Qms Procedure Rev.1

Republika ng Pilipinas
National Irrigation Administration

(Pambansang Pangasiwaan ng Patubig)
TABLE OF CONTENTS
I. CONTROL OF DOCUMENTS
1 PURPOSE...................................................................................................................................................... 1
2 POLICY ......................................................................................................................................................... 1
3 DEFINITION OF TERMS .............................................................................................................................. 1
4 SCOPE........................................................................................................................................................... 3
5 RESPONSIBILITIES ...................................................................................................................................... 3
6 PROCEDURE DETAILS ................................................................................................................................. 3
6.1 CREATION/REVISION/AMMENDMENT OF DOCUMENTS ................................................................ 5
6.2 REVIEW AND APPROVAL OF DOCUMENTS ........................................................................................ 6
6.3 REGISTRATION AND DISTRIBUTION OF DOCUMENTS ..................................................................... 6
6.4 MAINTENANCE OF CONTROLLED DOCUMENTS ............................................................................... 9
6.5 RECALL/SUPERSEDING OF DOCUMENTS ........................................................................................ 10
6.6 EXTERNAL DOCUMENTS................................................................................................................... 10
6.7 COMPUTER SECURITY....................................................................................................................... 10
7 REFERENCES ............................................................................................................................................. 10
8 APPROVAL ................................................................................................................................................. 11
II. CONTROL OF RECORDS
1 PURPOSE...................................................................................................................................................... 1
2 POLICY ......................................................................................................................................................... 1
3 DEFINITION OF TERMS............................................................................................................................... 1
4 SCOPE........................................................................................................................................................... 1
6 PROCEDURE FLOW ..................................................................................................................................... 2
7 PROCEDURE DETAILS................................................................................................................................. 3
7.1 PROCEDURE DETAILS .......................................................................................................................... 3
7.2 RECEIPT/RELEASED COLLECTION AND IDENTIFICATION OF EXTERNALLY/INTERNALLY
GENERATED DOCUMENTS AND RECORDS ......................................................................................... 3
7.3 REVIEW AND APPROVAL OF RECORDS .............................................................................................. 4
7.4 STORAGE AND PROTECTION OF RECORDS ........................................................................................ 4
7.5 RETRIEVAL AND RETENTION OF RECORDS ....................................................................................... 4
7.6 MAINTENANCE AND DISPOSAL OF RECORDS .................................................................................... 4
8 REFERENCES ............................................................................................................................................... 5
9 APPROVAL ................................................................................................................................................... 5
III. INTERNAL QUALITY AUDIT
1 PURPOSE...................................................................................................................................................... 1
2 POLICY ......................................................................................................................................................... 1
4.1 RESPONSIBILITIES ............................................................................................................................... 2
4.2 PLANNING THE AUDIT......................................................................................................................... 2
4.3 PREPARATION FOR THE AUDIT .......................................................................................................... 3
4.4 CONDUCTING THE AUDIT .................................................................................................................... 3
4.5 REPORTING OF AUDIT FINDINGS ....................................................................................................... 3
4.6 VERIFICATION OF ACTIONS TAKEN ................................................................................................... 4
5 REFERENCES ............................................................................................................................................... 4
6 APPROVAL ................................................................................................................................................... 4
IV. CONTROL OF NONCORMITY
1 PURPOSE...................................................................................................................................................... 1
2 POLICY ......................................................................................................................................................... 1
4 SCOPE........................................................................................................................................................... 1
6.1 IDENTIFICATION OF NONCONFORMING PRODUCTS/SERVICES ....................................................... 2
6.2 VERIFICATION OF NONCONFORMITY ................................................................................................. 2
6.3 RESOLUTION OF NONCONFORMITY ................................................................................................... 2
6.4 IMPLEMENTATION OF APPROPRIATE ACTION .................................................................................. 2
6.5 FOLLOW-UP ON ACTION TAKEN ........................................................................................................ 3
7 REFERENCES ............................................................................................................................................... 3
8 APPROVAL ................................................................................................................................................... 4
V. CORRECTIVE AND PREVENTIVE ACTION
1 PURPOSE...................................................................................................................................................... 1
2 POLICY ......................................................................................................................................................... 1
4 SCOPE........................................................................................................................................................... 1
6.1 IDENTIFICATION OF NONCONFORMITIES .......................................................................................... 2
6.2 DOCUMENTING AND REPORTING NONCONFORMITIES .................................................................... 2
6.3 CORRECTIVE AND/OR PREVENTIVE ACTION IMPLEMENTATION ................................................... 3
6.4 VERIFICATION OF ACTION TAKEN ..................................................................................................... 3
6.5 EFFECTIVENES OF ACTIONS TAKEN................................................................................................... 3
6.6 APPEALS PROCESS ............................................................................................................................... 3
7 REFERENCES ............................................................................................................................................... 4
8 APPROVAL ................................................................................................................................................... 4
Document Code : NIA-QPR-2016-0001
National Irrigation Administration Revision :1
CONTROL OF DOCUMENTS Issue Date : December 01, 2016
Page(s) : 1 of 15
1. PURPOSE
1.1 This document aims to define the policies and procedure for controlling and maintaining NIA
documents, 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 documents are properly identified, updated,
approved, and made available at points of use. Also, it is the policy of NIA to ensure that
documents of external origin are identified and controlled during distribution.
3. DEFINITION OF TERMS
3.1 Agency-wide Documents - Documents 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 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 Document Masterlist.
3.4 Document Controller - Individual/s assigned to oversee the implementation of the
(DC) Document Control procedure.
3.5 Document Masterlist - A list of the documents being controlled by a Document
Controller in terms of creation, approval, revision,
distribution, access, and use.
3.6 Document Change Notice - A form used to suggest any revision to an existing document
Form or manual.
3.7 External Documents - Documents generated from external sources (outside NIA).
3.8 General Memorandum - Ordinary memoranda like overtime, detail and other office
memoranda directed to specific group of individual/s.
3.8 Internal Documents - Documents generated from QMS implementation and
relevant to NIA operations.
3.9 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.
3.10 Obsolete Copy - Superseded document, indicated by red “Obsolete Copy”
stamp.
Page(s) : 2 of 15
3.11 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.
3.12 Office Memorandum - An issuance addressed exclusively to a particular group of

