payment of Docket fees) 4.Administrative Matter No. 08-8-

7-SC Filing of Small Claims cases

5.BP129 Judiciary Reorganization

Act 1980 6.R.A. 7691 Judiciary Reorganization Act

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:.Q.; ISSUED BY: _ _ PAGE 14 7 OF 198

ANNEX "A11

RELEVANT INTERESTED PARTIES

Interested Parties Needs Expectations (Output) (Qua lity Requirement)

Litigants and Counsels e Issuance of Docket e Fast filing and (including Office of the Number receiving process Prosecutor [LC]) e Proof of Payment of e Docket Number is

Fees accu rate e Proof of Receipt of e Compet ent and

Initiatory Pleading courteous staff

8 Division assignment e Clean, comfortable

e Case information and well- lighted

(CA/LC) receiving area

e Certified or plain ( S Cf CA/ CT A)

copies of documents e St rategic location of

(CA/CTA) Cashier's Office (CTA)

e Reply to queries e Proper computation

(CA/CTA) of legal fees

e Certifications (CTA) e Prompt or timely

• Court clearances raffle of the case

(LC) e Prompt and accurate

e Release of bond (LC) notice of resolution

e Initial Court e Timely issuance of

Resolution requested copies of

documents or

certifications ( CTA)

Justices/Judges 9 Case documents e Timely and/ or

G Information immediate

transmittal of case

documents

e Proper pagination of

case documents

• Cou rteous staff

Raffle Committee e List of cases for e Accurate and

raffle complete list

e On-time preparation

of the list

Office of the Clerks of e Case rollo e Accurate, complete Court e Processing Slip and on-time

• Soft copy of processing of

initiatory pleading initiatory pleadings

DOCUM ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ; VERSION :_Q_; ISSUED BY: _ _ PAGE 148 OF 198

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~- -~~~~~~~~~~~~~~~

and annexes e Properly apportioned

case rollos

• Accurate pagination

Bar-coded rollo

e Complete and proper

fo rm of the soft copy

of t he in itiat ory

pleading and annexes

e Neat and courteous

staff who wi ll

transmit the rollos

Procurement Committee • Supplies e Timely and complete

procurement of

required supplies

e Good quality supplies

Case System Administrator 9 Case Administration 9 Reliable system

System • Speedy network

e Enhanced system

Other Interna l Offices (CA) e Report (CA) e Timely submission of

e Information (CA) reports (CA)

• Reply to queries and 9 Accurate and

verification (CA) complet e information (CA)

e Timely and

appropriate response

to queries (CA)

e Professionalism (CA)

e Efficiency (CA)

Employees (CA) e Payment of sa laries e Timely and accurate

and benefits (CA) payment of sa laries

e Trainings (CA) and benefits {CA/CTA)

e Coaching and e Updates and

mentoring (CA) appropriate training

e Guidance and (CTA)

monitoring (LC} • Proper guidance and

e Support and monitoring (LC)

cooperation (LC) 9 Transparency and

good governance (CA)

Court branch (LC) 9 Transmittal of court e Timely and com plete

records of cases transmitta l of court

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVllY DATE: ; VERSION:_Q_; ISSUED BY: __ PAGE 149 OF 198

assigned to t he records (LC)

branch (LC) e Accurate encoding of

e Monthly report of case detai ls in the

raffled cases (LC} court's system (LC}

e Distribution of office e Timely and accurate

supplies (LC) report of raffled cases

(LC}

e Timely dist r ibution of

office supplies (LC}

Supreme Court (CA) e Performance reports e Timely submission of

(CA) report s (CA)

• Statistica l reports e Accurate reports (LC) e Project sustainabi lit y

e Financia l reports (LC) and compliance with

e Compliance with ru les/memorandums/

project Circu lars (CA)

requirements (CA) e Timely and fu ll

• Remittance of remittance (LC)

collections (LC}

Other courts and quasi- e Records (CA) 8 Ava ilabi lity of records judicia l agencies (CA) e Reply to queries and (CA)

verification (CA) e Timely t ransmitta l of

records and case

information (CA)

National Government 8 Reports (CA) e Timely, accurate and Agencies (e.g., Congress, e Resource persons complete reports DBM, NAP) (CA) dur ing Congress ional (CTA)

hearings (CA) • Tra nsparency and

good governance (CA)

e Compliance with legal

requirements (e.g.,

appropriat ion rules

and requirements,

and disposal of

records) (CA)

Regu latory or auditing e Submission of e Full compliance with bodies (e.g., CSC, COA, BIR) reports and lega l requirements (CA) personnel and (CA)

financial documents, e Accurate computation e.g., Income Tax of tax

e Timely, complete and

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ; VERSION:_Q_; ISSUED BY: __ PAG E 150 OF 198

Returns (CA/CTA) accurate reports and

personnel and

financial document s

(CA/CTA)

Government-Owned or - 8 Personnel e Availabi lity of Controlled Corporations information complete and correct (e.g., GSIS, PAG-IBIG, 8 Remittance of information Ph il healt h) (CA) contributions e Timely rem ittance of

contributions

Local Government Unit (LC) e Participation in 8 Regula r attendance in

peace and order meetings (LC) meetings (LC) e Timely, accurate and

0 Reports (LC) complete reports and

• Monthly Payroll for payrol l (LC)

Loca l Government

Allowance (LC)

Ph il ippine Posta l e Information as to e Correct and complete Corporation (CA) addressee (CA) address (CA)

e Mail matter (CTA) 8 Compliance with fo rm

and other rules and

regulat ions re ma il

matter (CA)

Suppl iers/Service Providers • Terms of Reference 8 Clear ToR, checklist (CA) (ToR) (CA) and technical

9 Contract (CA) specifications

e Checklist of (CA/CT A)

requirements/ 8 Compl iance with

Technica l contractual provisions

specifications (CA) (CA/CTA) • Professionalism (CA)

9 Payment (CA) • Compliance with

eth ica l st andards (CA)

8 Transparency and

accountability (CA)

• Timely payment and

other deliverables

(CA)

Land Bank of the e Deposits of daily 9 Timely deposit of Philippines (CTA/LC) collections (CTA/LC) collections (CTA/LC)

8 Reconciliation of 9 Accurate amount of

DOCU M ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ; VERSION:_Q_; ISSUED BY: __ _ PAGE 151OF198

bank st atements deposits (CT A/LC)

{CTA/LC)

Development partners e Information e Availability of (e.g., USAID, ABA-ROLI, e Compliance with complete and ADB, AusAid, EU, CD Asia) terms of reference accurate information (CTA) (CTA) • Timely, accurate and

e Monitoring reports complete reports

(CTA) (CTA)

Media (CA) 8 Information (CA) e Transparency and

good govern a nee

(CA/CT A}

e Accessibility (CA)

e Accuracy of

information(CTA)

