AUDIT REPORT

Continuation Page

Client ID No: CIP/ 5411 Date of Audit: 10Nov20 Page 1 of 48

POTENTIAL NON-CONFORMITIES (STAGE 1 AUDITS ONLY) /OPPORTUNITIES FOR IMPROVEMENT

Item #
NB: FOR STAGE 1 AUDITS POTENTIAL NON-CONFORMITIES MAY RESULT IN THE STAGE 2 AUDIT
BEING DELAYED OR THESE BECOMING DOCUMENTED NON-CONFORMANCES DURING THE STAGE
2 AUDIT

Name of Organization: National Irrigation Administration

Address : National Government Center, EDSA, Diliman, Quezon City

Audit Standard : ISO 9001:2015

Type of Audit : First Surveillance (Offsite)

Scope : Public administration, covering the provision of irrigation services

through the development, construction, operations and maintenance of
irrigation systems.

AUDIT REPORTS FOR THE NIA CENTRAL OFFICE;

AUDIT DAY : DECEMBER 16, 2020

LEAD AUDITOR : EDGARDO V. ELERIA

Areas/Functions/Processes Audited: (auditor to identify clause/s of standard audited
in each area, function or process audited):
1. Context of the Organization -Actions to address risks and opportunities (Clauses 4
and 6) +verification of TEAM-01/St.2
2. Internal Audit (Clause 9.2) Nonconformity and Corrective Action (Clause 10.2)
3. Customer Satisfaction, Feedback Handling (Clause 9.1.2)
4. Management Review (Clause 9.3)

Audit Findings (per area/function/process):

(name of area/function/process audited)
1. Context of the Organization -Actions to address risks and opportunities (Clauses 4
and 6) +verification of TEAM-01/St.2
a. Conformities
i. The internal and external issues of the organization was reviewed for
relevance to the current situations and its strategic direction as seen

FOR NON-ENGLISH WRITTEN REPORTS ENGLISH TRANSLATION IS TO BE INCLUDED AGAINST EACH FIELD
Distribution- Original to Client, Copy to Head Office

RP1-1 CIP -2020

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 from the latest issued SWOT and PESTLE analysis dated November
30, 2020. . The policies and management direction were updated also
with the issuance of MC-129 S2020, superseding MC-93 S2019.
ii. ROR-Risk and Opportunities Registers of different processes were
seen updated including the status of the actions taken to address the
risk and opportunities. However, opportunities for improvement
was cited for this area.
b. Opportunity for Improvement
i. Success indicators were not identified to measure the
effectiveness of actions taken to address risks and
opportunities, instead, the update was focus on the completion
of certain activities
c. Nonconformity
i. None
d. Verification of Previous Nonconformity
i. TEAM-01/ST2 – CLOSED
1. The ROR-Risk and Opportunities Register seen already
included the actions to address risks and opportunities.
Update on the status of the actions was also
demonstrated. However see related OFI above.

2. Internal Audit (Clause 9.2) Nonconformity and Corrective Action (Clause

10.2)
a. Conformities
i. The system for the Internal audit process was seen defined from the
Internal Quality Audit Procedure- Rev 4, Issued June 2, 2020.
ii. The audit programme was confirmed prepared and documented for
once a year audit schedule of all the 33 processes alat the Central
Office. Regional Offices prepared their own Internal Quality Audit
Program.
iii. There was a good level of planning for the Internal Audit that also
evidence adequately the relevant clauses of the ISO 9001:2015
standard.
iv. The audit plan and schedule for the year 2020 was conducted June to
October 2020. Reported from this audit were 7 nonconformities and
53 opportunities for improvement (OFI).
v. RFA – Request for Action use to report nonconformities demonstrated
the conformity to the requirements of Clause 10.2. However,
opportunity for Improvement was cited on this area.
vi. The registry of finding, a documented information maintained to
monitor the internal and external audit was initiated also, however,
opportunity for improvement was cited on this area.
vii. The competency of the auditors was confirmed and the impartiality
was verified from the assignments of the auditors.

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 b. Opportunities for Improvement
i. While the RFA was seen to include the required process to deal
with consequence, it was leave blank and does not
demonstrated the compliance to the requirements of clause
10.2.
ii. The status of the regional audits was still not available at the
Central Office at the time of the audit.

3. Customer Satisfaction, Feedback Handling (Clause 9.1.2)

a. Conformities
i. The system to gather the customer satisfaction rating was through
the Farmers survey, and 8888, Presidential Action Center and walk-in
client survey.
ii. The survey for the year 2020 is still on-going and being conducted
through telephone interview of farmers, while issues reported on
8888 is monitored weekly and reported to Executive Committee.
iii. The results of the 2019 survey showed 96.06% rating for NIS and
93.13% rating for CIS, that are better than the minimum target of at
least 90%.
iv. For walk-in client survey for the year 2020 covering 937 respondents,
an improvement of +8.71% over last year was noted for an
equivalent rating of 92.44% against last year of 82.45%.
v. 100% resolution of reported concerns from 8888 within the 72 hours
requirement was also achieved, and reduction of reported complaints,
from year 2019 of 246 to 128 reports this year was noted.
b. Opportunity for Improvement
i. None
c. Nonconformity
i. None

4. Management Review (Clause 9.3)

a. Conformities
i. The Management Review process was confirmed in-placed and
scheduled for once a year review. The last review was October 15-15,
2020.
ii. The minutes from the last Management Review meeting revealed that
the requirements of the standard for relevant inputs were discussed
adequately.
iii. Discussed also was the Irrigation Master Plan covering 2020-2030 and
the corresponding resources needed.
iv. The top management concluded that the documented QMS is still
applicable and effective.
b. Opportunities for Improvement
i. None
c. Nonconformity

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 i. None
================end of Report for Central Office / E.V.ELERIA
Auditor: Clarissa M Oracion

Areas/Functions/Processes Audited:
Verification of Nonconformities raised during Stage 2 Audit:
1. Team 06
2. Team 07
3. Team 08
4. RJD -01
5. SCP -01

Audit Findings:
1. Team 06 –
- NIA- Caraga –
o Item No. 1– still open - Verification of effectiveness of Corrective Actions
of last IQA findings still to be completed December 2020.
o Item No. 2 – closed
o Corrective Action items
 Items 1,2,3 – closed
 Item 4 – still open, for verification if causes of corrective active
actions did not recur or occur elsewhere, for Delayed Projects
- NIA Region 3
o Items 1 to 9 – all closed
- NIA Central Office- all closed

2. Team 07 –
- NIA Caraga - closed
- NIA Central Office – closed

3. Team 08
- NIA Region 7 – closed
- NIA Caraga – still open - ROR –need to be verified for new action plans as a result
of ROR review if effective
- NIA Central Office – still open, Corrective actions completion is still December
2020

4. RJMD -01
- NIA Caraga Region – closed
- NIA Region 3 – closed – both items, 1 and 2
- NIA Central Office – items 1 to 8 – all closed

5. SCP - 01
- Item a – closed

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 - Items b to d- all still open – Needs additional documented information to evidence
corrective action plans with completion dates

=======end of audit report for Central Office / C.M. Oracion ====

Auditor: Renato Julian M. David

Areas/Functions/Processes Audited: (auditor to identify clause/s of standard audited

in each area, function or process audited):

Follow-up on Previous Nonconformities

1. Team.02/St2
2. Team.03/St2
3. Team.04/St2
4. Team.05/St2

Audit Findings (per area/function/process):

Follow-up on Previous Nonconformities

1. Team.02/St2 – still open

a. NIA Region 7 – still open
i. Details required for plans on achieving the objectives of
Engineering, Construction and Operations Section were in place and
being implemented.
ii. Proposed orientation on ISO 9001 requirements to prevent
recurrence of the nonconformity was postponed to Q1 2021 due to
the pandemic.
b. NIA CARAGA Region - closed
i. Details required for plans on achieving the objectives were in place
for Operation and Maintenance.
c. NIA Region 11 – closed
i. Measurable objectives for IMO Davao del Norte were shown during
the audit.
ii. Targets for the different objectives were monitored and were
generally achieved.
d. NIA Region 7 – still open
i. Measurable objectives for Finance, IMO R7, were in place.
ii. Proposed training to enhance awareness of personnel on ISO 9001
requirements and prevent recurrence of the nonconformity was
postponed to first semester of 2021 due to the pandemic.
e. NIA Region 3 - closed
i. Information and External Relations Management showed its
functional objectives and targets.

