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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 Abbreviation s······ ············· ·· · ······· · ··· ·· ··· ·· ···· ·· ··· · ··· ··· · ······· · 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 Understan ding the organization and its context········ · ····· ··· ·· ·· · ·21
4.2 Underst anding the needs and expectation s 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 Lead ership and Commitment .. ·· ··· ·· ... .. .. ... ... ··· · ...... .... .. ·· ·· ·· ·24
5.1.1 Court Users/Stakeholders focus ··· ····· ··· ···· ···· ····· ···· ···· ·· 24
5.2 Qu ality Policy······ · ···· ···· · ··· ·· ··· ······ ···· ········ ·· ···· ····· ·········· 25
5.3 Organi zational Roles, Responsibilities and Authorities········· ··· ·· · 26
6. PLANNING ··· ·· · ·· ···· ·· ···· ·· ········ · ·· · ··· · ··· ··· ······ · ·········· ··· ········ · ·· 30
6.1 Actions to address risks and opportunities ··· ·· ···· ··· · ·· ·· ·· · ·· ·· ··· · · 30
6.2 Quality objectives and pl an ning to achieve them·· · · ···· · ·· · ··· ··· ··· 31
6.3 Planning of changes·· ··· ···· ····· ··· ····· ······ ··· ·········· · ······· · ··· ··· 31
7. SUPPORT· ···· ·· · ······· ·· ······· ···· ··· ·· ·· ·· ·· · ······ · · ··· · ··· ······· · ·· ··· ··· ···· 31
7.1. Re sources ·· ······ · ··· ··· ···· ··· ··· ···················· ··········· ··· ········ 31
7.1.2 Human resources· ·········· · ··· ·· · .. . · ... .... .... .. · .. .. ·· ···· ........ . · 32
7.1.3 Infrastructure······ ··· · ········· ·· · ········· ············ ··········· ······· 32
7 .1.4 Environment for th e operati on 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 servi ces ········ ···· ········· · ···· ·· ······ ········ ·· 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 Relevant Interested Parties ........................................................ 148
Annex B Service Process Map of the Judiciary ........................................ 153
Annex C Procedures on Monitoring and
Maintaining Client Satisfaction .................................... ............. . 154
Client Satisfaction Survey Form ................................................. 157
Annex D Control of Documents ................................................................158
Annex E Control of Records .......................................................................163
Annex F Registry of Controls of External Providers ......... ..................... 168
Anne x G Control of Nonconforming Outputs........................................... 173
Annex H Control of Nonconformity Matrix ............................................. 178
Annex I Corrective Action ......................................................................... 179
Annex J Corrective Action Form ............................................................... 183
Annex I< Internal Quality Audit .................................................................. 185

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CHAPTER I THE JUDICIARY

1. INTRODU CTIO 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 Qu ality
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 offici al,
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 compo sed of th e


Members of the Supreme Court, Pre siding 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 provid ed
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 respon sible 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 ba se d on the ISO


9001:2015 standard s, 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 chro nologically. 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 paym ent 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 f ees under the Rules of Court based on

1
CTA CM IS 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 original pleadings and other documents


filed under the same docket number.

Top Management - shall refer to the Members of th e 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 co lonize the


archipelago, the Spanish colonizers of the Philippin es
encountered an indigenous population that had no w ritten laws
but had a system of rules derived from customs, usages, and
tradition. These rules, akin to laws, were believed to be God-
given 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 w ho we re 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 th ese 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 Th e Judicial System Under the Spanish Regime

During the early Spanish occupation, King Philip II established the


Real Audiencia de Manila wh ich 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

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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 with in 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 pow ers, 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 Visa yas
Station and are located in Cebu City, while its 21st, 22nd, and
23rd Divisions comprise the CA Mindanao Station and are ba sed
in Cagayan de Oro City. The first 17 Stations are located in the
City of Manila

The two other collegiate courts are th e 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 co-
accused 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. ·

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 M al Caui 1111n Cii io
M1ml\llp11l T1lol Cauru
Mul\l1;lp"I Clrtul l 11 lwl Cou1lll
Sluu ~'" C\tc;ult Cnmu

3.3 Mandate

3.3.1 Supreme Court and Lower Courts

Th e Supreme Court of the Philippin es and th e Lowe r Courts


perform adjudicat ive f unctio ns vest ed on the m by the Phi lippine
Constitution and oth er applicable la ws. Th eir judicial powe r
includes "the dut y of t he courts of justice to settle actu al
controversies involving rights wh ich are legally demandable and
enforceable, and t o determine wh ether or not there has be en a
grave abus e of discretion amounting to lack or excess of
jurisdiction on t he pa rt of any branch or instrum entality of t he
Governm ent."

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.

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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 pro secutor;

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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 w hich
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 w hether 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 hono r 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 th e 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 admini stered
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

3.4.1 Supreme Court and Lower Courts

An independent, impartial, effective and efficient Judiciary,


protective of the rights of the people and the democratic
institutions to ensure sustainable human development.

3.4 .2 Court of Appeals

A Court which acts swiftly and fairly in the administration of


justice at all times.

3.4.3 Sandigan bayan

Envisions a judicial institution that the Filipino people can rel y on


for th e 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

3.5.1 Supreme Court and Lower Courts

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.

3.5.2 Court of Appeals

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 enh ance 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 eval uation
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 government-
owned 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 orga nization 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 the information on these


interested parties and their relevant needs, expectations and
requirements. Further, identification 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 th e
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 Th eir 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-equ al branch of th e


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 respon sive ness 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 we ll 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

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

5.3 Organizationa l Roles, Responsibilities and Autho rities

The top management of the Judiciary shall ensure that the


responsibilities and authorities for relevant roles are assigned,
communicated and properly impl emente d within the organi zation.
(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 established, implemented and


maintained in accordance with the requirements of ISO
9001:2015 standard s;

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 recomm endations
and opportunities for improvement;

d) ensure the promotion of customer focus throughout The


Judiciary; and

e) e nsure th at th e integrity of the QM S is maintained when


changes to the QMS are pl anned and implemented.

QMS CORE TEAM

QUALITY PLANNING TEAM

•,
. . rT,,- .. •c I. - .· l

Name and Position . '


.: ·1 ... Office
1. Atty. Basilia T. Ringo! Judicial Records Office, Suprem e Court
Deputy Clerk of Court and
Judicial Record s Office r
2. Atty. Sweet Ivy G. Espejo Office of th e Division Clerk of Court,
Court Attorney Ill First Division
3. Atty. Rachelle E. Uy-Trinidad Office of th e Division Clerk of Court,
Court Attorney Ill Second Division
4. Atty. Anita Jerm erlan Ry Office of th e Executive Clerk of Court,
Assist ant Clerk of Court Court of Ap peals

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5. Atty. Ritchelle M. Desingano-Yranela Office of the Presiding Justice 1
Court Attorney IV Sandiganbayan
6. Atty. Margarette Y. Guzman Office of the Division Clerk of Court,
First Division Clerk of Court First Division, Court of Ta x Appea ls
(Executiv Clerk of Court Ill)
7. Atty. Maria Corazon Cecilia H. Pineda Office of the Clerk of Court, RTC,
Clerk of Court VII Makati City
8. Ms. Gemma S. Besinio Office of the Clerk of Court, MeTC,
Clerk of Court Ill Quezon City

WORKPLACE MANAGEMENT TEAM

Personnel Division, Office of


Administrative Services, Supreme
Court
2. Ms. Ana Leah G. Sevilla Budget Division, Fisca l Management
Budget Officer Ill and Budget Office
3. Atty. Thomas Elliot A. Mandez Office of the Presiding Justice1 Court
Court Attorney IV of Appeals
4. Mr. Florecel M. Sebastian Office of the Executive Clerk of Court
Executive Assistant II Ill, First Division, Sandiganbayan
5. Dir. Elsie R. Tiauzon-Forteza Office of Administrative and Finance
Chief of Office Services, Court of Tax Appea ls
6. Atty. Shielani Agnes B. Dingle Office of the Presiding Justice, Court
Court Attorney V of Tax Appeals
7. Ms. Teresa P. Atilon Office of the Clerk of Court, RTC,
Administrative Officer Ill Makati City
8. Mr. Rolando C. Josue Office of Administrative Services,
SC Supervising Judicial Staff Officer Office of the Court Administrator

DOCUMENTS AND RECORDS CONTROL TEAM

1. Atty. Diana G. Ligero-Tong Judicial Records Office, Supreme


Court Attorney VI Court
2. Mr. Renato M. Sister Judicial Records Division, Court of
Supervising Judicial Staff Officer Appeals
3. Mr. Dennis S. Macaranas Judicial Records Division,
Records Officer II Sandiganbayan
4. Mr. Benjamin D. Pineda, Jr. Judicial Records Division, Court of Tax
Chief Judicial Staff Officer Appeals
5. Mr. Jaime A. Rayco Office of the Clerk of Court, RTC,
Records Officer II Makati City

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6. Ms. Leonora A. Bautista Office of the Clerk of Court, MeTC,
Records Officer II Quezon City

INTERNAL QUALITY AUDIT TEAM


(PROCESS QUALITY REVIEW TEAM)
1' Ill_";~-, ";"-~·: ~· ,~- ~ ~;·t~'1t'foYi~ -~ ' ' ~· . ,' • ~·· •;.;-·~:__..;.i-ti '·::.i.~' ~rJ,. '" .-r•·• ·)'. ., ··,,~;· . ~
.· Name and Position Office·
•4 • .. _I

. [ ·., _ '. t ~~·i:z: t::;

1. Atty. Anna Li R. Papa-Gombio Office of the Clerk of Court, En Banc


Deputy Clerk of Court, En Banc
2. Atty. Glory V. Villanueva-Mauricio Office of the Division Clerk of Court,
Court Attorney IV Third Division, Supreme Court
3. Atty. Jennifer P. Sison Judicial Records Office, Supreme
Court Attorney II Court
4. Atty. Belinda M. Atienza Program Management Office,
Court Attorney IV Supreme Court
5. Atty. Abigail S. Domingo-Layla Eleventh Division, Court of Appeals
Division Clerk of Court
6. Mr. Guillermo S. Nacario, Jr. Judicial Records Division,
Supervisin g Judicial Staff Officer Sandiganbaya n
7. Atty. Theresa G. Cinco- Bactat Court f Tax Appeals
Assistant Clerk of Court, En Banc
(Executive Clerk of Court Ill)
8. Atty. Megan Daphne Musni Office of the Court Administrator
Executive Assistant
9. Atty. Eduardo C. Tolentino Lega l Office, Office of the Court
Court Attorney V Administrator
10. Atty. Jocelyn T. Fabian Office of Chief Justice Maria Lourdes
Court Attorney VI P.A. Sereno

QMS Core Team

TOP MANAGEMENT

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


implementation, monitoring and maintenance of th e 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 requirem ent;
d) Dete rmine and provide n ecessa ry r esource s and ensure that
these are adequately avail abl e; and
e) Conduct management review meetin gs.

QUALITY MANAGEMENT REPRESENTATIVE

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a) Oversee the establishment, documentation, and effe ctive
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 req uirements; and


b) Coordinate logistical requirements need ed 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 A ND EDUCATION TEAM

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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).

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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.

RELATED DOCUMENT INFORMATION:


- 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

Th e 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 th e


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 th e actions t aken;
d. Retain appropriate documented information as evidence of
competence.

RELATED DOCUMENT INFORMATION:


- Organization al 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:

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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.

RELATED DOCUMENT INFORMATION:


- 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
- Iss uances
- Training modules and seminar atten dance sh eets

7.4 Communication

The Judiciary shall identify t he need for internal and externa l


comm unications relevant to the QMS including various
commun ication channels that are being utilized such as
memorandums, circulars, office orders, internal publication, social
media, emails, websites, portal s, bulletin boards, telephone and video
conferencing syst ems, 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 Quality System documentation which provid es 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 polici es for processes
and quality control and improvement.

Level 3: Procedures and Work Instructions Manual (PAWIM) with


Process Maps - These are op erational guides on what th e
organization does and how it achieves stated policies. It also provid es
guidance on how to co mmunicat e and perform various activities. It

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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:

CODE REPRESENTS
SC-QMS Documented Information
2-3 Operation
letter Procedures ·and Work Instructions Manual (PAWIM), guides, work
code 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
DD Day
MM Month
yyyy 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 requirem ents;
d. implementing control of the processes in accordance w ith th e
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
requirem ents;

The output of this plannin g shall be suitable for the Judiciary's core
process and operation.

Targets are based on the mandate, mission, vision and core va lues of
the Judiciary. Targets are determined based on historical data and
benchmarking, w ith the approval of the Top Management. The
Judiciary shall contro l planned changes, review consequences, and
take action to mitigate any adverse effects. It shall also ensure that
outsourced processes are controlled.

RELATED DOCUMENT INFORMATION:


- 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.

RELATED DOCUMENT INFORMATION:


- 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.

RELATED DOCUMENT INFORMATION:

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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


th e 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
- Ru les of Court
- Interna l Rul es
- Control of Records Matrix
- CMIS M anual

8.6 Control of nonconforming outputs

Th e Judiciary currently ensures that outputs that do not conform to


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

RELATED DOCUMENT INFORMATION :


- Control of Nonconform ing Outputs - See Annex "G"
- Control of Corrective Act ions - See Annex "H"

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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

Th e 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
- Aud it 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 measurem ent resu lts
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 improve ment

RELATED DOCUMENT INFORM ATION:


- Minutes of th e Management Review Meeting
- Control of Documents - See Annex " D"
- Control of Records - See An nex "E"

10. IMPROVEMENT

The Judiciary shall continu ally im prove the suitability, adequacy and
effectiveness of the QMS through ana lysis and evaluation, using outputs
from management review, co rrection and corrective acti on reports,
breakthrough change, innovation and re -organi zat 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 sa w 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

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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
h ave impact on the Court's exe rcise of its judicial power as we ll 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 an d 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 co urts which co ntinued to remain open and functioning.

