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Republika ng Pilipinas

National Irrigation Administration (Pambansang Pangasiwaan ng Patubig)

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NIA-QMS-2016-0001 Rev.2

National Irrigation Administration

QUALITY MANAGEMENT SYSTEM MANUAL

Document Code : NIA-QMS-2016-0001

Revision : 2

Issue Date : March 12, 2018

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TABLE OF CONTENTS

CONTENT NO. TITLE PAGE

1. INTRODUCTION.................................................................................................................................. 4

1.1 ABOUT THE NIA QUALITY MANAGEMENT SYSTEM (QMS) MANUAL.............................................. 4

1.2 PURPOSE OF THE NIA QMS MANUAL .................................................................................................. 4

1.3 NIA QMS SCOPE .................................................................................................................................... 4

1.4 NIA QMS DOCUMENTATION ................................................................................................................ 5

1.5 ISO CORE TEAM ..................................................................................................................................... 6

1.5.1 ROLES AND RESPONSIBILITIES .................................................................................................. 6

2. NIA PROFILE ..................................................................................................................................... 9

2.1 BACKGROUND .......................................................................................................................................... 9

2.2 VISION, MISSION AND CORE VALUES .................................................................................................... 9

2.3 QUALITY OBJECTIVES ............................................................................................................................. 9

2.4 QUALITY POLICY ..................................................................................................................................... 9

2.5 UNDERSTANDING NIA AND ITS CONTEXT .......................................................................................... 10

2.6 RELEVANT INTERESTED PARTIES ....................................................................................................... 10

2.7 ORGANIZATIONAL STRUCTURE............................................................................................................ 11

2.7.1 FUNCTIONAL DESCRIPTION ..................................................................................................... 12

3. NIA SERVICE PROCESSES ................................................................................................................ 15

3.1 MANAGEMENT PROCESSES .................................................................................................................. 16

3.1.1 DELIVER CUSTOMERS’ EXPECTATION .................................................................................... 16

3.1.2 PLAN AGENCY OPERATIONS .................................................................................................... 17

3.1.3 DELIVER LEADERSHIP AND GOOD GOVERNANCE .................................................................. 19

3.1.4 MANAGE IMPROVEMENT AND CHANGE .................................................................................. 20

3.1.5 MONITOR AND ASSESS PERFORMANCE .................................................................................. 21

3.2 CORE PROCESSES .................................................................................................................................. 22

3.2.1 PROJECT PREPARATION ........................................................................................................... 22

3.2.2 PROJECT CONSTRUCTION ......................................................................................................... 23

3.2.3 NATIONAL IRRIGATION SYSTEM (NIS) OPERATION & MAINTENANCE (O&M)............... 23

3.2.4 INSTITUTIONAL DEVELOPMENT PROGRAM (IDP) ............................................................... 24

3.3 SUPPORT PROCESSES ............................................................................................................................ 25

3.3.1 HUMAN RESOURCE MANAGEMENT ........................................................................................ 25

3.3.2 PHYSICAL RESOURCE MANAGEMENT ..................................................................................... 26

3.3.3 FINANCIAL RESOURCE MANAGEMENT ................................................................................... 26

3.3.4 GOODS AND SERVICES PROCUREMENT ................................................................................... 27

3.3.5 INFORMATION AND EXTERNAL RELATIONS MANAGEMENT ................................................ 27

3.3.6 LEGAL SERVICES ....................................................................................................................... 28

3.3.7 INTERNAL AUDIT ...................................................................................................................... 28

4. APPROVAL ....................................................................................................................................... 30




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GLOSSARY OF ACRONYMS AND ABBREVIATIONS

AD Administrative Department APP Annual Procurement Plan ARE Acknowledgment Receipt for Equipment CIS Communal Irrigation System CMD Construction Management Division CO Central Office COA Commission of Audit CorPlan Corporate Planning Services CSC Civil Service Commission DBM Department of Budget and Management DICT Department of Information and Communications Technology DPCR Division Performance Commitment Review DQMR Deputy Quality Management Representative DSD Design and Specification Division ED Engineering Department EMD Equipment Management Division FMD Financial Management Department GSD General Services Division HRD Human Resources Division IAs Irrigators’ Associations IAS Internal Audit Services ICS Inventory Custodian Slip ICT Information and Communications Technology ICTO Information and Communications Technology Office IDD Institutional Development Division IDP Institutional Development Program IEC Irrigation Engineering Center IISO Integrated Irrigation Systems Office IMO Irrigation Management Office IMT Irrigation Management Transfer IPCR Individual Performance Commitment Review IQA Internal Quality Audit ISF Irrigation Service Fee ISO International Organization for Standardization ISSP Information Systems Strategic Plan IT Information Technology LS Legal Services MID Management Information Division NIA National Irrigation Administration NIP National Irrigation Project NIS National Irrigation System O&M Operation & Maintenance OD Operations Department ODAAF Office of the Deputy Administrator for Administrative and Finance




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ODAEO Office of the Deputy Administrator for Engineering and Operations OPCR Office Performance Commitment and Review OSDA Office of the Senior Deputy Administrator PAIS Public Affairs Information Staff PD Presidential Decree PMO Project Management Office PO Purchase Order POW Program of Work PPD-ED Project Planning Division-Engineering Department PPD-AD Procurement and Property Division-Administrative Department PPE Property, Plant and Equipment PPMP Project Procurement Management Plan PSB Personnel Selection Board QMR Quality Management Representative QMS Quality Management System RA Republic Act RIS Requisition and Issue Slip RO Regional Office SMD Systems Management Division SPMS Strategic Performance Management System SUCs State Universities and Colleges




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1. INTRODUCTION

1.1 About the NIA Quality Management System (QMS) Manual This NIA QMS Manual defines the advocated policies, systems, and procedures to achieve QMS for NIA. It describes the NIA’s interpretation of ISO 9001:2015 QMS requirements and also reflects its intentions and commitments to comply with the international standard. 1.2 Purpose of the NIA QMS Manual The NIA QMS Manual is published to fulfill the following objectives: Define NIA’s QMS commitments, policies, and directions towards meeting the ISO

9001:2015 requirements;

Present the basic elements of NIA’s QMS and serve as reference in its implementation and continual improvement undertakings;

Inform the internal and external customers and enable them to observe and implement the Quality Management System that is being maintained in NIA; and

Serve as reference and guide to all NIA personnel and make them familiar and

appreciate NIA’s QMS. 1.3 NIA QMS Scope NIA adopts a Quality Management System that covers the “Provision of Irrigation Services through the Development, Construction, Operation and Maintenance of Irrigation Systems” undertaken in the Central Office (CO), Upper Pampanga River Integrated Irrigation Systems (UPRIIS) Head Office, Region IV-A Regional Office (RO), and Quezon Irrigation Management Office (IMO). The Provinces covered by UPRIIS consists mostly of the whole Nueva Ecija Province and parts of Pampanga, Bulacan, and Tarlac. The main source of water supply for UPRIIS is the Pantabangan Dam. The main base of operations for UPRIIS is located at Maharlika Highway, Cabanatuan City Nueva Ecija. Region IV-A consists of five provinces, Cavite, Laguna, Batangas, Rizal and Quezon, also known as Calabarzon. Region IV-A has a jurisdiction on Laguna-Rizal IMO, Cavite-Batangas IMO and Quezon IMO.




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1.4 NIA QMS Documentation The NIA QMS Documentation provides the framework for a consistent approach to documented information of the processes involved on the NIA QMS. The NIA QMS is ever-changing and evolving in order to ensure its suitability with the current requirements. The NIA QMS is represented in the following documented information structure:

Figure 1-1. NIA QMS Documented Information Structure 1. Maintained (Active) Documented Information – referred to as “documents” in ISO

9001:2008, that involves internally-generated and external documents, both in hard copy or electronic form. All maintained documented information shall be identified, updated, approved, and made available at point of use. This covers laws, issuances, standards, policies, plans, procedures, manuals, forms, templates, etc. which are needed for the effective implementation of NIA QMS.