General Public (LC) • Information e Timely, accurate and

complete information

e Transparency and

good governance

DOCUMENT CODE: JUD·QMS-QM-001 ; EFFECTIVllY DATE: · VERSION:_Q; ISSUED BY: __ PAGE 152 OF 198

SERVICE PROCESS MAP OF THE JUDICIARY - MACRO-VIEW INTERACTION WITH THE SELECTED CORE PROCESS

Litigant

Units

Pleading/ Motion

for Extension

to File Initiatory Pleading/ Original Records

Human Resource Management and

Development

OAS/ Personnel Division

Supreme Court Court of Appeols

CORE PROCESS

Sondiganboyan Court of Tax

Appeals Fi~l ond Second

Level Courts

Processing of Initiatory Pleading

RECEIVING AND PROCESSING OF INITIATORY

PLEADINGS OR MOTIONS

Financial Management

Services

Budget Committee. FMBO. FMO

ACTION OFT HE COURT

ISSUANCE AND RELEASE OF INITIAL ACTION

SUPPORT PROCESSES

Knowledge Management

Concerned Units

Information Technology

MIS Offices

Externally-provided services

Court's First

Action

Facilities Management

OHOJ, Moinlenonce and General Services Division

Litigant and/or Party

Procurement and Supply Management

Procurement Planning Committee. BAC, Property Division

ANNEX "C"

RELATED DOCUMENT INFORMATION ON COURT USER/STAKEHOLDER FOCUS

PROCEDURES ON MONITORING AND MAINTAINING CLIENT

SATISFACTION

I. OBJECTIVE

The procedure intends to guide the Judiciary's docket offices in

monitoring and maintaining the satisfaction of the internal and external client/relevant interested parties to enhance the services rendered by the Judiciary and improve the perception of the client on the dispensation of justice.

II. SCOPE

The client satisfaction survey for this QMS is limited to the activities conducted during the filing of a case until the issuance of the court's initial action on the case.

Ill. RESPONSIBLE ACTION OFFICERS

Filing of case - Records Officer or Clerk at the Docket-Receiving

Section

Follow-up of case status - Lawyer in-charge of case or other appropriate competent personnel in the offices of the Clerks of Court (for the appellate courts) or the Branch Clerk, for the lower

courts Request for initial resolution or order - person authorized to release

documents

IV. CLIENTS

Litigants (Parties or Counsels or their representatives) Suppliers Service Providers Co-employees Other Offices, Divisions, Sections, Units of The Judiciary Judges and Members of the Court

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ; VERSION:_Q_; ISSUED BY: __ PAGE 1S4 OF 198

V. DOCUMENTS REQUIRED

CLIENT SATISFACTION SURVEY FORM

VI. STEPS

1. The responsible action officer shall be well-groomed at all times.

2. He shall see to it that the surroundings are clean and free of any obstruction.

3. When entertaining the client, he shall give the appropriate greetings with a smile. He shall be courteous at all times and shall maintain his composure when dealing with difficult clients.

4. Upon receipt of the initiatory pleadings or documents, he shall immediately examine the same thoroughly and focus his attention to the client and the activity at hand.

5. In case of non-conformity with the requirements in filing a case, the responsible action officer shall inform the client thereof and indicate the non-conformity in the appropriate process slip or

checklist for initiatory pleadings or documents filed.

6. When the client becomes unreasonable and verbally abusive, the concerned employee shall politely excuse himself and let another competent employee to deal with the irate client. When the same proves to be unsuccessful, the matter should be escalated

to a high ranking officer of the office.

7. For requests for initial action of the court which could not be immediately produced due to unavailability of records or of the approving official, the responsible action officer shall inform the client of the timeline necessary, if it can be ascertained, to prepare the requested action.

8. Before the client leaves, the responsible officer shall end the interaction with the appropriate gesture and encourage the client to accomplish the client Satisfaction Survey Form (CSS Form).

DOCUMENT CODE: JUO-QMS-QM-001 ; EFFECTIVITY DATE: ; VERSION:_Q_; ISSUED BY: __ PAGE 155 OF 198

9. The CSS Form shall be collated daily by the responsible action officer for concerns raised therein by the clients which require immediate attention. Otherwise, the CSS Form will be evaluated periodically for purposes of improving the delivery of service of the Judiciary. The results of the evaluation may be used to recognize employees who consistently get the highest appreciation from the clients.

10. The CSS Form shall be kept in the files of the office and will be disposed pursuant to the period specified in the Records Disposition Schedule of the court or office.

END OF PROCESS

DOCUMENT CODE: JUD-QMS·OM-001 ; EFFECTIVITY DATE: ; VERSION:_Q_; ISSUED BY: __ PAGE 156 OF 198

Doc. Ref. No. SC/CA/SB/CT A/RTC/MeTC -Effective Date:

COURT SEA L Revision No.: 00 Page No.: 1of1

COURT

CLIENT SATISFACTION SURVEY

OFFICE:

Case Number: I Date: I Client's Profile: Name:

Address:

Relation to D Party D Counsel D Authorized Representative (Party/Counsel) the case:

Purpose of Visit: D Fil e new case D Others (please specify) D Case follow-up

D Req uest photocopy/certified true copy

How would you rate your overall experience w ith our service today? (Kumusta ang inyong karanasan sa aming serbisyo sa araw na ito?)

C-1 \&) Satisfied

(Nasiyahan)

D

Please share w ith us how we could improve our service : (Pao no namin mopapabuti ang aming serbisyo ?)

COURT SEAL

COURT

@ Unsatisfied

(Hindi nasiyahan)

D

Doc. Ref. No. Effect ive Date:

Revision No. :

Page No.:

CLIENT SATISFACTION SURVEY

OFFICE:

Case Number: I Date: I Client's Profile: Name:

Address:

SC/CA/58/CTA/RTC/MeTC -

00 1of 1

Relation to D Party D Counsel D Authorized Representative (Party/Counsel) t he case:

Purpose of Visit : D Fil e new case D Others (please specify)

D Case follow-up

D Request photocopy/certified t rue copy

How would you rate your overall exper ience w ith our service today? (Kumusta ang inyong karanasan sa aming serbisyo sa araw na ito?)

@ Satisfie d

(Nasiyahan)

D

Please share with us how we could improve our service: (Paano namin mapapabuti ang a ming serbisyo ?)

@ Un satisfied

(Hindi nasiyahan) D


ANNEX "D"

The Judiciary Doc Ref No. :

Quality Management System Effective Date:

Revision No.: CONTROL OF DOCUMENTS

0

Page No.: 1 of 5

Purpose

The purpose of this procedure is 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.

Scope

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

References

Control of Records Reference Matrices 2002 Revised Manual of Clerks of Court Resolution pertaining to Document Control

Definition of Terms

Document Information and its supporting medium.

The medium can be paper, electronic or optical computer disc, photograph or a combination thereof.

Levels of internal documents: Level 1: Policies and Plans Level 2: Quality Manual Level 3: QMS Procedures and Judiciary-wide Documents Level 4: Office/Division/Section/Unit Level Documents

Internal Document A document generated by the Judiciary

External Document A document received bv the Judiciarv from external sources Uncontrolled Copy A document copy not subject to further document control after it

is issued Document Masterlist A list that identifies the documents required by the quality

manaqement svstem Originator Office/Division/Section/Unit Head who creates/revises a

document

~he only controlled copy of th is document is the online version maintained in the Court's Website. The reader

must ensure that this or any other copy of a controlled document is current and complete prior to use. The rig inal copy of this document is with the OMS Library. The user should secure the latest revision of this ocument from the OMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-QM S-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 158 OF 198

The Judiciary Doc Ref No.:


CONTROL OF DOCUMENTS Revision No.: 0

Page No.: 2 of 5

5.0 Procedure Details

Ref. No.