(OM) 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.
3.13 Original Copy - Original document bearing approvals in black or blue ink,
maintained by the DC.
3.14 Originator/Process - Person who initiated document creation/revision who shall
Owner fill-out the “Prepared by” portion of the document.
3.15 Quality Documents - documents that refers both to Quality Manual and Quality
Procedures
3.16 Uncontrolled Copy - Reproduced copy of a controlled copy document strictly for
reference use, indicated by blue “Uncontrolled Copy” stamp.
3.17 Unit Document - Ensures that records needed by the Unit are properly
Controller maintained are readily available. He or she maintains the
Unit’s Record Retention Schedule and Record Masterlist,
listing all the records held by the Unit.
Page(s) : 3 of 15
4. SCOPE
4.1 This procedure applies to all documents required by the NIA’s Quality Management System
as indicated in the Document Masterlist.
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 – Ensures that all documents 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 Documents.
6. PROCEDURE DETAILS
Reference
Key Activities Responsible Document/
Record
6.1  Assessment of data and Originator/ Memorandum/
gathering requirements Process owner Document Change
Creation/
for document Notice
Revision/
preparation
Amendment  Creation/revision of
draft
 Preparation of a cover
memorandum
 Submission of the draft
for Reviewing and
Approving Officials
6.2  Review and approval of Approving Memorandum
documents by Authorities
Review and approving authorities
approval  Submission of the Originator/ DCN
approved document, Process Owner
along with the duly
accomplished Document
Change Notice (DCN), to
the DC
6.3  Recording/ Updating of DC Document

the Document Masterlist Masterlist
Registration
and QMS Documents
And QMS Documents
Distribution Record
Distribution Form Distribution Record
Form
A
Page(s) : 4 of 15
Reference
Key Activities Responsible Document/
Record
6.4  Identification of the DC/Unit DCs Electronic record of
copyholders email recipients
A
 Reproduction/
scanning/ printing of
the documents
 Stamping of QMS
Maintenance documents
of Copies  Distribution of hard
copies and/or sending
through mail and
uploading in the order
of the scanned copies
Use of QMS Document
Distribution Record
Form and electronic
record of email
recipients to properly
disseminate to O/D/D
concerned
6.5  Retrieval of obsolete DC Document
Quality Document Masterlist
 Use of “Obsolete” stamp
Recall/ on the original copy of
Superseding Quality Document
of Documents retrieved
 Update of the Document
Masterlist and QMS
Documents Distribution
Record Form
 Use of addendum,
errata, indication of
year, etc. for the office
documents
Page(s) : 5 of 15
6.1 Creation/ Revision/Amendment of Documents

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 QMS Core Overall Quality Administrator

Team Head Management
Representative
(QMR)
b. Quality Procedures QMS Core Deputy QMR Overall QMR

Team
II. Agency-wide Office Concerned Functional Administrator or

Documents O/D/D Group Head or duly Designated
Heads of O/D/D Officials
III. O/D/D Internal Concerned Department

Documents process Manager and
owners 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.
6.1.4 On the other hand, whenever there is a change in the Agency-wide Office
Documents, an alphabetic character is added at the end of the document
number, (e.g. 2016-01A, 2016-01B).
Page(s) : 6 of 15
6.2 Review and Approval of Documents

6.2.1 The reviewing authorities review the draft document 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 (Annex 1).
6.3 Registration and Distribution of Documents