Reference: Maintenance of Documented Information Procedure/NIA-QPR-2016-0001

2. Retained (Inactive) Documented Information – referred to as “records” in ISO 9001:2008, that provides evidence in performing the NIA’s QMS and conformity to requirements. All retained documented information shall be identified, stored, protected, retrieved, retained for specific periods and disposed whether by destruction or deletion. Reference: Retention of Documented Information Procedure/NIA-QPR-2016-0002

Laws, Issuances, Standards

Policies, Plans, Procedures, Manuals

Forms and Templates

2. Retained Documented Information “records”

1. Maintained Documented Information “documents”




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1.5 ISO Core Team The ISO Core Team is composed of key officials and staff from different NIA offices which supervises the implementation of NIA QMS.

Figure 1-2. ISO Core Team Structure 1.5.1 Roles and Responsibilities The specific roles and responsibilities that each team fulfills are as follows: Top Management The Top Management shall lead the establishment implementation, and monitoring of the QMS; ensure effectiveness of the QMS through risk- based thinking; establish and communicate quality policy; ensure that quality objectives are established; communicate the importance of meeting customer requirements; determine and provide necessary resources and ensure that they are adequately available; ensure quality work environment for the employees in the organization; and conduct Management Review meetings.

Planning Team

Internal Quality Audit

Team

Administrator

Quality Management Representative (QMR)

Deputy QMR

TOP MANAGEMENT

ISO Secretariat

Documented Information

Team

Quality Workplace

Team

Training and Education

Team

Knowledge Management

Team

Risk Management

Team




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Quality Management Representative (QMR) The QMR shall oversee the establishment, documentation and effective implementation of the QMS; promote risk-based thinking in overseeing the effectiveness of the QMS; act as liaison within external parties on matters relating to QMS; ensure that procedures for IQA, Management Review, and Corrective Actions are established and implemented; and report QMS performance to Top Management for review and continual improvement. Deputy QMR (DQMR) The DQMR shall support the QMR in the effective planning, implementation, and continual improvement of the established QMS; represent the process owners at their area of responsibility; and report to the QMR its QMS performance and opportunity for improvement, if any. Planning Team The Planning Team shall ensure all required documented information are established and implemented; establish links between the QMS and NIA’s strategies and the achievement of objectives; identify key aspects of processes affected by the QMS; upon adoption of quality objectives, ensures that the same are adhered to at relevant functions within the organization; manage the effective delivery of specific outputs in-line with the QMS; and Plan and direct effective deployment and efficient use of resources e.g human, financial (in coordination with the drawing up by the ISO Secretariat of the ISO-related budget) and other physical resources of the project. ISO Secretariat The ISO Secretariat shall provide administrative support to the ISO Core Team in its area/s of responsibility (such as but not limited to: budget preparation; coordination of meetings, provision of QMS work area; provision of logistical requirements; provision of highlights of meetings; and coordinates with officials and consultants.); and ensure the coordination between and among members of the ISO Core Team in their area/s of responsibility (such as but not limited to: coordination of the implementation of directions set; and coordination of submissions and deadlines). Internal Quality Audit (IQA) Team The IQA Team shall conduct internal quality audit at least annually to determine conformity of the QMS to the planned arrangements, to the requirements of the International Standard and to the quality management system requirements established by the Agency; determine whether NIA’s QMS is effectively implemented and maintained; prepare audit plan, coordinates, facilitates and implements NIA’s Audit Program; identify the necessary resources for managing the Agency’s Audit Program; provide inputs during management review regarding audit findings; monitor and maintain documented information as evidence of implementation and corrective action/s taken; implement procedure for IQA; and provide criteria for the selection of Internal Quality Auditors.




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Risk Management Team The Risk Management Team shall perform oversight function in ensuring that the established risk controls and related activities are consistently implemented; plan and coordinate effective and efficient use of risk control tools; and ensure that risk-related information are maintained and retained. Knowledge Management Team The Knowledge Management Team shall determine the knowledge necessary for the operation of processes for achieving conformity of services; coordinate with the different Agency units to acquire additional knowledge and update the Agency’s Organizational Knowledge Bank; ensure that the Agency’s Organizational Knowledge is responsive to changing needs and trends; and maintain organizational knowledge and make it available to the extent necessary. Documented Information Team The Documented Information Team shall ensure all documented information are properly maintained and retained; ensure current versions of relevant documented information are available at point of use; prevent unintended use of obsolete, as well as, the unauthorized use of relevant documented information; ensure traceability of all documented information; ensure proper labeling, storage and protection of files following retention periods, proper labeling of filing equipment, segregation of active from inactive files; and disposal of obsolete documented information; and keep the documented information procedure updated and consistently implemented. Quality Workplace Team The Quality Workplace Team shall ensure consistent implementation of the Quality Workplace Program including safety and security in all Departments/Divisions and regularly monitors and assesses its effectiveness; oversee the setting and presentation of standards to top management; conduct and/or coordinate briefing and training regarding Quality Workplace to concerned personnel in his/her Department/Division as needed; and coordinate closely with the Department/Division Heads on all matters concerning the Quality Workplace program. Training and Education Team The Training and Education Team shall prepare a communication and promotions program to promote awareness on the NIA QMS; organize training, orientation, briefing, cascades sessions and other similar activities relevant to dissemination of important information and/or transfer of knowledge relating to NIA QMS; coordinate with resource persons in providing the necessary collaterals, training and workshops needed to implement the QMS; and scout for and evaluates possible quality trainings and/or memberships in quality organizations that will continuously upgrade and improve on quality service by the organization.




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2. NIA PROFILE

2.1 Background The National Irrigation Administration (Filipino: Pambansang Pangasiwaan ng Patubig), abbreviated as NIA, is a Government-Owned and Controlled Corporation (GOCC) which is responsible for irrigation development and management. It was created by Republic Act (RA) 3601. Its charter was amended by Presidential Decree (PD) 552, PD 1702, and RA 10969 which broadened the authority of NIA and provided free irrigation service to Filipino farmers with landholdings of eight (8) hectares and below. 2.2 Vision, Mission and Core Values Consistent with NIA’s mandate, the Vision, Mission and Core values of NIA adds importance towards the needs and expectations of the farmers and other relevant interested parties. The NIA’s Vision reflects the long-term strategic directions that NIA shall pursue, it also reflects NIA’s competencies and responsive to requirements of the customers. The NIA’s Mission states the fundamental purpose of NIA which serves as a perimeter for NIA’s vision. The NIA’s Core Values are the principles that form the foundation on which NIA perform its work. These are the qualities that NIA considers as its belief and are the basic elements that guide NIA’s conduct and practices. Reference: NIA Strategy Map

2.3 Quality Objectives The Quality Objectives are defined based on the strategic objectives set on the NIA Strategy Map. NIA must undertake these objectives, mutually reinforcing it to achieve its Vision. Reference: NIA Strategy Map 2.4 Quality Policy The Quality Policy is established, implemented and maintained to express the commitment of the Top Management to achieve quality as a result of NIA’s operations and to continually improve the NIA’s QMS. Reference: NIA Quality Policy




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2.5 Understanding NIA and its context NIA shall determine external and internal issues that are relevant to its purpose and its strategic direction of its QMS through the use of PESTLE and SWOT Analysis which is a tool that explores internal and external factors that influence NIA’s operations. Reference: PESTLE and SWOT Analysis 2.6 Relevant Interested Parties NIA has identified the interested parties who are relevant to its quality management system and the requirements of the interested parties in order to prevent the potential effect on the organization’s ability to consistently provide services which meet the customer and applicable legal and international requirement. Thus, NIA determines, monitors, and reviews the requirements, needs and expectations of these relevant interested parties. This information is updated as necessary and used by NIA Management to review its strategic direction during the management planning and review. Reference: List of Relevant Interested Parties and Requirements