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 ii. Targets for January – June 2020 were monitored and generally
achieved based on the DPCR on file.
2. Team.03/St2 – closed
a. The Central Office had determined the competencies for SG 19 and below
in compliance with MC 145 dated October 8, 2020. The competencies for
SG 8 were sampled during the audit.
b. The Central Office had prepared and deployed to the different regions the
assessment form for evaluating competencies of incumbents classified
under SG 19 and below. Results of assessments were being awaited at the
time of the audit.
c. The Central Office’s response to the nonconformity, being systemic, was
accepted as the response for all regions with similar findings on
competency.
3. Team.04/St2 – still open
a. NIA MARIIS - closed
i. Criteria for evaluating the performance of suppliers were in place.
ii. Performance evaluation of suppliers was based on cost, delivery
quality, and services.
iii. Evaluation of BTLC Engineering Supply and Services was presented
during the audit. The supplier obtained an overall grade of 79% or
“passed” the evaluation, and a “B” classification or second priority
supplier.
b. NIA Region 7 – still open
i. NIA Region 7 presented a sample Purchase requisition record that
indicated the approved budget for contract (ABC).
ii. The proposed corrective action involving re-orientation on the
requirements of ISO 9001:2015 was postponed to Q1 2021 due to
the pandemic.
c. NIA CARAGA Region – closed
i. NIA CARAGA Region defined the criteria for performance evaluation
of external goods/service providers as quality, delivery and service.
ii. It also defined the criteria for selection based on the requirements
of RA 9184.
d. NIA Region 3 - closed
i. Criteria for performance evaluation of external goods/service
providers had been defined.
ii. Performance evaluation of Maximum Solutions Corporation for PO
2020-028/IAR 2020-106 using Supplier Performance Evaluation
System (SPES) was presented during the audit.
iii. Criteria consisted of quality, delivery and service. The supplier
(Maximum Solutions Corporation) obtained an overall rating of “4”
which was equivalent to “good.”
4. Team.05/St2 – still open

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 a. The DPCR for Finance (RIO 7) for the period January to June 2020 showed
its actual levels of accomplishments which generally met or exceeded the
targets.
b. The corrective action involving the conduct of re-orientation on ISO
9001:2015 to ensure conformity with its requirements was postponed to
Q1 2021 due to the pandemic.
---------End of RJM David’s report---------

AUDIT REPORTS FOR RIOs AND IMOs

Name of Organization: National Irrigation Administration – REGION 4A (CALABARZON

REGION)

Address:
1. Quezon IMO - Barangay 10, Lucena City
2. Region 4A (CALABARZON REGION): Santa Clara Sur, Pila, Laguna

Audit Standard/s: ISO 9001:2015

Scope : Public administration, covering the provision of irrigation services through the
development, construction, operations and maintenance of irrigation systems.

Type of Audit : First Surveillance (Offsite)

Date/s of Audit: 9-10 NOVEMBER 2020

Auditor: EDGARDO V. ELERIA (LEAD AUDITOR)

Areas/Functions/Processes Audited: (auditor to identify clause/s of standard audited

in each area, function or process audited):

1. QUEZON IMO
1.1. Context of the Organization Actions to Address Risks and Opportunities (Clauses 4
and 6)
1.2. Institutional Development (Clauses 6.2, 8 and 9.1)
1.3. Engineering (Clauses 6.2, 8 and 9.1)
1.4. Competence (Clause 6.2, 7.2, and 9.1)
1.5. Operations and Maintenance (Clauses 6.2, 8 and 9.1)

2. REGION 4A (CALABARZON) RIO

2.1. Context of the Organization Actions to Address Risks and Opportunities (Clauses 4
and 6)
2.2. Engineering (Clauses 6.2, 8 and 9.1)

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 2.3. Operations and Maintenance (Clauses 6.2, 8 and 9.1)
2.4. Customer Satisfaction (Clause 9.1.2)
2.5. Internal Audit Nonconformity and Corrective Action (Clause 9.2, 10.2)
2.6. Management Review (Clause 9.3)

Audit Findings (per area/function/process):

(name of area/function/process audited)
QUEZON IMO (Day 1 – November 9, 2020)
1. Context of the Organization-Actions to Address Risks and Opportunities
(Clauses 4 and 6)
1.1.Conformities
1.1.1. Quezon IMO Organizational SWOT Analysis and PESTLES were used to
determine the internal issues (Strengths and Weaknesses) and External issues
(Opportunities and Threats) . Classification to Political, Economic, Social,
Technological, Legal & Environmental. The policies for the risk management is
defined under MC-129 Series 2020, Revision 2 (Risk Management Procedure –
NIA-QPR-2019-0005, Rev 2, date September 7, 2020) from the Office of the
Administrator.
1.1.2. Documented information in relation to determination of interested parties
and the needs and expectation was also seen, i.e RIP – Relevant Interested
Parties Matrix, Revision 2, September 30, 2020. Issues were identified and part
of the matrix associated with each of the needs and expectations of the
interested parties.
1.1.3. Risk and opportunities were assessed against impact and likelihood and
classified according to risk rating of low, moderate and high. Planning for the
actions to address risks and opportunities was evident. This include the general
action plan, start date, end date, status of action and remarks. However,
opportunities for improvement (OFI) were cited on this area.
1.1.4. Integration of the issues and associated risk and opportunities with the
Quality Objectives of the organization was also confirmed.

1.2.Opportunities for Improvement

1.2.1. The statement of the issues as determined from the SWOT, PESTLE
and RIPs was seen not adequately aligned with the risk and
opportunities registries.
1.2.2. The re-evaluation of high risk from high to ZERO rating was not
consistent with the policy defined under MC-120, s2020 and risk
management procedure.
1.2.3. The risk treatment defined under the Risk Management Procedure for
Medium Risk that the process owner has the option “MAY” establish
frequent monitoring will not ensure consistent implementation of
required action to mitigate the risk and improve the rating to low.
1.2.4. The current controls or routine actions were not evident from the risk
and opportunities registries.

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 1.2.5. The criteria used for the evaluation of opportunities was the same as
what was defined for risk assessment.
1.2.6. For Engineering, the action for extreme risk i.e Covid 19 and Peace
and Order were seen the same i.e coordination with AFP. And the
action to release fund to mitigate the risk for delayed project due to
delayed payment to contractors was not within the control of
Engineering.
1.2.7. The evaluation of the effectiveness of the actions taken to address
risk and opportunities was not adequately made evident.
1.3.Nonconformity
1.3.1. None

1.4.Verification of Previous Nonconformity

1.4.1. Team-01/Stage 2 (November t0 December 2019) – Clause 6.1
1.4.1.1. STILL OPEN, the evaluation of the effectiveness of the actions
taken to address risk and opportunities was not adequately made
evident.
1.4.2. Team-08/ Stage 2 (November to December 2019), Clause 9.1,
Monitoring, Measurement, Analysis and Evaluation
1.4.2.1. STILL OPEN, Monitoring for the actions to address risk with
high ratings has general status reports, however, measures and
monitoring for the effectiveness of the actions taken were not
adequately demonstrated.

2. Institutional Development (Clauses 6.2, 8 and 9.1)

2.1.Conformities:
2.1.1. The established processes defined under the relevant documented
information such as , IA SEC Registration/Renewal Process, IA Contracting
Renewal Process, Development of Capability Building Program for Irrigators
Association were confirmed implemented based from available maintained
documented information.
2.1.1.1. Documented minutes of the with Sectoral Organization and
Coordinators date August 6, 2020 for Alitao SIF at Tayabas Quezon.
Among other things discussed were IA Organization, Membership Form,
Right of Way
2.1.1.2. Process of house-to-house validation, actual farm measurement.
2.1.1.3. Institutional Development Program Physical accomplishment
monitoring report as of September 2020.
2.1.1.4. Program of Works (POW) as of September 2020.
2.1.2. The established documented information of the processes specified the
activities, responsibilities and the PCT for each activity. However, opportunities
for improvement was cited on this area.
2.1.3. Established objectives and targets such as 14 trainings with actual of 37 for
training and capability building, 2 actual training for NIA staff against target of

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 1, and 8 actual assistance program implemented against target of 2. Overall
achievement of the objectives and target was observed.

2.2.Opportunities for Improvement

2.2.1. The stated PCT has no evident linkage to the established objective
and targets of the process i.e Institutional Development.

3. Engineering (Clauses 6.2, 8 and 9.1)

3.1.Conformities
3.1.1. Processes were confirmed implemented based on established controls as
seen from the following evidences:
3.1.1.1. Project Investigation Process with Technical Assessment.
3.1.1.2. Feasibility studies with the Final Project Feasibility Report and IER
analysis, Internal Economic Returns evaluation.
3.1.1.3. Detailed Engineering i.e survey, Design and POW approved by Division
Manager and Regional Manager.
3.1.1.4. Memo approval from Regional Manager
3.1.1.5. POW-Program of Work
3.1.1.6. Back to Office Report
3.1.2. Monthly Progress Report (MPR) seen with detailed project deliverables,
updated costs and status reported. Examples seen were, Ilayang-Yuni –
Mulanay Quezon.
3.1.3. Established objectives and targets were seen from documented information
labelled “ Strategic Objectives and Measures” with defined success indicators,
allotted budget, division accountable. The Update on the status was confirmed
available. Office memo No. 08-008-2020 issued by Division Manager promprint
for quick evaluation and action for unmet targets i.e CFM3 – Conduct of
Feasibility Studies. Other objective, CFM8 Strengthening partnership with LGU
was achieved with 5 achievement against target of 3. However, lapse was cited
for the absence of corrective action report.

3.2.Opportunities for Improvement

3.2.1.1. OFI for the Risk Registry included on OFIs for Context of the
Organization.
3.3.Nonconformity/ies
3.3.1.1. None

3.4.Verification of Previous Nonconformity

3.4.1. Team-02/ST2 – Clause 6.2, Planning to achieve quality objectives

3.4.1.1. CLOSED
3.4.1.2. The planning how to achieve the objectives was seen from the
process flow/procedure and from Program of Works (POW)

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 3.4.2. Team-05/ST2 – Clause 9.1 Monitoring, Measurement and Evaluation
3.4.2.1. CLOSED, Results of Analysis and Evaluation seen from DPCR

3.4.3. Team-06/ST2 – Clause 10.2 Nonconformity and Corrective Action

3.4.3.1. STILL OPEN, No evidence of correction and corrective action
for unmet target for conducting feasibility studies and detailed
design preparation.