The 1973 Constitution increased the number of the memb ers 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 assu mption 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 governm ent under
Proclamation No. 1 dated February 25, 1986. Amo ng the more
significant portions of t his Proclamation was the directive to "a ll
appointive officials to su bmit 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 effectivity 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 w ith
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.

Th e 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 cou rts 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) Th e 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 th e
compe nsation 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 reorgani zing
th e 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
Judici ary to any agency performing quasi-judicial or adm inistrative
function. (Art. VIII, Sec. 12)
11) Th e 1987 Constitution lodged administrative supervision over
t he lower co urts 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 co urts 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 Associate
Just ices
Office of the
Clerk of Court
En Bone

1" Division 11 2•d Division 11 3rd Division


Clerk of Court Clerk of Court Clerk of Court

Office of Fiscal l\la nagement


1

Judicial Records
Admini!:trative Management & Information Pri nting Service
Office
Services Budget Office Systems Office

3. Functional Description

3.1 Offices of the Clerks of Court

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 re search 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 ca ses 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.

DOCUMENT CODE: JUD·QMS·OM·OOl ; EFFECTIVITY DATE: · VERSION:.Q_; ISSUED BY: _ _ PAGE 4S OF 198
The JRO further prepares, or assists in the preparation of, data/statistics
on judicial cases, and helps in the plannin g 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 pl ans, recommends and implements personnel management
and development programs of the Court. It formu lates and implement s
policies, guidelines, procedures and t echniques for more effective
operation of an office.

It initiates and/or recommends career and employee development


program s, incentives and award system, employee health, welfare an d
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 requirem ents of the
Court, and provid es housekeeping and security services.

3.4 Fiscal Management and Budget Office

The Fisca l M anagement and Budget Office of th e Supreme Court t akes


th e lea d in the preparation of the budget of the Judiciary by assisting the
Budget Committee in the review, consolidation and submission of the
Judici ary' s budget estimates and financial reports. In connection, the
FMBO is charged with the preparation of the budget of th e 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, bud get, accounting and
cas hiering activities of th e Court.

As a measure to professionalize the Judiciary's budgeting process


founded upon a results-based framework arti culat ed in the Philippine
Developm ent Plan, the Supreme Court has, since 2015, crea t ed a Budget
Committee t asked to finalize the Judiciary's budget for the su cceeding
year, submit t he sa me to the Congress through the Departm ent of
Budget and Management, and conduct the bud get defense of t he
Judiciary.

3.5 M anagement Information Systems Office

DOCUME NT CODE: JUD·OMS·OM·OOl ; EFFECTIVl1Y DATE: · VERSION:.Q.; ISSUED BY: _ _ PAGE 46 OF 198
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

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:.Q_; ISSUED BY: _ _ PAGE 47 OF 198
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5. References

PROCESS SUB-PROCESS REFERENCES

• Process in • Rece iving and • The 1987 Ph ilippine Constit ut ion


g of processing of • The Rules of Court
Initiatory Initiatory • Th e 2002 Revised Manual for Clerks
Pleading Pleadings or of Court (vols. 1 & 2)
m otions • CAS 2.0 User Manua l
• Actio n of the • SC Administrative Matters:
Court o Internal Rules of the Supreme
• Issuance and Court (A.M. No. 10-4-20-SC)
Release of Initial o Proposed Rules on E-Fil ing (A.M .
Action/Resolutio No . 10-3-7-SC)
n o Efficient Use of Paper Rule (A.M .
No. 11-9-4-SC)
o Guidelines on Submi ssion and
Processing of Soft Copies of
Supreme Court Bound Paper
Pursuant to the Efficient Use of
Paper Ru le (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 Upgra ding 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 Req uest 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 Details of
parties or thei r counsels in all
pleadings filed w it h the

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 49 OF 198
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
Exam ine 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 th at Official
Receipt No. and Date of
Payment 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
Co unsel's MCLE Certificate of
Compliance or Certificate of
Exe mption (BM No. 1922)
• En Banc Reso lution:
o L-26112 an d L-30240 dated
December 2, 2008 (re Denying

DOCUMENT CODE: JUD-QMS-QM -001 ; EFFECTIVITY DATE: _ _ _ _; VERSION:_Q_; ISSUED BY: _ _ PAGE SO OF 198
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
Templ ate 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 (Octob er 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.

DOCUMENT CODE: JUD-QMS-QM -001 ; EFFECTIVITY DATE: _ ___; VERSION:_Q_; ISSUED BY: _ _ PAGE 51 OF 198
2016-30 and 30-A, July 1, 2016 &
August 24, 2016)
o Mail Address Formats and Zip
Codes Requ irements (IM No.
2016-37, July 15, 2016)
• PH ILPOST Issuances:
o Guidelines on the Mandatory
Use of Barcode Labels on
Domestic Registered Mails
(PHI LPOST 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 Manua ls/Flowcharts
• Orders and Circu lars
• Sec. 44 of R. A. No. 9262 "Anti-
Vio lence Against Women and Their
Children Act of 2004"
(Confidentia lity)
• Supreme Court (A. M . No. 03-06-13 -
SC) Code of Co ndu ct for Court
Personnel

DOCUMENT CODE: JUD-QM S-QM-001 ; EFFECTIVITY DATE: ·VERS I ON:~; ISSUED BY: _ _ PAGE 52 OF 198
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 pa ssed 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
Ii"
~"!ft.f:,IJ.,
COURT OF APPEALS ORGANIZATIONAL CHART

I11. 23 DIVISI~~ I
CHAIRME N &
I PRESIDING
JUSTICE
M E MBERS
ADMINI S TRATIVE GROUP

EXECUTIVE CLERK
O F COURT IV
(CLERK OF COU RT)

CASH
OM :.llO N

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?PC

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

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 co-
terminus 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.

DOCUMENT CODE: JUD-QMS-QM -001 ; EFFECTIVl1Y DATE: _ _ _; VERSION:JL ISSUED BY: _ _ PAGE S4 OF 198
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 th e
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 honest y
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 unde r 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 record s keeping. It is also in
charge of remanding decided cases to the court of origin, and acts as
case records custodian for the Court.

DOCUMENT CODE: JUD·OMS-OM-001 ; EFFECTIVITY DATE: _ _ _ _ ; VERSION:.Q.; ISSUED BY: _ _ PAGE 55 OF 198
3.8 Information and Statistical Data Division

Th e 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
oth er financial concerns.

3.10 Fiscal Management and Budget Division

The Fiscal Management and Budget Division prepares and executes the
annual budget of th e Court, initiates plans and budget preparation for
better utilization of Court funds, fiscalizes th e Court's financial interest
to cover budget deficiencies and corrective measures needed . It
prepares reports as required by the Departm ent of Budget and
Management, Commission Audit and other government agencies. It is
in charge of budget allotment and control for the Court and provides
advi se 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 deliveri es, official court notices and processes.

3.12 M anagement Audit Division

The M anagement Audit Division perform s perform ance audit of the


different offices of the Court, pre-a udits payrolls, vouch ers and
performs actu al inspection of all purch ase d supplies. It acts as adviser
for th e co urt's financial management program.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: _ _ _ _; VERSION:_Q_; ISSUED BY: _ _ PAGE 56 OF 198
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

Figure 4.1

,A1~
COURT OF APPEALS
Core· Process (Receiving to Initial Action)
Page 1018
~~ ;~~1'-1

Pmcest; tor Civil C:i<es

RECE!VE
ClruGllW.
RECORDS •f
BAACOOE
ORJG:JrW.
RECOROS
ENCODE
DATAU~
FORVIAAD
~I O!dGUUIL kEO'Jll!i:
/<ND l'LEJID11'G5 TO
OVJL CASES
ASS!Gll
OOO<ET
PR£PARI:
ROUO
I TRA/ISM!T
TD RAFFLE
COf<l.HlmE
AND N<D O~!S r.•UMBER COVER
Pl.EAOll/GS PU'.AOINGS !l£CTOJIS M IHAl'FlE
(BACKR00.'1)

p~ for Crfminol cases


FORWARD ORIGJNAL
RECEJ\/E 81\RCOOE RECORDS At<'O ASSIGN
ORl.Gll1A1. OR!GfllAl Ef<CODE DATA P!.EADINGSTO DOCKfT
RECORJ)S •I RECORDS CRIMINAL CAS€5 NUHBER
!NOUS
AND AND SECT<»<s
PLEADINGS PlE/<DINGS (OllCKROOM)

TRAN'".MITTO
AAfR..E COHJ.trrTI:E
fOll AAFflE

ASSESS MID
fORWAAl> 10 CASH PAYMEllT OF ISSUE ORfCUIAL EllCOOE
DOCKET FEES RfC£1PT (O.R) PA,'MfllT IN CM.IS
f'OR PA'rf-1 Ei'lf

JUOICTAL RECORDS DIVISION - PROCESSING OF CASES PEllSONNl\llY FILED

Figure 4.2

\'~~
·~~
<' ·~i{
~~f . -~1.\
COURT OF .APPEALS
Coro Process (Receiving to lnltlal Action)
Page 2 ol 8
Y...i.:.._-.~~_,.;1 ·

Process tor Scx..-'CiaJ Cnses

STN>IP MTE, TlME ASSESSN~O

8--
RfCflVE ENCODE OATi\ PAYME'llTOf l55UE OIUGlf<Al.
Pl:TITION AllD f_.,.I /l.NDDOO<ET lllCMIS
FORVIAAD TO CASH
DOCKET FEE RECEIP'f (D.R)
PlEJ\DH.iGS NUHBER FOR PAYIIDIT

TR/lNSMrT TO FORWARD PfTJTIDrl

8 RIJ'flf COl-IMITTEE
fOR RAFFLE
PREPARE
R0110COVER
ANO PlfAOlNGS 10
SPEOALCASB
SECTONS (E!ACJ(ROOH)
ENCOOE PAYM:alT
UI CMlS

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

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: _ _ __ ; VER SION:_Q_; ISSUED BY: _ _ PAGE 59 OF 198
Figure 4.3

~i)
t~~b
COU RT OF APPEALS
Core Process (Rl!Cc.lvlng to Initial Action)
P•go 3 ot 8
' .. ot._ ;-

RFCEIVE INllJAlORY fORW~RO


l'l.CN>lllG/ PCITflON/ OCX:U""ICPIT'S/ PAA.Ca ASSIGN

& ENCOOEU< llARCOOE Plf/;OJNG/ PflCPAll(


OR!GINAL RECXlROS/ RECEMOI O OOCXET ROUOCOVER
CMIS PET!TIOll/ ltECORDS l.\JM!IER
PARC£L (fRC»t POST RESPECTIVE
OrrtCI') SCCTIOtlc;/ IJtalTS

J UOI CIAL R ECORDS D.lVSION - PROCESSI NG O F CASES FI LED VIA MAiL

Figure 4.4

~t~
'0.Vf!'i.:$1
COURT O F APPEALS
Core Process (Roccivlng t o J nitlai Action)
Page4ol 8
·""~-""

8-1
Cl tCO<
ORIGllJAL
RECOOOS
H ·~·
DIW..:H00. . .W
natK OF
C<XJRT (lF REO'.lRDS
AAf lNCOMPlETC)
H =·a~~~
10 FILE ORICF I
MatOAAl.OA (IF
RECORDS /IRE
CO}tPLETE)
r MOlllTORllfGOF THE
SUOMISSION OF
PLEADlllGS /'5
PRCSOllll€0 tlY TuE
RUlES
H RE.l'ORT TO
COllCIRllID [)lVlSIO!I
Q.flU( Of COOOT

JUDIO AL RECORDS DIVISION · PROCESS ING 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 APP EALS
\ ~~~ Core Process (Receiving to Initial Adlo.n)
I~<,, :·-~'!.! PageSofB
...... :"',$-j!'~

Olli. THE RAl'Flf RAFR.E

9 PllOPER - OELIVER ROtl.05


cor~MCTTEE OF
DElERMINE TOJUOIOAL
THE DAY
JUSTICE TO RECOROS
H/lNDLE CASE D!V!SION

RECEIVE ROWl5
FROMJRD

LOOK FOR ANY llELlVER


.SEGl!fGATC ROLLOS STAMP DAlE Alm JUSTIC£ woo IS llOU.OSTO
liAM:!:Of AVAllASLE. FOR PONENTE
S!:CRETAAY ON THE RAFFLE
RECORD SELECJED
ROLIJ) COVER
JtJSflCf 10 HAI/OLE
SPECIAL CASES IN
RECOODOOOK PROVIDE C!Jl7f OF
RAFR.E UST TO
110
JUSTICES/ JRO/
lrfTBtNAL AUDIT

Oll!VER NOTICE OF
RAFFLE :SOialULE
FM l"HE. t-e<T DAY
RECORD
GEllEAATC· AND PRI fir c.aJNTER CHECK Tl n.E, (RmtE C:Ol.O.lrTTEE)
SCAl•THE RAFFU'D
THE. LIST Of CASB TO CASE NO. FROI~ niE
llOLlDS CASES IN TH!:
Sf FW'R.ED FROM THf ROllD AGAlllST THE
RECORDOOOK
RECEIVED CMIS CMlS

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 Qjmjnri1G'JCl!:S


FORWAADlO
PREPAAATIOI~· Cff!CE Of
RECEIVE AND Et/CODE IN DFAGEN~M .~ r-- l\JST!CE Fall
CHECK ROLLO
WITH PU:ADING
0 115 1 CMIS I Af'TlON
' - - - . , . . -- --'

YES

e
FORWARD TO FDMIAAD ROLLO
ENlllDE Ill MJ\IUllG STITOiCOPY lOJUDIOAL
PREPAAATIOll'' Of
MINlTTE
_r- O.tlS (COPIES f<Ji1: TO ROLLO RECORDS
P.fSOUJTION
""' PARTIES! OJVIS!ON
COU1l5a)

f'rog:ss for Special eases


RECEIVE ROtlO TRANS>UTTO

8- WITH INITIATORY
PLEADING
(ENCODE)
ENCOOElll~
CJ.US
l'IU:Pl<AATIOll'
OFAGENOUM/
OlKl:UST
ENCODE 11l
CHIS
OffiCE Of
JUSTICE
FORAtTl014