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2.7 Organizational Structure

Figure 2-1. NIA Organizational Chart

BOARD OF DIRECTORS

Office of the Corporate Board Secretary

Internal Audit

Services

OFFICE OF THE ADMINISTRATOR

OFFICE OF THE SENIOR DEPUTY ADMINISTRATOR

Corporate Planning Services

Public Affairs & Information Staff Legal Services

OFFICE OF THE DEPUTY ADMINISTRATOR FOR

ENGINEERING & OPERATION

OFFICE OF THE

DEPUTY ADMINISTRATOR FOR

ADMINISTRATIVE & FINANCE

Engineering Department

Operations Department

Special Projects

Financial Management Department

Administrative Department

Regional Irrigation

Offices

Integrated Irrigation Systems Offices

Irrigation Management

Offices

Engineering & Operations

Division

Administrative & Finance Division

Engineering & Operations

Division

Administrative & Finance Division

District/ Division Offices

Dam & Reservoir Division




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2.7.1 Functional Description Board of Directors (BOD) The Board of Directors exercises the powers and functions of NIA. The BOD formulate and adopt policies for the management and operations of NIA, and prescribe, amend and repeal, with the approval of the President of the Philippines, rules and regulations governing the manner in which the general business of NIA may be conducted, including provisions for the formation of such committee/s as the Board may deem necessary to facilitate the business. Office of the Corporate Board Secretary (OCBS) The Office of the Corporate Board Secretary undertakes the evaluation/screening subject-matters for consideration by the Board upon receipt of the Board indorsement and/or instructions from the Administrator. It receives from the Administrator all reports and memoranda and file them after having been acted upon/discussed by the Board. It takes charge of and keeps the seal of the Administration and attest therewith all official acts of the Board. It coordinates with officials of the Agency and of other offices on matters taken up during Board meetings and it also attests all GCG requirements of the Board of Directors. Internal Audit Services (IAS) The IAS reports functionally to the Board Audit Committee (BAC) and administratively to the Administrator of NIA. It is responsible for appraising the adequacy of internal control, the conduct of management audit and the evaluation of the results of operations. Office of the Administrator (OAdm) The Administrator, under the general direction of the Board, conducts the affairs and business of the NIA and enforces the resolutions, instruction and orders approved by the Board, in accordance with the provision of RA No. 3601 as amended by PD No. 552 and 1702 and other relevant laws. Office of the Senior Deputy Administrator (OSDA) The Senior Deputy Administrator assists the Administrator in planning, organizing and directing the activities of the Agency. It conducts/reviews studies of the internal and external environment affecting the Agency and assists in formulating policies to achieve corporate objectives or to improve the operation of the Agency. Corporate Planning Services (CorPlan)

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alternatives, undertakes policy formulation and review, formulates and implements the information systems plan of NIA.

Public Affairs and Information Staff (PAIS)

The PAIS plans and implements an information and communication outreach for public affairs and information drives to ensure public acceptance of irrigation projects.

Legal Services (LS)

The Legal Services provides services for the protection of corporate rights, interest and property of the Agency; appears before the courts and other quasi-judicial bodies in the prosecution and/or defense of all cases involving the Agency. Office of the Deputy Administrator for Administrative and Finance (ODAAF) The Deputy Administrator for Administrative and Finance plans, organizes, directs and controls the financial activities of the Agency to achieve optimum allocation and utilization of its resources and increase corporate income. Administrative Department (AD) The department formulates/updates plans, programs, policies, guidelines and procedures pertaining to personnel management and development programs, procurement and property management, building and facilities maintenance, and records management, monitor their implementation. Financial Management Department (FMD) The FMD conducts assessment of financial operators of the NIA to effect better financial management; develop plans and programs for a more effective and efficient management of funds; manages and safeguards the financial resources of the Agency, and prepares, consolidates and control the annual Current Operating Budget (COB) and monitor the implementation thereof. Office of the Deputy Administrator for Engineering and Operations (ODAEO) The Deputy Administrator for Engineering and Operations plans, coordinates, directs, and controls the overall irrigation development program of the Agency. Engineering Department (ED) The Engineering Department serves a vital role in the Agency’s main thrust of Irrigation development. The department provides technical support to RIOs, PMOs, LGUs and other customers in project planning, design and construction management of irrigation projects.




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Operations Department (OD) The Operations Department provides assistance and advices on the operation and maintenance (O&M), repairs and improvement of irrigation systems; review annual plans and programs submitted by Field Offices on the management of irrigation systems. Special Projects/Project Management Office (PMO) Responsible in the implementation of construction activities of NIA Special Projects per approved plans and programs. Central Project Management Office: For foreign assisted projects: Responsible in the planning, designing and constructing irrigation facilities in coordination with the Regional and Irrigation Management Office; monitor, evaluate and validate periodically the progress of accomplishment as submitted by the field offices. For locally funded projects: Plans and designs irrigation facilities for approval by the concerned NIA officials; implements and manages the project implementation in coordination with RO and IMO; Monitor, evaluates and validates submitted reports from field offices and ensure that the implementation followed the specified guidelines and objectives. Regional Office (RO) The RO implements the irrigation plans and programs for the region; formulates short and long-range plans and programs for the development of feasible irrigation and related water resources projects, construction/rehabilitation of irrigation projects, O&M of irrigation systems, and utilization and repair of equipment in the regions. Integrated Irrigation Systems Offices (IISO) The IISO prepares irrigation development plans and implements repair & rehabilitation of existing irrigation systems, Operation & Maintenance of Irrigation Systems, Development and Assistance to Irrigators’ Associations, and Technical Assistance to Local Government Units on Communal Irrigation Project/Systems development. Irrigation Management Office (IMO) The IMO implements the irrigation plans and programs for their respective provinces; assistance in the development and formulation of short and long-range plans and programs for the development of feasible irrigation and related water resources projects, construction/rehabilitation of irrigation projects, O&M of irrigation systems and utilization and repair of equipment in their respective provinces.




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3. NIA SERVICE PROCESSES

NIA believes that the key to managing its operations is to manage its processes which are supported by various units and thus need systematic management. Hence, we adopt the process-based model shown below:

Figure 3-1. NIA Process Map NIA’s service processes are a set of interrelated management, core, and support processes which aims to achieve the organization’s commitment to provide quality service to its customers and ensure their utmost satisfaction. Our service processes and corresponding units and teams involved are summarized in Table 1. Table 3-1. Summary of Service Processes and Responsible Unit

A. Management Processes 1. Deliver Customers’ Expectation Top Management;

All Department, Regional & Project Managers; Technical Working Groups; Corporate Planning Services

2. Plan Agency Operations 3. Deliver Leadership and Good Governance 4. Manage Improvement & Change 5. Monitor & Assess Performance

CUSTOMER (REQUIREMENTS)

Farmer Beneficiaries/

Irrigators’ Associations

RELEVANT

INTERESTED

PARTIES (RIPS)

EXTERNALLY-PROVIDED PRODUCTS, SERVICES AND PROCESSES

MANAGEMENT PROCESSES

Deliver

Customers’

Expectation

Plan Agency Operations

Deliver Leadership and

Good Governance

Manage Improvement and

Change

Monitor & Assess Performance

CORE PROCESSES

Project Preparation Project Construction/ Implementation

NIS Operation & Maintenance

SUPPORT PROCESSES

Human Resources

Management

Physical Resources

Management

Financial Resources

Management

Goods and Services

Procurement

Information and External

Relations Management

Legal Services

Internal Audit

CUSTOMER (SATISFACTION)