3.4.4. Team-08/ST2 – Clause 9.1 Monitoring, Measurement and Evaluation

3.4.4.1. STILL OPEN
3.4.4.2. Monitoring for the actions to address risk with high ratings has
general status reports, however, measures and monitoring for the
effectiveness of the actions taken were not adequately
demonstrated.

4. Competence (Clause 6.2, 7.2, and 9.1)

4.1.Conformities
4.1.1. The competency assessment system is a project and responsibility of the CO,
MC 145 S2020 was issued to defined the policies. Implementation was
confirmed limited to Section Chief (SG19) to Division Manager (SG24). The
implementation was still not completed for other salary grade level.
4.1.2. The policy for training was confirmed defined through MC 80 S.2019.
Programs selected by the superior were seen documented through a formal
proposal with complete specification from type/title of training, methodology,
objective, budget, expected output, schedule, target number of participants
and venue.
4.1.3. MC-20 S2020 amended MC-86 S2019 revising the evaluation for the
effectiveness of training from 30 days to six months after the training.
Effectiveness of training will be done through the “Overall Activity Evaluation
Form” to assess the training program and “Activity Effectiveness Form” for the
impact of the training on the participants.
4.2.Opportunities for Improvement
4.2.1. None
4.3.Nonconformity
4.3.1. None
4.4.Verification of Previous Nonconformity
4.4.1. Team-03/ST2 – Clause 7.2 Competence
4.4.1.1. STILL OPEN
4.4.1.2. The organization has not yet determine completely the
competence of Person doing work under its control that can affect
the performance and effectiveness of the quality management
system.

5. Operations and Maintenance (Clauses 6.2, 8 and 9.1)

5.1.Conformities

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 5.1.1. The operations manual was confirmed documented covering the pre-
irrigation phase, irrigation phase and post irrigation phase. Activities to
ensure the compliance to established process and to ensure continuity and
effectiveness of the succeeding process were confirmed implemented such as:
5.1.1.1. Pre-Irrigation Phase
5.1.1.1.1. Operation plans including data gathering for the monthly
rainfall and summary of daily precipitation from Pagasa covering year
2009 to 2018 and monthly total and annual climatic data.
5.1.1.2. Irrigation Phase
5.1.1.2.1. Operations and maintenance plans based on cropping calendar
with farmer’s activity from land preparation to harvesting.
5.1.1.3. Post Irrigation Phase requires monitoring of performance for the NIS-
National Irrigation system and CIS-Communal Irrigation System with
monitoring of irrigated and planted areas for each cropping season.
5.1.2. Established objectives and targets are confirmed documented and related to
number if IAs with IMT Contracts, target of 17 was achieved with actual of 112,
increased irrigated areas contributing to food security, actual was already
83.73% of the target 21,663 hectares and the OnM team has the confidence
that it can achieved its annual target.

5.2.Opportunity for Improvement

5.2.1. None
5.3.Nonconformity / ies
5.3.1. None

6. VERIFICATION OF PREVIOUS NONCONFORMITY

6.1.Team-02/ST2 – Clause 6.2, Planning to Achieve Quality Objectives
6.1.1. CLOSED
6.1.1.1. The objectives of O&M were all achieved and there is no need
for the issuance and implementation of the corrective action.

Audit Findings (per area/function/process):

(name of area/function/process audited)
REGION 4A – CALABARZON REGION (Day 2 – November 10, 2020)
1. Context of the Organization-Actions to Address Risks and Opportunities
(Clauses 4 and 6)
1.1.Conformities
1.1.1. The documented information maintained related to the determination of
internal and external issues arising from the SWOT and PESTLE analysis.
1.1.2. 35 strengths, 29 weaknesses, 12 opportunities and 36 threats were identified
from the SWOT and PETLES analysis was used to
1.1.3. the issues determined from the
1.1.4. Relevant Interested Parties matrix was also seen with the needs and
expectations and associated issues.

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 1.1.5. The associated risk and opportunities were evaluated based on given criteria
as provided for under Risk Management Procedure – NIA-QPR-2019-0005, Rev
2, date September 7, 2020). However, OFI was cited on the use of same
criteria for Risk and Opportunities.
1.1.6. Actions plans to address the risk and opportunities were confirmed
documented and time table were either end of December 2020 and or on-
going. However, OFI were cited for this area.

1.2.Opportunities for Improvement

1.2.1. The method and measure or the specific expectations from the
actions to address the risk and opportunities were not adequately
demonstrated.
1.2.2. The criteria use to assess the opportunities was also the same as
what specified for the evaluation of Risks.
1.2.3. The progress of the implementation of the actions was not
adequately demonstrated as most of the time lines will be completed
by the end of December 2020.
1.2.4. The results of the prioritization of the associated risks and
opportunities was not demonstrated i.e only high and moderate risk
was seen on the matrix, however, low risk and the existing controls to
mitigate them were not made evident.
1.2.5. Other action statements i.e we may consider are not are not
concrete actions to mitigate the risks but only an option. And most of
the additional action to mitigate the risks and opportunities are
actually routine protocols and part of the current processes, thus
considered existing controls.
1.2.6. The evaluation of the effectiveness of the actions taken to address
risk and opportunities was not adequately made evident.
1.3.Nonconformities
1.3.1. None

1.4.Verification of Previous Nonconformity

1.4.1. Team-01/Stage 2 (November t0 December 2019) - STILL OPEN,

The evaluation of the effectiveness of the actions taken to address risk and
opportunities was not adequately made evident.

1.4.2. Team-08/ Stage 2 (November to December 2019), Clause 9.1,

Monitoring, Measurement, Analysis and Evaluation - STILL OPEN,
Monitoring for the actions to address risk with high ratings has general
status reports, however, measures and monitoring for the effectiveness of
the actions taken were not adequately demonstrated.

1. Engineering (Clauses 6.2, 8 and 9.1)

1.1.Conformities

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 1.1.1. Established processes as stated on the process manuals and based on the
mandate of the Regional Office were implemented. Among others were review
and approval of IMO’s projects, PPMP-Procurement Plan, controls of resources,
project monitoring, periodic inspection among others.
1.1.1.1. Project Example-Project Monitoring
1.1.1.2. Dumacaa River Irrigation System, Tayabas Quezon
1.1.1.3. Started May 22, 2020, Date of Completion- July 10, 2020
1.1.1.4. POW, approved budfet of P3.0M
1.1.1.5. Project Procurement plan
1.1.1.6. Notice to Proceed, contract No 4AQ-ISR-20-012
1.1.1.7. Project Implementation Monitoring Report with monthly progress
report as of June 2020 at 89.7%
1.1.1.8. Certificate of Project Completion
1.1.1.9. Field Office Inspection Report
1.1.2. Quality Objectives and Targets were confirmed established and semi-annual
monitoring were seen from DPCR as of September 2020. Objectives are related
to (SM4) 870 hectares of area generated with restoration included, actual was
only 26 hectares or 2.89%. The other objectives was (SM5) repair and
rehabilitation of existing irrigation facilities consisting of 9.49 units of concrete
canals with 54 actual restored, 42 units of canal structure with actual of 149
units. Core Functions objectives are (CFM1) is the submission of annual
regional budget on time, CFM3-Feasibility Studies,with actual of 14 vs. target
of 13, detailed design with target of 8 and actual of 1 (12.5%), (CFM6) 170
targets of project to be monitored with actual of 178, (CFM5) 2 projects for
bidding with actual of zero. Except for objective SM4 and CFM5, the
achievement of the targets was noted. However, there was no evidence of
documented corrective action for the unmet target was
1.2.Opportunities for Improvement
1.2.1. None

1.3.Nonconformity
1.3.1. No evidence of corrective action for the unmet target for objective
SM4 with 2.86% actual and CFM5, with zero attainment against target
of 2. Thus TEAM-06/ST2 will remain open.

1.4.VERIFICATION OF PREVIOUS NONCONFORMITY

1.4.1. Team-06/ST2 – Clause 10.2 , STILL OPEN, No evidence of corrective
action for the unmet target for objective SM4 with 2.86% actual and
CFM5, with zero attainment against target of 2. This is related to
previous NC, Team-06/ST2

2. Operations and Maintenance

2.1.Conformities

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 2.1.1. The established processes Regional Operations, Institutional Development
and Equipment Management were found still implemented as verified from
reviewed maintained documented information. Established documented
information seen were from Regional Office IV-A Operations Manual related to
Operations, Institutional and Equipment Section Profile, Operations Unit Flow
Processes, Development of Capability Building Program for Irrigators
Association, Irrigation Management Transfer (IMT) Contracts and Other
Documents,
2.1.1.1. Monitoring of Farming and Irrigation System
2.1.1.2. Farming Activities Report dated September 29, 2020 for National
Irrigation System and communal Irrigation System. This include statistics
and or information related to total planted areas, irrigated areas.
2.1.1.3. Program of Work of Maintenance and Equipment inventory for Region
4A Calabarzon including the equipment location and identification were
confirmed maintained and seen was the program for the preventive
maintenenace and actual implementation of the PMS done by the IMO was
confirmed monitored. Other related documented information seen was the
Eqipment Management Report for CY 2020.
2.1.1.4. Sample of legal IMT contracts seen including terms of agreement,
responsibilities of the Irrigators Association-Ias and NIA.
2.1.2. The objectives and targets was confirmed established for the Operations and
Maintenance group measured in terms of, number of IAs with IMT Contracts,
the actual was 47 against target of 18, Cropping Intensity for NIS with target
for Divesion Systems as 164% and actual of 139% as of end of September
2020, Cropping Intensity for CIS with a target of 155% and actual of 148% as
of end of September 2020. All targets to be measured at the end of the year.