5.1

5.2

5.3

5.4

5.5

Key Activities Responsible Reference Document/ Record

Create or revise document

Review and approve document

Register documents

Distribute document

Archive obsolete copy

Create a new document Originator Revise an existing

document

Review and approve J Levels document approval:

of I Rollo System, CMIS

Tracking Logbook,

Assign document code Update document

masterlist Register external

documents

Prepare controlled copies of document for distribution

File master copy of document

Receive controlled copies of document and return any obsolete copies to Document Controller for disposal

Archive obsolete master copy of document and recycle other obsolete copies

File document masterlist

Chief Justice? En Banc? -Judiciary-wide

PJ - internal documents

Clerk of Court En Banc?

Office/Divisio n/Section/Unit Head - for internal documents Document Controller (Records Officer/Clerk of Court?)

Document Controller

Copy Holders

Document Controller

Routing Slip Internal Logbook Logbook of External Documents Document Masterlist

Acknowledgement Receipt Logbook

Control of Records

The procedure for control of QMS documents and other documents for Judiciarywide use is similar to that for internal documents, except that the QMR reviews and approves the document instead of the Office/Division/Section/Unit Head.

~he only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The 1original copy of this document is with the QMS Library. The user should secure the latest revision of this !document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUM ENT CODE: JUD-O MS-QM -001 ; EFFECTIVlll' DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 159 OF 198



CONTROL OF DOCUMENTS Revision No. : 0

Page No. : 3 of 5

Blank forms and report layouts are subject to this document control procedure as these are designed, developed, and distributed for use and/or revised. Filledout/accomplished forms and completed reports are considered as records and subject to the Control of Records procedure.

Creation/ Revision of Document

Document originator prepares the document or revises the document as a result of review of procedures and systems.

A Routing Slip is attached to the document to trace the review and approval of the created/ revised document.

Where an internal document has been revised, the document originator indicates the nature of revision in the Routing Slip. The revised text in the document is identified by bold letters.

Document Review and Approval

Document

Review and approval ensures that the documents are appropriate to the needs of the organization in general, and the intended use of the document in particular.

Review and approving authorities depend on the type of document, which is outlined as follows:

Oriqinator Review '' .... Aooroval Policies and Plans SC En Banc SC En Banc SC En Banc

Committees Offices

OMS Manual OMS Core Team OMR SC En Banc OMS Procedures OMS Core Team OMR SC En Banc and Judiciary-Wide Documents Court-wide Level of Office Head of the Court or Head of the Court or Documents Committees Office of the Court Office of the Court

Administrator or Court Administrator or En Banc Court En Banc

Lower Courts - Nationwide OCA OCA OCA or CJ or SC En

Banc - Judicial Region OCA OCA OCA - City and Executive Judge Executive Judge Executive Judge Municipality

Presiding Judge - Branch Presidinq Judqe Presiding Judge Office/Division/Sect Office/Division/ Office Head Office Head ion/Unit Level Section/Unit Head Documents

!The only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The 1original copy of this document is with the QMS Library. The user should secure the latest revision of th is k:locument from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-OMS-QM-001 ; EFFECTIVITY DATE: ___ ; VERSION:_Q_; ISSUED BY: __ PAGE 160 OF 198




Page No.: 4 of 5

Review and approval of old reference manuals considers the need for revisions, to make them current in terms of content and format.

All documented procedures are reviewed every five (5) years or as the need arises to assess the adequacy, suitability and appropriateness in response to the continual improvement of the QMS.

Old reference manuals (e.g. documentation prior to implementation of the ISO 9001 QMS retrieved from general circulation pending final disposition) may be reused subject to registration as a controlled document. A Routing Slip is prepared to obtain approval for reuse.

Registration of Documents

New documents as well as revisions to existing documents are registered in a document masterlist by the Document Controller (Record s Officer or Clerk of Court?) to ensure proper control.

External documents are registered in a logbook by the: 1. Supreme Court

All (individual) Offices 2. Court of Tax Appeals

Judicial Records Division Office of Administrative and Finance Service

3. Sandiganbayan Docket Section

Court of Appeals All (individual) Offices

5. Lower Courts Office of the Clerk of Court for Multiple Sala Presiding Judge Branch Clerk of Court

External documents received electronica lly (e.g. via e-mail) is printed to facilitate registration (and subsequent review and distribution). Documents received by fax and printed initially on fax thermal paper is photocopied (thermal paper printouts fade in time).

Distribution of Documents

A master copy of each internal document is retained by the authorized Document Controller until revised.

The copy of the external document submitted/ received for reg istration is considered the master copy, and is retained by the authorized document controller, per court, until superseded.

Controlled copies of documents are photocopied from master copies, and stamped "Controlled Copy" in blue ink, prior to distribution to copyholders.

~he only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The 1original copy of this document is with the QMS Library. The user should secure the latest revision of th is k:focument from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD·QMS·QM-001 ; EFFECTIVITY DATE: ____ ; VERSION:.Q_; ISSUED BY: __ PAGE 161 OF 198




Page No.: 5 of 5

Copyholders sign a proof of receipt, such as, logbook, the acknowledgment receipt and/or give a machine-stamped document and/or barcoded document upon receipt of their respective copies.

Archiving of Obsolete Master Copy

Obsolete master copy is stamped "Obsolete Copy" in red ink to prevent unintended use. Refer to Control of Records Procedure for the retention and disposition schedule.

Other obsolete controlled copies of documents are striked out and recycled for use.

Attachment

Document tracking sheet Document masterlist Acknowledgement receipt Logbook

Prepared by:

NAME Chief, Records Division

Reviewed by:

NAME QMR

Approved by:

NAME CJ/SC En Banc

~he only controlled copy of this document is the online version maintained in the Court's Website. The reader

must ensure that this or any other copy of a controlled document is current and complete prior to use. The riginal copy of this document is with the QMS Library. The user should secure the latest revision of this ocument from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-QMS·QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 162 OF 198

ANNEX "E"



Revision No.: CONTROL OF RECORDS

0

Page No.: 1 of 5

Purpose

The purpose of this procedure is to ensure that all records generated by the quality management system are properly retained and are readily available for use by those who need them.

Scope

This procedure applies to records required by ISO 9001 as well as records identified by the organization as required for the effective management and control of processes.

References

Control of Documents National Archives of the Philippines (NAP) Guidelines Related Court Circu lars and Resolutions Administrative Order No. 170-2008 (Revised Guidelines ... . ) Administrative Matter 07-3-09-SC (Simplified Guidelines ... ) effective 2015 for 1st and 2nd Level Courts Internal Rules

Definition of Terms

Record A documented information stating results 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 (Control of Documents Procedure).

Records may use different media, including paper, electronic or optical computer disc, photograph or a combination thereof.

Active Records Records that are currently being maintained, used and controlled. These records are normally kept in desk/ workstation drawers or nearby fil ing cabinets, shelves or racks, vau lts, or compactor for easy access and retrieval.