Farmer Beneficiaries/

Irrigators’ Associations

NIA Frontline Services & Strategic

Objectives

Result of Performance

Scorecard & Other Feedback

Management Tools

Institutional Development Program




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B. Core Processes 1. Project Preparation Central Office - Engineering

Department; Regional Office – Engineering & Operations Division; Irrigation Management Office – Engineering Section

1.1 Project Planning – National Irrigation Project – Small Reservoir Irrigation Project – Small Irrigation Project

1.2 Project Design – National Irrigation Project – Small Reservoir Irrigation Project

1.3 Project Procurement – National Irrigation Project (NIP), Locally

Funded and Foreign Assisted Projects – National Irrigation System (NIS), Foreign

Assisted Projects – Small Reservoir Irrigation Project

2. Project Construction 2.1 Construction Planning and Scheduling 2.2 Contract Administration 2.3 Project Monitoring and Evaluation

– NIP, Locally Funded & Foreign Assisted Projects

3. NIS Operation & Maintenance Central Office - Operations Department; Regional Office – Engineering & Operations Division; Irrigation Management Office – Operation & Maintenance Section

– Water Delivery – Irrigation Service Fee (ISF) Collection – Repair and Improvement

Irrigation Facilities

Drainage Facilities

O&M Equipment 4. Institutional Development Program

C. Support Processes 1. Human Resources Management HRD 2. Physical Resources Management GSD 3. Financial Resources Management FMD 4. Goods and Services Procurement PPRD

5. Information and External Relations Management

MID, PAIS

6. Legal Services Legal 7. Internal Audit IAS

3.1 Management Processes 3.1.1 Deliver Customers’ Expectation In the delivery of services to its customers, NIA geared itself with efficient service delivered with commitment, integrity and professionalism. This is defined more empathically with the setting up, in written form, of the agency service standards known as the NIA Citizen’s Charter.




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The NIA Citizen’s Charter details the following information: Vision, Mission and Objectives Frontline Services, Requirements and Procedures Filing of Complaint at NIA Central Office Committee on Discipline

The Charter promotes transparency in the manner of personnel’s delivery of services to its transacting public and therefore, enhances integrity and accountability, as well as engenders effective practices aimed at preventing graft and corruption in the service. Reference: NIA Citizen’s Charter Farmers’ Satisfaction Survey (FSS) One way to gauge the degree of satisfaction of NIA’s customers is through the conduct of a satisfaction survey. Feedback on the services delivered by NIA is a very vital indicator to understand more of their needs and expectations. With this, NIA will be able to identify what specific aspect of its services for a particular period needs improvement. Likewise, the feedback will serve as basis for NIA to sustain or continue those that have positive effects and are beneficial. Hence, the conduct of the annual FSS through a “third party” shall solicit feedback from NIA’s customers, which are the farmers, being served by National Irrigation Systems (NISs) and Communal Irrigation Systems (CISs) regarding the various services and assistance programs that NIA provides to them. To eliminate biases, State Universities and Colleges (SUCs) strategically located throughout the country will be tapped to administer the survey. Reference: Farmers’ Satisfaction Survey (FSS) 3.1.2 Plan Agency Operations The NIA QMS Planning is not a singular event, rather it is an ongoing process that establishes at relevant levels the quality objectives of NIA QMS including its processes, identify and address the risks and opportunities, and determine the resources needed to deliver results in accordance with the customers’ requirements and NIA’s policies. NIA Strategy Map and Performance Scorecard The NIA Strategy Map is a visual representation of NIA’s strategy that reflects the interconnection of strategic objectives in pursuit of NIA’s Vision. NIA Strategy Map is concretized by NIA’s Performance Scorecard composed of strategic measures and supported by strategic initiatives. Reference: NIA Strategy Map and Performance Scorecard

http://www.nia.gov.ph/corruptionPreventionInitiatives/ccMissionVissionObjectives.pdf

http://www.nia.gov.ph/corruptionPreventionInitiatives/ccFrontlineServices.pdf




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NIA Strategic Performance Management System (SPMS) The NIA SPMS is focused on linking individual performance into NIA’s vision, mission and strategic goals. It is composed of strategies, methods and tools for ensuring fulfilment of the functions of the offices and its personnel for assessing the accomplishments. The goals and targets set forth on the Strategy Map and Performance Scorecard are cascaded through NIA SPMS. Offices set performance targets/goals through the Office Performance Commitment Review (OPCR). Divisions and individual employees then set performance goals that are aligned with the approved office performance goals through the Division Performance Commitment Review (DPCR) and Individual Performance Commitment Review (IPCR). Review and evaluation of performances of offices, divisions and individuals are done at a regular interval. Reference: Memorandum re: SPMS NIA’s Actions to Address Risks and Opportunities Application of a risk-based thinking approach is essential for achieving an effective implementation of NIA QMS. NIA considers external and internal issues and its strategic directions (quality objectives) in determining risk and opportunities as a basis for planning. Risk is the effect of uncertainty and any such uncertainty can have a positive or negative effects. A positive deviation arising from a risk can provide an opportunity, but not all positive effects of risk result in opportunities. Hence, addressing both risks and opportunities establishes a basis for increasing the effectiveness of NIA QMS, achieving improved results and preventing negative effects. NIA establish a risk registry to record identified risks, their impact and the actions to be taken. The methodology includes the following steps: Identify each potential risk in a particular process/activity; Rate the criteria for impact of each identified risk; Rate the likelihood/probability of risk to occur; Categorize/Assess each risk into high, medium, or low based on a combination of

impact and likelihood to establish an overall risk score to all identified risks establishing priority in addressing each identified risks;

Determine appropriate response and contingency to each identified risks; Identify the risk owner or whose responsibility will the risk fall; Identify potential cause of the risk outcome; and Establish an action plan to address the cause of the risk;

Options to address risks can include avoiding risk, taking risk in order to pursue an opportunity, eliminating the risk source, changing the likelihood or consequences, sharing the risk, or retaining risk by informed decision. Opportunities can lead to the adoption of new practices, launching new products, opening new markets, addressing




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new customers, building partnerships, using new technology and other desirable and viable possibilities to address the organization’s or its customers’ needs. Monitoring and measurement of the risk registry shall be done at planned intervals and thereby evaluate the effectiveness of the actions taken, hence, be reviewed and updated, as necessary, during corrective actions and management review to give assurance that NIA QMS can achieve its intended result(s); enhance desirable effects; prevent, or reduce, undesired effects; and to achieve improvement. Reference: Risk and Opportunities Registry Matrix 3.1.3 Deliver Leadership and Good Governance The Top Management shall deliver leadership and good governance by:

Taking accountability for the effectiveness of the quality management system; Ensuring that the quality policy and quality objectives are established for the NIA

QMS and are compatible with the context and strategic direction of the organization;

Ensuring the integration of the NIA QMS requirements into the organization’s business processes;

Promoting the use of the process approach and risk-based thinking; Ensuring that the resources needed for the NIA QMS are available; Communicating the importance of effective quality management and of

conforming to the QMS requirements; Ensuring that the NIA QMS achieves its intended results; Engaging, directing and supporting persons to contribute to the effectiveness of

the NIA QMS; Promoting improvement; Supporting other relevant management roles to demonstrate their leadership as

it applies to their areas of responsibility. The Top Management which is composed of the Administrator, the Senior Deputy Administrator and Deputy Administrators – are committed to the implementation and continual improvement of NIA’s QMS. These commitments are demonstrated by:

Employees understanding the importance of meeting customer needs as well as adherence to applicable legal and international requirements;

Communicating and adopting the Vision/Mission/Core Value Statement and Quality Policy and Objectives;

Periodic conduct of Management Review; Promoting a positive culture of safe, healthy, eco-friendly workplace environment

including the provision of available resources and appropriate technology for establishing, implementing and improving NIA’s QMS;

Promoting an overall suitable environment, taking into consideration physical, social and psychological factors; and




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Providing opportunities for employees’ growth and development through

training, coaching and encouraging them to pursue excellence in meeting customer requirements and expectations.