2.2.Opportunities for Improvement

2.2.1. While the evaluation period of the objectives and target is at the end
of the year (December 2020), there was no available planning on the
actions to catch-up to accertain the attainment of the objectives.
2.3.Nonconformity
2.3.1. None
2.4.Verification of Previous Nonconformity
6.1.2. Team-02/ST2 – Clause 6.2, Planning to achieve quality objectives
6.1.2.1. CLOSED
6.1.2.2. The planning how to achieve the objectives was seen from the
process flow/procedure and from Program of Works (POW)

6.1.3. Team-05/ST2 – Clause 9.1 Monitoring, Measurement and Evaluation

6.1.3.1. CLOSED, Results of Analysis and Evaluation seen from DPCR

6.1.4. Team-06/ST2 – Clause 10.2 Nonconformity and Corrective Action

6.1.4.1. CLOSED - No record for unmet target for the Operations and
maintenance. However, see opportunity for improvement

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 7. CUSTOMER SATISFACTION (CLAUSE 9.1.2)
7.1.Conformities
7.1.1. The last survey was reviewed and can be considered a comprehensive
one. This was conducted last August to September 2020 by an external survey
provider i.e Batangas State University. Method is through telephone interview
due to the limitations on Covid 19. Respondents for NIS and CIS from IMO 1
and IMO 3. The methodology and analysis of data was clearly defined.
7.1.2. Overall satisfaction rating of 90% for NIS and 91% for CIS from the latest
survey were achieved against target of 90% minimum. There was an 11 points
increase for the CIS satisfaction rating.
7.2. Opportunity for Improvement
7.2.1. As the survey was just recently concluded, the planning for the action plans
for the negative feedback was still not available at the time of the audit.
7.3.Nonconformity
7.3.1. None
7.4.Verification of Previous Nonconformity
7.4.1. None applicable on this area

8. INTERNAL AUDIT (CLAUSE 9.2, 10.2)

8.1.Conformities
8.1.1. The internal audit program was confirmed implemented with the most recent
internal audit conducted last July to Audit 2020. Maintained documented
information seen as evidence of actual audit implementation were, Notice of
Audit, IQA Plan, Actual Audit Reports, RFA-Requests for Action.
8.1.2. The adequacy of the audit to cover the requirements of the standard was
confirmed from the audit reports where relevant clauses where indicated.
8.1.3. The audit was conducted by 24 auditors with known training last June 2020
conducted by the Central Office. The independence of the auditors was verified
from their assigned areas. Performance evaluation of the auditors was seen
based from parameters of planning, IQA Implementation and Reporting.
8.1.4. The RFAs cited for the most recent audit were a total of 18 with 14 OFIs.
Requests for Action adequately seen adequately conformed to the
requirements of clause 10.2 for root cause analysis, correction, dealing with
consequence, validation of effectiveness of actions taken and evaluation of risk.
8.2.Opportunity for Improvement
8.2.1. While the qualification of Internal Auditor was confirmed defined
from procedure for Internal Audit there was no documented
information available to evidence the competency evaluation done.
8.3. Nonconformity
8.3.1. None
8.4.VERIFICATION OF PREVIOUS NONCONFORMITY
8.4.1. TEAM-07/ST2
8.4.1.1. CLOSED, adequate coverage of all the areas and requirements
of the standard was verified.

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 9. MANAGEMENT REVIEW (CLAUSE 9.3)
9.1.Conformities
9.1.1. Management review was planned for once every year with the last review
conducted September 22, 2020. Confirmed from the attendance was the
presence of the Key person from the Regional Office and IMO Manager and Key
Staff. IMO office has separate management review also.
9.1.2. The agenda for the management review was confirmed and discussed
extensively as confirmed from the minutes of the meeting. However, the
performance of external providers, adequacy of resources, opportunities for
improvement and status of actions from previous management review were not
discussed. See Nonconformity Report.
9.2.Opportunities for Improvement
9.2.1. None
9.3.Nonconformity
9.3.1. EVE-01/S1 – Clause 9.3
9.3.1.1. The following were not discussed from the most recent
management review: performance of external providers,
adequacy of resources, opportunities for improvement and status
of actions from previous management review.

=============end of report / EVE =============

Name of Organization: National Irrigation Administration

Region 10: Carmen, Cagayan de Oro City
LAMISCA IMO: Barra, Opol, Misamis Oriental
Type of Audit and Audit Standard: Surveillance 1 (Offsite)/ISO 9001:2015
Dates of Audit: 09-10 November 2020
=====================end of REPORT/EVE=====================
Auditor: SOFIA S. MANGAHAS

Areas/Functions/Processes Audited:
A. LAMISCA IMO: Barra, Opol, Misamis Oriental
1. Context of the Organization and Action Plans to address Risks and Opportunities
(Clause 4.1, 4.2, 6.1 and 9.1) + Verification of Team-01/St2
2. Institutional Development (Clause 6.2, 8 and 9.1)
3. Engineering (Clause 6.2, 8 and 9.1)
4. Competence (Clause 6.2, 7.2 and 9.1)
5. Operations and Maintenance (Clause 6.2, 8 and 9.1)
B. Region 10: Carmen, Cagayan de Oro City
1. Context of the Organization and Action Plans to address Risks and Opportunities
(Clause 4.1, 4.2, 6.1 and 9.1) + Verification of Team-01/St2
2. Engineering (Clause 6.2, 8, and 9.1)
3. Operations and Maintenance (Clause 6.2, 8 and 9.1)
4. Customer Satisfaction (Clause 9.1.2)
5. Internal Audit, Nonconformity and Corrective Action (Clause 9.2 and 10.2) +
Verification of TEAM-07/St2
6. Management Review (Clause 9.3)

Audit Findings (per area/function/process):

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  CONTEXT OF THE ORGANIZATION AND ACTION PLANS TO ADDRESS RISKS
AND OPPORTUNITIES

Conformities:

A. LAMISCA IMO

1. SWOT Analysis and Pestle Analysis have been conducted as a tool in the
determination of internal and external issues. A consolidated report for the LAMISCA
IMO of all these internal and external issues as of June 30, 2020 was presented
during the remote audit. Likewise, Relevant Interested Parties with Requirements,
How requirements are satisfied and Issues arising from Relevant Interested Parties
were determined per functions/units.

2. Risks and opportunities were determined considering the Issues/Affecting objectives

or Arising from processes. Identified risks and opportunities were subjected to
assessment based impact and likelihood. Action Plan have been defined to address
significant risks/opportunities (Medium and High). This was reported in Process Based
– Risk Registry and Process Based – Opportunity Registry as of June 30, 2020.
Revision has been done on the Risk Registry and includes the Evaluation of
Effectiveness as of September 30, 2020.

3. There were 6 identified medium risks under the Units of Engineering & Operations
Section and 2 medium risks under the Units of Admin & Finance Section. All action
Plans are on-going and there was 1 area reported with Previous Risk Rating 9
(Medium) and presently after evaluation has lower the Risk Rating to 6 (Medium). It
was reported under the Evaluation for Effectiveness of the Risk Registry that since the
risk rating become lower, the action plan was effective. Thus it should be continued
and maintain its implementation until the next management review. All risks identified
are still under the same risk level of high and medium and still none lowered to low
risk. Implementation of Action Plans to some determined Opportunities have been
demonstrated.

However, OFIs (#1 & 2) were raised in this area.

B. Region 10

4. SWOT Analysis and Pestle Analysis have been conducted as a tool in the
determination of internal and external issues. A consolidated report for Region 10 of
all these internal and external issues as of September 30, 2020 Rev. No. 03 was
presented during the remote audit. Likewise, Relevant Interested Parties (RIP) with
Requirements of RIP, How requirements are satisfied and Issues arising from RIP
were determined per Division/Sections/Units and Regional Irrigation Manager’s Office.

5. Risks and opportunities were determined considering the Issues/Affecting objectives/

or Arising from RIPs. Identified risks and opportunities were subjected to assessment
based impact and likelihood. Action Plan have been defined to address significant
risks/opportunities (Medium and High). This was reported in Risk Registry –
Organizational Level and Opportunity Registry – Organizational Level as of September
30, 2020.

6. As reported in the Risk Registry – Organizational Level, there are a total of 30

medium risks and 1 high risk identified. To date, there were 4 Previous Risk Rating 6
(medium) that have been classified under Risk Rating Low (4) as of September 30,

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 2020 and the Previous High Risk already lowered to Medium Risk. However,
evaluation of the effectiveness of actions to address identified risks was not
demonstrated. Moreover, implementation of action plans for the identified
opportunities were likewise not evident. A nonconformity (SSM-01/S1) and OFI
(#3) were raised in this area.

Opportunity for Improvement:

1. Method to show that issues defined in the Risk Registry have covered the issues arising
from Relevant Interested Parties and issues related to Internal and External issues of
SWOT Analysis and Pestle Analysis was not clearly demonstrated.

2. Analysis of data as a result of the monitoring of actions taken to address identified

significant risk was not demonstrated to evaluate effectiveness of actions taken.