Inactive Records Records that are very rarely or no longer referred to , and which must be transferred to another place (Storage Room, Archives Section, Warehouse and Office of the

lrhe only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. jThe original copy of this document is with the QMS Library. The user should secure the latest revision of this !document from the OMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE : JUD·OMS·QM-001 ; EFFECTIVITY DATE: · VERSION:.Q_; ISSUED BY: __ PAGE 163 OF 198



Revision No.: 0 CONTROL OF RECORDS

Page No.: 2 of 5

Reporter) and classified accordingly. These records have already served their purpose but must be kept just the same for legal requirements or some compelling reasons. They are only destroyed the moment their retention periods have expired.

Process Owner Office/Division/Section/Unit where the records arE generated or individual who generates the records

Records Disposition or A listing of records series by organization showing, fo1 Disposal Schedule each record series, the period of time it is to remain in thE

office area, in the storage (inactive) area, and it~

preservation or destruction. Retention Period Refers to the specific period of time established anc

approved by the National Archives of the Philippines a~ the life span of records, after which they are deemec ready for permanent stora~e or destruction.

Procedure Details

Reference Ref. No. Key Activities Responsible Document/

Record 5.1 Collect and identify Collect records Records Officer NIA

records Ensure Process Owner identification of records

Establish a filing system

5.2 Store and protect Store properly Records Officer N/A records through: Protect records Process Owner

appropriately

SC/CT A/LC/SB/CA - storage area/space or filing cabinets Library - climate-controlled

5.3 Retrieve and Update Inventory Office of Actual maintain active (per office i.e. Administrative Inventory records annual/ Services Report or

semestral/ Record monthly case, Record s Officer Logbooks rollo, picture, Index cards

rrhe only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. h°he original copy of this document is with the QMS Library. The user should secure the latest revision of this !document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-QM S-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 164 OF 198



CONTROL OF RECORDS Revision No.: 0

Page No.: 3 of 5

list) Process Owner Notebooks Maintain properly

the active records

5.4 Maintenance and Update inventory Records Officer Inventory disposal Turnover inactive

records Convert to e-files

Collection and Identification

Records are identifiable through any or combination of the following information, as appropriate:

Title of Record Date(s) Barcode Document Number Name of signatory/ies

Records are collected upon availability from their source, for appropriate filing by the authorized personnel (document/records officer, controller, custodian, or archives officer) or concerned Process Owner per Court.

In case of erasure or correction, the corrected data are countersigned by the employee who corrected it.

Example: m4b' 6789@'1,?S

Accepted practices on record erasure or correction are as follows:

I Court I Practice I

Other forms (which should be revisited): - SC: Resolution = corrected copy - SC: Decision/Signed Resolution = strike-out and countersign - Judicial Records: Correction Form - Sandiganbayan: Correction tape with countersign - CA: Corrected copy - LC: Amendment/strike-out and countersign

~he only control led copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. frhe original copy of this document is with the QMS Library. The user should secure the latest revision of this bocument from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUM ENT CODE: JU D-QMS-OM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 165 OF 198




Page No.: 4 of 5

All records are signed by authorized personnel. The reviewer ensures that said records are legible and contain sufficient information as basis for its endorsement or approval. Hence, records without the signature of approving authorities except e-copies are considered "unofficia l".

Storage and Protection

Records are kept in appropriate locations to minimize physical deterioration, damage, and loss. For protection purposes, the following practices are observed: (locks, sea l, password, etc.)

Use of expanded folders/envelopes and/or ring binders; Placed in magazine files and stored in shelves or steel cabinets to

prevent wear and tear; Regular back-up of permanent and archival records including

databases; Access restriction, through password (this pertains only to soft copy

and other security measures) to prevent unauthorized use; and/or Control through outsourced warehousing.

Retrieval and Retention

For easy retrieval, filing cabinets, shelves, boxes, magazine fi les, folders, and envelopes are labeled. Likewise, the inventory is maintained indicating information, such as:

1. Shelf/control number 2. Shelf/Folder labels 3. Case number per status 4. Other physical or visual control mechanisms

Records borrowed by other offices or courts are traced using logbooks, Rollo Tracking System, index cards, and/or CMIS.

Maintenance and Disposal

Maintenance and disposal of records are done in accordance with the Records Disposition or Disposal Schedule.

For easier safekeeping, permanent records may be converted to e-fi les, except for records that require original copy bearing authentic signatures.

~he only controlled copy of this document is the online version maintained in the Court's Website. The

eader must ensure that this or any other copy of a controlled document is current and complete prior to use. he original copy of this document is with the QMS Library. The user should secure the latest revision of this ocument from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-OMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 166 O F 198

The Judiciary Doc Ref No .:



Page No.: 5 of 5

Attachment

National Archives of the Philippines Guidelines

Prepared bv: Reviewed by:

NAME NAME Chief, Records Division OMS Leader

Approved by:

NAME Position

~he only controlled copy of this document is the on line version maintained in the Court's Website. The eader must ensure that this or any other copy of a controlled document is current and complete prior to use. he original copy of this document is with the QMS Library. The user should secure the latest revision of this ocument from the QMS Library. This document is UNCONTROLLED when downloaded and printed .

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAG E 167 OF 198

ANNEX "F"

REGISTRY OF CONTROLS OF EXTERNAL PROVIDERS

PRODUCTS AND SERVICES CONTROLS Budget

Annual Procurement Plan

RA 9184 and Its Revised IRR

Technical Specif ications Basic Office Supplies Inspection

Cont ract/Purchase Orders Acceptance Billing Statement

Performance Review Assessments

Budget

Annua l Procurement Plan RA 9184 and Its Revised IRR Technica l Specifications

Furniture and Fixtures Inspection

Cont ract/Purchase Orders

Acceptance Bill ing Statement

Performance Review Assessments COA Ru les and Regulations

Annual Procu rement Plan

RA 9184 and Its Revised IRR Contract

Fuel General Appropriations Act COA Ru les and Regulations

Purchase Order Performance Review Assessments

Budget



Term s of Reference

Contract

Janitorial Services Daily Time Record

Accomplishment Reports

Acceptance

DOLE Issuances COA Ru les and Regulations


Security Services Budget

Annual Procu rement Plan RA 9184 and Its Revised IRR Terms of Reference

Contract

Accomplishment Reports Shift Schedule

Incident Reports

DOLE Issuances COA Rules and Regu lations



Budget

Annual Procu rement Plan RA 9184 and Its Revised IRR Terms of Reference Contract

Pest Control Services Dai ly Time Record Accomplishment Reports Acceptance DOH Rules Bil ling Statements COA Ru les and Regulations Performance Review Assessments

Budget Annua l Procurement Plan RA 9184 and It s Revised IRR

Aircon M aintenance Services Terms of Reference Contract/ Purchase Order

Acceptance

COA Rules and Regulations

Budget Annua l Procu rement Plan RA 9184 and Its Revised IRR Technical Specifica t ions

Commu nication Networks Contract/Memoran dum of Understanding

Acceptance COA Ru les and Regulations Billing st atements COA Ru les and Regulat ions

Perfo rmance Review Assessments

Budget Annua l Procurement Plan RA 9184 and Its Revised IRR

Photocopying Services Terms of Reference

Contract Acceptance COA Rules and Regulat ions

Performance Review Assessment s

RA 9184 and It s Revised IRR

Contract

Purchase Order Delivery receipt s

CCTV System/ Internet Service Providers Annual Procu rement Plan Genera l Appropriat ions Act COA Ru les and Regulations Billing st at ements IAS (SB)