3.1.4 Manage Improvement and Change Internal Audit Internal Audit is an integral part of the internal control system of public service organizations. The scope of internal audit is broad and involves all matters relating to operations and management control. Among others, internal audit encompasses the appraisal of the adequacy of internal controls, the conduct of management audit and the evaluation of the results of operations, focusing on the effectiveness of controls of operating systems and support services units/systems. For more info, see section 3.3.7 Internal Audit. Internal Quality Audit Internal Quality Audit is a systematic, independent and documented process for obtaining audit evidence/s and evaluating it objectively to determine the extent to which the audit criteria/s are fulfilled. NIA conducts Internal Quality Audit at planned intervals to provide information for management review and other internal purposes. It also form the basis for NIA to declare its conformity within the system. In order for audits to be effective, tangible and intangible evidence needs to be collected. Actions are taken for correction and improvement based upon analysis of the evidence gathered. The knowledge gained could lead to innovation, taking NIA QMS performance to higher levels. Reference: Internal Quality Audit Procedure/ NIA-QPR-2016-0003 Control of Nonconformity and Corrective Action NIA shall provide services to its clients in accordance with their specified requirements. As such, it is the policy of the NIA to ensure that all services that do not conform to requirements are identified, evaluated, and resolved. Likewise, it is also the policy of NIA to implement corrective actions to continually improve the effectiveness of NIA QMS. Reference: Control of Nonconformity and Corrective Action Procedure/

NIA-QPR-2016-0003




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3.1.5 Monitor and Assess Performance Management Review is an essential part of our approach for continual improvement of the effectiveness and efficiency of the QMS with the objective of enhancing our achievement of customer satisfaction. Top Management will preside in the Management Review for the purpose of assessing QMS as to suitability, providing resources and giving instruction on courses of action for the QMS’ improvement. As such, Top Management is similarly responsible in appointing member/s of the organization’s management who, irrespective of their responsibilities, shall have responsibilities and authority that includes ensuring that processes needed are established, implemented and maintained, promoting of awareness of customer requirement throughout the organization and reporting to Top Management on the performance of the QMS. The Management Review of the QMS, which shall be done semi-annually after the conduct of internal quality audit, shall be the joint responsibility of the Top Management, Department/Project/Division Managers, Section Heads, and similarly extends to the Committees to whom the Process Owner reports, per approved NIA organizational structure; in sum, thus providing all the necessary avenues should a more timely evaluation and response be necessary in addressing operations and performance issues. The review shall focus on how NIA ensures the continuing suitability and effectiveness of the system in satisfying the requirements of the customers/citizens and other relevant interested parties. Its agenda may include, but not limited to, the following:

The status of actions from previous management reviews; Changes that are relevant to the Quality Management System; Information on the performance and effectiveness of Quality Management System,

including the trends in: o Customer satisfaction and feedback from relevant interested parties; o The extent to which quality objectives have been met; o Process performance and conformity of products and services; o Non-conformities and corrective actions; o Monitoring and measurement results; o Audit results; o The performance of external providers;

The adequacy of resources; The effectiveness of actions taken to address risks and opportunities; and Opportunities for improvement;

The outputs of the Management Review shall include decisions and actions related to:

Opportunities for improvement;




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Any need for changes to the quality management system; and Resource needs.

The organization shall retain documented information as evidence of the results of management reviews. 3.2 Core Processes NIA’s core processes consist of project preparation, project construction/ implementation, operations and institutional development processes. Stated under the NIA Charter Section 2, Power and Objectives of the Republic Act No. 3601 and Presidential Decree 552 are the Agency’s powers and objectives. To ensure that the ISO standards are applied across all Sections, Divisions and Departments of NIA which are covered by NIA’s Process Model under its QMS, the quality procedures are implemented continuously and consistently in all of NIA’s organizational units. Process owners are responsible for ensuring that all core activities affecting quality services are accomplished in accordance with controlled documents such as quality systems manuals, procedures, work instructions and controlled data such as customers’ requirements and documents of external origin. These documents contain appropriate criteria for determining whether core processes have been undertaken and/or completed satisfactorily. Specific guidelines and procedures are established which will be the basis of document review, approval and issuance of changes to ensure customers’ satisfaction in the implementation necessary for the planning and operation of the quality management system. All personnel are responsible for ensuring that the correct revisions/amendments of applicable standards are used in accordance with customers’ requirements. Internal audits of the core activities affecting NIA’s quality of services are scheduled, planned and conducted in accordance with established procedures. The need for corrective action is identified through sources such as nonconformance, audits, and customers’ complaints. Quality data is analyzed for trends in services, processes, and the systems that may require action to eliminate causes of potential nonconformities. The results of these analyses are raised to management to determine the potential risks to prevent occurrence. 3.2.1 Project Preparation Project Planning Integral to the execution of its mandate to develop water resources for irrigation, NIA undertakes a deliberate technical or organizational project planning process of developing an optimal strategy and outlining tasks and schedules to solve problems and achieve a desired set of goals. The process, therefore, encompasses the determination of needs and the formulation of appropriate response interventions.




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In light of this central theme, the Project Planning process is comprised of six (6) activities which include Project Identification, Project Investigation/Validation, Project Design Studies, Plan Formulation, Feasibility Report and Project Authorization. Reference: Engineering Department Operations Manual/NIA-EOS-ENG-OPM-007 Project Detailed Engineering Design The design processes of an irrigation project starts from preparation of conceptual designs during the preliminary investigation and determination of feasibility of the project. The preliminary designed irrigation facilities shall be translated into efficient water use and areas to be irrigated to come up with the design of the required irrigation projects/facilities. The basic objective of facility design is to produce adequate irrigation and drainage related infrastructure that will meet the needs of the project at minimum cost with due consideration for economical operation and maintenance. All these facilities shall comply with hydraulic and structural design requirements. After the Detailed Engineering Design for an irrigation project is approved this is ready for the preparation of the corresponding Program of Works (POW), Project Procurement Management Plan (PPMP), Annual Procurement Plan (APP) and after approval of same, procurement process and implementation shall follow. Reference: Engineering Department Operations Manual/NIA-EOS-ENG-OPM-007 3.2.2 Project Construction Construction management is a diverse discipline wherein the ultimate objective is to implement and complete the project without any constraint. It provides importance for optimum utilization of resources. The ideal construction management framework, there should be a clear roadmap in Construction Planning and Scheduling, Contract Administration and Project Evaluation and Monitoring. The Implementing Rules and Regulations of RA 9184, Commission on Audit (COA) and Office policies and Foreign Financing Procurement guidelines are used by the Construction Management Division in performing their functions. Reference: Engineering Department Operations Manual/NIA-EOS-ENG-OPM-007

3.2.3 National Irrigation System (NIS) Operation & Maintenance (O&M) The Operation and Maintenance (O&M) of NIS monitored in the central office by the Systems Management Division (SMD) under the supervision of the Operations Department (OD) and carried out through the Regional Offices down to the Irrigation Systems guided by the following objectives to its level:




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To maintain a financially viable system – this can be realized by increasing the efficiency of the Irrigation Service Fee (ISF) collection above the total operating and maintenance expenses without sacrificing the quality of services to farmer-beneficiaries.

To maintain physical facilities in good operating conditions – the field offices should implement a continuing preventive maintenance program to avoid higher repair and maintenance cost in the future.