6.3.1 The approved Quality Documents and Agency-wide Office documents 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 for the newly-
created document.
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
Page(s) : 7 of 15
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
Ex. NIA-AFS-ADM-HRD-EXT-Form01 Rev.00 for Leave Application Form
6.3.5 Coding for the QPR forms is as follows:
XXX-XXX-Form0X Rev.0X
Revision Number
Form Number
Name of Document
Ex. NIA-QPR-Form03 Rev.00 for Master List of Internal1/External2 Forms
6.3.6 Identification/Coding for the Agency-wide Office Documents is as follows:
A. For Memorandum Circular:
X.X. No. 00, Series YYYY
Year
Number Series
Type of Document
Ex. M.C. No. 40, Series 2016
6.3.7 Identification/Coding for the Office/Department/Division Documents is as

follows:
A. For Office Memorandum
Office Memorandum Type of Document

No. 0X Number Series
Series YYYY Year
Ex. Office Memorandum

No. 40
Series 2016
Page(s) : 8 of 15
B. For Office Circulars
X.X. No. 00, Series YYYY
Year
Number Series
Type of Document
Ex. O.C. No. 40, Series 2016
C. For flowcharts, guidelines, manuals and procedures
NIA – (originating O/D/D) – (type of document) – 00X
Number Series
Type of Document
Originating O/D/D
Ex. NIA-AO-COR-OPM-001 for Operations Manual
6.3.8 After the documents are coded, the DC enters the details of the document in the
Document Masterlist and keeps the Master Copy. The Document Masterlist
contains the document title/subject, assigned document number, revision
number, effectivity/issuance date, and originator, as may be applicable.
6.3.9 After the registration of the documents, the DC distributes the approved
documents, as follows:
Table 2. Document Authorization Matrix

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

Agency-wide Office Hard copy documents stamped “controlled copy” are issued
Documents by DC to identified copyholders.
For general circulation, uploading of documents shall be done

by the Website Administrator upon request by the document
owner.
O/D/D Internal Documents Hard copy documents stamped “controlled copy” are issued
by DC to identified copyholders.
Page(s) : 9 of 15
6.3.10 The DC updates the QMS Documents Distribution Record Form, particularly
the “Issued to/holder” and “Received” columns.
6.3.11 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
Revision
Specimen Name Description
Status
Color: Blue
Stamp Area: Lower
Controlled Copy 00
rightmost part of
every page
Color: Blue
Uncontrolled Stamp Area: Lower
00
Copy rightmost part of
the front page
Color: Red
Stamp Area: Lower
Obsolete Copy 00
rightmost part of
every page
6.3.11 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 Documents

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 documents are
retained for reference.
Page(s) : 10 of 15
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 Documents

6.5.1 Obsolete Quality Documents and O/D/D Internal documents in hard copies
are retrieved by DC 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 External Documents

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

6.7.1 Key office computer information such as DATABASES resides in storage and
should be backed-up on existing external storage devices.
6.7.2 The back-up procedure is carried out periodically. The most current back-up
copy shall always be with the Management Information Division and a copy
shall be available on-site with Management Information Division in a fire-
proof safe for security purposes.
7. REFERENCES
7.1 Master List of Internal1/External2 Forms– NIA-QPR-Form03 Rev.00
7.2 Master List of Documents– NIA-QPR-Form03A Rev.00
7.3 QMS Documents Distribution Record Form– NIA-QPR-Form05 Rev.00
7.4 Document Change Notice – NIA-QPR-Form06 Rev.00
Page(s) : 11 of 15
8. APPROVAL
Page(s) : 12 of 15
Page(s) : 13 of 15
Page(s) : 14 of 15
FORM 5
QMS DOCUMENTS DISTRIBUTION RECORD FORM
Document
Title:
Effectivity Document Revision No.
Date: No.
Holder’s Signature
Issued To/
Copy No. Location Received Returned
Holder
Date Signature Date Signature
NIA-QPR-Form05 Rev.00
Page(s) : 15 of 15
FORM 6
DOCUMENT CHANGE NOTICE

FROM TO
Effectivity Date:
Document No.:
Revision No.:
Title:
Type of Change:  Original  Obsolete
 Minor Revision  Major Revision

Type of Document:  Quality Document  Agency-wide Office
Document
 Quality Form  Office Document
Publication Requirement:  Official Gazette (within 16 working days from DC’s receipt of
notice)
 Newspaper of General Circulation (within 2-3 working days
from DC’s receipt of notice)
 Not Required
Reason/Description of Change:
Training Requirement:  No training required  Training required

Originator of DCN Request:
Prepared by: Received by:
Name and Signature/ Date Name and Signature/ Date