•Preparation incfuOOs typ"'9, ch«king und srgning by DCC

OFFICE OF THE DlVJSION CLERKS OF COURT· PROCESSING OF CASES

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 61 OF 198
Figure 4.7

{t~
COURT OF APPEALS
Core Proaiss (Rccel ving t o Initial Acti on)
Page 7 ol 8

~-
R!JEVE REl.fASE
EliroDe IN ll!W•AA(• ErlCOOElN
ROI.LO IV/ ~llNUTE HAI LCOl'lES
JIClCD CMIS CHIS
R£SOWTU'lN FOR PAATICS
J\GEllO\JM

STITCH
COP'YTO
ROllO

~Receive ltOU.O I . \ 01cooe IN PllOMUlGATE PRE.PAA£" CllCOOEIN


RELEASE
W( EXTCNDCD
RESOLUTION
r• OUS ~OED
RESOl.IJT10U
NOTICE Of
R£SOLUTION
CMIS
HAILCOPIES
roll PAATIES

STITCH
COPY TO
ROLLO
' Prcp.'lre indudl!S ty ping, d \ccklng 11nd Signing ti-1 lhc DCC

F'ORWAAO
TOJl\D

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

Figure 4 .8

U~\\ COURT OF APPEALS


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

PIU:PME ROUTE TO RCl.LOWll'tt

~
Rrcrr111; Rou.o EX1ENOCO DIVISION EXTEltto
r ROOI AAFFlE RESOWllON MEMOCRS FOR RESOWTION
~ (l ll rTMI. AC00f<) SIGNltlG SE/IT TOOCC

ROIJIE TO ROU.OWlltt
RECEIVE ROI.LO ACTO!llHE OIV!SIDll ACT!Oll ON Tl1E
VllTH AGENOLf1 AGl'.HOUM
FROM DCC HEMIJCltSRJR llGENDU>I ~Nr
SIGlllllG lOOCC

OFFICE OF THE JUSTICES - ISSUAN CE OF INITJAL A.CT.ION

DOCUMENT CODE: JVD-QMS-QM -001 ; EFFECTIVITY DATE: _ _ __ ; VERSION:.Q.; ISSUED BY: _ _ PAGE 62 OF 198
5 . References

Process I Sub-Process References


1. Issuance of • Mission and Vision
Court's Initial • CMIS Manual ve rl.O
Action • 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 Gi ve n Due Course by
Three Justices Who Had Since All
Been Retired, be Re-Raffled Court-
wide)
• 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 CA-
CMIS 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 Nove mber 24,
2011 for All Private Secretaries
(Monthly Report New Format)
• Memorandum dated August 1,
2014 for Division Clerks of Court

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 63 OF 198
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
Rul es 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)
• Am ended Administrative
Circular No. 83-2015
Protocols and Procedures in
the Promulgation,
Publication, and Posting on

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th e 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 Cou nsel's
Certificate of Compliance or
Certificate of Exe mption
(S eptember 2, 2008 &
January 14, 2014)
• National Archives of th e
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 th e M andatory
Use of Bar Code Labels on
Domesti c Regist ered M ails
(September 28, 2015)
• Divi sion Clerk of Court Forms
• CA-Dec Form 0001 (Resolution)
• CA-Dec Form 0002 (Monthly

DOCUM ENT CODE: JUD-OMS· OM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 6S OF 198
Report of Temporary Restraining
Order Issued)
• CA-Dec Form 0003 (Monthly
Report of Writ of Preliminary
Injunction Issued)
• CA-Dec Form 0004 (Monthly
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))
• CA-Dec 0010 (Monthly
Form
Case Disposa l Report (List of
Promulgated Cases) Per Justice
and Category)
• CA-Dec Form 0011 (Monthly
Case Di sposa 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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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 {Detail s
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 Ca se
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)

2. Human • Organizational Chart


Resources • Civil Service Rules
Processes • 2017 Omnibus Rules on
Appointments and Oth er Human
Resource Actions
• 2017 Rules on Administrative
Cases in the Civil Service (2017
RACCS)
• Republic Act 6713 (Rul es 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 Omnibu s Rules, As
Amended

DOCUM ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: _ _ _ _; VERSION:_Q_; ISSUED BY: _ _ PAGE 67 OF 198
• Rule XVI of the Omnibus Rules
Implementing Book V of 292 -
Omnibu s 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 Tardine ss (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 Adjustm ent)
• 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)
3. Procurement • Memorandum dated January 27,
Process 2015 (Guidelines on the
Replacement Cycle for Computers
and Laptop)
o Republic Act No. 10924 - General
Appropriation s 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
Revised Guidelines on the
Acquisition in the Use of
Government Motor Veh icles
(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)
4. l.T. Equipment • Forms
Repair and • MISD Form-02 (Revl-1) - l.T.
Maintenance 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)
5. Measurement • SPMS
and • Monthly Disposal Report
Improvements • Quarterly Report
• Annual Accomplishment Report of
the Court of Appea ls
6. Accounting • Forms
Processes • 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

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Of Revenue And Other Receipts-
Summary)
• CA-Acctg. Appendix 7A (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-in-
Bank, Local Currency Current
Account, Monthly Reconciliation
Statement)
• CA-Acctg. Form 0001 (Routing
Slip)

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7. Audit Processes • 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 (Summa ry of
Cases for Entry of Judgment)
• CA-Mad Form 0012 (Detail Case
Listing for Motion fo r
Reconsideration and Status)
• CA-Mad Form 0013 {Summary of
Cases for Motion for
Reconsideration and Status)
• CA-Mad Form 0014 (Monthl y
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)
8. General Services • 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

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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 so-
called "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 specifically 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. Thi s 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)
Division s of three Ju stices each in the trial and dete r mination 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 A RCOS, MEMBERS OF
THEIR IMMEDIATE FAMILY, CLOSE RELATIVES, SUBORDINATES, CLOSE
AND/OR BUSINESS ASSOCIATES, DUMMIES, A GENTS 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 AMEND ING PRESIDETIAL


DECREE NO. 1486, AS AMENDED BY PRESIDENTIAL DECREE NO. 1606
CREATING A SPECIAL COURT TO BE KNOWN AS 'SANDIG ANBAYA N' -
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 PRESIDENTI A L DECREE NO.
1606, AS AMENDED, AND APPROPRIATING FUNDS THEREFOR -
effective May 1, 2015.

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2. Organizational Structure

e Republic of the PhiUppines


Sandiganbayan

Orgonizolionol Chort

OOitt offht
Prtsldii1llstk1
----,-
Offk:iofttie
AJ:md11~,.J~icn I-----<

Eral.ll.r1 Dauo1
tc.n II O!laofct.1ECCIV

a.p11titMmdl 1r.t
Tetl':tiallS:1fl

lntmlll~Otl Biilr;«&.rnar.tt: st.rin'ltdStwrity


S•vk:n o;..~on StrwicH

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SK~cn

3. Functional Description

3.1 Office of the Presiding Justice

Implements the policies, executes the resolutions an d enforces the


orders of the Court En Banc; performs the functions specifically
vested upon him or her by law, rul es 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 th e necessa ry 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 Rese arch & 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
Co urt)

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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, deve lopment,


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;

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 77 OF 198
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 OFTHE CASE

"'w
"'

PREPllR/ITIOll OF ORDER OF
RECEIPT OF
FILING OF CHECKING OF CASE I PAYM ENT ANO ISSUANCE OF
CASE FILED
NEW CASES DOCUMENTS AS fllEO OFFICIALRECEIPT by THE CASHIER

il
~
PRC-RAFHC l-L::J~~
PREPARATIO REFERRAL OF MUlllPlE CAS£S rncoor1G 1r11tt:
t:;
OUAllA9' Of"TH[
p, Nor CASE
FOLDER
TO Tl\( LEGAL RESEAROI ANO
TEOIHICALSTAfF
OOUCTSlC.l tOH nt:
0 JID.fYAtn0£T41.S
OfTKOOl

TRA NSMIT RECORDSi


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CONCERNED

§
~
STITOllr~G PRCPAREAGtNOUM FOR TRAtlSMITTllE AGENOUM
"'
~z OF CASE OEttRM INAl lONOF TOlHECHAIRPERSON OJ: ISSUE ll-41TIAL AESOLUTIQr~
FOLDER PlmlY\BLECAUS( THE DIVIS.ION
0
"'i35

5. References

PROCESS SUB-PROCESS REFERENCES


Receiving of new a. Receiving and a. 1987 Philippine
cases docketing Constitution,
[Civi l, Criminal, b. Payment (Law creating the
Special Civil Action c. Referral of Court)
(SCA) and Appealed] multiple cases to b. Revised Internal
the Legal Ru les of the
Research and Sandiganbayan
Technica l Staff c. Revised Ru les of
for determination Court
of related or not d . Office
related cases 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
Ru le
f. SB Office and
Admi nistrative
Orders
SCA and Civil Case/s I Payment of fil ing fees a. Revised Rules of
f iled by priva t e for SCA and Civil Case Court
individua l and entity b. Revised Internal
Ru les of the
Sandiganbayan

Receivi ng of newly a. Preparation of a. Revised Rules


fi led cases i.e. Agenda of Court
Criminal, Civil, SCA, b. Tra nsmitt al of t he b. Revised
Appea led from the Agenda to the Interna l Rul es
Docket Section Chairperson of of the
t he Court for Sandiganbayan
issua nce of c. A.M. No. 15-06-
Resolution 10-SC (Revised
c. Receipt of initial Guideli nes for
reso lution Continuous
Tria l of Criminal
Ca ses)
d . 2002 Revised
Manual for
Cl erks of Cou rt

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: _ __ _ ; VERSION:_Q_; ISSUED BY: _ _ PAGE 79 OF 198
CHAPTERV COURT OF TAX APPEALS

1. History

Th e Court of Ta x Appeals (CTA) is a specialized court created by virtue


of Republic Act No. (R.A.) 1125 on June 16, 1954. Finding th e need to
furth er expand its jurisdiction, R.A. 9282 w as en acted 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 tw o Divisions and an En Banc. R.A. 9503 was passed on June 12, 2008
to enlarge the organizational stru cture of th e 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
on e Presiding Justice and eight Associat e Justices.

2. Orga nization al Chart

COURT OF TAXAPPEALS
ORGANJZATIONAL CHART

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

1------1 Associate Justices

Office or the Clerk


of Court

Office of
Office of Legal and Office of the CTA
Administrative and
Technical Services Division Clerk or Court
Finance Services

lnl•milAudlt MIS Tn Judicial Property


Specltll1lt Records and Supply
........
Soni<"
Division llvl,lon Division Division

.,,,. .._,.I ,........ 1 r11•n11r1


· · ·- Plitflfd• DNtlflp.
Seclktt lllMlllf'I!

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: • VERSION:JL; ISSUED BY: _ _ PAGE 80 OF 198
3. Fu nct ional Description

COURT OF TAX APPEALS


FUNCTIONAL CHART

Pre11dlng Just~e
Plfllmu ,Wod lllltCl>l llli liipllll1e1 t~ lo~ llidliMJ
Mlclilo1~ t• Crurt
Internal Audit Services
l; mi00q)e''1i!lb00j&\d1under'1e~bdlleA?lililJ.lm, tc lllbllinimila~.rJpreli~

I .
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
ll!(~!lMt!>!'d.<d~r~~
piall:Ol brlle ~ !/ll!ll1 b

Am1clate1Justtces cJ11rlcaliAanaoo~rri11M M~mw;l~ pmdmao1d ~~rnlle111id iegilartinl


<1.7~-
we5'd'1 lll6'!\j
P"1oml ~oca ln:bl IHillit,BNJ!irdiiM ~odi1g11illli!crd~tCM~ifniJ(lijl11lill)011(!1( ir.1
c) •ef".]~IQJil~~'"'('!Jao:llfio:l11Ji..~(l'd~ort'11ioQo-9m'-'ied~<illorr1~11J

I
I
ECC IV [Clerk of Coortl I Office oil!!}al and Tecl!nlc~ Se~~e~ Otnce ol Admlnhtmtlveand Finance Serv~es
ECC Ill (Assl Cle1k of Court (Chief of Office) (Chief d Office)
Al!llf ~I JU![~1~'1e tii~d~ fo8n!ll:imc.<~~ll'J f\orde! l'.o~ ar.d ~dvd 1111ilm bt~ ())uii lyc@.cl1v ~ 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 f'mi<lll ard SiJ~~ 0.111\ Gairi 5a'lal
Rt;ll't(t 1Ji,~i:l1.
olnti>iri.1tlll:<i((,i CwjRtjlllllr °""'I"«I-Alllll 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•'iefun(t001

I
Judicial Records Dr1ision Administrative Function Finance Functklo
Tax S~eclal ~ts Dlv~lo~ {IM.]C\~ &Cl:li)
MISDMslon
Ciilltl".Nll1!aM
PU\=I=~
~ · !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

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5. References

PROCESS SUB-PROCESS REFERENCES

• Adjudication • Receiving and • 1987 Constitution


of Initiatory processing of • R.A. 1125, An Act
Pleading Initiatory Creating the Court of
Pleading or Tax Appeals, as
motion amended by
• Adjudication R.A. 9292, effective
• Issuance and April 23, 2004; and
Release of Initial R.A. 9503, effective July
Action/Resolutio 5,2008
n • Revised Rules of the
Court of Tax Appeals,
approved by the
Supreme Court on
November 22, 2005
(A.M. No. 05-11-07-
CTA)
o Revised Rules of Court
• Internal Rules of the
Court of Ta x 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

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 83 OF 198
• 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
Revi ew and other
plea dings, dated May
28,2013
• CTA En Banc Resolution
No. 03-2014,
Guidelines for the
Implementation of the
Court of Tax Appeals
Case Managem ent
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 Re solution
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

DOCUMENT CODE: JUD· QMS· OM -001 ; EFFECTIVITY DATE: · VERS ION:.Q.; ISSUED BY: - - - PAGE 84 OF 198
• CTA En Banc Resolution
No. 06-2016,
Disposition of Books,
Documents and
Records Introduced in
Evidence, dated July
12,2016
• CTA En Banc Reso lution
No. 08-2016, dated
August 30, 2016
• Resolution Adopting
Certain Guidelines in
the
Docketing/Numbering
of Court of Tax Appeals
Cases Based on th e
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 Frid ays
• SC Adminstrative
Circular No. 35-2004,
Guidelines in th e
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
Ad ministrative Circular
No. 35 -2004,
Guidelines in the
Allocation of Lega l

DOCUMENT CODE: JUD·QMS·OM·OOl ; EFFECTIVITY DATE: _ _ _; VERSION:JL; ISSUED BY: _ _ PAGE 85 OF 198
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
Circulars
Administrative

• CTA
Orders
Administrative

DOCUM ENT CODE: JUD·QMS·OM·OOl ; EFFECTIVITY DATE: _ _ _ _; VERSION:..Q_; ISSUED BY: _ _ PAGE 86 OF 198
CHAPTER VI REGIONAL TRIAL COURT/ SECOND LEVEL COURTS

1. History

Form erly called as the Court of First Instan ce since th e Spanish


era . It continued throughout its colonization under Spanish and
Americans. After the Independence from th e 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 th e power to try Civil and Criminal
cases, as well as Appeals from decisions m ade by th e
Municipality and City Justice of the Peace Courts. In addition,
there w ere Special Cou rt s created to try specialized ca ses.