3. There were several determined high opportunities however, pursuing the action plans
are still not demonstrated.

Non-conformity (Minor):

1. SSM-01/S1 (Clause 6.1/9.1.3e)

As reported there were 4 Previous Risk Rating 6 (medium) that have been classified
under Risk Rating Low (4) and the Previous High Risk already lowered to Medium Risk
as of September 30, 2020. However, analysis of data and information arising from
monitoring to evaluate the effectiveness of actions taken to address risks was not
demonstrated.

 INSTITUTIONAL DEVELOPMENT (LAMISCA IMO)

Conformities:

1. Quality Objectives has been established however, planning how to achieve this Quality
Objectives were not demonstrated. A nonconformity (SSM-02/S1) was raised in
this area.

2. Monitoring and measurement of the Quality Objective were reported as follows:

a) Organize 1 Irrigation Association (IA) for 2020 – Achieved as of June 2020 1 IA
organized (Pangasihan CIP)
b) IA Registration (SEC) with target of 1 IA – Achieved as of June 2020
c) IA Training and Capability with target of 25 training conducted for year 2020 – As
of October 30, 2020 20 training conducted

3. Documented information was presented during the remote audit such as:
Development of Capability Building Program for IA-22WD LAMISCA Irrigation
Management Office – Desk Manual, NIA-RIO-LAMISCA-DM-01, Rev. 01, July 28,
2020. The following records were reviewed during the audit:
a) Training Proposal (e.g. Basic Leadership Development Course; Tapurok –
Nasagpian Farmers Irrigators Association, Inc. – Opol, Misamis Oriental) -
Includes Rationale; Objective; Assumption on Venue, Date and Participants
(October 21-23, 2020 at Municipal Hall, Opol, Misamis Oriental); Management and
Resource Speakers (From Institutional Development Unit); Program Activities (For

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 days training); and Budgetary Requirements. This has been approved by Acting
Division Manager.
b) Purchase Request – PR # 2020-09-193 (September 16, 2020); includes Snacks
and Lunch. This has been approved by Acting Division Manager.
c) Attendance Sheet – includes the attendance of participants for 3 days activities.
However, an OFI (#1) was raised in this area.
d) Post Training Knowledge Inventory – Participants were evaluated on the 3rd day
through questionnaires to be answered by participants. The 10 participants were
assessed.
e) Evidence of submission for training documents and Post Evaluation to Acting Chief,
Division Manager – still not demonstrated since the Terminal Report is still not
prepared.

However, a nonconformity (SSM-03/S1) and OFI (#2) were raised in this area.

Opportunity for Improvement:

1. Attendance Sheet was available for the 3 days training conducted last September 16,
2020 on Basic Leadership Development Course. However, the actual date of training for
the 3 days with signatures of participants were not demonstrated in the Attendance
Sheet.

2. Post Training Knowledge was conducted to the participants however, there was no
analysis on the results that has been gathered to the participants. As verified during the
remote audit, there was no set target for the passing rate to measure effectiveness of
training conducted.

Non-conformity (Minor):

1. SSM-02/S1 (Clause 6.2)

A. Planning how to achieve the Quality Objective were not determined for the following:
What will be done; What resources will be required; Who will be responsible; When it
will be completed; and How results will be evaluated. (All areas audited)

2. SSM-03/S1 (Clause 9.1.2)

Method to gather feedbacks from training participants to monitor customer’s

perception of the degree to which their needs and expectations have been fulfilled
was not demonstrated. As such, gathering of information if there are areas for
improvement were likewise not demonstrated.

 ENGINEERING

Conformities:

A. LAMISCA IMO

1. Quality Objective has been established such as: Improve planning, design and
implementation of irrigation project to be Climate Change Adoptive Areas generated
and restored. However, there was no set target to measure process performance.
Moreover, planning how to achieve the Quality Objective was not demonstrated. A
nonconformity (SSM-02/S2) was raised in this area.

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 2. Documented information was presented during the remote audit such as: Project
Construction and Monitoring Process, NIA-RIO-LAMISCA-DM-01, Rev. 01, July 28,
2020. Supervision and monitoring of projects were done by engineering including the
submission of Project Monthly Progress Report as evidenced by the following records
reviewed during the remote audit:
a) Consultation Meeting Pre-Construction Conference CY 2020 Project
o Altubo-Guinotang CIP; June 17, 2020; Mayors Office (Alubigid, Misamis
Oriental at 9:30 AM); with Minutes of Meeting (June 17, 2020), Attendance
Sheet and pictures
b) Joint-Survey & Project Final Stake-out
o Record of As Stake Survey with Details of Close-Out (Altubo-Guinotang
Communal Irrigation Project Plan & Profile) signed by Surveyor, Design
Engineer, Head of Engineering, Division Manager and Approval by Regional
Office Manager.
c) Construction, Supervision & Monitoring
o Record of Construction Schedule and S-Curve: includes start (April 2020) and
Finished of Project (September 2020) with defined activities to be done.
Revision of Construction Schedule with end of Project by November 12, 2020
(Due to suspension cause by Covid Pandemic)
o Statement of Work Accomplished (SWA) - e.g. September 15-30, 2020:
Includes Items of work done; Work Accomplished and Weighted &
Accomplishment
o Daily Inspector’s Report (e.g. September 16, 2020) – Monitored construction
activities, Equipment utilization, Manpower utilization, and Deliveries made.
This was signed by Project In-Charge & Head of Satellite Office
d) Submit Consolidated Report – Project Monthly Progress Report to RIO
o Record of Status of CY 2020 Project Implemented and includes all Projects
being implemented and signed by Division Manager A (LAMISCA). Transmittal
received by Regional Office with stamped date (October 19, 2020)

3. Monitoring accomplishment of Contractor was reported in S-Curve to determine their

ability to meet organization’s requirements. As reported there was no negative
slippage accountable to the contractor.

B. REGION 10

4. Quality Objectives has been established however, planning how to achieve this Quality
Objectives were not demonstrated. A nonconformity (SSM-02/S1) was raised in
this area.

5. Monitoring and measurement of the Quality Objective were reported as follows:

Improve planning, design and implementation of irrigation projects to be Climate
Change Adoptive with target: Current: 773 hectares of CY 2020 GAA target generated
by end of December 2020 and Carry-over: 1,325 hectares of Carry-over projects
generated by end of December 2020. As reported this were not achieved with actual
of 303 hectares as of September 2020 (Current); and 699 hectares as of September
2020 (Carry-over). Likewise the Repair and Rehabilitation of Irrigation Facilities were
not achieved. Evidence of improvement action plans on the unmet Quality Objectives
were not demonstrated. A nonconformity (SSM-04/S1) was raised in this area.

6. Documented information was presented during the remote audit such as: Detailed
Survey for Irrigation and Drainage Facilities (Processing Time within 7 working days),
NIA-Region10-OPM-000, Rev. 2, August 1, 2020. Activities being undertaken in this

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RP1-1 CIP-2020
 procedure is being done under the Planning & Programming Unit from receipt of
survey data from IMO; Reviewing the detailed survey data for error free data; and
forwarding to Design and Specification the survey data. The following records were
reviewed during the audit:
a) Record of Review and Evaluation of Survey Returns New Irrigation Project showed
evidences of review by Planning and Programming Unit with review as to Complied
or Not Complied. Additional requirements was stated if needed. This has been
signed by Geodetic Engineer and reviewed by Head, Planning & Programming Unit
o Review were done in the following areas: Description of Survey and Mapping
(General Layout) and Topographic map of the project area; General Layout in
one sheet; Damsite Data; Plan and Profile of Canal & Canal Structures
o This was resend to IMO for compliance to the additional requirements needed.

However, an OFI (1) was raised in this area.

7. Survey Data reviewed by Planning & Programming Unit still has none transmitted to
Design Unit. Presently all reviewed Survey Data are addressing the findings cited
during the review. A total of 3 projects (For Year 2021 – 2022) are pending and still
awaiting for IMO to address findings cited.

Opportunity for Improvement:

1. Monitoring Report for the processing time of Planning & Programming Unit was not
demonstrated. The procedure on Detailed Survey for Irrigation & Drainage Facilities
specified processing time of 7 working days.

Non-conformity (Minor):

1. SSM-02/S1 (Clause 6.2)

A. Planning how to achieve the Quality Objective were not determined for the following:
What will be done; What resources will be required; Who will be responsible; When it
will be completed; and How results will be evaluated. (All areas audited)

B. The Quality Objective of Engineering (LAMISCA IMO) on improve planning, design and
implementation of irrigation project to be Climate Change Adoptive Areas generated
and restored has no defined target to measure process performance.

2. SSM-04/S1 (Clause 10.2)

Unmet Quality Objectives were not addressed with corrections and corrective actions
for improvement such as: Improve planning, design and implementation of irrigation
projects to be Climate Change Adoptive. Engineering (Region 10)

 COMPETENCE (LAMISCA IMO)

Conformities:

1. Quality Objectives has been established however, planning how to achieve this Quality
Objectives were not demonstrated. A nonconformity (SSM-02/S1) was raised in this
area.