Contractual Services

Consultants RA 9184 and Its Revised IRR Lawyers Contract Executive Assist ants Annual Procurement Plan

Court Aide General Appropriations Act

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: _ ___ ; VERSION:_Q_; ISSUED BY: __ PAGE 169 OF 198

Disposal Team ~ COA Rules and Regulations

Drivers CSC-DBM-COA Joint Circu lar Guidelines

>. Daily Time Record (if required) Accomplishment Reports

RA 9184 and Its Revised IRR Comprehensive Healthcare Package Contract

COA Ru les and Regulations

Cat ering Services RA 9184 and Its Revised IRR Purchase Order

Events-related Services RA 9184 and Its Revised IRR

Purchase Order



Util it ies Providers Contract General Appropriations Act COA Ru les and Regulations

Bi lling Statement Annual Procurement Plan


Drinking Water Supplier Cont ract General Appropriations Act COA Ru les and Regu lations


FACILITI ES AND EQUIPMENT CONTROLS

Supplies and Materials related to Building RA 9184 and Its Revised IRR

Purchase Order Maintenance

COA Rules



Terms of Reference

Elevator M aintenance Contract

General Appropriations Act

COA Ru les and Regulations Bi lling statements




Contract

Motor Vehicle Supplier General Appropriations Act

COA Ru les and Regu lations Bi lling statements

Fina l Acceptance

Budget



Mot or Vehicle Maintenance Contract Acceptance


Job Order Request

DOCUM ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:.Q_; ISSUED BY: __ PAGE 170 OF 198


Aircon Maintenance RA 9184 and Its Revised IRR Terms of Reference Contract Annua l Procu rement Plan RA 9184 and Its Revised IRR Contract

Office Eq uipment (e.g., IT equipment, aircon) Purchase Order De livery Receipts

General Appropriations Act COA Rules and Regulations Billing statements

Annua l Procurement Plan RA 9184 and Its Revised IRR

IT Equipment Maintenance (under warranty) Terms of Reference Contract Warranty Computer Parts Replacement Test Report

Annua l Procurement Plan

Software (e.g., Anti-vi rus, Lex Libris) RA 9184 and Its Revised IRR Terms of Reference Contract

Computer-aided Transcript Machines RA 9184 and Its Revised IRR Contract


Terms of Reference

Warehousing Services Contract

Acceptance Annua l Procurement Plan Budget

Budget Annua l Procurement Plan Detai led Architectural and Engineering Design

Office Renovation RA 9184 and Its Revised IRR

Terms of Reference Contract/Job Order

Acceptance

COA Ru les RA 9184 and Its Revised IRR

Terms of Reference

Lease of Photocopying Machines Contract Daily Report of Use Annual Procurement Plan

Water Station Operation and Maintenance RA 9184 and Its Revised IRR Contract

Services COA Rules

DENR Ru les Water and Waste Water Quality Monitoring LLDA Ru les

COA Ru les

Generator Set RA 9184 and Its Revised IRR Terms of Reference

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:..Q_; ISSUED BY: __ PAGE 171 OF 198

Cont ract Purchase Order Delivery Receipts

Annual Procurement Plan General Appropriations Act

COA Ru les and Regulat ions

DENR Ru les

Bill ing st at ement s


Hiring of M otor Vehicles (in re lation to special Contract Annual Procurement Plan

events) General Appropriations Act



Venue Renta l, including sound systems and the Contract

Annual Procurement Plan like (in re lation to special events)


COA Rules and Regulat ions

PROCESS CONTROLS

Terms of Ref erence

Customer Feedback thru Consultants Contract

Submission of Reports

Term of Reference


Training Eva luation Contract/ Letter-Agreement/ Memorandum of . Agreement

Training Training Design DBM Circular on Honoraria

Annua l Procurement Plan


COA Ru les and Regulations

SC Circulars

Annual Procurement Plan General Appropriations Act

Study Courses Abroa d SC Approva l of Study

Office Order

COA Rules and Regu lations

Travel Authority

PROPERTY CONTROLS


Lease of Rea l Property RA 9184 and its Revised IRR Cost-benefit analysis

Contract

DOCUMENT CODE: JVD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:J!..; ISSUED BY: __ PAGE 172 OF 198

ANNEX "G"



CONTROL OF NONCONFORMING Revision No.: 0

OUTPUTS Page No.: 1 of 5

Purpose

The purpose of this procedure is to ensure that products and services that do not conform to the requirements are controlled to prevent their unintended use or delivery, or if delivered, to ensure that appropriate remed ies are effectively taken.

Scope

This procedure applies to the outputs of the Judiciary.

References

Corrective Action Procedure Guidelines for Monitoring and Measuring Customer Satisfaction

Definition of Terms

Nonconforming outputs I Outputs that do not fulfill requirements. Outputs may mean products or services.

Correction

Products refer to physical items, such as resolutions, decisions, orders, reports and other documents prepared and released in conjunction with service delivery. Examples of physical products are documents like resolutions, decisions, orders, certificates issued, reports submitted, etc. While coordination and advocacy activities are examples of services provided by the Judiciary.

Examples of nonconforming products are inaccurate statistical data, wrong information in resolutions/decisions/orders, missing documents, etc. Delayed receipt of rollo, late release of data and the like are nonconforming services.

Action taken to correct the nonconforming product/service, to make it conform to requirements or otherwise prevent its unintended use or delivery. This may include reworking, regarding or scrapping of nonconforming products, or redoing the service.

tThe only controlled copy of this document is the online version maintained in the Court's Website. The !reader must ensure that this or any other copy of a controlled document is current and complete prior to ,use. The original copy of this document is with the QMS Library. The user should secure the latest revision of this document from the QMS Library. This document is UNCONTROLLED when downloaded land printed.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIV!ll' DATE: · VERSION:.Q_; ISSUED BY: __ PAGE 173 OF 198




Concession

Corrective Action

Process Owner


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

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

Individual/office whom/where the process being performed is where the NC is detected

Employee/office responsible for the performance of a process and ensuring that objectives are realized, and that appropriate actions are carefully reviewed and approved and are taken without undue delay to eliminate nonconformities and their causes.

Procedure Details

Ref. Reference

No. Key Activities Responsible Document/

Record 5.1 Identify Detect Process Owner Applicable

nonconforming nonconforming Issuance or product/service prod uct/seNice Procedure

Receive citizen feedback on NC product/seNice

5.2 Determine and Isolate NC product, Process Owner Applicable apply final and/or temporarily Issuance or disposition stop Procedure, /correction process/service Control of

delivery, following Nonconformity the control of NC Matrix matrix

Provide initial response to client

~he only controlled copy of th is document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the QMS Library. The user should secure the latest 'revision of this document from the QMS Library. This document is UNCONTROLLED when downloaded land printed.

DOCUMENT CODE: JUD-QMS-OM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 174 OF 198

The Judicia ry Doc Ref No.:




feedback, as needed

Review the nonconforming product/service situation and approve final disposition Service/ Office

Obtain product Head concession, correct NC product, scrap product, or restart service delivery following the control of NC matrix

Provide final response to client feedback, as needed

5.3 Apply corrective Prepare a Request Process Owner Request for action for Action (RFA) Action (RFA),

Corrective Action Procedure

Identifying Nonconforming Product/Service

Nonconforming products/services may be detected internally by any staff as they perform their functions , through observation, monitoring, inspection, verification and review.