Therefore, The Interim Batasang Pamban sa has passed Batas


Pambansa Bilang 129 , The Judiciary Reorga nization Act of 1980
w hich reorganized th e Lower and Intermediate Courts in the
Country which include th e change of Court of First inst ance to
Regional Trial Court.

2. Organizational Structure

RTC-OCC with 31to47 Salas


Office of the E~ecutlve Judge

I Oe<k of CD&ln: \11 SG2S

7 Sod1I Wtlfaie Olfktr II SGIS

S Courr S'ttnoir•phtt 111 SG12

2 ln\t1p111Ar Ill SGU

1 lJtllltyWor ~,tf I SG I

ADJUDICATIVESUPPORT SECTION ADMINl5TRATIVESECTlON

l Rl!(l()rds Officer Ill SGlll

ult.&
·~
CRIM. CASES PROS IS&. LISRAAY
U~lfT UNrT NIT UrlfT

1 ROU ! Sllt.V lllb. 11


SGl4 SG lS SG 14
::c::
lAO I 9~. 11/ !lib. I
5G 11

3 CK Ill
SG6
SG 14
::I:::
6 Proc. S.
SG __,
S
-
SG l O

2CKlll
SG6

1 UTV/I
:=:i=
lUTWI 1 UTVll
SG l 5G l SG l

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:.Q_; ISSUED BY: _ _ PAGE 87 OF 198
3. Functional Description

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. Issues clearances in appropriate cases;
1.1.1.7. Acts as ex-officio notary public;
1.1.1.8. 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

DOCUMENT CODE: JUD·OMS·OM-001 ; EFFECTIVITY DATE: · VERSION:.Q.; ISSUED BY: _ _ PAGE 88 OF 198
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;

DOCUMENT CODE: JUD·QMS·OM·OOl ; EFFECTIVITY DATE: • VERSION:.Q.; ISSUED BY: _ _ PAGE 89 OF 198
1.2.8. sees to it that all returns of notices are attached to the
corresponding record s 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
ord er of the Court;
1.2.11. keeps tab of th e 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 th e taking of
depositions; and
1.2.14. performs such other functions as may be delegat ed by the
Cl erk 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 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 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

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: _ _ _; VERSION:_Q_; ISSUED BY: _ _ PAGE 90 OF 198
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

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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. receives collection of cash clerks and consolidates
daily collection reports;
2.1.5.3. prepares statements of cash accountability;
2.1.5.4. 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
2.1.5.7. 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
appropriate form;
2.1.7.3. analyzes available statistical materials relative to
their coverage, methods employed and limitation;
2.1.7.4. evaluates results of statistical surveys and similar
inquiries for accuracy, consistency and conformity
to standards
2.1.7.5. gathers, complies, transforms, computes and
summarizes statistical data on cases filed,
disposed of a pending in the lower courts;
2.1.7.6. 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

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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 statistical worksheets and
tables according to instructions;
2.1.8.3. computes simple statistical measures of central
tendencies and variability as well as non-
parametric statistics;
2.1.8.4. utilizes simpler statistical formula;
2.1.8.5. assists in the preparation of questionnaires and
ta bular presentation of statistics; and
2.1.8.6. conducts filed canvass, w henever 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. contacts all possible informants regarding accused
minors;
2.1.10.3. prepares case study reports based on interviews
and home visits;
2.1.10.4. provides individual and group counseling service
and other necessary social services and assistance;
2.1.10.5. refers, by direction of th e Court, parties or
individuals to appropriate agencies for
rehabilitation;
2.1.10.6. appears in Court as witness to supplement his
written case study reports submitted to the trial
judge; and
2.1.10.7. 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. take down and transcribes, in final form,
dictations of the Judge I Clerk of Court; and
2.1.11.1. does related work.

2. 1.12. Court Interpreter Ill


2.1.12.1. acts as translator of the Court;
2.1.12.2. attend s court hearings;
2.1.12.3. administers oath to witnesses;
2.1.12.4. marks and keeps, under the direction of the Clerk
of Court/Branch Clerk of Court, a ll exhibits
submitted in evi de nce;
2.1.12.5. prepares minutes of t he court sessions;
2.1. 12.6. ma intains and keeps in custody a record book of
cases calendared for hearing; and
2.1.12.7. perform s such other duties as may be assigned by
the Judge and/ or Clerk of Court.

2.1.13. Clerk IV
2.1.13.1. assists in the supervision of the Adm inistrative
Section;
2.1.13.2. prepares requisitions of supplies and materi als for
all branches and the Office of the Clerk of Court;
2.1.13.3. attends to the general services requirements of all
the branches and of the Office of the Clerk of
Court; and
2.1.13.4. performs other duties that may be assigned.

2.1.14. Clerk Ill


2. 1.14.1. receives and docket cases filed with the Office of
the Clerk of Court;
2.114.2. maintains and keeps custody of docket books for
criminal, civi l, special civil actions, land
registration, special procee dings, adm inistrative
cases and reconstituted cases;
2.1.14.3. indexes cases fil ed with the Office of the Clerk of
Court;
2.1.14.4. prepa res and initials clearances; and
2.1.14.5. performs other duties th at may be assigned to him .

2.1.15. Process Server


2.1.15.1. serves co urt processes such as subpoena,
summo ns, court ord er and notice;
2.1. 15.2. prepares and submits return of court processes;
2. 1.15.3. monitors m essages and /o r delivers court mails;

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2.1.15.4. maintains and keeps custody of record book of
court mail matters received and dispatched by
him; and
2.1.15.5 . 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


a. prepares notarial commissioning and oath of
office and submits them to the Exec utive
Judge for approval after ve rification 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.

1.1.2.3. Records and Archive s Section


a. Receives records of terminated cases for
filing; and
b. Maintains efficient archives of these
records for protection and to facilitate
retrieval.

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1.1.2.4. Personnel Section
a. Maintains personnel files;
b. Prepares certifications and clearances for
personnel; and
c. Distributes salary checks and other benefits.

1.1.2.5. Property and Supplies Section


a. Maintains accurate inventory of property
and supplies; and
b. Requisitions, receives, records and
distributes property I supplies to personnel.

1.1.2.6. 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


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.

1.1.2.8. 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.

1.1.2.9. 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 registry-


mailed 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.

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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

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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
th e ma ximum number of cases, according to their dates of filing,
as can be equally distributed to all branches in th e 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 regul ar 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 compl ete raffle list for po sting and distribution of
copies to all judges before th e raffl e. In thi s 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 ca ses 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 th e raffle


proceedings stating therein, among others, the names of

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all those required to be present and the parties
attending, if any.

The stenographers shall transcribe, duly accomplish the


sign the minutes of raffl e proceedings immediately, not
later than twenty-four (24) hours th ereafter.

g. Every Judge sitting in the Raffle Committee shall


review the entries in the minutes and countercheck
them with his own e ntries in his list b efo r e 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 th e right hand corner of the cover
page and the first page of the initial pleadin g, but only
after a thorough verification of th e accuracy of the
assignment of th e 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 th e 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 m att er in a
case is of such urgent nature that it may not wait for t he
regular raffle, th e intereste d party m ay request the
Executive Judge in writing for a specia l raffle. If the
request is granted and t he special raffle is co nducted,
the case shall immediately be referred to the branch to
which it correspo nds. The Executive Judge shall have no
authority to act on any incidental or interlocutory
matter in any case not y et assigned to any branch by
raffl e.

b. There sha ll be no specia l raffle except upon writte n


application of a party and only upon highly justifiable
r eason/s t o be det ermined by the Executive Judge and
his Vice Execut ive Judges after due co nsultation with
one another. A certification granting or denying the

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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 th e
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 w hich
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 case load 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

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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.

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 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.

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

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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-a ssigned 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 sam e 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.

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.

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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-QM S·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 invo lving
juveniles in conflict with the la w, 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

Case with Temporary Regular Case with no


Regular Case Re-raffle Case
Restraining order (TRO) payments


,r----
"
Step 1 Check the Step 1 Check the Records St ep 1 Check t he Petition, Legal
base on the Table of Step 1 Check the Petition /
Petition/Complaint Legal >---- Counsel Information, Complaint, Legal Counsel
Counsel Information, ·Contents and on w hat
appears or\ t he .e-court
- Verification and Certification
- Information, Verification and
Verification and Certification signed by t he petltioner/s and Certification signed by t he
signed by the petitioner/s and duly notarized Petitioners/ Plaintiff and duly
duly notarized .. notarized

Step 2 Return the

Step 2 Cashier for the


·- records to t he Branch if
Step 2 Cashier for t he the
there is a correction
assessment of payment · written - assessment of payment wri lten Step 2 Cashier for stamping
at the back of Prayer ------- at t he 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 If it is correct we
Step 3 Recieved and docket the
Petition/Complaint
- recieved the table of
contents
\.

Step 3 Received and docket


- the Petition/Complaint
Step 3 Back to Unit concern
,_ Received, docket , e ncode and
.St ep 4 Cashier for payment and raffle
create case no. Step 4 Records are
·- ·brought to the Executive
Judge for proper action
- Step 4 Cashier for pay_m ent
and create no. .
l
Step 4 Give t he extra copies to
Step 5 Back to the Unit for >----
the filer
encoding and ranling of case

St ep·s Cases are re- Step 5 Back to t he Unit, issue


- raffled - minutes of raffle to
Step 6 Give the extra copies to
t he fil er
l ,.--·---------.
respondents/pla intiff

,,...--- --..,
~
St ep 4 Deliver the records to
the assigned Branch

S~p 7 o;.;wc<hoc=cd"o '"]


.Step 6 Deliver the records Step 6 Process server will
assigned Branch - to assigned Branch serve the notice of raffl e and
- s ummons to the respondents/
plaintiff

I
St ep 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 t he


- . Petit ion/ Compla int

- ~ l
Step 9 Deliver t he records to
assigned Branch
ISSUAN.C E ·oF RTC . CLEARANCE I CERTIFICATION

NO RECORDS 'ON FILE ·· WITH RECORDS ON FILE

~. ~ ~ ~
CRIMINAL CASES UNIT CIVIL.CASES UNIT and CRIMINAL CASE UNIT CIVIL CASES UNIT AND
LRC & SPECIAL LRC & SPECIAL
4 Q.
:·:PROCEED'INGS UN.IT PROCEEDINGS UNIT
Step 1 Secure a .
Q. Step 1 . Ve;ify the 4
. Prosecutor's Clearance.
Q- . Step 1 , Letter of reques~· requested .name with the Step 1 Letter of req uest
addressed to the Clerk of e-court and Lower Court addressed to the Clerk of
Ste:p 2 Fill-up· clearance · · Court · Case Admin istration Court
.form . System (LCAS) to
~
determine the case · 4
·~

Step 3 VerifV requested Step 2 Verify the name number and court
Step 2 Verify the name/
name. w ith e~court and /company involve assign!"Tlent
company involve
. Lower.Cou~t Case
. Administration System • 0-
Q.
(LCAS) _, Step 3 If no .records on Step 2 Secure a
.Q. file we prepi!!re t h e certification from the Step 3 FOR LRC &
Step 4 If there is r:io certification co urt wh ere the case was . SPECIAL PROCEEDINGS
pending crimina l case, 4 ..assigned UNIT we give the
. pay the c·o rres ponding :', · ·
Step4 Certification O' information to the
clearance fee of (50.00 parties where the case is
pesos) at the'Cash ier signed by the Officer-in- Step 3 Pay the
.. 'c harge of the unit corresponding
assigned (Case No. and
Branch) and Branch will
~Step 5
Q. certification fee (SO issue the· Certification or
.. . Issue.the duly . :" pesos)
sign ed dea·r ance and I or Step 5. .Certification give status of the case
signed by the Clerk of ~
certification ·
4
Court Step 4 Issue the duly
-Iii .' signed cert!fication Step 3-A FOR CIVIL
Step 6 Sealed the. incorporating the CASES UNIT issue a
Certification cert ificate issu'e d by the certification with case on
~ourt
~
file indicating the Case
No. and assig ned 13ranch
Step 7 Cashier for
payment of Certification
4
fee's (50.00 pesos)
Step 4 Certification

Step 8 Release the
signed by the Office r-in-
Charge of the Unit
original.copy of certificate
after signing the duplicate •
Step 5 Ce rtification
copy as reco rds of the
signed by t he Clerk of
court
· 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
APPEAL SECTION/
'
UNIT
.