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 2. Monitoring and measurement of the Quality Objective on Capability Building of NIA
personnel with target:
a) 5 training conducted in a year (Due to Covid 19 pandemic this was revised to 3
training in a year) – 1 training conducted and 2 training still to be conducted
b) Number of personnel provided with training – 150 yearly target (Due to Covid 19
pandemic this was revised to 80 personnel provided with training in a year) –
Actual of 40 personnel

3. Memorandum Circular (MC No. 145) was send to Regional Offices Dated 8 October
2020, signed by Administrator NIA with Subject: Competency Assessment stated the
following: Related to issuances of Memorandum Circular No. 72 series 2019 treating
on NIA’s Competency Framework, assessment of competency of Salary Grade (SG) 19
and below employees under permanent & casual status shall be completed this CY
2020.

4. Competency Assessment Form has been send by Central Office to Regional Office 10
and will be used for rating competencies of employees through Self Rating, and
Superior Rating. This covers Part I (Core Competency) and Part II (Technical
Competency). Presently, there is still no training provided to all the Units on how this
will be implemented. A nonconformity (SSM-05/S1) and OFI (#1) were raised in
this area.

Opportunity for Improvement:

1. There was no established guidelines provided by Central Office on how to address

Area that needs improvement (Rating 2) and Not demonstrated (Rating 1) stated in
the Competency Assessment Form which is still for implementation.

Non-conformity (Minor):

1. SSM-02/S1 (Clause 6.2)

A. Planning how to achieve the Quality Objective were not determined for the following:
What will be done; What resources will be required; Who will be responsible; When it
will be completed; and How results will be evaluated. (All areas audited)

2. SSM-05/S1 (Clause 7.2)

Determining the necessary competence of all personnel within the QMS have not been
conducted to identify any need for competence improvement.

 OPERATIONS AND MAINTENANCE

Conformities:

A. LAMISCA IMO

1. Quality Objectives has been established however, planning how to achieve this Quality
Objectives were not demonstrated. A nonconformity (SSM-02/S1) was raised in this
area.

2. Quality Objectives were monitored, measured and reported as follows:

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 a) Increase irrigated areas contributing to Food Security with target of 88.18% of the
40,323 hectares potential irrigable area developed by end of December 2020 –
Actual of 87.84% as of June 2020
b) Cropping intensity in National Irrigation System (NIS) with target of 120% cropping
intensity attained on diversion systems by end of December 2020 – Actual of 119%
as of June 2020
c) Cropping intensity in Communal Irrigation System (CIS) with target of 136%
cropping intensity attained on diversion systems by end of December 2020 – Actual
of 126% as of June 2020

3. Documented Information was presented during the remote audit such as: Processing of
O & M Compensation, NIA-RIO-LAMISCA-DM-01, Rev. 01, July 28, 2020. The following
records were reviewed during the remote audit as required for the processing of
payment of O & M and canal maintenance subsidy to IMO Office:
a) Compensation/Incentive and Payment Schedule – Maintenance (monthly every two
months (₱1,750 per month) and 1 Season (6 months with 3 times of Maintenance).
This includes the records of picture of canal still with no maintenance; picture of
canal of on-going cleaning and picture of canal after maintenance.
b) Inspection of Canal Maintenance Accomplishment to be conducted by Sr. Facilities
Technician or Institutional Development Officer – Record of Inspection Report on
Maintenance of Irrigation Facilities and Structures under IA Responsibility; Date
(July 15, 2020); Name of System (Maranding River Irrigation System – MARIS);
Name of IA (Macabasakpa Irrigation Association, Inc.). Includes result of Inspection
as Satisfactory for every Canal/Structure listed in the IMT Contract.
Recommendation stated payment of IA Maintenance Compensation Subsidy. This
was signed by the Institutional Development Officer.
c) Computation for Maintenance Compensation is to be submitted to IMO Office -
₱9,134.00 (for 3 periods within the season); For period January – June 2020. This
has been prepared by SWRFT and approved by Division Manager (IMO)
d) Checklist for Maintenance Compensation Subsidy: Completeness of documents
demonstrated such as Maintenance Computation; Inspection Report and Pictures of
Canal Cleaning (Before, During and After). If required documentation is complete
this is signed by Acting Division Manager and submitted to Accounting for Payment.

4. Performance Evaluation of Irrigators Association (responsible for the conduct of

maintenance of canal) is done every end of season (Dry and Wet) as reported in IA
MIMT Performance Evaluation. Target Rating of 85 – 94 (Very Satisfactory) must be
achieved for renewal of Contract. For Dry Cropping of 2020, Summary of Evaluation
showed all IAs with Very Satisfactory and Outstanding (95 and above) Rating.

B. REGION 10

5. Quality Objectives has been established however, planning how to achieve this Quality
Objectives were not demonstrated. A nonconformity (SSM-02/S1) was raised in this
area.

6. Quality Objectives were monitored, measured and reported as follows:

a) Increased irrigated areas contributing to Food Security
o Cropping intensity in National Irrigation System (NIS) with target on Diversion
System of 148% cropping intensity by end of Cropping Season – Actual of
163% as of September 2020
o Cropping intensity in Communal Irrigation System (CIS) with target on
Diversion System of 133% cropping intensity by end of Cropping Season –
Actual of 13% as of September 2020

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 7. Documented information was presented during the remote audit such as: Monthly
Maintenance Report (MC555.2014, MMR Form B & MRR Form C) within 8 total working
days per report, Document No. NIA-Region10-OPM, Rev. 2, August 1, 2020. As
verified during the audit, Monthly Maintenance Report (MMR) submitted by the 3 IMOs
were consolidated into 1 report. E.g. MC 55, MMR was submitted by LAMISCA IMO,
Bukidnon IMO, and Lanao del Sur Interim IMO. The Consolidated Reported has been
prepared by EOD Acting Division Manager and approved by Regional Manager A. The
Consolidated Monthly Maintenance Report was submitted to Central Office.

8. Moreover, Progress of Farming Activities Reports Flow Chart (Within 1 Working Day),
NIA-Region10-OPM-000, Rev. 2, August 1, 2020 was presented during the remote
audit. As verified during the remote audit, Weekly Progress Farming Report submitted
by the 3 IMOs were consolidated into 1 report. E.g. Weekly Farming Activities as of
September 28, 2020 (4th Week September 2020) was submitted by LAMISCA IMO,
Bukidnon IMO, and Lanao del Sur Interim IMO. The Consolidated Report has been
approved by the Regional Manager and submitted to Central Office through e-mail
(September 30, 2020, Wednesday 9:03 AM).

However, an OFI (#1) was raised in this area.

Opportunity for Improvement:

1. Monitoring for the processing time stated in the procedure were not demonstrated to
determine compliance to set timeline.

Non-conformity (Minor):

1. SSM-02/S1 (Clause 6.2)

A. Planning how to achieve the Quality Objective were not determined for the following:
What will be done; What resources will be required; Who will be responsible; When it
will be completed; and How results will be evaluated. (All areas audited)

 CUSTOMER SATISFACTION (REGION 10)

Conformities:

1. Farmer’s Satisfaction is conducted once a year for Dry Season (November 2019 –
April 2020) and Wet Season (May 2020 – October 2020). The survey was conducted
last August – October 2020 by University of Science & Technology Southern
Philippines (USTSP). Terms of Reference for the conduct of farmer’s Satisfaction
Survey was available and covers 7 areas. For 2020, initial result have been provided
however, the process of printing is still ongoing.

2. Overall Satisfaction of 100% Satisfied (Very Satisfactory + Satisfactory) for National

Irrigation System (NIS) has been achieved for 2020 meeting set target of 92.5%
Satisfied. Moreover, Overall Satisfaction of 96.5% Satisfied for Communal Irrigation
System (CIS) has been achieved for 2020 meeting set target of 96.5% Satisfied.

3. Improvement Action Plans on Farmer’s Satisfaction Survey (FSS) 2019 on

Suggestion/ Comments were available. Record of Implementation Status on FSS 2019
Suggestions/Comments as of October 31, 2020 was presented during the remote

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 audit. Activities conducted, Responsible Person, Date of Conduct and Actual Output
were reported for every suggestion on the improvement of NIA services.

4. Evaluation of external provider for the conduct of Farmer’s Satisfaction was available
covering Quality of Output, Timeliness, Effectiveness and GCG Compliant. However,
an OFI (#1) was raised in this area.

5. There were 8 complaints received through 888 Hotline. As reported in the Summary
of Complaints as of October 2020 all ticket s have been closed in the 888 Hotline.
However, evidence of the needed corrections and corrective actions through Request
for Action (RFA) were not demonstrated. A nonconformity (SSM-04/S1) was raised
in this area.

Opportunity for Improvement:

1. Positive comments were reported on the Evaluation of outsourced service provider on

Farmer’s survey for the criteria on Quality of output, Timeliness, Effectiveness and
GCG Compliant. However, there was no set target per criteria to analyze and
determine their ability to meet organization requirements.

Non-conformity (Minor):

1. SSM-04/S1 (Clause 10.2)

Customer complaints received through 888 Hotline have no evidences of the needed
corrections and corrective actions through Request for Action (RFA) to ensure problem
will not recur.

 INTERNAL AUDIT, NONCONFORMITY AND CORRECTIVE ACTION (REGION10)

Conformities:

1. Internal Quality Audit Procedure, NIA-QPR-2016-0007, Rev. 4, June 02, 2020 was
presented during the remote audit. Internal Audit was conducted last June 24 – July
2, 2020 for LAMISCA IMO and July 3-9, 2020 for Regional Office considering
independency of the auditors as to their assigned areas of audit. Training on Internal
Audit have been provided to the 4 Regional Office auditors. The audit of the Internal
Audit was conducted by Central Office auditor. Competence Evaluation of auditors
were conducted after the audit based on criteria: Planning; IQA Implementation and
Reporting. However, an OFI (#1) was raised in this area.