The possible nonconformities may occur in the following areas, but not limited to:

a. Management Process (absence of communication protocol , lack or delayed provision of needed resources).

b. Core Processes

Filing, receiving, processing of initiatory pleadings

c. Support Processes (Absence of preventive maintenance schedule, delivery of products/ materials which are noncompliant to purchase request specifications)

~he only controlled copy of this document is the online version maintained in the Court's Website. The eader must ensure that this or any other copy of a controlled document is current and complete prior to

1use. The original copy of this document is with the QMS Library. The user shou ld secure the latest revision of th is document from the QMS Library. This document is UNCONTROLLED when downloaded land printed.

DOCUMENT CODE: JUD·OMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q; ISSUED BY: __ PAGE 175 OF 198





Nonconforming products/services may also be detected externally by the customer/citizen through feedback or complaints as detailed in the Guidelines for Monitoring and Measuring Customer Satisfaction.

When nonconforming products/services are detected, they shall be evaluated against requirements defined in applicable operating procedures, process maps/guidelines, product/service guidelines, or quality plans.

Determining and Applying Correction/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. Actions may include the following:

Rework - action on a product to make it conform to requirements. Regrade - alteration of the grade of a nonconforming product in order to make it conform to requirements differing from the initial ones. Repair/revise - action on a nonconforming product to make it acceptable for the intended use. Scrap - action on a nonconforming product to preclude its originally intended use. This may include recycling or destruction. Concession - obtaining permission (from the Office/Division/Section/Unit Head and/or the customer) to use or release a product that does not conform to specified requirements. Re-evaluations/re-testing to demonstrate conformity to specifications (after repair, regrade, or 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 Office/Division/Section/Unit Head, depending on the gravity of the situation and its cost implications.

Final disposition is recorded through the Incident Report to provide traceability and evidence of actions taken and data may be used for analysis and continual improvement of the process.

Applying Corrective Action

he only control led copy of this document is the on line version maintained in the Cou rt's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the QMS Library. The user should secure the latest revision of this document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

191 of 213

DOCUMENT CODE : JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 176 OF 198





Further action shall be undertaken to prevent recurrence of the problem, when:

the nonconforming product/service is identified via a customer/citizen complaint monitoring shows that nonconforming product/service are recurring the frequency and extent of nonconforming product/service are increasing correction requires that the nonconforming product be reworked or replaced, 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 customer/citizen, or both Further action shall be subject to the Corrective Action procedure.

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 maps/guidelines, and product/service guidelines. The nature of nonconforming products/services and subsequent actions taken shall be captured in process and monitoring records. The plan shall be periodically reviewed for adequacy and effectiveness.

Attachment

6.1 Control of Nonconformity Matrix

Prepared by: Reviewed by:

NAME NAME Operations Head OMS Leader

Approved by:

NAME Position


eader must ensure that this or any other copy of a controlled document is current and complete prior to se. The original copy of this document is with the OMS Library. The user should secure the latest evision of this document from the OMS Library. This document is UNCONTROLLED when downloaded

and printed .

DOCU M ENT CODE: JUD-QM S-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: __ PAGE 177 OF 198

Name of Agency

Qual ity Management System

CONTROL OF NONCONFORMING OUTPUTS

Process: ______________________ _

(One matrix for each process in operations, support and management)

Nonconforming Product/Service

Prepared by:

NAME Concerned Head

Action Correction Responsibility

Reviewed by:

NAME QMS Leader

Approved by:

NAME Position

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE:--~· VERSION:..Q_; ISSUED BY: _ _

ANNEX "H"

Doc Ref No.:

Effective Date:

Revision No.: 0

Page No.: 1 of 1

Reference Authority -

PAGE 178 OF 198

ANNEX "I"

The Doc Ref No.:


CORRECTIVE ACTION Revision No.: 0

Page No.: 1 of 4

Purpose

The purpose of this procedure is to ensure that causes of detected nonconformities are eliminated in order to prevent recurrence.

Scope

This procedure applies to nonconformities found in the implementation of the quality management system.

References

Internal Quality Audit Control of Nonconforming Outputs

Definition of Terms

Nonconformity Non-fulfillment of a requirement

Action to eliminate the cause of a detected nonconformity Corrective Action or other undesirable situation, and prevent recurrence

Procedure Details

Ref. Reference

No. Key Activities Responsible Document/

Record 5.1 Review detected and Receive and review Process Request for

potential the Request for Owner Action (RFA) nonconformity Action

Identify concerned staff who will be involved in corrective action

5.3 Determine the cause Conduct root cause Process RFA of nonconformity analysis Owner

5.4 Determine and Develop, plan and Process RFA implement the action recommend Owner needed corrective actions

Aoorove corrective


eader must ensure that this or any other copy of a controlled document is current and complete prior to use. he original copy of th is document is with the QMS Library. The user should secure the latest revision of this ocument from the QMS Library. This document is UNCONTROLLED when downloaded and printed.


5.5

The Doc Ref No.:



Page No.: 2 of 4

actions Implement corrective

actions Review corrective Review the Management RFA, action taken implementation QMR Corrective

status and Action Status evaluate the Report effectiveness of corrective actions

Reviewing Nonconformity

The corrective action procedure is triggered by Request for Action from other processes/procedures in response to identified nonconformities from:

internal quality audits customer/citizen complaints (from the Monitoring and Measurement of Customer Satisfaction) qualified nonconforming outputs (from Control of Nonconforming Outputs) poor process performance results and unacceptable deviations from the organization's

programs and plans (from management reviews)

The initial review of the Request for Action considers:

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

nonconformity.

The concerned heaD_identifies concerned personnel who need to be involved in corrective action. This may extend to personnel outside his/ herown department; coordination with the other concerned departments should be established.

Determining the Cause of Nonconformity

All occurring nonconformities are subjected to root cause analysis to be able to come up with corrective action plans.

Root cause analysis considers the different factors contributing to the nonconformity, including:

Manpower - personnel competencies and their ability to consistently perform their functions as required.

!The only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. !The original copy of this document is with the QMS Library. The user should secure the latest revision of this [document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ; VERSION:_Q_; ISSUED BY: __ PAGE 180 OF 198

The Doc Ref No.:



Page No.: 3 of 4

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.

Environment - the condition of the surroundings, facilities, and work environment

Where several root causes are identified, they are prioritized relative to their contribution to the nonconformity

Determining and Implementing Corrective Actions

Based on the root causes identified, corresponding corrective action plan is developed and approved by the concerned heaD.:.

Planning of corrective actions (solutions) involves the following:

generation of alternative solutions the selection of the best solution (from the alternatives) the identification of activities, resources, responsibilities and timeliness

needed to implement the selected solution.

Reviewing the Status of Corrective Actions

Attachment

The PQR Committee reviews the root causes and corrective action plans documented in the RFA. The Committee also monitors the implementation of the action plans.

The implementation status and effectiveness of corrective actions is also periodically reviewed and evaluated by the concerned heaD; any related issues are primarily addressed.

Corrective actions are collectively reviewed by the Management Committee (under management review). Depending on the nature of the solution and the associated nonconformity , monitoring and review continues for at least 6 months after implementation, after which the corrective action is deemed completed.