..
· Filing of Appealed Filing of Remanded Transmittal of
Filing of Appealed
Cases fromRTC Cases from RTC Decided Cases from
Cases from MTC OCC
Branches Branches Court of Appeals

Step 1 Rece.ving I Step 1 Receiving I Step.1 Records ·


Docketing of ·Docketing of Step 1 Records .
are received from ,...... are received from
records from records from RTC RTC Bra nches and
MTC-OCCand 1-'-l Branches and Cou rt of Appea ls
· docl<eted the
do.c keted the · ..docketed the parties; date and
parties, date and parites, date and tirne ·
time
\..
time I
Step 2 Encoding
'
..I
·- -----·-.--· of Transmittal of
~-----·------
Step 2 · Records records; date, CA
Step 2 Records a re checked based GR. No., parties
Step 2 Records are checked based on the Transmittal and enclosure:
1-
are checked·based . . J-J ;on theTransmitta l CA- Entry of
with table of
......:! on-theTr~hsmittal · with table of contents ·Judgement, CA
w·itli tabie.of contents .. Decision, oeiginal
' coni:erits . records and
.,.- - - - - - original TSN
r - ----- Step 3 Records \.
. Step 3 The entire are returned to
record s, TSN, MTC-OCCfo r
Step 3 deli've ryto Step 3 Reco rds
·Decision, Notice ·
are delivered to
· Endorsementof . .1-1 of Appeal, Exhibits Branches and - RTC Branches and
. . Records to · Civil.·. · and.MiilUtes are received
· Unit; RTC~OCCfor' received
. encoded in.the
re-raffle ' • 1 • docket.book

Step 4 Records
'--
are delivered to
Coart of Appeal
and received
___,.

I'
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: . .
STIEl? 3·B:
. )>- NO MONEY & PROPERTY-ACCOUNTABILITY ' ?REPARATION OF CEIRT&IFICATION OF

.; . ~~ ~~~~:~~;~~~~~~~~~-~E CASE NON-ACCOUNTAB iLJTYfACCOUNTABILITY


FOR MONEY AND/OR PROPERTY

~I """ii l
!

~
'I' '1

1 ti . '
.I ,
':· . ··.·''·o
1· , 1.1.1
,,
II
I
. ·sTEP·4.~A: '.VERai=ICATDON AND sgGNmNG OF ·
· CLEARJ\NCE :s:Y THg ,oF~ICER-1N.:cHARGE'OF THE STIEP 4~1B : VERaFICATRON AND SIGNING OF
· FOLLOWING :
D0CUMEN.T FROM THE STATION OR OFFICE OF I HE
.As to ·No Money.and/or ,Property Accountability . REQUESTING PARTY BY THE:
& · No PendingAdmi_
nistrative Case ·
>- Cash Section.·
> Branch Clerk of. Cou rt
>- Library Unit .
> .· or the Presiding Ju~ge
> -Administrative Section > or the Officer-in-Charge

.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 ·

J
. t··1. I
SIGNING OF CLEARANCE BY THE:
·~ Clerk of Court ·VI I
. . . . .
STEP.6-A: VERlf.ICATDON ·~AND :SIGNING OF .
CLEARANCE· BYTHELGU ·MAKATl Cl.}"Y O.FFICERS~
IN~CHARGE: ···
_As fo. No .Property Accountability

. SIGNING OF CLEARANCE BY THE:

>:>·· E_
x ecutave Jtudlge
STIEP 1:

RECEIVE and REVIEWthe ·documents


submittedfor Fiduciary Claims .

STEP 2: ·

PREPARATION OF VOUCHER and . .


ISSUANCE OF CHECKfor Fiduciary . ·~ STIElfll 3:
Claims
CHECKING AND VERI FICATION OF

.,.
VOUCHER and .CHECK ISSUED for Fiduciary
C la ims

STEP.4: .....____ _ _ ______.....


· RECORDIN\3'. 0F_yOUCHER AND
· CHECK; ISSUED for Fidu Claims in the .
Logbook
STIEP 5:

--~-~ · --· SIGNING OF VOUCHER A ND 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

• · STEP 7:

APPROVAL AND SIGNING OF VOUCHER


A ND CHECK ISSUED by the Clerk of Court

STIEP 8: . ~..
APPROVAL A ND SIGNING OF
VOUCHERAND CHECK ISSUED .by the
Exec~tiv~J~dge ·
STEP 9: .

RELEASING OF CHECK and FILING OF


VOUCHER by the Cashier
STEP2 ..
i1.
RETIR.IEVAlL and ATTACHMENT J
OF OFFDCIAL IRECIEIPTS
STEP 3 > STF claims supporting
PRIEPARATDO~ and BSSUANICE Of ~r I documents .
!

VOUCHER. and CHECK .for


. STF CLAIDVIS .. '
'
STIEi? 4 . i
· RECORDUNG o ·f VOUCHER and i
CHECK RSSUED for .S TF CLABMS it:m
STEP. 5 . . . .. the LOG.BOOK ;
saG~I~~ o~ v9u~~ERan:d.RE'1DEw .· .
·OF CHECK ISSUED·for.STF CLAIMS
.b y tl~e CASHIER

~
' \ . .
STEIP 6 . .
. I

. . . .. . . REVIEW .AND COUNTER-CHECK OF


V OUCHERand ·CHECK ISSUED fo~
' • f
APPROVAL OF THE CllERK OF I

STE!? ·7 COURT.
(Secretariat)

.APPROVAL. and SDGNDNG Of


· ·VOUCHER"m~d ci-n~cK assUED . iBY
. . ... :THE CLER~ .OF COURT . STIEP 8
RECORDING"OF VOUCHER and :
. I
CIHIECK SIGNED BY THE Cit.ERK OF
. I
COURY.for ST.F CLADMS in the
LOGBOOK
STE!P · 9 . (Secretariat)

. . .·· .APPROVAL ~nd :SDGNING OF .


. :VOUCHERand tff'.IECK ISSUED BY
. THE.VICE ·~XE.CUT!VE JUDGE ,

..
STEP 11: IRECEIVBNG/IFILBNG OF RIEQUIEST
FOR THE ISSUANCE.OF RTC GLEARANCE FOR TRAVEL AUTHORITY
\.

. l!il
: .•

, 'I
11

~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 STEIP 3-B:


CLEARANCE AS TO: PREPARATION OF CIEIRTBIFICATION OF
)>. NO MONEY & PROPERTY ACCOUNTABILITY NON-ACCOUNTABILITY/ACCOUNTABILITY FOR MONEY
~ NO PENDING ADMINI S.T RATIVE CASE
AND/OR PROPERTY
)> NO F?ENDING.CRIMINAL CASE

\i
(!'f

iPJi.'i'
',.\•

~
..i''"[I ii'

. .II 'I .
,.' 1 ... ,• •
1!! Ii.,
·~

STEl> .:t-A: VERDFICATDON


.
AND
'
.SBGNDNG OF
DOCUMENT BY THE OFF I CER-IN~CHARGE OF
' '
. .
. STEP 4-B: VIERIFDCAllON AND SIGNING OF
DOCUMENT FROM THE STATION OR OFFICE OF T HE
T HE FOLLOWING: REQUESTll\iG PARTY BY THE:
As to No Money and/or Property·Accountability
& ·_No Pending Administrative Case
>" Branch Clerk of Court
;;.>- Cash Section
·· ~ . or the Presiding Judge
> Lib rary Unit >" or the Officer-in-Charge
';> Administrative Section

+
111:1

STEP 5 -A: VERIFDCATH:>N AND SnGNUIJG OF


DOCUMENT BY THE 9FFIC.ER~·I N-C HARGE OF THE
CRIMINAL CASES SECTDON: As to No Pending
Criminal Case
SDGNDNG OF CLEARANCE BY THE:
11 1t !11 • M'I':•.! , ,,, '1~
1·1 .'
>- .Clerk of Court
:·f~ m11 ·.~~~
I 1'r...- ' .· 1·•1· ""

i·· i; n

·~
' '{ i1

S IGNING OF CLEARANCE BY THE:

)> Elcecutive Judge

.::/,:
' . :~.
'...
·: '
, '·
NOTARIAL SECTION/UN IT

.
r---'--~~~~~~ ...,..,....~.,....~~~~~~~~~~~~~~~~~~

•Step 1. Pre·s ent the Notarized document to The Notarial Section for
. Verification
Certificate of J\u~hority · for a. •Step 2 Pay corresponding foes of 80.00 pesos per document
Nata ria l'J-\C:t {CANA) · : j~step 31.s suance 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
Certified:True .Copies of. '•Step.2 Fol lo~ up 'within ·15 working days through phone calls
1\lota r.i ied ' ' •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

l
- - - - - , . . - - -. . .~
•Step 1 Submit an individual notarized Petition for
Notarial Commission tothe Notarial Section
' HOWTO, FlLE;. ~.. PETITION FOR togetherwith complete requirements . I.

' N.OTARIAL'COMIVllSSION ' · 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 Ju dge

•Commissioned Notaries Pub lic shall.subllllit their not arized


.' . . . ' . . docum:e nts with tra nsm ittal letter and copy of registry book to
RECEIVINGOF NOTARIAL.REPORTS the· notarial section oH.TC-OCC every 10th of the followi ng
month after the. Oath Taking

i

•5tep 1 A- wri.tten request:(for renewaTofcornmission)


·addressed to the RTC. Executive Judge shall be submitted to
·. ' issUANc::E::oF 'NOTARIAL CLEARANCE . the RTC OCC Notarial Section
•Ste~· Z pay the co"rres ponding notarial fee~ of 80.00 pesos
•Step 3 Issua nce of'Clearance duiy sig ned by Officer-in-Charge
------~------------'I of the Unit and Clerk of Cou rt VII
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_n t
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

r
D
.. 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
DUTIES AND RESPONSIBILITIES OF SOCIAL WELFARE OFFICER II

Receives and dockets Court Order/s from the


Designated Family Courts (RTC 136) 140) 144)

I I I I
Criminal cases where one or more of the PETITION FOR ADOPTiON I PETITION FOR PETITl.ON FOR CUSTODY OF CH!LDREN (AN.D AND OTHER
accused or the victim/s is/are minor/s at PETITION FOR .RECOGNITION GUARDIANSHIP (OVER THE VISITATION RIGHTS)/ PFITION FOR HABEAS CORPUS INTERVENING TASK/S
the time of the commission of the offense OF FOREIGN JUDGMENT OF PERSON OR PROPERTY, OR /LEGAL SEPARATION/ ANNULMENT OF MARRIAGE/ AS PER ORDER OF
(CHILD . IN CONFLICT WITH .THE LAW ADOPTION BOTH OF A MINORl DECLARATION OF NULLliY OF MARRIAGE/ PETITION

/
ICICLl; VIOLATIONS OF R.A. 7610 [Special FOR DISSOLUTION OF CONJUGAL PARTNERSHIP O F
Protection · of Children against Child
Abuse, Exploitatkm and Dis~rihlination
I GAINS / PETITION FOR SUPPORT AND/OR .
ACKNOWLEDGMENT (RECOGNITION O.F PA"'"ERNITY) /
Act]}; VIOLATIONS OF R.A. 9262 (ANTI- PETITION FOR TRO / TPO / 'ppo / PETITION FOR
VIOLENCE AGAINST \VOMEN AND TH EIR . Contact the . petitioner/s 2. Contact the petitioner/s DECLARATION OF PRESUMPTIVE DEATH / PETITION
directly or thru counsel or thru THE THE RTC....:
directly' cir· thn .i counsel' or thru FOR JUDiCIAL RECOGNITION OF FOREIGN DIVORCE
registered mail HONORABLE ace .CLERK
I register ed mail
3. ·schedul e initial ,interview with 3. Schedul e initial interview with
AND ENFORCEMENT OF FOREIGN JUDG MENT / JUDGE OF COURT
SUMMARY JUDICIAL PROCEEDINGS BROUGHT UNDER
1. Interview the CIClJminor and the petitioner/s .