2. Audit Report have been submitted and includes audit findings for compliances, OFIs,
and nonconformities to requirements of ISO 9001:2015 and the organizations own
requirements. There were 176 nonconformities (LAMISCA – 108 & Region Office – 68)
and 153 OFIs (LAMISCA – 88 & Region Office – 65) that were raised during the
Internal Audit. Although corrections and corrective actions through RFA have been
submitted there are still 5 nonconformities that were not addressed with the needed
corrections and corrective actions through RFA. As reported, there are 38
nonconformities still open and 37 OFIs that are still open.

However, nonconformities (SSM-04/S1 & SSM-06/S1) and OFI (#2) were

raised in this area.

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 Opportunity for Improvement:

1. Evidence of Improvement Action Plan for the auditor who failed to meet acceptable
rating on Competency Evaluation is still not demonstrated. Moreover, there was no
set target per criteria to determine and identify competence areas that needs to be
improved.

2. Proper arrangement of How to deal with consequence (Part of correction) and Do

similar nonconformity exist or potentially occur (Part of Root Cause) were not
demonstrated.

Non-conformity (Minor):

1. SSM-04/S1 (Clause 10.2)

The requirement on how to deal with the consequence were not properly filled up in
the Request for Action (RFA) for the nonconformities raised during the audit.

2. SSM-06/S1 (Clause 9.2)

Corrections and corrective actions were taken without undue delay for the
nonconformities raised during the internal audit last July 2020 were not
demonstrated. There are still 5 nonconformities without corrections and corrective
actions through Request for Action (RFA) that have not been submitted.

 MANAGEMENT REVIEW (REGION 10)

Conformities:

1. Management Review was conducted last September 16, 2020 to review the
organization’s QMS for continuing suitability, adequacy and effectiveness. Attendance
Sheet was available and was attended by all concerned Divisions of the Regional
Office and the 2 IMOs LAMISCA and Lanao del Sur. However, Bukidnon IMO was not
present during the Management Review.

2. Minutes of Meeting was available and reported agenda taken up during the meeting.
This covers the required review inputs and review outputs of the ISO 9001:2015. As
reported, some of the improvements program for 2021 covers the following:
Establishment of QC/QA implementation through set up of Material Testing
Laboratory; and Improvement of office building & facilities with extension of building
by 2021.

 VERIFICATION OF PREVIOUS NONCONFORMITY

1. Team-01/Stage 2 – Similar nonconformity seen in the area of Region 10 (IRO).

Nonconformity (SSM-01/S1) under clause 6.1/9.1.3e was raised in this area.

2. Team-03/Stage 2 – Similar nonconformity seen in the area of Region 10 – LAMISCA

IMO. Nonconformity (SSM-05/S1) under clause 7.2 was raised in this area.

3. Team-07/Stage2 – Similar nonconformity seen in the area of Region 10 (IRO).

Nonconformity (SSM-06/S1) under clause 9.2 was raised in this area.

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 -End of Audit Report-
SOFIA S. MANGAHAS

Name of Organization: National Irrigation Administration- Region 12- South

Cotabato- IMO

Type of Audit and Audit Standard/s: S1/ ISO 9001:2015 (off-site)

Auditor: Clarissa M Oracion

Areas/Functions/Processes Audited: Context of the Organization, Actions to

Address Risks and Opportunities; Institutional Development; Engineering ;
Competence; Operations and Maintenance

Audit Findings :

Area/Function/Process/Clauses Audited: Context of the Organization, Actions

to Address Risks and Opportunities/Clauses Audited: 4.1, 4.2, 6
Conformities:
1. Internal and External Issues were identified by conducting PESTLES and SWOT
analyses, and document presented was as Of 03 August 2020.The risks and opportunities
were determined and assessed which among those determined needs to be addressed.
The Risks Registry and Opportunities Registry were dated as of August 03, 2020, Rev 01.
Risk Registry Assessment was dated, as of Sept 30, 2020
2. The Relevant Interested Parties and their Needs and Expectations were determined
and documented in its RIPs Matrix as of August 03, 2020 (Rev 1)
3. Actions to address the risks and opportunities were determined and these were seen in
the Risk and Opportunities Assessment Registries.
4. Revised Risk Management Procedure was issued as MC 9, 2020.
Opportunity/ies for Improvement (if any):
1. Revision numbers were not identified in the PESTLE AND SWOT Analyses. This does
not ensure that the assessment of the corresponding risks and opportunities correspond
to the latest review of the issues identified, as well as to the risks and opportunities
assessment.

2. In the SWOT analysis/PESTLES analysis, it was not clearly described which strategic
direction is being analyzed to determine the external and internal issues
3.There were cases where 2 opportunities were identified, however only one has
assessment seen.
4. Though there were action plans determined, these do not defined the activities to be
undertaken, responsibility for the activities and the completion dates of the activities.

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 * 5. Though the needs and expectations of the relevant interested parties
(RIPs) were determined, the risks and opportunities arising from the
Requirements of the RIPs (as listed in the RIPs Matrix) were not determined
and assessed.
Nonconformity/ies(if any): No new NC
Verification of previous NC
Team 01/ST2 – still open because of 5 above*

Area/Function/Process/Clauses Audited: Institutional Development

Conformities:
1. Institutional Development Program and Accomplishment as of 15 October was shared
showing Revised Annual Target and accomplishments.
Examples of accomplishment vs. target shared:
- Conduct Functionality Survey for CY 2019 for NIS and CIS with target of 95%
satisfaction on Services rendered for the year – This was reported achieved for 2019
survey results as 100%
The survey process was outsourced to an SUC – Mindanao State University. Control over
service provider is through the Terms and Reference, copy with RO.
- Strengthening Partnership – Internal and External Coordination- Target is 9
SMC/coordination/stakeholders meeting attended – as of Sept 2020, this was reported
achieved
2. Functionality Survey being conducted for 2020 documented information were shared
such as : Functionality Survey and External Audit Schedule, Memo to IAs on the conduct
of IA Functionality Survey, Sample Computation of Final Rating per IA.
Opportunity/ies for Improvement (if any):
1. Final analysis of Functionality Survey for 2020 by the SUC has not been submitted to
IMO.
2. Functionality Survey Evaluators were identified by numbers, however, traceability as to
who the evaluators were, was not established.
3. Corrective plans for 2 IAs (CIS) with below satisfaction rating have not been
formulated.
Nonconformity/ies(if any):
1. None

Area/Function/Process/Clauses Audited: Engineering

Conformities:
1. The functional objectives of the section were listed in the DPCR. Examples of objectives
seen were:
- 8 detailed design completed with FSR (feasibility study reports) by end of December
2020
- Program of Work Projects for CY 2021 submitted by end of Sept 2020 - achieved
2. Flow Processes were documented in the Operations manual such as Planning and
Design – Project Planning for New Irrigation Projects, Preparation of Program of Works
for Construction with operating criteria requirements of duration per activity and total
number of days for the Process

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 Opportunity/ies for Improvement (if any):
*1. There were 8 detailed designs of projects submitted, however there were
no FSRs shared
2. Duration per activity in the process flows were defined, however no evidence that
these were monitored and complied with
Nonconformity/ies(if any): New NC
1. There was no evidence to show that the operating criteria defined for the processes
were monitored, measured and analyzed ,, for example; Preparation of Program of
Works for Construction – total of 48 days
Verification of Previous NCs:
Team 02 /ST2- still open because of *1 above

Area/Function/Process/Clauses Audited: Competence

Conformities:
1. Competency Assessment is on-going for Salary Grade 19 and below. Competency
Assessment form was downloaded from the Central Office only Oct 2020. MC 145 was
issued in 08 October 2020 requiring the submission of the assessment this CY 2020.
For Salary Grade 20 and above, these were already submitted to the Regional Office.
2. A List of Trainings for 2020 (as suggested by Supervisor/section heads) and summary
of training conducted as of Sept 30, 2020, was shared. 2 training were conducted, one in
June 2020, and one in February 2020. Evaluation of training effectiveness id to be done
after 6 months form the training date, for the February 2020 training, the required forms
were completed by the trainees and submitted to Adm/HR.
3. An MC was issued in 10 February 2020 amending previous MC on the Evaluation of
Training Effectiveness
Opportunity/ies for Improvement (if any):
*1. The competency assessment form has been distributed to the staff, however
no completed forms have been submitted to Admin.
*2. No related functional objective/s was defined in the DPCR of Adm or IPCR of
the assigned staff performing the function.
Nonconformity/ies(if any): New NC
1. Though the Evaluation of Training Effectiveness Forms were already completed, the
analysis of the results for the February 2020 training has not been undertaken to gauge
the effect of training to the individual attendees.