6.1 Request for Action

The only controlled copy of this document is the online vers ion maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. !The original copy of this document is with the QMS Library. The user should secu re the latest revision of this !document from the QMS Library. This document is UNCONTROLLED when down loaded and printed.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:.Q.; ISSUED BY: __ PAG E 181OF198

The Doc Ref No.:



Page No.: 4 of 4


NAME NAME Head, Internal Audit Service OMS Leader

Approved by:

NAME Position

~he only control led copy of this document is the online version maintained in the Court's Website. The

eader must ensure that this or any other copy of a controlled document is current and complete prior to use. he original copy of th is document is with the QMS Library. The user should secure the latest revision of this acumen! from the QMS Library. This document is UNCONTROLLED when downloaded and printed.


ANNEX "J"

REQUEST FOR ACTION CRFA)

~· ~i·:·i:::·~ -·. ~:i.t ~ S'ect ion 1 - Details bf Nonconformitv (To .be1accomplished byl!he Auditor/ Initiator) ·"' -. - I. I

Date: References: (manuals, procedures. RFA Number:

policies, ISO clauses, etc.) Noncon formity {Non-fulfillment of Auditor/ requirement)

Initiator : Signature over Printed Name Observation (Does not signify failure in the system but maybe enhanced)

Details: (As a result of) Office:

D Internal Quality Audit 0 Customer Feedback D Other (Pis. specify)

Issued by: Issued to: (Office Head)

Signature over Printed Name Signature over Printed Name

Description of the Nonconformity/Observation: (Include evidence)

Acknowledged by:

H~.: ..• ~ Section 2 - Necessary Action(s) (To be· accomplished :by the AUditee/ Process Owner) . - -~

Correction : Target Completion Date:

Root Cause Analysis: Analyzed By:

Describe the necessary Corrective Action(s):

Approved By: T arget Completion Date:

..;··;;·-; "\-· "'.. Section 3 - Verification of Implementation and Effectiveness (To be accomplished by the Initiator) ·7. - . ,~

Results of Action(s) Taken Remarks

Verified By: Verification Date:

Acknowled~ed By: Next Verification Date:

Results of Action(s) Taken Remarks

Verified By: Verification Date:

Acknowledged By: Next Verification Date:

Rev. 0

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:.Q.; ISSUED BY: __ PAGE 183 OF 198

CORRECTIVE ACTION STATUS REPORT (Year )

RFA Details Date Target Verification Date/

No. NC Description (as a result of)

Initiator Recipient Issued

Date of Status Implementation First Second

DOCUMENT CODE: JUO-QMS-QM -001 ; EFFECTIVITY DATE: ; VERSION:_Q_; ISSUED BY: __ PAGE 184 OF 198

ANNEX "K"

The JUDICIARY Doc Ref No.:


Revision No.: 0 INTERNAL QUALITY AUDIT

Page No.: 1 of 14

1.0 Purpose

This document describes the procedure and resource requirements for the objective evaluation of the effectiveness of the established quality management system of the Judiciary. It defines the system for the planning , preparation, execution, follow-up, and reporting of PQR activities in determining if the Quality Management System (QMS) conforms to the planned arrangements, to the requirements of ISO 9001, and to the established QMS; and if the OMS is effectively implemented and maintained.

2.0 Scope

The procedure applies to the Judiciary that includes the processing of initiatory pleadings.

3.0 References

Corrective and Preventive Action Procedure

4.0 Definition of Terms

Auditee

Auditor

Audit Team

Audit Plan

The Office or person being audited

The person with demonstrated personal attributes and competence to conduct an audit.

Composed of more than one auditor who are assigned to conduct an audit in a particular office and prepare necessary report of findings; Led by an Aud it Team Leader

A documented plan prepared prior to the conduct of audit which details activities such as where to go, what to do,

!The only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The

!

original copy of this document is with the QMS Library. The user should secure the latest revision of this document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-OMS-OM-001 ; EFFECTIVITY DATE: ; VERSION :_Q_; ISSUED BY: __ PAGE 185 OF 198

----------------------------- --- - - - . - --

The J UDICIARY Doc Ref No.:


Audit Itinerary

Audit Checklist

Audit Criteria

Audit Evidence

Audit Finding

Conformity

Nonconformity (NC)

Opportunity for Improvement (OFI)

Corrective Action (CA)

Request for Action (RFA)


Page No.: 2 of1 4

when to do, and whom to see

Set of one or more audits planned for a specific timeframe, directed towards a specific purpose

A set of variables which serves as a guide to an auditor

Set of policies, procedures, or requirements which are used as reference against which audit evidence is compared

Qualitative or quantitative record , statement of facts or other information, which is verifiable and relevant to the audit criteria

Result of the evaluation of the collected audit evidence against audit criteria

Fulfillment of a requirement

A non-fulfillment of a requirement

A situation or process that may lead to potential nonconformity

Action taken to eliminate the cause of a detected nonconformity or other undesirable situation to prevent its recurrence

A tool/form used to record the audit findings and the corresponding root cause analysis and appropriate actions


!original copy of this document is with the QMS Library. The user should secure the latest revision of th is document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:JL; ISSUED BY: __ PAGE 186 OF198




Page No.: 3 of 14

taken to address it

PQR Team The Process Quality Review (PQR) Team formed to oversee the PQR implementation

5.0 Procedure

5.1

5.2

5.3

5.4

·~ !~·

Select and 1 · Refer to the required I QMR manage audit skills and knowledge team

• Enhance the Auditors' competence

I Plan for the / • Prepare the Audit Plan I QMR PQR

• Initiate the conduct of I PQR Team the unplanned audit

• Disseminate the Audit I Plan

• Communicate the Audit Itinerary

applicable I PQR Team I Prepare for J • Review the the PQR documents

•Develop Audit Checklist

opening I PQR Team I Conduct the [ • Conduct PQR meeting

• Interview the auditees

Auditor Train ing Certificates

Pool of Aud itors

I Audit Plan

I Audit itinerary

List of Internal I Quality Auditors

I Audit Checklist

I Audit Checklist

'

The only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the QMS Library. The user should secure the latest revision of this document from the OMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-OMS-OM-001 ; EFFECTIVITY DATE: ; VERSION:.Q_; ISSUED BY: __ PAGE 187 OF 198

5.5

The JUDICIARY

Quality Management System

INTERNAL QUALITY AUDIT

• Review documents and records

• Record evidence

facts and

• Inform the auditee of the audit findings and its classification

• Raise to the QMR the unresolved issues

• Conduct closing meeting

Reporting the I • Document the findings PQR

• Assign control numbers and recording in RFA Registry

•Issue the RFA

• Conduct root-cause analysis

•Determine implement CAPA

and

•Submit RFA

accomplished

QMR

Doc Ref No.:

Effective Date:

Revis ion No.: 0

Page No.: 4 of 14

RFA

Audit Summary Report

Control of Nonconforming Outputs Procedure

Corrective Action Procedure

RFA Logbook

5.6 Verifying Actions

• Verify actions taken Audit Team Corrective Action

• Monitor the verification Taken

Office/ Division Head

RFA

RFA Logbook

the only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The

!

original copy of this document is with the QMS Library. The user should secure the latest revision of th is document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.