DC
NIA-QPR-Form06 Rev.00
CONTROL OF RECORDS Issue Date : December 01, 2016
Page(s) : 1 of 5
1. PURPOSE
1.1 This document aims to define and provide the controls needed in the use, maintenance, and
disposal of records and also to serve as a uniform guide to all personnel involved with records
for effective records management in the agency.
2. POLICY
2.1 To ensure conformity to the requirements and ensure effective operation of the agency’s
quality management system, it is the policy of the National Irrigation Administration to
ensure that pertinent records are established, organized, maintained, and properly disposed
in accordance with the guidelines provided in the control of records and subject to the
provision of RA 9470 otherwise known as the “National Archives of the Philippines Act of
2007.’’
3.1 Records - A type of document that provides evidence that activities
have been performed.
3.2 Active Records - Records within active retention period/ life that are
maintained, used, and controlled.
3.3 Inactive Records - Records within the inactive retention period that are rarely
used, no longer referred to, and transferred to a safe storage
area
3.4 Retention Period - Refers to the specific period of time established and
approved by the National Archives of the Philippines as the
life span of records, after which they are deemed ready for
permanent storage or destruction.
3.5 Obsolete Records - Records whose retention periods have expired and which
are no longer needed.
3.6 Records Disposition - Refers to a listing of records series by organization showing,
Schedule for each records series the period of time it is to remain in
the office area, in the storage (inactive) area and its
preservation or destruction.
3.7 Externally Generated - Refers to government issuances coming from other
Documents government agencies and other related documents that
affect NIA in the implementation of its programs and
projects, such as, but not limited to DBM Issuances, COA
Issuances, CSC Issuances, BIR Issuances, and
Executive/Presidential Issuances
4. SCOPE
4.1 This QPR applies to all records relative to the implementation of the Agency’s Quality
Management System. It covers the controls needed for the collection and identification,
storage and protection, retrieval and retention, and maintenance and disposal of records,
including the handling of externally generated information and information provided by the
clientele agencies.
Page(s) : 2 of 5
5. RESPONSIBILITIES
5.1 Quality Management - Responsible for ensuring that the requirements for the
Representative (QMR) control of records stated in this procedure are properly
identified and implemented.
5.2 Records Officer/ - Ensures that data and information written on their
Operating Unit Heads respective records are true, correct, accurate and complete;
and comply with the records management requirements.
5.3 HRD-Personnel - Responsible for the receipt, collection and identification of
Relations, Externally/Internally Generated Documents.
Documentation and
Records Section
(PRDRS)
5.4 Records Controller - Responsible for the identification, storage, protection,
retrieval, retention, and disposal of records for the
concerned operating unit and the Quality Documents and
Records Team is the overall keeper of the Records
Disposition Schedule.
5.5 Unit Records Controller - Refers to any agency employee with responsibilities over a
particular set of records in a unit. A unit records controller
must keep the Records Officer informed of any issues
regarding the records in their custody.
6. PROCEDURE FLOW
Key Activities Responsible Reference
6.1 Receipt/Release
d Collection and
Identification of
Externally/ HRD-Records Section
Internally See Details 7.2
Generated
Documents and
Records
6.2
Review and
Approval of Records Officer/
Records
Operating Unit Heads See Details 7.3
A
Page(s) : 3 of 5
6.3
A
Records Controller/ Unit

See Details 7.4
Storage and Records Controller
Protection of
Records
6.4
Retrieval and
Retention of Records Controller/Unit See Details 7.5
Records Records Controller
6.5
Maintenance Records Officer
and Disposal of
Records Controller/ Unit See Details 7.6
Records
Records Controller
7.1 General
7.1.1 Records are legible, identifiable and easily retrievable.
7.1.2 Pencil markings are considered unofficial.
7.1.3 Records can be in the form of any type of media such as hard copy or electronic file.
7.1.4 If necessary, records are reviewed and/or approved prior to issue.
7.1.5 Records indicate the person/s that authorizes its use.
7.2 Receipt/Collection and Identification of Externally/Internally Generated

Documents and Records
7.2.1 Externally/Internally Generated Documents are received/released by the HRD –
Personnel Relations, Documentation and Records Section (PRDRS) for appropriate
routing to concerned units/clientele.
7.2.2 Records are identifiable through any or a combination of the following information, as
appropriate:
a. Title of Record
b. Date(s)
c. Name of Signatory (ies)
d. Document Code
Page(s) : 4 of 5
e. Revision Status
f. Reference Document
g. Control Number (if necessary)
7.2.3 Records are submitted/ surrendered for appropriate filing/ disposal by the Records
Controller or concerned Process Owner.
7.3 Review and Approval of Records

7.3.1 Some records require the signature of authorized individuals. The reviewer ensures
that said records are legible and contain sufficient information as basis for its
endorsement or approval. Hence, some records without the signature of approving
authorities may be treated “unofficial.”
7.3.2 In case of erasure or correction, the corrected data bears the initials of the person who
corrected it and the date it was corrected.
Oct.22, 2012
For example: 6312 7564 Eub
7.4 Storage and Protection

7.4.1 Records are kept in appropriate locations to minimize physical deterioration, damage,
and loss. Records are filed in a way that enhances accessibility. As such, records may
be protected in accordance with any of the following:
a. Use of expanded folders, protective sheets, and/or ring binders;

b. Stored in file boxes, shelves or steel cabinets to prevent from deterioration;
c. Regular back-up of e-files; and/or
d. Access restriction, through password (this pertains only to soft copy and other
security measures) to prevent from unauthorized use.
7.5 Retrieval and Retention