To supply adequate irrigation water to farmer-beneficiaries and avoid wastage of irrigation water and conflicts arising from the farmers discontent and other similar irrigation related causes.

To encourage increased participation of farmer-beneficiaries in the O&M of the system. The field offices should continually engage in the organization and development of the Irrigators Associations (IAs) and extend technical and managerial assistance to keep them viable.

The Irrigation Engineering Center (IEC) under the supervision of the OD acts as the Research, Development and Extension (RDE) unit of NIA which prioritizes effective, appropriate and efficient irrigation and water management through irrigation research activities to upgrade performance of irrigation structures and facilities; improve performance of irrigation systems; and promote modern irrigation technology to support the operation & maintenance of NIS. Equipment used in the O&M of NIS are also monitored in central office through the Equipment Management Division (EMD) under the supervision of the OD guided by the following objectives: To provide timely and adequate equipment support for the maintenance, repair,

rehabilitation and restoration of NIS. To provide adequate equipment support for repair of irrigations canals and brass

dam in times of calamities. To provide transportation vehicle in monitoring implementation of on-going

irrigation construction and/or rehabilitation projects. To generate additional income to the agency thru equipment rental.

Reference: Operations Department Operations Manual/NIA-EOS-OPD-OPM-008 3.2.4 Institutional Development Program (IDP) The NIA’s Institutional Development Program (IDP) is geared towards building and sustaining the Agency’s capacity to effectively implement its mandate to organize and develop irrigation farmer-beneficiaries into irrigators associations (IAs) or in some cases into irrigation service cooperatives. The overriding mandate of NIA is to capacitate the IAs and eventually delegate to the latter the partial or full management of national irrigation systems under the Irrigation Management Transfer (IMT) program or complete turnover including ownership in the case of communal irrigation systems under the IA O&M System Turnover program.




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The Institutional Development Division (IDD) is the main organizational unit of NIA tasked with the overall provision of policy direction and guidelines, and supervision of IDP as implemented in all Regional Irrigation Offices. While, IDD is administratively and technically under the Operations Department, it also provides oversight functions to projects, both locally and foreign-assisted, being supervised by the Engineering Department in as far IDP is concerned. IDP encompasses IA involvement and participation practically in every aspect of irrigation development and management stages, i.e, during project preparation, construction/ implementation, and operation and maintenance. All throughout these stages, the organized IAs are provided with various capacity building trainings to equip them with the necessary knowledge, skills, and attitude and be able to perform their tasks, duties, and responsibilities. Likewise, IDP also includes assistance programs to IAs to enable them establish strong and sustainable linkages and access to support services from other agencies both in the government and private sectors. Planning, implementation, monitoring and evaluation of IDP engage various processes, approaches and strategies to nurture IAs’ growth as NIA’s vital partner in irrigation development and management. Reference: Operations Department Operations Manual/NIA-EOS-OPD-OPM-008 3.3 Support Processes 3.3.1 Human Resource Management NIA believes that human resources is the most vital resource in any organization. Qualified and competent human resources are one of the essential elements of an effective, efficient and competitive organization. The Human Resources Division (HRD) is tasked to recruit and select personnel based on approved qualification standard for the different units of NIA. It adopts the Qualification Standards in terms of education, training, experience and eligibility requirement per position title set by the Civil Service Commission (CSC) and NIA (for positions unique to NIA). Recruitment policies/guidelines are based on CSC-approved NIA Revised Merit Selection Plan and applicable CSC issuances on appointment. The selection process is deliberated upon by the Personnel Selection Board (PSB) and the concerned Division or Department Manager recommends appointee to the Appointing Authority for approval of appointment. The HRD plans and implements internal and external training program geared towards enhancing knowledge, skills and attitudes of NIA employees. New entrants are inducted with an informal orientation on the basic information about NIA, benefits, simple rules and regulations.




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Employee’s performance assessment is conducted annually and semi-annually in accordance with the CSC prescribed Strategic Performance Management System (SPMS) using the Office Performance Commitment and Review (OPCR), Division Performance Commitment and Review (DPCR) and Individual Performance Commitment and Review (IPCR) forms. Retirement benefits under RA No. 8291 and RA No. 1616 are administered by the HRD. Reference: Human Resources Division Desk Manual/NIA-AFS-ADM-DM-002 3.3.2 Physical Resource Management NIA maintains a safe and comfortable work environment, its surroundings, landscaping and various facilities such as office areas, canteen, lounge, social hall, auditorium for all employees, where every possible and reasonable accommodation is made for every individual’s accessibility and needs. Workstations are arranged to support personal comfort and productivity. Work areas are organized according to space required for the assigned task. The end objective of this is to establish a quality work-life for the employees in order to work more effectively and efficiently. Reference: General Services Division Desk Manual/NIA-AFS-ADM-DM-004 3.3.3 Financial Resource Management The Financial Resource Management includes accounting, budgeting and disbursement of NIA’s financial resources supervised by all finance sectors, offices and personnel of NIA to carry out the following functions: Maintain and institute the improvement in the cost accounting system and financial

controls consistent with the needs of management and administrative accounting and auditing laws, rules and regulations for more effective and efficient management of fund;

Recommendation and dissemination of financial policies; Fund management including monitoring of fund utilization; Processing of payments and disbursements; Generation and submission of financial reports, including performance review and

evaluation of targets and commitments; and Rendition of cash management and treasury services.

Reference: Financial Management Department Operations Manual/NIA-AFS-FMD-OPM-010




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3.3.4 Goods and Services Procurement The Procurement Section ensures effective and prompt procurement of supplies, materials, equipment, spare parts and contract services for Central Office in accordance with RA 9184. After validation of the Project Procurement Management Plan (PPMP) of Regional/ Project Offices and Central Office for the succeeding year by the Budget and Revenue Division, the Procurement Section consolidates said PPMP into APP. In addition, it monitors supply market trends (e.g. material price increases, shortages, changes in suppliers) and interpret the impact of these trends on the Agency’s strategies. Identify the critical materials and services required to support the Agency in the key performance areas. Common-use supplies, materials and equipment are being procured from the Procurement Service attached to Department of Budget and Management (DBM). Facilitate payments to suppliers by preparation of the Budget Utilization Request and Disbursement Vouchers. Regardless of the mode of procurement, the Property Section ensures that all receipt/ accepted delivered goods shall be in accordance with the specifications, terms and conditions as provided in the Purchase Order (PO)/ Contract subject to technical and COA inspection. Likewise, said delivered goods are properly documented and issued to personnel/end-users with signed and approved Acknowledgement Receipt for Equipment (ARE), Inventory Custodian Slip (ICS) and Requisition and Issue Slip (RIS). Pursuant to COA Circular No. 80-124, physical inventory activity being an indispensable procedure for checking the integrity of property custodianship shall be strictly enforced. Thus, the Inventory Committee undertakes Physical Inventory of all CO Property, Plant and Equipment (PPE) every last quarter of current year and submit Annual Inventory Report to COA every January 15 of ensuing year. The Property Section registers and pays the corresponding insurances of CO buildings, facilities and service vehicles at LTO and GSIS, respectively. Auction/ Disposal of unserviceable, no longer needed, obsolete, forfeited/seized supplies, materials and equipment are done regularly. Procurement and Property Division provides both internal/ external customers with timely, cost-effective and efficient procurement and property management services integrated with the mission and vision of the Agency. Reference: Procurement and Property Division Desk Manual/NIA-AFS-ADM-DM-003 3.3.5 Information and External Relations Management Information Management The Management Information Division (MID) under CORPLAN is tasked to manage the agency’s database for information, monitoring, reporting, management decision making, research, publications and other purposes. MID is also responsible for the operation and maintenance of information communication technology resources, and facilities of the organization ensuring efficient and secured Information Communication Technology (ICT) infrastructure.