Page No.: 5of14

5. 1 Selection and Management of Audit Team

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

a. The personal attributes of the auditor include ethical, open-minded, diplomatic, observant, perceptive, versati le, tenacious, decisive, selfreliant, culturally sensitive and collaborative.

b. Knowledge on auditing concepts and methodologies

c. Auditing skills

d. Knowledge on ISO 9001 requirements and the QMS of the organization vis-a-vis audit requirements of the auditee

5.1.2 Auditor performance is reviewed considering the following:

a. Feedback from the PQR team leader, other auditors and the auditee

b. The quality of audit checklists and audit reports

5.1 .3 The competencies and performance of auditors are periodically evaluated to identify training and development needs. The PQR Team coordinates with the Judiciary-Wide Committee on Performance-Based Bonus to plan and implement training and development program for auditors.

5.1.4 The pool of auditors is maintained by the PQR Team.

5.2 Planning for the PQR

5.2.1 The Audit Plan for the 12-month period is prepared by the QMR before the start of a ca lendar year. Each QMS process is audited at least once a year.

~he only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the OMS Library. The user shou ld secure the latest revis ion of this !document from the OMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVl1Y DATE: ; VERSION:_Q_; ISSUED BY: __ PAGE 189 OF198




Page No.: 6 of 14

5.2.3 Whenever necessary, unplanned PQR may be initiated by the QMR based on, but not limited to the following:

a. unusual increase of quality-related problems

b. introduction of new services

c. major changes in QMS, personnel, and processes

d. as per client's request

5.2.4 Copies of the Audit Plan are disseminated to all concerned Offices/Divisions through a memorandum from the QMR.

5.2.5 The Audit Itinerary is communicated through a memorandum from the QMR to all concerned offices at least a week prior to the activity. The communication includes the following:

a. purpose

b. PQR scope

c. Offices to be audited and auditee

d. assigned Audit Team

e. date and time of the PQR

5.3 Preparing for the PQR

5.3. 1 The Audit Team reviews applicable documents such as the OMS Manual, Procedures, Guidelines, Office Orders, Memorandum Orders, Special Orders and applicable statutory and regulatory laws.

5.3.2 Audit Checklists are developed based on the audit scope, objectives, and document review.

5.4 Conducting the PQR

!The only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the OMS Library. The user should secure the latest revision of this !document from the OMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUM ENT CODE: JUD·QMS·OM-001 ; EFFECTIVITY DATE: ; VERSION:JL; ISSUED BY: __ PAGE 190 OF 198

The JUDICIARY Doc Ref No. :



Page No.: 7 of 14

5.4.1 The Team Leader starts with an opening meeting to reconfirm audit schedule, audit objective, and audit participants.

5.4.2 The Audit Team gathers data by interviewing personnel, reviewing documents, observing processes, and verifying records.

5.4.2 The Audit Team records facts as evidence of the audit and evaluates the same to determine the objective evidence of the audit findings.

5.4.3 The audit findings are classified as Conformity, NC or OFI. Commendations and strengths of the system are also noted.

5.4.4 If and when the auditee has unresolved issues with an audit finding, he/she may contest such before or during the closing meeting.

5.4.5 If not resolved at this level, the issue may be raised to the QMR.

5.4.5 A closing meeting is conducted wherein audit findings are presented to the audited office.

5.5 Reporting the PQR

5.5.1 Audit findings are documented on the Request for Action (RFA) form and Audit Summary Report.

5.5.2 Control Numbers are assigned to the RFA for monitoring purposes. These are recorded in the RFA logbook maintained by the PQR Team.

!The only contro lled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a contro lled document is current and complete prior to use. The original copy of this document is with the OMS Library. The user should secu re the latest revision of this !document from the OMS Library. This document is UNCONTROLLED when downloaded and printed.

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Page No.: 8of14

5.5.3 The RFA with the Audit Summary Report are issued to the auditee within ten (10) working days after the closing meeting. The auditee acknowledges and signs the RFA.

5.5.5 The auditee with the office/division head determines and implements appropriate corrective action in accordance to Control of Corrective and Preventive Action procedures. The auditee returns the accomplished RFA to the PQR Team.

5.6 Verifying Actions Taken

5.6.1 The auditors verify the implementation of the actions taken specified in the accomplished RFA. The resu lts of such verification are monitored as per Corrective and Preventive Action procedure.

5.6.3 The office/division head ensures that root cause analysis is conducted and monitored in accordance with the Corrective Action Procedure. The office/division head also ensures effectiveness of actions taken.

6.0 Attachments

6.1 Audit Plan

6.2 Audit Itinerary

6.3 Audit Checklist

6.4 Audit Summary Report

!The only controlled copy of this document is the online version maintained in the Court's Website. The reader ,must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the QMS Library. The user shou ld secure the latest revision of this !document from the QMS Library. This document is UNCONTROLLED when down loaded and printed.

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NAME NAME

Head, Internal Audit Service QMS Leader

Approved by:

NAME

Position

!The only controlled copy of th is document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The. original copy of this document is with the QMS Library. The user should secure the latest revision of this document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCU MENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:..Q..; ISSUED BY: _ _ PAGE 193 OF 198

AUDIT PLAN

(Year )

Scope

Objectives

AUDIT SCHEDULE ' -- '

Audit Month Office Process Audit Team

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

!The only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the QMS Library. The user should secure the latest revision of this document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

AUDIT PLAN

(Year ____ _

Office Audit Team Audit Month Process

Jan Feb Mar Apr May Jun Jul Aug Sep Oct Nov Dec

Prepared by: Approved by:

PQR Committee Head QMR

Page_of _ Rev.O

!The only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the OMS Library. The user should secure the latest revision of this document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

AUDIT ITINERARY

(Year )

Criteria

Scope

Objectives

Audit Team Team Leader

Members

Audit Activities

Date Time Activity Auditee Auditors

Prepared by: Approved by:

Audit Team Leader

QMR

!The only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The !original copy of th is document is with the QMS Library. The user should secure the latest revision of this document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

Rev. 0

DBM-QP-03-Form2 Rev. 0

AUDIT CHECKLIST

Source Document(s):

Process: Office/s:

Clause I Para. Items/ Questions C/NC/OFI Findings I

No. Remarks


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Rev. 0

AUDIT SUMMARY REPORT

Office: Audit Scope:

Date:

Purpose:

Criteria Evidence

(what should be happening) (what is actually happening) Class No.

Define the requirements that must be Describe your observations on the C or NC satisfied. (i.e. customer, regulatory, extent of conformance with the process, ISO 9001 requirements) specified requirements.

Commendable Findings (Note down exemplary practices, activities, methodologies, etc. which demonstrate significant innovations that go beyond the requirements/expectations.)

Opportunities For Improvement (Note down observed situations where the results achieved are perhaps not optimal, less than well-organized or over complicated that, based on the auditor's judgment and experience, necessitate improvement.)

Prepared by: Acknowledged by:

Audit Team Leader Auditee

The only controlled copy of this document is the online version maintained in the Court's Website. The reader must ensure that this or any other copy of a controlled document is current and complete prior to use. The original copy of this document is with the QMS Library. The user should secure the latest revision of this document from the QMS Library. This document is UNCONTROLLED when downloaded and printed .

Rev. 0