_ __
the petitioner/s . THE PROV.ISION OF THE. FAMILY CODE OF THE PH
his/her paqmt5/guardians 4. Conduct orientation on the 4. Conduct orientation on t he
2. Conduct home and school visits
3. Conduct collat eraririterviews
petitfoner/s regarding
process/prepar ation of the Child
the peti tloner/s regarding the.
process/preparation of the Child
I ,_ __./..._
4. Co or~inate w i tli o ther · and Home Study .Report and Home ·study R.eiJort · . ·
PERFORM DUTY
governinent agencies - 5. Inform 'the petitioner/5. of the ·s. Inform the petitioner /s ofthe 2. Contact tlie parties in the case directly APPL.ICATION
.AS OFFICER OF
5. ConducUeferrcl, i f needed .docum entary requireme'nti . documentary r equirements or thru counsel or thr u r egistered .mail FOR VOLUNTARY
3. Schedul·e initial interview with the CONFINEMENT THEDAYOFSSU
6. .Prep are Case Study f\epor't: 6. Conduct seri es of intervi ews 6. Conduct seri es :of interviews
7. Attend court hearings and . home :. visits . fo the and horrl e visits to the peti tioner and the re5pondent ·.
4. Conduct or ientati o.n on the par ties
petitloner/s; his/her family, and petitioneris>his/her family, and
I the.subject mirior/s ·
7. Conduct collateral intervi ews,
the subject minor/s ·-
7. Conduct collateraj interviews,
regarding the pr6ces5/preparation of the
Case St1Jdy Rep·ort ·
1. Receives.~nci dockets Petition
for Voluntary c'onfinement
In case of Diversion Proceedings school. visits, anCI home visits (on sch,ool visits, and home visits (on 5, lr:iforrn the pet ltiorier/s of the
2. Assesses i f the Petitioner
reCICL: .... . .. . ·. Character References, Relatives, Ch~:r"ader Ref'.ereni:es, Relatives, docume.n_tary n eed~d, if a riy
submits all the necessary
1. Attend in Diversion Teachers, among others) .Teachers, among others) 6. Conduct series of Interviews.and home requirements for Residential
Proce.edings with th e Div.ei-s.ion 8.locate the birth parents 8. Loc;ate thd>irtb parents, yisits to the parti es and their familie5 Treatment and Rehabilitation
Committees (Prosecutor, PAO, 9.· lntervi,ew and inform the birth su'rv.iving gr_andparer:it/s, and 7. Conduct collateral interviews, school 3. Conducts interviews and
Branch Ci eri.-of Court, Mal<ati parents pf the s_aid Petition and .oldest sibling of the minor visits, and home visits, if needed
coun'selling to the petitioner,
Social Weh'=re Department Social its cons.eq.uences, and confirm s: lnteniie·,;.,, and inform the· 8. Coordinate with government ard non- drug dependent, and their .
Worker, Compi aina0t, · · their consent in the Petition ·· birth parent!. of.the said Petiti on government agencies, if needed
family members .
Parents/Guardians of the CICL, · 10. Coordinate with governm.e nt and I.ts consequences, and .. 9 , Received and attached t9 the Report
4. Coordinates to. other .·
a·nd. th·e CICL . ·and non-governm ent 'child confirm the.ir consen't in the · the documentary requiremen ts
government agency/ies, if
2. Formul ate programs and pl acement agendes, if needed · Peti tfon 10. Submit Case Study Report liecessa.ry .. · · ·
services best su ited to the . 11. Received and attached to the· 10. Coordin.a te with government 11. Attend court hearings 5.As~ists. MADAC (Makati Anti-
rehabilitation of the CICL ·· · Re.port _· the . documentary and [!On-government child . 12. Testify in court - .
Drug Abuse Cen.ter) and the :
3: Subriii t .Diver sion ·Repor t, requirerne.n·~ ·· · · pl acement a·gendes, if needed 1.3 . Conduct regul ar monitoring and
·petitioner in proce~lng the said
subj ectJo.r.the approval .of the 1 2 .. Sutimit : Chil d and H()me lL Received and attache·d-to . supervision to t~ e·subj ee): mi not · petiti qri at ·RTC-oct, · · -·
Honorable Presiding Ju"dge . Study Re.port .. the-Report.the.docume.nfar:y· 14. Submit additio.nal Report/s, if needed
5. Submits the Peti.ti_on for ,
4. Atten.d h eari ng for the'approval 13. Attend cour t hearings requi r.emeilts _ . ~ · · · · · Voluntary Confinement to the
of t he Diversion Report. ' . .' . .14. Testify in court . . 12. Submit Chitd and Home . Judge (p~ itlci.Jlarl y Drug Court) ·
5. toor di11ate w _ith the proper 15. Submit additi onal Report/s; Study Report.-. : for th.e issuance of Order for ·
government and non-government i f needed 13. Attend ca·urt hearings Rehabili tation
agerfcies (induding educational 14. Testify in court . the
7. R_e·c;eives a. le~ter.from.
io~titu tig11s) . · ·. · · 15. Submit additional. Report/5, Rehabilitation Ceriter
6. Conduct regular monitoring if needed . .: .. · recciriimeilding i:l:te refease of
arid supervision to the CICLand the Drug Dependent .
his/her family"·· - .... ·.
8. M?k.es draft of the Release
7. Conduct r eferral, if needed .order to be approved by die .
8. Attend court hearings (until t he .Honorabl e Judge
termination of the Diversion 9. Assists the Petitici~er/s in
Program/case obtaining the ~el ease Order
from ~h~ Honorable j.udge
STATISTICS UNIT

STATISTICS OF CASES AND .


STATISTICS OFCRIMINAL SUMMARY REPORT OF
RANl<ING OF P.ENDING
CASES . CASES DRUGS CASES PER STATION

-11 . e. ~
1. Collect s and receives·the 1. Pre.p ares and prints the 1. Collects and receives t he
Monthly Reports'froin a ll RTC Statistics of Criminal CaseS'fo'r ms Quarterly Status Report of Drugs
bra1iches · Cases per Court Branch from all
Q- RTC branches ·
-G .
2 . o'istr.ibute~ the forms to all ·
2. Encodes the entries and
prepares the Statistics of Cases ·
"RTC branches "" entries and
2: Encodes the
· anc! Ranking·_of Pending Cases ·. ~ ..
prepares the Summary Report of
Drugs Cases per Station
~ 3. Collects a nd rece'ives the
filled-up forms .tJ
3, Prints .and subm its. the same · 3. Prints and submits the same
fo r signature of .the'Clerk of ~ for signature of the Clerk of
. Court Ll. Encodes tl~e entries and Court
.Q.
pre pares the Statisticfs of -0.
·Criminal·cases
4. Submits the signed copies to
4. Submits the signed copies to 0-
.. th'<:! Office of the E~~cutiveJudge the Supreme Court, Office of the
5. Prints and submits the same Executive Judge and Office of
·and Office of t he.Cle rk of Court · for signature:ofthe Clerk of ·
'• " •'
the Clerk of Court
Coli rt
.Q.

5. FilestheMonthly Re ports,
~ •
5. Files the Quartertly Sta tus
· . Statistics of Cases arid Ranking : ( 6. Subn\ itsthe signed copies to Report of Drugs Cases per Court
of Pending-Cases for safe the .Qffice of the Executive Branch and Summary Rep.o rt of
·keeping Judge, DILG .and Offfice ofthe drugs Cases per Station for· safe
· Cle rk of Court ·
keeping
11-

7. Files •t.he fille d-up forms and


Statistics of Criminal Cases fo r
safe keeping
Flowchart of Accounting Section
5. Refe rences

:PROCESS SUB·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


w:ithout payments
• Raffling ·• Revrsed Manual for Clerks of
• Dlstr·ibution to assfgried
., Court (vol. 1&~)
I Branches Internal Rules
'
• Case :iystem Manual.s
• m.Jles on Notarial Practice
• Ruf es on E-'F iHna.
• 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- Cou rt of First Insta nce/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 w ere established.

The Judiciary Reorgani za tion Act of 1980 wa s 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 Tri al 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


. t
I I I I I

CRIM INAL ADMINISTRATIVE COURTA1DE/ SHERIFFS/ PROCESS


CIVIL SECTION
CASH SECTION
I SECTION PERSONNEL UTILITY WORKER SERVE>'RS

I I RECORDS
(CITY/ NATION 1\1.)

CHECKING
1. DELIVERY
OF
l. SERVICES OF
COURT
PROCESSESS
CASHIER/ CASH RECORDS RECORDS
CLERI< CLERKS OFFICER
I OFF ICER 1
L TRANSMITTAL
OFDlllLVTIME
TO
R£5PECTIVE
(SUMMONS,
WRITS,
SUBPOENA,
I I RECORD TO BRANCHES

cc'"":
NOTICES)
l. ASSESMENT
2. Pll~ME.NT
CLERK
II
I SUPREME
COURT
2. MlllNTENA
NCEAND
CLEANI NG
1. 2. ISSUA NCE Of
3. PRE'PAFU\n OFOFFCIE
EMPLOYEE'S
ON Of 1. RECEIVlllCi·OF 2. 3. MAILING
OfFICE
VOUCHERS/ •CASES }.

CHECKS 2.. OOCl<CTING ... CLEARANCE OF


NOTICES
J.. rncoonm 3 . OFFICE
4. ISSUANCE
OF OFF101\1. ... Rl\F'FLE s. SUPPLIES
RECEIPTS ~-
6..
~AN 5MITTAL
VElUFICATIO!ll "
7.
&
: RESOURCES
7. RCCOAO a.ERK
s. l~UANC:COF
COLJRT
CLFARANCE
~.

!&.

flUlit~Ol1a._i

Ill. Functional Description

1. CLERKS OF COURT

1.1. Office of the Clerk of Court of a Multiple Sala 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
supervi sion 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
da ily 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. Issues clearances in appropriate cases;
1.1.1.7. Acts as ex-officio notary public;
1.1.1.8. Act 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. 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

DOCUM ENT 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 co ntains at length in chronological order entries of
all final judgments or o rd ers 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 activitie s 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
2.1.2.5. does related work.

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 activitie s;

DOCU MENT CODE: JUD-Q M S-QM -001 ; EFFECTIV ITY 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
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
li brary and its re sources;
2.1.4.7. selects and recomme nds 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. receives collection of cash clerks and consolidates
daily collection reports;
2.1.5.3. prepares statements of cash accountability;
2.1.5.4. 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. 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
2.1.5.7. 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 th e
Statistics Section;
2.1.7.2. studies and devises methods and techniques to
obtain statistical data or to reduce them into
appropriate form;
2.1.7 .3. analyzes available statistical materials relative to
their coverage, methods employed and limitation;
2.1.7.4. evaluates results of statistical surveys and sim ilar
inquiries for accuracy, consistency and
conformity to standards
2.1.7.5. gathers, complies, transforms, computes and
summarizes statistical data on cases filed,
disposed of a pending in the lower courts;
2.1.7.6. assists in the preparation of statistical tables,
charts and graphs of th e 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 we ll as other relevant
statistics;
2.1.8.2. prepares forms for sta tistica 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. computes simple statistical measures of central
tendencies and variability as well as non-
parametric statistics;
2.1.8.4. utilizes simpler statistical formula;
2.1.8.5. assists in the preparation of questionnaires and
tabular presentation of statistics; and
2.1.8.6. 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
wards;
2.1.10.2. contacts all possible informants regarding accused
minors;
2.1.10.3. prepares case study reports based on interviews
and home visits;
2.1.10.4. provides individual and group counseling service
and other necessa ry social services and assistance;
2.1.10.5. refers, by direction of the Court, parties or
individuals to appropriate agencies for
rehabilitation;
2.1.10.6. appears in Court as witness to supplement his
written case study reports submitted to the trial
judge; and
2.1.10.7 . 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;
2.1. 11.2. take down and transcribes, in final form,
dictations of the Judge I Clerk of Court; and
2.1.11.1. does related work.

2.1.12. Court Interpreter Ill


2.1.12.1. acts as translator of the Court;
2.1.12.2. attends court hearings;
2.1.12.3. administers oath to witnesses;
2.1.12.4. marks and keeps, under th e direction of the Cl erk
of Court/Branch Clerk of Court, all exhibits
submitted in evid ence;

DOCUMENT CODE: JUD·OMS·OM-001 ; EFFECTIVITY DATE: · VERSION:..Q.; ISSUED BY: _ _ PAGE 130 OF 19B
2.1.12.5. prepares minutes of the court sessions;
2.1.12.6. maintains and keeps in custody a record book of
cases calendared for hearing; and
2.1.12.7. performs such other duties as may be assigned by
the Judge and/or Clerk of Court.

2.1.13. Clerk IV
2.1.13.l. assists in the supervision of the Administrative
Section;
2.1.13.2. prepares requisitions of supplies and materials for
all branches and the Office of the Clerk of Court;
2.1.13.3. attends to the general services requirements of all
the branches and of the Office of the Clerk of
Court; and
2.1.13.4. performs other duties that may be assigned.

2.1.14. Clerk Ill


2.1.14.1. receives and docket cases filed with the Office of
the Clerk of Court;
2.114.2. maintains and keeps custody of docket books for
criminal, civil, special civil actions, land
registration, special proceedings, administrative
cases and reconstituted cases;
2.1.14.3. indexes cases filed with the Office of the Clerk of
Court;
2.1.14.4. prepares and initials clearances; and
2.1.14.5. 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;
2.1.15.4. maintains and keeps custody of record book of
court mail matters received and dispatched by him;
and
2.1.15.5. 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 ca se records,
mesengerial work; and
2.1.16.2. does related work as directed

2.2. Administrative Division

DOCUMENT CODE : JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 131 OF 198
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 safeke epin g; and
d. Maintains efficient archives of the se notarial reports for
preservation and to facilitate retr ieval.

2.2.3. Record s and Archives Section


a. Receives records of terminated cases for fi ling; and
b. M aintains efficient archives of these record s 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, record s and distributes property I supplies
to personnel.

2.2.6. St atistics 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. Req uisitions books and other printed matters from the Supreme
Court and receives donated books; and
b. Maintains and keeps books and printed matters for resea rch an d
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 registry-
mailed 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 thousa nd
(50,000.00) pesos shall be exempted from th e
payment of legal fees. The legal fees shall be a lien on
any judgment re ndered in the case favorably to th e
indigent litigant, unless the Court otherwise provid es.

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 wh atever 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 .

DOCUM ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 135 OF 198
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
fi na 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 excl usively 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 th e day or days to be fi xed 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 groupin g 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 an d 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 m ay
require on request of any party and with the prior
approval of th e Executive Judge. There shall be no
specia l raffl e 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 ca ses in t he list shall be 12:00
o'clock noon to allow sufficient time for th e preparation
of a complet e raffl e 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

DOCUM ENT CODE: JUD-QMS-QM -001 ; EFFECTI VITY 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 there on 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 Exe cutive 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,

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 138 OF 198
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 th e 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.

DOCUM ENT 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 caseloa ds, 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, petition s 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 be en
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 w hich 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 wh ich 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. Th e 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 thi s purpose, the submission of exhibits
and the memorandums of the parties shall not be t aken
into account.

1.1.3.11. Dismissed cases when re-filed

DOCUMENT CODE : JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 143 OF 198
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 orde r 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, su bject 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, with in
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 w hereby 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.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 145 OF 198
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.