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MID is in-charged in the development of information systems compliant for automation and computerization of NIA’s processes. The official website of the agency is administered by the division guided by the agency’s Information System Strategic Plan (ISSP) in accordance with the rules and regulations of ICTO. Reference: Management Information Division Desk Manual/NIA-AO-COR-DM-001 External Relations Management

The Public Affairs and Information Staff (PAIS) is directly under the Office of the Administrator. Its mandate is to project the best image of the Agency using various means of tri-media, such as print and broadcast, social media, among others. To be guided with its activities in attaining its mandate, PAIS develops a Yearly Comprehensive Communication Plan, defining its core functions as stated below: Publicity and Public Relations Publication/IEC Materials Audio-Visual/Information & Communication Technology Communications and Program Monitoring Other Activities

References: Public Affairs and Information Staff Operations Manual/ NIA-AO-PAIS-OPM-005 3.3.6 Legal Services NIA through the Legal Services department undertakes legal research, renders legal advice to queries and undertakes defense of all cases on various legal issues emanating from different department/regional offices of the Agency. The office also provide legal services for the protection of corporate rights, interest & property, and review of all contracts, agreements & other legal instruments that may be entered into by the Agency with private entities and other government instrumentalities for legal validity. References: Legal Services Operations Manual/NIA-AO-LEGAL-OPM-006 3.3.7 Internal Audit The Internal Audit Services (IAS) is in charge on the conduct of audit and evaluation of audit findings to determine the extent of compliance with established laws, rules, guidelines and standards. The audit processes are as follows:




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AUDIT SCOPE AND CRITERIA

Audit Engagement Planning Audit engagement planning involves the listing down of the audit objective, audit criteria and scope, the detailed audit procedures to accomplish the audit objective, the auditor to perform the procedures and the specified time frame. The audit plan should be based on a sound understanding of the internal control system, operating and support systems and processes. In planning and scoping audits, audit effort and resources are directed to the key issues that matter most and to complete the audit in the least time necessary, without compromising its quality. It is the most important part of the audit as the success of an audit depends on how well it has been planned. Audit Execution Execution of the audit is initiated with an entry conference to discuss the focus, requirements and timeliness of the audit. It involves performing the audit techniques and procedures enumerated in the work program to gather data and pieces of evidence, to achieve the stated audit objective/s. Compliance Audit is the first approach in the audit execution either in Management or Operations Audit, to determine the effectiveness of control and whether the government operations are in accordance with the organization’s mandate and objectives. Highlights of the audit findings are discuss in the exit conference with the auditee and/or the responsible official who has sufficient knowledge about the audit area to provide an opportunity to get the auditee’s comments and insights about the significant audit issues. Audit Reporting Audit reporting represents the culmination of the audit execution and the associated analysis and considerations made during the audit. The audit findings should align with the audit objectives and should be rational and based on specific standards and criteria. The recommendations provide courses of action as the basis for improving internal controls. Audit recommendations are management/legal remedies to avoid occurrence or avoid recurrence of control weaknesses and incidences. Audit Follow-up Follow-up is a monitoring and feedback activity undertaken to ensure the extent and adequacy of preventive/corrective actions taken by the Management to address the inadequacies identified during the audit. References: Internal Audit Services Operations Manual/NIA-IAS-OPM-003




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4. APPROVAL


MAINTENANCE OF DOCUMENTED INFORMATION

Document Code : NIA-QPR-2016-0001

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1. PURPOSE

1.1 This documented information aims to define the policies and procedure on the maintenance of NIA documented information, to ensure that appropriate versions are identified and made available at point of use.

1.2 This procedure aims to ensure that documents of external origin are identified and their distribution, controlled.

2. POLICY

2.1 It is the policy of NIA to ensure that pertinent documented information are properly identified, updated, approved, and made available at points of use. Also, it is the policy of NIA to ensure that documented information of external origin are identified and controlled during distribution.

3. DEFINITION OF TERMS

3.1 Agency-wide Documents - Documented Information issued for all the employees and officials of NIA including central and field personnel.

3.2 Controlled Copy - Reproduced copy of the original document, latest issued document; indicated by blue “Controlled Copy” stamp.

3.3 Controlled Documented Information

- Documented information which are within the control of the Document Controller issued to identified recipient.

3.4 Computerize Document Tracking System (CDTS)

- A computer program that is use by the agency in tracking and routing of internal and external documented information, installed in every computer of Unit Document Controller.

3.5 Documents - As referred to in this procedure, are QMS quality procedures, standard operational instructions, the Quality Manual, and other procedures/ standard/form indicated in the Master List of Document.

3.6 Documented Information - as meaningful data that is required to be controlled and maintained by the organization and the medium on which it is contained. Note to this definition indicate that documented information can refer to the Quality Management System (QMS) and its processes, documentation, and “records”.

3.7 Master List of Documents - A list of the documented information being controlled by the Document Controller in terms of creation, approval, revision, distribution, access, and use.

3.8 Document Change Notice Form

- A form used to suggest any revision to an existing document or manual.

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3.9 Document Masterlist Program

- A computer program that contains the controlled list of forms ready for download, installed in every computer of Unit Document Controller.

3.10 External Documented Information

- documented information generated from external sources (outside NIA).

3.11 General Memorandum - Ordinary memoranda like overtime, detail and other office memoranda directed to specific group of individual/s.

3.12 Internal Documented Information

- documented information generated from QMS implementation and relevant to NIA operations.

3.13 Master Copy - refers to any QMS documented information that is in the control and possession of the Document Controller indicated by blue “Master Copy” stamp.

3.14 Memorandum Circular -

A numbered issuance intended for all the employees and officials of NIA including central and field personnel; or an issuance intended for all field officials and/or employees. It may prescribe certain rules, requirements or procedures, or it may merely relay information for the guidance of those concerned.

3.15 Obsolete Copy - Superseded documented information, indicated by red “Obsolete Copy” stamp.

3.16 Office Circular (OC) - A numbered administrative issuance from the administrator to all central office officials and employees of NIA prescribing rules of conduct or office procedure.

3.17 Office Memorandum (OM) - An issuance addressed exclusively to a particular group of officials and/or employees, or to a particular unit or division of NIA. Office Orders fall under this heading.

It shall consist of memoranda like reassignment/designation of Chief of Office or officials and authority to sign official documents.

3.18 Original Copy - Original document bearing approvals in black or blue ink, maintained by the DC.

3.19 Quality Documents - documented information that refers both to Quality Manual and Quality Procedures

3.20 Uncontrolled Copy - Reproduced copy of a controlled copy document strictly for reference use, indicated by blue “Uncontrolled Copy” stamp.

3.21 Uncontrolled Documented Information

- any documented information that was unofficially printed, reproduced and/or downloaded.




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4. SCOPE

4.1 This procedure applies to all documented information required by the NIA’s Quality Management System as indicated in the Master List of Document.

4.2 This procedure also covers the monitoring and/or distribution of externally generated

documents. 5. RESPONSIBILITIES

5.1 Quality Management Representative – Reviews the established procedures in line with the requirements of the ISO 9001 Standards and approves the same for implementation.

5.2 Document Controllers (DC) – Ensures that all documented information are properly

identified, updated, approved and made available at relevant areas for use. The DC is also responsible for the maintenance and implementation of this procedure on Control of Documented Information.