7.5.1 To ensure easy retrieval, filing cabinets, shelves, boxes, folders, and envelopes are
labeled according to the established filing system. Likewise, a Records Disposition
Schedule is maintained indicating information, such as: Record Title, Retention
Period, Location, and Disposition of records.
7.5.2 Records, borrowed by other offices or workgroups, are traced using log books.
7.6 Maintenance and Disposal

7.6.1 Maintenance and disposal of records are done in accordance with the Records
Disposition Schedule.
7.6.2 Disposition of all applicable records within NIA shall be coordinated with the National
Archives of the Philippines (NAP).
7.6.3 For easier safekeeping, permanent records may be converted to e-files, except for
records that require original copy bearing authentic signatures.
Page(s) : 5 of 5
8. REFERENCES
8.1 R. A. No. 9470 – An Act to Strengthen the System of Management and Administration of
Archival Records, establishing for the purpose the National Archives of the Philippines and
for other Purposes.
8.2 National Archives General Circular No. 1 s.2009 – Rules and Regulations Governing the
Management of Public Records and Archives Administration
8.3 National Archives General Circular No. 2 s.2009 – Guidelines on the Disposal of Valueless
Records in Government Agencies
9. APPROVAL
INTERNAL QUALITY AUDIT Issue Date : December 01, 2016
Page(s) : 1 of 4
1. PURPOSE:
1.1 To establish, document, and maintain a procedure for the NIA’s Internal Quality Audit (IQA).
1.2 To define the system for the planning, preparation, execution, follow-up, and reporting of IQA
activities in determining whether:
1.1.1 The QMS conforms to the planned arrangements, to the requirements of ISO 9001, and
to the established quality management system; and,
1.1.2 The QMS is effectively implemented and maintained.
2. SCOPE:
2.1 This procedure applies to NIA’s quality management system whose processes directly affect
the quality of services delivered to the customer.
3.1 Internal Audit - It is the evaluation of management controls and operations
performance, and the determination of the degree of
compliance with laws, regulations, managerial policies,
accountability measures, ethical standards and contractual
obligations. It involves the appraisal of the plan of
organization and all the coordinated methods and measures,
in order to recommend courses of action on matters relating
to operations and management control.
3.2 Audit Criteria - Set of policies, procedures, issuances or requirements, used
as reference against which existing condition is assessed.
3.3 Audit Evidence - Records, statements of facts or other information, which are
verifiable and relevant to the audit criteria. It can be
qualitative or quantitative.
3.4 Audit Findings - Results of the evaluation of the collected audit evidence
against audit criteria
3.5 Conformity (C) - Requirement has been met; No Action required
3.6 Nonconformity (NC) - Failure to meet a requirement of a clause of ISO 9001 or set
criteria; a lapse in the system that needs improvement
3.7 Disposition - Actions to be taken to address nonconformities
3.8 Control Measures - Measures to be taken to prevent occurrence of an identified
problem
3.9 Request for Action (RFA) - This is used to initiate and record the identified NC/OFI and
Form monitor the status and actions taken relative to the NC/OFI.
3.10 Opportunity for - A situation or process that may lead to potential
Improvement (OFI) nonconformity if not properly addressed
3.11 QMR - Quality Management Representative
Page(s) : 2 of 4
4.1 Responsibilities
4.1.1 The QMR is responsible for ensuring that a complete audit on the quality management
system takes place at least once a year.
4.1.2 The IQA Team Chairman is responsible for ensuring the proper implementation of this
procedure.
4.1.3 The Internal Auditor(s) who carried out the audit, which resulted in raising audit
findings, is responsible for conducting follow-up activities to verify the completeness
and the effectiveness of the actions taken.
4.1.4 The Internal Auditor(s) are responsible for preparing the necessary tools and Audit
Checklist to be used for the Audit.
4.1.5 The Auditees are responsible for ensuring that appropriate actions, with regard to audit
findings are taken without undue delay to eliminate their causes.
4.2 Planning the Audit
4.2.1 An Annual Audit Plan is prepared by Internal Quality Audit Team Chairman or his
designated member before the start of a calendar year.
4.2.2 The Annual Audit Plan contains the schedule for a twelve-month period during which
the whole of the quality management system will be audited, at least once.
4.2.3 In addition to the planned audits, unplanned internal audits may be initiated by the QMR,
if deemed necessary. Decisions for initiating unplanned internal audits should be based
on:
- unusual increase of quality related problems,
- introduction of new services,
- changes on the quality system, personnel and processes
- customer’s request, and
- Regulatory audit
4.2.4 The Annual Audit Plan is approved by the QMR prior to its implementation.
4.2.5 Copies of the Annual Audit Plan are disseminated to all concerned departments through
a memorandum prepared by the QMR.
4.2.6 Prior to conducting an audit, both planned and unplanned audit require a notification,
to be given at least a week before the conduct of audit, to affected offices. Notification of
an audit shall be in the form of an Audit Itinerary prepared by the IQA Team Chairman.
Page(s) : 3 of 4
4.2.7 An Audit Itinerary shall include the:

- purpose of the activity;
- audit criteria & scope;
- departments/field offices to be audited with their designated
representatives;
- assigned auditors; and,
- date and time of the audit.
4.2.8 Auditors who are tasked to conduct the audit shall be issued Travel Order recommended
by the QMR and duly approved by the Administrator.
4.2.9 Auditors are trained and qualified in accordance with appropriate education, training,
skill, and experience.
4.3 Preparation for the Audit
4.3.1 Upon notifying auditors and auditees, necessary documentation (e.g. QMS and project
management records) are reviewed by auditors.
4.3.2 Review the audit itinerary, audit checklist, and previous findings as necessary.
4.4 Conducting the Audit
4.4.1 An Opening Meeting is conducted prior to actual audit to reconfirm audit itinerary, basis
for the audit, and audit participants.
4.4.2 The Audit proper must have the following activities:
- Establishing of facts by interviewing personnel, reviewing documents,
observing processes, and verifying records.
- Recording of facts as evidence of the audit.
- Evaluating of facts to determine the objective evidences.
- Classifying audit findings as to C, NC or OFI.
4.4.3 A Closing Meeting is conducted to present audit findings to the Auditees.
4.5 Reporting of Audit Findings
4.5.1 Prepare Audit Reports and Request for Action (RFA) if necessary/as applicable
4.5.2 Audit follow-up is conducted on or after the target implementation/completion date, to
verify whether the appropriate action is effectively implemented.
4.5.3 Details of the actions taken and the verification results are written on the follow-up
portion of the Audit Report and RFA.
4.5.4 In case of a rescheduled follow-up, the auditor ensures that the new follow-up date is
properly recorded in the RFA.
4.5.5 Acted upon RFAs are returned to the IQA Team Chairman.
4.5.6 An Audit Summary Report is prepared by the designated team member, reviewed by the
IQA Team Chairman and submitted to the QMR for approval.
Page(s) : 4 of 4
4.5.7 To provide evidence of a systematic audit and for useful references, the IQA Team
Chairman maintains all relevant records of concluded internal audits.
4.5.8 Results of internal audits are discussed and presented during management review
meetings.
4.6 Verification of Actions Taken
4.6.1 The Audit Report and RFAs are forwarded to the IQA Team Chairman, who assigns
control numbers for monitoring purposes. The IQA Team Chairman maintains a registry
of all Audit Reports and RFAs.
4.6.2 Corrective/preventive actions are implemented without undue delay. Guidelines are
given on Corrective and Preventive Action Procedure.
4.6.3 Actions to address OFIs are recommended.
5. REFERENCES
5.1 Annual Audit Plan – NIA-QPR-Form07 Rev.00
5.2 Audit Checklist – NIA-QPR-Form08 Rev.00
5.3 Audit Itinerary – NIA-QPR-Form09 Rev.00
5.4 Request for Action Form – NIA-QPR-Form10 Rev.00
5.5 Corrective and Preventive Action Procedure – NIA-QPR-2016-0005
6. APPROVAL
Prepared by: Reviewed by:
LYDIA S. ESGUERRA ROGELIA C. DELA TORRE

IQA Team Chairman/ DQMR/
Manager, Engineering Department Acting Manager, Corporate
Planning Services
Approved by:
ESTRELLA E. ICASIANO
QMR/Deputy Administrator for
Administrative and Finance Sector
CONTROL OF NONCONFORMITY Issue Date : December 01, 2016
Page(s) : 1 of 4
1. PURPOSE
1.1 This document defines the policies and guidelines to identify and control nonconforming
products/services in all NIA operations.
2. POLICY
2.1 The 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 in accordance with the guidelines as
provided in this document.
3.1 Nonconformity (NC) - Deviation from a specified requirement that need
immediate action.
3.2 Opportunity for - A lapse in the system that causes minor errors or may cause
Improvement (OFI) potential problems in NIA operations and therefore may
need to be improved.
3.4 Disposition - Actions to be taken to nonconformities
3.5 Control Measures - Actions to be taken to prevent occurrence of an identified
Nonconformity
4. SCOPE
4.1 This document applies to all products/services provided by the NIA for its clients, where
nonconformities may arise during NIA operation.
5. RESPONSIBILITIES
5.1 Division Managers/ Irrigation Management Office Managers - Identifies the nonconformity
and initiates the control and disposition measures, in coordination with assigned Supervisor
or authorized officer who records the information/data related to nonconformity as per
Corrective and Preventive Action Procedure.
5.2 Department Managers/ Regional Managers/ Project Managers – Identifies nonconformities,

establishes the control methods, defines responsibilities and authorities, and reviews and
approves the necessary action to address the identified nonconformity.
Page(s) : 2 of 4
Ref. Key Activities Responsibilities
No.
6.1 Identification of nonconformity Division/IMO Managers assigned
staff
6.2 Verification of nonconformity Division/IMO Managers
6.3 Resolution of nonconformity Department/Regional/Project
Managers/Agency Head
6.4 Implementation of Appropriate Action Division/IMO/Unit Head
6.5 Follow-up on Action Taken IQA Team/Department Head /
Agency Head
6.1 Identification of nonconforming products/services