4. Process Map

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DOCUMENT CODE: JUD·OMS· OM-001 ; EFFECTIVITY DATE: · VERSION:.Q.; ISSUED BY: _ _ PAGE 146 OF 198
5. References

PROCESS SUB-PROCESS REFERENCESS


Receiving of New Receiving and I • 1987 Con stitution
Cases Docketing • Law creating the court
Criminal, Civil Payment • Rules of Court
Encoding Revised Manual for Clerks of
Raffling Court (vol. 1&2)
Distribution to Internal Rules
assigned Case System Manuals
Branches Office Process
Manuals/Flow charts
Order and Circulars
Internal Memorandum

Payment: Rules of Court


1. Filing Fees Rul e 141, Rules of Court
a. Regular Case OCA Circular No. 51-2011
b. Small Claims (Mediation Fees)
Cases 1. SC Circular 57-97 (Rules and
2. Mediation Fees Guidelines in the Filing and
3. BP 22 cases- Prosecution of BP 22 cases)
a. Filing Fees 2. OCA Circular No. 70-97
b. Disposal and (Procedural Guidelines in the
Dismissal for Collection of Filing Fees)
Non=Payment 3.0CA Circular 141-2003
of Filing fees . (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: · VERS ION:.Q.; ISSUED BY: _ _ PAGE 14 7 OF 19 8
11
ANNEX "A

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 st aff
8 Division assignment e Clean , comfortable
e Case information and well-lighted
(CA/LC) recei ving area
e Certified or plain (SCf CA/ CTA)
copies of documents e St rategic location of
(CA/CTA) Cas hier'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
ca se documents
• Cou rteous staff

Raffle Committee e List of cases for e Accurate and


raffle complete list
e On-time preparatio n
of the list

Office of the Clerks of e Case rollo e Accurate, comp lete


Court e Processing Slip and on-time
• Soft copy of processing of
initiatory pleading initiatory pleadings

DOCUM ENT CODE: JUD-QM S-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
pleadin g and annexes
e Neat and courteous
staff who wi ll
trans mit the rollos

Procu rement Committee • Supplies e Timely and comp lete


procurement of
requ ired supp li es
e Good qua lity supplies

Case System Administrator 9 Case Administration 9 Reliable system


System • Speedy network
e Enha nced system

Other Interna l Offices (CA) e Report (CA) e Tim ely submission of


e Information (CA) reports (CA)
• Reply to queries and 9 Accurate and
verification (CA) comp let e info rmation
(CA)
e Tim ely and
appropriate response
to queries (CA)
e Professionalism (CA)
e Effici ency (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 Gu idance and (CTA)
monitoring (LC} • Proper guidance and
e Support and mo nitoring (LC)
cooperation (LC) 9 Tra nsparency and
good governance (CA)

Court branch (LC) 9 Transmittal of court e Timely an d com plete


records of cases trans mitta 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 encod ing of
e Monthly report of case detai ls in the
raffled cases (LC} cou rt's system (LC}
e Distri bution of office e Time ly an d accu rate
supplies (LC) report of raffled cases
(LC}
e Timely dist ribution of
office supplies (LC}

Su preme Cou rt (CA) e Performa nce reports e Timely subm ission of


(CA) report s (CA)
• Statistica l reports e Accurate reports
(LC) e Project sustainabi lit y
e Financia l repo rts (LC) and compliance with
e Comp lia nce with ru les/memorandums/
project Circu lars (CA)
requirements (CA) e Timely and fu ll
• Rem ittance of remitta nce (LC)
coll ections (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 ransm itta l of
records and case
informatio n (CA)

National Government 8 Repo rts (CA) e Timely, accurate and


Agencies (e.g., Congress, e Resou rce pe rsons comp lete reports
DBM, NAP) (CA) during Congress ional (CTA)
hearings (CA) • Tra nspare ncy and
good governance (CA)
e Comp liance with lega l
requirements (e.g.,
appropriat ion rules
and r equ irem ents,
and disposal of
records) (CA)

Regu latory or auditing e Submission of e Full comp liance with


bodies (e.g., CSC, COA, BIR) reports and lega l requi rements
(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 an d
personnel and
financial document s
(CA/CTA)

Gove rn ment-Owned or - 8 Personnel e Availabi lity of


Controlled Corporations information comp lete and correct
(e.g., GSIS, PAG-IBIG, 8 Remittance of information
Ph il hea lt h) (CA)
contributions e Timely rem ittance of
contributions

Local Government Unit (LC) e Participation in 8 Regula r atte ndance 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 comp lete


Corporation (CA) addressee (CA) address (CA)
e Mail matter (CTA) 8 Compliance with fo rm
and oth er rul es and
regulat ions re ma il
matter (CA)

Suppl iers/Service Providers • Term s of Reference 8 Clear ToR, checklist


(CA) (ToR) (CA) and technical
9 Contract (CA) specifications
e Checklist of (CA/CTA)
requirements/ 8 Compl iance with
Technica l contractual provisions
specifications (CA)
(CA/CTA) • Professionalism (CA)
9 Payment (CA) • Comp liance w it h
eth ica l st andards (CA)
8 Transparency and
accountability (CA)
• Timely payment and
other de liverab les
(CA)

Land Bank of the e Deposits of daily 9 Tim ely 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 (CTA/LC)
{CTA/LC)

Deve lopment partners e Information e Availability of


(e.g., USAID, ABA-ROLI, e Compliance with complete and
ADB, AusAid, EU, CD Asia) terms of r efer ence accurate information
(CTA)
(CTA) • Timely, accurate and
e Monitoring reports comp lete reports
(CTA) (CTA)

Media (CA) 8 Information (CA) e Transparency and


good govern a nee
(CA/CTA}
e Accessibility (CA)
e Accuracy of
information(CTA)

Gen eral Public (LC) • Information e Ti mely, 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

CORE PROCESS
Pleadin g/
Court of Court of Tax Fi~lond Second
Motio n Supreme Court Sondiganboyan
Appeols Appeals Level Courts
for
Litigant Court's Litigant
Extension
Processing of Initiatory Pleading First and/or
to File
Action Party
Initiatory
RECEIVING AND
Pleading/ PROCESSING OF INITIATORY ACTION OFT HE ISSUANCE AND RELEASE OF
Original PLEADINGS OR MOTIONS COURT INITIAL ACTION

Records

SUPPORT PROCESSES

Human Resource Financial


Knowledge Information Facilities Procurement and
Management and Management
Management Technology Management Supply Management
Development Services

Budget Committee. Concerned Units MIS Offices OHOJ, Moinlenonce and Procurement Planning
Units OAS/ Personnel FMBO. FMO General Services Division Committee. BAC,
Property Divisio n
Division

Externally-provided services
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 lowe r
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: _ _ PAG E1S4 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 ; EFFECTI VITY 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:
Rel ation to
D Party D Counsel D Authorized Rep resentative (Party/Counsel)
the case:
Purpose of Visit: D Fil e new case D Others (please specify)
D Case follow-up
D Req uest ph otocopy/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 Unsatisfied
(Nasiyahan) (Hindi nasiyahan)
D D
Please share w ith us how w e could improve our service :
(Pao no namin mopapabuti ang aming serbisyo ?)

Doc. Ref. No. SC/CA/58/CTA/RTC/MeTC -


Effective Date:
COURT SEAL Revision No. : 00
Page No.: 1of 1
COURT

CLIE NT SATISFACT ION SURVEY

OFFICE:
Case Number: I Date: I
Client's Profile: Name:
Address:
Relation to
D Party D Counsel D Authorized Rep resentative (Party/Counsel)
t he case:
Purpose of Visit : D Fil e new case D Others (please specify)
D Case follow-up
D Req uest phot ocopy/certified t rue copy

How would you rate you r overall exper ience w ith our service today?
(Kumusta ang inyong karanasan sa aming se rbisyo sa araw na ito?)

@ Satisfie d
@
Un satisfied
(Nasiyahan) (Hindi nasiyahan)
D D

Please share w ith us how w e could improve our service:


(Paano namin mapapabuti ang a m ing serbisyo ?)

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:.Q_; ISSUED BY: _ _ PAGE 157 OF 198
ANNEX "D"

The Judiciary Doc Ref No. :

Quality Management System Effective Date:

Revision No.: 0
CONTROL OF DOCUMENTS
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 proced ure 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.:

Quality Management System Effective Date:

Revision No.: 0
CONTROL OF DOCUMENTS
Page No.: 2 of 5

5.0 Procedure Details

Ref. Reference
Key Activities Responsible
No. Document/ Record
5.1 Create or revise Create a new document Originator
document Revise an existing
document
5.2 Review and Review and approve J Levels of I Rollo Tracking
approve document document approval: System , Logbook,
CM IS
Chief Justice?
En Banc? -
Judiciary-wide

PJ - internal
documents

Clerk of Court
En Banc?

Office/Divisio
n/Section/Unit
Head - for
internal
documents
5.3 Register Assign document code Document Routing Slip
documents Update document Controller Internal Logbook
masterlist (Records Logbook of External
Register external Officer/Clerk Documents
documents of Court?) Document Masterlist

5.4 Distribute Prepare controlled Document Acknowledgement


document copies of document Controller Receipt
for distribution Logbook
File master copy of Copy Holders
document
Receive controlled
copies of document
and return any
obsolete copies to
Document Controller
for disposal
5.5 Archive obsolete Archive obsolete master Document Co ntrol of Records
copy copy of document Controller
and recycle other
obsolete copies
File document masterlist

The procedure for control of QMS documents and other documents for Judiciary-
wide 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 M S-QM -001 ; EFFECTIVlll' DATE: · VERS ION:_Q_; ISSUED BY: _ _ PAGE 159 OF 1 98
The Judiciary Doc Ref No.:

Quality Management System Effective Date:

Revision No. : 0
CONTROL OF DOCUMENTS
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. Filled-
out/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

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
'' ....
Document Aooroval
Policies and Plans SC En Banc SC En Banc SC En Banc
Committees
Offi ces
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
Adm inistrator 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/U nit 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
The Judiciary Doc Ref No.:

Quality Management System Effective Date:

Revision No.: 0
CONTROL OF DOCUMENTS
Page No.: 4 of 5

Review and approva l of old reference man uals considers the need for
revisions, to make them current in terms of co ntent 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 prio r 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-ma il) 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
The Judiciary Doc Ref No.:

Quality Management System Effective Date:

Revision No.: 0
CONTROL OF DOCUMENTS
Page No.: 5 of 5

Copyholders sign a proof of receipt, such as, logboo k, 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: Reviewed by:

NAME NAME
Chief, Records Division 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"

The Judiciary Doc Ref No.:

Quality Management System Effective Date:


Revision No.: 0
CONTROL OF RECORDS
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 Procedu re).

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 filing 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. Thi s document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE : JUD·OMS·QM-001 ; EFFECTIVITY DATE: · VERSION:.Q_; ISSUED BY: _ _ PAGE 163 OF 198
The Judiciary Doc Ref No.:

Quality Management System Effective Date:


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 esta blished 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.
Key Activities Responsible Document/
No.
Record
5.1 Collect and identify Collect records Records Offi cer NIA
records Ensure Process Owner
id entification 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/CTA/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, Reco rd s Officer Logbooks
rollo, picture, Index cards

rrhe only controlled copy of this document is th e 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 th e 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
The Judiciary Doc Ref No.:

Quality Management System Effective Date:


Revision No.: 0
CONTROL OF RECORDS
Page No.: 3 of 5

list) Process Owner Notebooks


Maintain properly
the active
records

5.4 Maintenance and Update inventory Records Offi cer Inventory


disposal Turnover inactive
records
Convert to e-files

Collection and Identification

Records are identifiable through any or com bination 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
The Judiciary Doc Ref No.:

Quality Management System Effective Date:


Revision No.: 0
CONTROL OF RECORDS
Page No.: 4 of 5

All records are signed by authorized personnel. The reviewer ensu res 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 files,


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-files,


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 comp lete 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 1 98
The Judiciary Doc Ref No .:
Quality Management System Effective Date:

Revision No.: 0
CONTROL OF RECORDS
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 Proc urement Plan
RA 9184 and Its Revised IRR
Technical Specif ications
Basic Office Su pplies Inspection
Co nt ract/Pu rchase Orders
Accepta nce
Billing Statement
Performance Review Assessments
Budget
Annua l Procurement Plan
RA 9184 and Its Revised IRR
Technica l Specifications
Inspection
Furniture and Fixtu res
Co nt 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
Pe rformance Review Assessments
Budget
Annual Procu rement Plan
RA 9184 and Its Revised IRR
Te rm s of Reference
Co ntract
Janitorial Services Daily Time Record
Accomplishment Reports
Accepta nce
DOLE Issuances
COA Ru les and Regulations
Performance Review Assessments
Security Services Budget
An nua l Procu rement Plan
RA 9184 and Its Revised IRR
Terms of Reference
Contract
Accomplishment Reports
Shift Sched ule
Incident Repo rts
DOLE Issuances
COA Rules and Regu lations
Performa nce Review Assessments

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 168 OF 198
Budget
Ann ual Procu rem ent Pl an
RA 9184 and Its Re vised IRR
Terms of Reference
Contract
Dai ly Time Record
Pest Control Services
Accomplishm ent Reports
Acceptance
DOH Rules
Bil ling Statements
COA Ru les and Regu lations
Perfo rmance Review Assessm ents
Budget
Annua l Procurement Plan
RA 9184 and It s Revised IRR
Aircon M aintenance Services Terms of Refe rence
Contract/ Purchase Order
Acceptance
COA Rules and Regu lations
Budget
Annua l Procu rement Plan
RA 9184 and Its Revised IRR
Technical Specifica t ions
Contract/Me moran dum of Understa nding
Commu nication Networks
Acceptance
COA Ru les and Regu lations
Billing st atements
COA Ru les and Regul at ions
Pe rfo rmance Review Assessm ents
Budget
Annua l Procurement Plan
RA 9184 and Its Revised IRR
Terms of Reference
Photocopying Services
Contract
Acceptance
COA Rules and Regu lat ions
Performa nce Review Assessment s
RA 9184 and It s Re vised IRR
Contract
Purchase Order
Delivery rec eipt s
CCTV System/ Internet Service Providers Annu al Procu rement Pl an
Genera l Appropriat ions Act
COA Ru les and Regu lations
Billing st at em ents
IAS (SB)
Contractual Services
Con sultants RA 9184 and Its Revised IRR
Lawyers Contract
Executive Assist ants Annual Procurement Plan
Court Aide General Appropriation s 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 Gu idelin es
>. Daily Time Record (if required)
Accomplishment Reports
RA 9184 and Its Revised IRR
Compre hensive Hea lthcare Package Contract
COA Ru les and Regul atio ns
RA 9184 and Its Revised IRR
Cat ering Services
Purchase Order
RA 9184 and Its Revised IRR
Events-related Services
Purchase Order
Annual Procurement Plan
RA 9184 and It s Revised IRR
Contract
Util it ies Providers
General Appropriations Act
COA Ru les and Regulations
Bi lling Statement
Annual Procurem ent Plan
RA 9184 and Its Revised IRR
Co nt ract
Drinking Wate r Supp li er
General Appropriations Act
COA Ru les and Regu lations
Performance Review Assessments