5.3 Originator/Process Owner - Person who initiates the creation/revision documented

information. 5.4 Unit Document Controller (UDC) - Ensures that documented information needed by the unit are properly maintained and readily available. He or she maintains the Unit’s Record Retention Schedule and Record Masterlist, listing all the records held by the unit. 6. PROCEDURE DETAILS

Key Activities Responsible 6.1 Creation/Revision/

Amendment of Documented Information

Originator/ Process owner

6.2 Review and Approval of Documented Information

Approving Authorities Originator/ Process Owner

6.3 Registration and Distribution of Documented Information

DC

6.4 Maintenance of Controlled Documents

DC/UDC

6.5 Recall/ Superseding of Documented Information

DC

6.6 Control of External Documented Information DC/UDC




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6.1 Creation/ Revision/Amendment of Documented Information

6.1.1 The originator/process owner identifies activities that require documentation within their area of operation. This may occur due to the needs of the Department as part of the audit process or as part of the corrective and preventive action process.

6.1.2 Upon completion of the draft, the originator prepares a cover memorandum

and endorses the same to the reviewing and approving authorities, as outlined under Document Authorization Matrix (Table 1).

Table 1. Document Authorization Matrix

Document Originator Review Approval I. Quality Documents

a. Quality Manual b. Quality Procedures

QMS Core Team Head QMS Core Team

Overall Quality Management Representative (QMR) Deputy QMR

Administrator Overall QMR

II. Agency-wide Office Documents

Concerned O/D/D

Functional Group Head or Heads of O/D/D

Administrator or duly Designated Officials

III. O/D/D Internal Documents

Concerned process owners

Department Manager and Division Manager

6.1.3 All Quality Documents and O/D/D Internal Document start at Revision 0. The

types of revision are classified into two the major revision which is identified as substantive in nature and minor revision which is identified as typographical

errors. Whenever there is a major revision to these documents, the revision number is advanced by one. However, the version number followed by a second sequential number (e.g. 0.1) notes minor revisions. The minor revisions in the Quality Document and O/D/D Internal Documents are shown in bold and underlined fonts (as this example) to give a visual indication of the revisions.

6.2 Review and Approval of Documented Information

6.2.1 The reviewing authorities review the draft in accordance with pertinent rules, and circulate it for additional inputs as necessary, until the same is approved.

6.2.2 Once the document is approved, the Originator/Process owner accomplishes the Document Change Notice.




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6.3 Registration and Distribution of Documented Information

6.3.1 The approved documented information are transmitted to the DC, along with the accomplished DCN, for registration and distribution.

The approved documents such as the Memorandum Circular (MC), Office

Circular (OC) and Office Memorandum (OM) are transmitted to the designated UDC of Internal Audit Services (IAS) for numbering. The numbered document is forwarded to Records Section for distribution.

On the other hand, the approved O/D/D Internal Documents are transmitted to the designated UDC of the O/D/D concerned.

6.3.2 Upon receipt, the DC assigns a new unique identification number. 6.3.3 Coding for Quality Documents is as follows:

XXX-XXX-YYYY-000X

Number Series Year Name of Document Name of Organization

Ex. NIA-QPR-2016-0001 for Quality Procedure Ex. NIA-QMS-2016-0001 for Quality Manual

6.3.4 Coding for the QMS forms is as follows: NIA-(O/D/D Name) -XXX-Form0X Rev.0X

Revision Number Form Number Document type Name of Office/Dept./Division

Name of Organization

Ex. NIA-AFS-ADM-HRD-INT-Form12 Rev.00 for Certificate of Appearance

6.3.5 External forms are recorded on the Master List of Internal1/External2 Forms and will no longer be coded.




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6.3.6 Coding for the QPR forms is as follows:

XXX-XXX-Form0X Rev.0X Revision Number Form Number Name of Document Name of Organization

Ex. NIA-QPR-Form03 Rev.00 for Master List of Internal1/External2 Forms

6.3.7 Identification/Coding for the Office/Department/Division Documents is as

follow:

A. For flowcharts, guidelines, manuals and procedures

NIA – (originating O/D/D) – (type of document) – 00X Number Series

Type of Document

Originating O/D/D

Name of Organization

Ex. NIA-AO-COR-OPM-001 for Operations Manual

6.3.8 However, NIA-internally issued policies shall maintain the regular numbering/ coding system being used for such policies, like Office Circular, Memorandum Circular and Office Memorandum.

6.3.9 After the documents are coded, the DC enters the details of the document in the Master List of Document and keeps the Master Copy. The Master List of Document contains the documented information title/subject, assigned document number, revision number, effectivity/issuance date, and originator, as may be applicable.

6.3.10 After the registration of the documented information, the DC distributes the

approved documents, as follows:




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Table 2. Documented Information Authorization Matrix Documented

Information Type Distribution

Quality Documents Hard copy documented information stamped “controlled copy” are issued by DC to identified copyholders. Soft copy documents are considered “uncontrolled copy”.

Agency-wide Office Documented Information

Hard copy documents stamped “controlled copy” are issued by DC to identified copyholders. For general circulation, uploading of documented information shall be done by the Website Administrator upon request by the owner of the documented information.

O/D/D Internal Documented Information

Hard copy of documented information stamped “controlled copy” are issued by DC to identified copyholders.

6.3.11 The DC updates the QMS Documents Distribution Record Form, particularly

the “Issued to/holder” and “Received” columns. 6.3.12 Hard copies of Quality Documents and O/D/D Internal Documents are

stamped “controlled copy” by the DC, prior to distribution. On the other hand, Agency-wide Office Documents bear the “Released” stamp prior to distribution and uploading.

Table 3. Specimen of Official Document Stamps

Specimen Name Description Revision

Status

Master Copy

Color: Blue Stamp Area: Lower leftmost part of front page

00

Controlled Copy

Color: Blue Stamp Area: Lower rightmost part of front page

00

Uncontrolled Copy

Color: Blue Stamp Area: Lower rightmost part of the front page

00

Obsolete Copy

Color: Red Stamp Area: Lower rightmost part of front page

00




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6.3.13 All electronic files are read-only to prevent unauthorized editing of the documents. Once printed, these documents are considered uncontrolled copies unless it bears the appropriate “controlled copy” stamp.

6.4 Maintenance of Controlled Documented Information

6.4.1 When a Quality Document is obsolete, the computer file is moved by the DC to a directory that is clearly identified for superseded Quality Documents only.

6.4.2 For Agency-wide Office Documents, a repealing clause is added, e.g., “Any

provisions which are inconsistent with this issuance shall be deemed superseded.” An addendum or errata may also be issued to amend certain provisions. Guidelines for specific year/s are automatically considered obsolete at the end of the year/s covered. Previously issued documented information are retained for reference.

6.4.3 The external distribution of Quality Documents requires the approval of the

QMR or his/her designate. The DC maintains a separate logbook for the purpose. The copies of Quality Document distributed externally are considered uncontrolled copies.

6.5 Recall/ Superseding of Documented Information

6.5.1 Obsolete Quality Documents and O/D/D Internal documents in hard copies shall be retrieved by the assigned DC of CO/RIO/IISO/IMO upon issuance of the updated documents.

6.5.2 Appropriate fields in the “Returned” columns of the QMS Documents

Distribution Record Form are filled out. Only the obsolete master copy, stamped “Obsolete Copy”, is retained for archiving. Obsolete controlled copies are shredded and disposed.

6.6 Control of External Documented Information

6.6.1 External documented information, including those received through facsimile or electronic mail, which emanate from other agencies and affect the operations of the Department are registered by the DC/UDC using the electronic / manual logbooks and routed and tracked using the CDTS. Faxed documents are photocopied to remain legible.

7. REFERENCES

7.1 Master List of Internal1/External2 Forms

7.2 Master List of Documents

7.3 QMS Documents Distribution Record Form

7.4 Document Change Notice




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8. APPROVAL




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ANNEX H

poj

Sticky Note

Accepted set by poj

poj

Stamp

poj

Stamp

poj

Stamp

poj

Stamp

poj

Sticky Note

Accepted set by poj

poj

Text Box

ANNEX M

poj

Text Box

ANNEX N