Nonconforming products/services may arise, from agency operation or QMS scope, when
deviation(s) from the following project documents happened during execution:
 Financial Plan
 Work Plan
 Contract with suppliers, including resources persons/consultants
 Code of Conduct
Upon identification by Division/IMO Manager’s assigned staff, such nonconformity are

recorded using the RFA form. Refer to NIA-QPR-2016-0005 Corrective and Preventive
Action Procedure.
6.2 Verification of Nonconformity

All documented nonconformities are referred to the Division/IMO Managers, for verification
and analysis of the nonconformity, using appropriate problem solving tools/techniques. They
may initiate a meeting with concerned individuals to facilitate the verification and
identification of root cause.
6.3 Resolution of Nonconformity

After problem analysis, the necessary corrective/preventive action are formulated by the
Department/Regional/Project Managers and Agency Head and recorded in the RFA form.
Whenever possible, the target date for completion of “Action to be Taken” are indicated in the
RFA, as basis for the subsequent follow-up and verification of action taken and result.
6.4 Implementation of Appropriate Action

All the necessary appropriate actions formulated and recorded in the RFA form are referred
to the Division/IMO/Unit Head for implementation of disposition and control measures for
each nonconformities identified.
Page(s) : 3 of 4
6.5 Follow-up on Action Taken

With reference to the submitted RFA, the IQA Team/ Department/Regional/Project
Managers/Agency Head, may conduct follow-ups on “action to be taken” and perform some
verification to ensure that appropriate action have been taken to address the identified
nonconformity. If the implemented resolution or control measure, to address the identified
nonconformity, is found to be more effective and/or efficient, such approach may be adopted
to update the established Control of Nonconformity Matrix. Revision of such Matrix follows
the Document Control Procedure.
The matrix below describes the disposition and/or control measures applicable to identified
NCs.
CONTROL OF NONCONFORMITY MATRIX

Nature of Nonconformity Disposition/Control Measures Responsibility
7. REFERENCES
7.2 Control of Documents Procedure – NIA-QPR-2016-0001
7.3 Corrective and Preventive Action Procedure – NIA-QPR-2016-0005
Page(s) : 4 of 4
8. APPROVAL

Planning Services
Approved by:
CORRECTIVE AND PREVENTIVE ACTION Issue Date : December 01, 2016
Page(s) : 1 of 4
1. PURPOSE
1.1 This document provides the policies and procedure to initiate and record corrective and
preventive actions taken by the NIA to eliminate causes of nonconformities and support the
intention of continual improvement.
2. POLICY
2.1 The delivery of NIA’s products and services necessitates that specified requirements of
customers/clients are satisfied in accordance with service agreement. As such, it is the policy
of the NIA to identify, control and prevent recurrence/occurrence of products/services that
do not conform to specified requirements. It is likewise the policy of the NIA to implement
corrective and preventive actions to continually improve the effectiveness of the established
quality management system.
3.1 Nonconformity (NC) - Deviation from a specified requirement that need
immediate action.
3.2 Opportunity for - A lapse in the system that causes minor errors or may cause
Improvement (OFI) potential problems in NIA operations and therefore may
need to be improved.
3.3 Corrective Action - Action to eliminate the cause of a detected NC/OFI or other
undesirable situation. Corrective action is taken to prevent
recurrence. There can be more than one root cause for a
NC/OFI.
3.4 Preventive Action - Action to eliminate the cause of a potential nonconformity
or other undesirable situation. Preventive action is taken to
prevent occurrence. There can be more than one root cause
for a NC/OFI.
3.6 Initiator - Any employee who initiated the RFA
3.7 Internal Quality Audit - A procedure to evaluate the effectiveness of the QMS.
(IQA)
4. SCOPE
4.1 This procedure covers all corrective and preventive actions identified when nonconformity is
encountered/anticipated through internal audits, customer complaints, and problems
encountered/anticipated during agency operation and any event that could affect the QMS.
Page(s) : 2 of 4
5. RESPONSIBILITIES
5.1 The Quality Management Representative is responsible for ensuring the proper
implementation of this procedure.
5.2 The Department/Regional Irrigation Managers/Project Manager shall ensure that
appropriate actions are carefully reviewed, approved, and implemented without undue delay
to eliminate the causes of nonconformities. They are also responsible for ensuring the
effectiveness of actions taken.
5.3 The Initiator is responsible for conducting follow-up activities to verify the completeness and
the effectiveness of the actions taken.
5.4 The Division Manager may initiate requests for actions upon identification of NC or OFI.
5.5 IQA Auditors are authorized to initiate RFA through their Audit Team Leader and verify
actions taken.
5.6 The IQA Team Leader maintains a registry of issued RFA.
6.1 Identification of Nonconformities
Nonconformities are identified through or during conduct or as a result of the following:
 NIA operations;
 Benchmarking;
 Analysis of similar processes;
 Evaluation of previous outputs/activities relative to the operations;
 QMS audits;
 Farmers’ feedback; and,
 Contractor/Supplier evaluation.
6.2 Documenting and Reporting of Nonconformities