FACILITI ES AND EQUI PM ENT CONTRO LS


RA 9184 and Its Revised IRR
Supplies and Materials related to Bu ilding
Purchase Orde r
Maintenance
COA Rules
Annu al Procurem ent Plan
RA 9184 and It s Revised IRR
Terms of Ref erence
Contract
Elevator M aintenance
Gene ral Appropriations Act
COA Ru les and Regulation s
Bi lling statements
Performa nce Review Assessments
Annua l Procuremen t Plan
RA 9184 an d It s Revised IRR
Contract
Motor Vehicle Supplier General Appropriati ons Act
COA Ru les and Regu lations
Bi lling stat em ents
Fina l Acceptance
Budget
Annual Procurement Plan
RA 9184 and It s Revised IRR
Mot or Vehicle Maintenance Contract
Acceptance
COA Rules and Regulations
Job Order Request

DOCUM ENT CODE: JUD-QMS-QM -001 ; EFFECTIVITY DATE: · VERSI ON:.Q_; ISSUED BY: _ _ PAGE 170 OF 198
Annual Procurement Plan
RA 9184 and Its Revised IRR
Aircon Maintenance
Te rms of Reference
Contract
Annua l Procu rement Plan
RA 9184 and Its Revised IRR
Contract
Purchase Order
Office Eq uipment (e.g., IT eq ui pment, airco n)
De livery Receipts
Genera l Appropriations Act
COA Rules and Regulation s
Billing statements
Annua l Procurement Plan
RA 9184 and Its Revised IRR
Terms of Reference
IT Equ ipment Ma intena nce (under warranty)
Contract
Warranty
Computer Parts Replacement Test Report
Annua l Procu rement Plan
RA 9184 and Its Revised IRR
Software (e .g., Anti-vi r us, Lex Libris)
Terms of Reference
Contract
RA 9184 and Its Revised IRR
Computer-aided Tra nscript Machines
Contract
RA 9184 and Its Revised IRR
Ter ms of Reference
Contract
Warehousing Services
Acceptance
Annua l Procurement Plan
Budget
Budget
Annua l Procurement Pla n
Detai led Architectural and Enginee ring Design
RA 9184 and Its Revised IRR
Office Renovation
Terms of Reference
Contract/Job Order
Acceptance
COA Ru les
RA 9184 and Its Revised IRR
Terms of Reference
Lease of Photocopying Machi nes Contract
Da ily Report of Use
Annual Procurement Plan
RA 9184 and Its Revised IRR
Water Station Operation and Ma intenance
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 Receipt s
Annu al Procure ment Plan
Ge neral Appro priatio ns Act
COA Ru les and Regu lat ions
DENR Ru les
Bill ing st at ement s
RA 9184 and Its Revised IRR
Contract
Hiring of M oto r Ve hicl es (in re lation to special
Annual Procu rem ent Plan
events)
Gene ral Appro priations Act
COA Rules and Regu lations
RA 9184 and Its Revised IRR
Contract
Venue Renta l, including sound systems and the
Annual Procurement Plan
like (in re latio n to special eve nts)
General Appropriations Act
COA Rules and Regulat ions
PROCESS CONTROLS
Terms of Ref erence
Cu stome r Feedbac k thru Consultants Contract
Submission of Reports
Term of Reference
RA 9184 and It s Revised IRR
Training Eva luatio n
Contract/ Letter-Agreement/ Memorandum of
. Agreement
Training
Training Design
DBM Circul ar on Honoraria
Annua l Procurement Plan
Ge neral Appropriatio ns Act
COA Ru les and Regu lations
SC Circulars
Annu al Procurement Plan
General Appro p riatio ns Act
Study Courses Abroa d SC Approva l of Study
Office Order
COA Rules and Regu latio ns
Travel Auth ority

PROPERTY CONTROLS
Annual Procurement Plan
RA 9184 and its Revised IRR
Lease of Rea l Property
Cost-be nefit analysis
Co ntract

DOCUMENT CODE: JVD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:J!..; ISSUED BY: _ _ PAGE 172 OF 198
ANNEX "G"

The Judiciary Doc Ref No.:

Quality Management System Effective Date:

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 Outputsthat do not fulfill requirements. Outputs


may mean products or services.

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.

Correction 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 cu rrent 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
The Judiciary Doc Ref No.:

Quality Management System Effective Date:

CONTROL OF NONCONFORMING Revision No.: 0


OUTPUTS Page No.: 2 of 5

Concession Perm ission 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.

Corrective Action Action to eliminate the root cause of a detected


nonconformity (nonconforming product/service) or
other undesirable situation , and prevent
recurrence.

Process Owner Individual/office whom/where the process being


performed is where the NC is detected

Employee/office responsible for the performa nce of


a process and ensu ring 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

Reference
Ref.
Key Activities Responsible Document/
No.
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 temporaril y 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.:

Quality Management System Effective Date:

CONTROL OF NONCONFORMING Revision No.: 0


OUTPUTS Page No.: 3 of 5

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 commun ication protocol ,


lack or delayed provision of needed resources).

b. Core Processes

Filing, receiving, processing of initiatory pleadings

c. Support Processes (Absence of preventive maintenance


schedu le, 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
use. The original copy of this document is with the QMS Library. The user shou ld secure the latest
1
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
Th e Judiciary Doc Ref No.:

Quality Management System Effective Date:

CONTROL OF NONCONFORMING Revision No.: 0


OUTPUTS Page No.: 4 of 5

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
The Judiciary Doc Ref No.:

Quality Management System Effective Date:

CONTROL OF NONCONFORMING Revision No.: 0


OUTPUTS Page No.: 5 of 5

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

~
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
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
ANNEX "H"

Name of Ag ency Doc Ref No.:

Qual ity Management System Effective Date:


Revision No .: 0
CONTROL OF NONCONFORMING OUTPUTS
Page No.: 1 of 1

Process: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
(One matrix for each process in operations, support and management)

Nonconforming Product/Service Correction Reference


Action Responsibility Authority -

Prepared by: Reviewed by:

NAME NAME
Concerned Head QMS Leader

Approved by:

NAME
Position

DOCUMENT CODE: JUD-QM S-QM-001 ; EFFECTIVITY DATE:--~· VERSION:..Q_; ISSUED BY: _ _ PAGE 178 OF 198
ANNEX "I"

The Doc Ref No.:


Quality Management System Effective Date:

Revision No.: 0
CORRECTIVE ACTION
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

Reference
Ref.
Key Activities Responsible Document/
No.
Record
5.1 Review detected and Receive and review Process Req uest 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

~
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 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.

DOCUMENT CODE: JUD-QM S-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 179 OF 198
The Doc Ref No.:

Quality Management System Effective Date:

Revision No .: 0
CORRECTIVE ACTION
Page No.: 2 of 4

actions
Implement corrective
actions
5.5 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 nonconform ity.


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 thi s document is the online version mainta ined in the Court's Webs ite. 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 whe n downloaded and printed.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: ; VERSION:_Q_; ISSUED BY: _ _ PAGE 180 OF 198
The Doc Ref No.:

Quality Management System Effective Date:


Revision No.: 0
CORRECTIVE ACTION
Pa ge No.: 3 of 4

Machine - the availability of appropriate tools, equ ipment 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

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 .

Attachment

6.1 Request for Action

The only co ntrolled 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 co py 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.:

Quality Management System Effective Date:


Revision No.: 0
CORRECTIVE ACTION
Page No.: 4 of 4

Prepared by: Reviewed by:

NAME NAME
Head , Internal Audit Service OMS Leader

Approved by:

NAME
Position

~
he only co ntrol led copy of this document is the online vers ion 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.

DOCUM ENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 182 OF 198
ANNEX "J"

REQUEST FOR ACTION CRFA)

~· ~i·:·i:::·~ -·. ~:i.t ~ S'e ct ion 1 - Details bf Nonconformitv (To .be1 accomplished byl!he Auditor/ Initiator) ·"'
. -- I. I
Date: RFA Number:
References: (manuals, procedures.
policies, ISO clauses, etc.) Noncon for mity {Non-fulfillment of
Auditor/ requirement)
Initiator : Observation (Does not sig nify failure in
Signature over Printed Name
the system but maybe en hanced)
Details: (As a result of) Office:

D Internal Quality A udit 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 Ana lysis: 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 Rema rks

Verified By: Verification Date:

Acknowl ed~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 )

Target Verification Date/


RFA Details Date
NC Description Initiator Recipient Date of Status
No. (as a res ult of) Issued Implementation
First Second

DOCUMENT CODE: JUO-QMS-QM -001 ; EFFECTIVITY DATE: ; VERSION:_Q_; ISSUED BY: _ _ PAGE 184 OF 198
ANNEX "K"
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Quality Management System Effective Date:

Revision No.: 0
INTERNAL QUALITY AUDIT
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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-u p, 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 The Office or person being audited

Auditor The person with demonstrated personal attri butes and


competence to conduct an aud it.

Audit Team 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

Audit Plan 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 t he Court's Website. The reader
must ensure that thi s or any other copy of a controlled document is cu rrent and complete prior to use. The
original copy of this document is with th e QMS Library. Th e user should secu re the latest revision of this
!document from the QMS Library. This document is UNCONTROLLED when downloaded and printed.

DOCUMENT CODE: JUD-OM S-OM -001 ; EFFECTIVITY DATE: ; VERSION :_Q_; ISSUED BY: _ _ PAGE 185 OF 198

----------------------------- --- - - - . - --
The J UDICIARY Doc Ref No.:

Quality Management System Effective Date:

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INTERNAL QUALITY AUDIT
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when to do, and whom to see

Audit Itinerary Set of one or more audits planned for a specific timeframe,
directed towards a specific purpose

Audit Checklist A set of variables which serves as a guide to an auditor

Audit Criteria Set of policies, procedures, or requirements which are used


as reference against which audit evidence is compared

Audit Evidence Qualitative or quantitative record , statement of facts or


other information, which is verifiable and relevant to the
audit criteria

Audit Finding Result of the evaluation of the collected audit evidence


against audit criteria

Conformity Fulfillment of a requirement

Nonconformity (NC) A non-fulfillment of a requirement

Opportunity for A situation or process that may lead to potential


Improvement (OFI) nonconformity

Corrective Action (CA) Action taken to eliminate the cause of a detected


nonconformity or other undesirable situation to prevent its
recurrence

Request for Action A tool/form used to record the audit findings and the
(RFA) corresponding root cause ana lysis and appropriate actions

!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 comp lete 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.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:JL; ISSUED BY: _ _ PAGE 186 OF198
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Quality Management System Effective Date:

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INTERNAL QUALITY AUDIT
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taken to address it

PQR Team The Process Quality Review (PQR) Team formed to


oversee the PQR implementation

5.0 Procedure

·~
!~·

5.1 Select and 1 · Refer to the required I QMR Auditor Train ing
manage audit skills and knowledge Certificates
team
• Enhance the Auditors' Pool of Aud itors
competence

5.2 I Plan for the / • Prepare the Audit Plan I QMR I Audit Pla n
PQR
• Initiate the conduct of I PQR Team I Audit itinerary
the unplanned audit
List of Internal
• Disseminate the Audit I I Quality Auditors
Plan

• Communicate the Audit


Itinerary

5.3 I Prepare for J • Review the applicable I PQR Team I Audit Checklist
the PQR documents

•Develop Audit Checklist

5.4 I Conduct the [ • Conduct opening I PQR Team IAudit Checklist


PQR meeting

• Interview the auditees

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
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INTERNAL QUALITY AUDIT
Page No.: 4 of 14

• Review documents and


records

• Record facts and


evidence

• Inform the auditee of the


audit findings and its
classification

• Raise to the QMR the


unresolved issues

• Conduct closing meeting

5.5 Reporting the I • Document the findings QMR RFA


PQR
• Assign control numbers Audit Summary
and recording in RFA Report
Registry
Control of
•Issue the RFA Nonconforming
Outputs
• Conduct root-cause Procedure
analysis
Corrective
•Determine and Action
implement CAPA Procedure
•Submit accomplished RFA Logbook
RFA

5.6 Verifying • Verify actions taken Audit Team Corrective


Actions Action
• Monitor the verification Office/
Taken Division RFA
Head
RFA Log book

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 cu rrent and comp lete 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.

DOCUMENT CODE: JUD-QMS-QM-001 ; EFFECTIVITY DATE: · VERSION:_Q_; ISSUED BY: _ _ PAGE 188 OF 198
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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-m inded,


diplomatic, observant, perceptive, versatile, tenacious, decisive, self-
reliant, 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 t he 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. Th e
origin al 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
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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 Cond ucting the PQR

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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.

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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 PQ R 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 comp lete 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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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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INTERNAL QUALITY AUDIT
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Prepared by: Reviewed by:

NAME NAME

Head, Internal Audit Service QMS Leader

Approved by:

NAME

Position

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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

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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

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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

Rev. 0
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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 th e QMS Library. The user should secure the latest revision of this
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DBM-QP-03-Form2 Rev. 0

AUDIT CHECKLIST

Source Document(s):

Process: Office/s:

Clause I Para. Findings I


Items/ Questions C/NC/OFI
No. Remarks

Rev. 0
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original copy of this document is with the QMS Library. The user should secure the latest revision of thi s
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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

Rev. 0

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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 .