Identified nonconformities should be recorded on the RFA Form.
6.2.1 Prior to issuance of RFA, the form is assigned a serial number as follows:
IDD-OD-CO-2016-03-01
Series Number
Date (mm)
Year
Office
Department
Division
Page(s) : 3 of 4
6.2.2 RFA form contains information that includes, but not limited to:
 Description of potential or actual nonconformity/nonconformance/OFI;

 Root-cause analysis, if applicable;
 Proposed action;
 Individuals responsible for initiating and implementing action;
 Target completion date; and,
 Follow-up action date.
6.3 Corrective and/or Preventive Action Implementation

6.3.1 The individual or unit/group responsible for the identified nonconformity identifies its
root cause and implement appropriate action in a timely manner. The identified root
cause is recorded in the appropriate section of the RFA.
6.3.2 For actions to be effective, they should be focused on addressing the root-cause rather
than the detected NC/OFI.
6.3.3 The Department/Regional Irrigation Manager/Project Manager reviews and approves
the actions indicated in the RFA, prior to their implementation and monitors actions
taken.
6.4 Verification of Actions Taken

6.4.1 Details of the actions taken and the verification results are written on the follow-up
portion of the RFA.
6.4.2 Five (5) days prior to the due date, the IQA Team Leader verifies the action taken and
records this in the RFA. The Initiator may verify the action taken within 30 working
days.
6.4.3 If verification necessitates additional action plan or follow-up, the next follow-up date is
agreed upon.
6.4.4 To ensure that needed actions are acted upon follow-ups shall be limited to only two
times wherein the Auditor/Initiator conducts the second and final follow-up.
6.5 Effectiveness of Actions Taken

6.5.1 Effectiveness of actions taken is discussed and verified as the need arise wherein
information relevant to RFAs is considered.
6.5.2 Records of review on effectiveness of actions taken are maintained per department.
6.5.3 Status of actions taken is included in the agenda and is discussed during management
reviews.
6.6 Appeals Process

6.6.1 Top Management / ExeCom including the QMR will review and decide Appealed Cases
Page(s) : 4 of 4
7. REFERENCES
7.2 Internal Quality Audit Procedure – NIA-QPR-2016-0003
7.3 Control of Nonconformity Procedure – NIA-QPR-2016-0004
8. APPROVAL

Planning Services
Approved by:

Qms Procedure Rev.1

Uploaded by

Copyright:

Available Formats

You might also like

Qms Procedure Rev.1

Uploaded by

Document Information

Original Description:

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Qms Procedure Rev.1

Uploaded by

Copyright:

Available Formats

Republika ng Pilipinas

National Irrigation Administration

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

It may prescribe certain rules, requirements or procedures,

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

3.11 Office Circular (OC) - A numbered administrative issuance from the

3.12 Office Memorandum - An issuance addressed exclusively to a particular group of

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

6.3  Recording/ Updating of DC Document

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

6.1 Creation/ Revision/Amendment of Documents

Table 1. Document Authorization Matrix

a. Quality Manual QMS Core Overall Quality Administrator

b. Quality Procedures QMS Core Deputy QMR Overall QMR

II. Agency-wide Office Concerned Functional Administrator or

III. O/D/D Internal Concerned Department

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

6.2 Review and Approval of Documents

6.2.2 Once the document is approved, the Originator/Process owner accomplishes

6.3 Registration and Distribution of Documents

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

6.3.3 Coding for Quality Documents is as follows:

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

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

6.3.4 Coding for the QMS forms is as follows:

NIA-(O/D/D Name) -XXX-Form0X Rev.0X

Ex. NIA-AFS-ADM-HRD-EXT-Form01 Rev.00 for Leave Application Form

6.3.5 Coding for the QPR forms is as follows:

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

6.3.6 Identification/Coding for the Agency-wide Office Documents is as follows:

A. For Memorandum Circular:

X.X. No. 00, Series YYYY

Ex. M.C. No. 40, Series 2016

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

A. For Office Memorandum

Office Memorandum Type of Document

Ex. Office Memorandum

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

B. For Office Circulars

X.X. No. 00, Series YYYY

Ex. O.C. No. 40, Series 2016

C. For flowcharts, guidelines, manuals and procedures

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

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

Table 2. Document Authorization Matrix

Soft copy documents are considered “uncontrolled copy”.

For general circulation, uploading of documents shall be done

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

Table 3. Specimen of Official Document Stamps

6.4 Maintenance of Controlled Documents

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

6.5 Recall/ Superseding of Documents

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

6.6 External Documents

6.7 Computer Security

CONTROL OF DOCUMENTS Issue Date : December 01, 2016

CONTROL OF DOCUMENTS Issue Date : December 01, 2016