Verification of Previous NCs:

Team 02/ST 2 – still open because of *2 above
Team 03/ST 2 – still open because of *1 above

Area/Function/Process/Clauses Audited: Operations and Maintenance

Conformities:

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 1. Examples of Functional Objectives/targets and actual accomplishment as of 30 Sept
2020 were seen in the DPCR as follows:
- 4 NIS operated and maintained
- Seasonal Irrigated Areas in NIS
- wet season – 21, 174.82 ha – reported 21, 287.75
- dry season - 21, 174.82 ha –reported 21, 216.22 ha
- Rice yield in NIS, MT/ha- 4.25 MT/ha – reported 4.76 MT/ha
2. Flow Processes were documented in the Operations manual such as Preparation of
Monthly Maintenance Reports. A monthly maintenance report as of Sept 2020 was
shared.
The report was shared showing the condition of the inspected areas/canal and remarks
such well maintained, poor maintained and maintained
3. An MC 55:2014 was issued – Guidelines on the proper Operation and maintenance of
Irrigation/Drainage Facilities. It described the parameters is Satisfactory Operated and
Maintained Canals.
Opportunity/ies for Improvement (if any):
1. Parameters for gauging Poor maintenance were not defined. A rating on Poor,
Satisfactory and Very Satisfactory maintained was not indicated in the reports.
Nonconformity/ies(if any): New NC
1. There was no evidence to show that the operating criteria defined for the processes
were monitored, measured and analyzed , for example ; NIS Maintenance – 1-2 days

===================END OF REPORT / CMO==================

Name of Organization: National Irrigation Administration (NIA)

Location:
a. Iloilo-Guimaras IMO: Tacas, JAro, Iloilo City
b. NIA Region VI: Tacas, Jaro, Iloilo City
Type of Audit and Audit Standard/s: 1st Surveillance Audit-Offsite/ISO 9001:2015
Date/s of Audit: November 9-10, 2020
Auditor: Aravilla G. Bukas
Audit Scope: Public administration, covering the provision of irrigation services through
the development, construction, operations and maintenance of irrigation systems.
Areas/Functions/Processes Audited:
Day 1: Iloilo-Guimaras IMO
A. Review of Context of the Organization, Needs and Expectation of Interested Parties
and Action Plan to address Risk and Opportunities +Verification of Team01/ST2
B. Institutional Development + Verification of TEAM02/ST2 and TEAM 05/ST2
C. Engineering +Verification of TEAM02/ST2 and TEAM 05/ST2
D. Competence +Verification of TEAM03/ST2
E. Operations and Maintenance + TEAM02/ST2 and TEAM 05/ST2

Day 2: NIA Region VI

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 F. Review of Context of the Organization, Needs and Expectation of Interested Parties
and Action Plan to address Risk and Opportunities +Verification of Team01/ST2
G. Engineering +Verification of TEAM02/ST2 and TEAM 05/ST2
H. Operations and Maintenance + TEAM02/ST2 and TEAM 05/ST2
I. Customer Satisfaction and Feedback Handling
J. Internal Audit, Nonconformity and Corrective Action +Verification of Team 07/ST2
K. Management Review

Audit Findings (per area/function/process):

Day 1: Iloilo-Guimaras IMO

A. Review of Internal and External Issues, Needs and Expectation of Interested

Parties and Updates on Status of Action Plans to Address Risk and
Opportunities (ISO 9001:2015 Clauses 4.1, 4.2 and 6.1.1) +Verification of Team
01/ST2
Conformities:
1. IGIMO used PESTLE and SWOT Analysis for the determination of organizational/ process
level relevant internal and external issues. The organization have define criteria for risk
and opportunity assessment.

2. Determination of relevant internal and external issues that are relevant to its purpose
was conducted last March 2020. Confirmed that issues related to covid-19 pandemic
were considered in the assessment.

3. The requirements of interested parties to its QMS were documented in “Relevant

Interested Parties (RIPs) Matrix”.

4. The corresponding risks and opportunities identification and assessment including the
planned action for addressing significant risks and opportunities were seen also in Risk
Registry and Opportunity Registry.

Opportunity/ies for Improvement:

1. The organization need to revisit on how the existing control measures will be considered
in risk/opportunity assessment.

2. Action plan for the significant risk was determined by the process owners however
identified action plan is an existing control measure and not a new action to address or
mitigate risk.

Nonconformity/ies:
None

Verification of TEAM01/ST2 -OPEN

Same nonconformities still observed during remote audit as follows:

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 a. Risk and opportunities determination from issues identified in SWOT and PESTLE were
not adequately evident in Risk Registry and Opportunity Registry.

b. Risk and opportunity determination from needs and expectations of interested parties
were not evident.

c. Action plans to address the risks and opportunities were not adequate to prevent or
reduce the undesirable effects and enhance the opportunities.

d. Evaluation of actions effectiveness to mitigate/address risk and opportunities were not

adequately evident.

B. Institutional Development (ISO 9001:2015 Clauses 6.2, 8 and 9.1.1) +Verification

of TEAM02/ST2 and TEAM 05/ST2
Conformities:
1. Institutional Development Unit facilitate the establishment of databases management
system and Irrigator’s Associations (IAs) including development and conduct of
trainings, seminars and conferences.

2. Institutional Development processes are maintained and controlled by the process

owner. Monitoring and measurement are verified as carried out and in accordance to
approved process procedures (desk manual).

3. Confirmed that functional quality objectives and action plans are established and
documented in Division Performance Commitment and Review (DPCR). Monitoring and
measurement against targets are evident. Generally, targets are met from January to
June 2020.
Examples:
Target #01: 2 IAs organized by end of June 2020
Target #02: 13 trainings conducted within a year

4. Plans/Programs for achieving the objective/target were also determined and

documented in the “Institutional Development Program (IDP)-Revised Physical Program
of Work for CY 2020” and “Annual Work Plan and Budget CY 2020”.

5. Institutional Development processes are documented in “Iloilo-Guimaras Irrigation

Management Office Desk Manual” revision 1, effectivity date August 5, 2019. Records
seen: Operations Sector Assessment-CY 2020 Status of IDP Implementation as of Sept.
30, 2020, IGIMO Communal Irrigation System Accomplishment Report, BLDC
Attendance (September 25, 2020), BLDC Invitation to IAs (Sept. 18, 2020), BLDC Post
Training Knowledge Inventory, IAs Registered in National Irrigation System (78 IAs)
and Communal Irrigation System (Iloilo-74 IAs and Guimaras-17 IAs).

Opportunities for Improvement:

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RP1-1 CIP-2020
 1. Institutional Development Unit have established process flowchart with specific time
requirement in each activities however monitoring and measurement were not evident
in the records presented during remote audit.

2. Established quality objectives and targets in DPCR were based on process activities and
not outcome based.

Nonconformity/ies:
None

Verification of TEAM02/ST2 and TEAM 05/ST2 -CLOSED

Records that will support the reported actual attainments to the target of the objective and
required requirements of 6.6.2 were already available at the time of the audit.
C. Engineering (ISO 9001:2015 Clauses 6.2, 7.1.3, 8 and 9.1) + Verification of
TEAM02/ST2 and TEAM 05/ST2
Conformities:
1. The functional quality objectives, targets and action plans for year 2020 are established
and maintained by Engineering Section. Monitoring and measurement against targets
are evident in Division Performance Commitment and Review (DPCR). Generally, targets
are met from January to June 2020. Plans/Programs for achieving the objective/target
were also determined and documented in the “Summary of CY 2020 Program of Work”.
Examples:
Target #01: 1 detailed engineering completed with FSR approved by RM and submitted
to CO by end of June 2020.
Target #02: 100% accurate and complete reports submitted on schedule

2. Engineering Section develop and formulate short and long range plans and programs
for feasible irrigation and water related resource projects, construction/rehabilitation of
irrigation projects/systems, utilization and repair of available equipment includes
monitoring of construction and rehabilitation of irrigation projects.

3. Define requirements for the engineering processing is documented in “Iloilo-Guimaras

Irrigation Management Office Desk Manual-Section 2” revision 1, effectivity date August
5, 2019.

4. Two (2) projects were presented during remote audit. Overall, projects implementation
and monitoring were seen effective and controlled by Engineering Section.

Project 1: BAROTAC VIEJO SRIP (on going project)

Records seen:
a. Approved Budget for the Contract
b. Summary of CY 2019 Program of Work (POW)
c. Revised Masterlist of Program of Work for Additional Irrigation Facilities
d. Breakdown Analysis of Unit Per Item of Work
e. Summary of Carryover Program of Works

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RP1-1 CIP-2020
 f. Notice of Award to Patrila Builders Inc.
g. Notice to Proceed
h. Construction Schedule Monitoring as of Oct 31, 2020

Project 2: Danao CIP (still for bidding)

Records seen:
i. Resolution Requesting NIA-IGIMO for Financial Assistance for Construction of Danao
Communal Irrigation Pump (CIP) dated October 4, 2020.
j. Certification from Danao Farmers Irrigation Association for Right of Way
k. Summary of CY 2019 Program of Work (POW)
l. Approved Design: Proposed Intake and Project Profile
m. Revised Masterlist of Program of Work for Additional Irrigation Facilities
n. Breakdown Analysis of Unit Per Item of Work
Opportunity/ies for Improvement:
1. Engineering section have established process flowchart with specific time requirement
in each activities however monitoring and measurement were not evident in the records
presented during remote audit.

2. Established quality objectives and targets in DPCR were based on process activities and
not outcome based.

3. Engineering section conducted coordination meetings to the farmer association however

need to revisit appropriate template for Minutes of the Meeting.

4. Engineering section required Back To Office Report to evidence actual inspection and
survey of the proposed projects however not consistently complied by the concerned
staff assigned to DANAO CIP Project.

Nonconformity/ies:
None

Verification of TEAM02/ST2 and TEAM 05/ST2 -CLOSED

Records that will support the reported actual attainments to the target of the objective and
required requirements of 6.6.2 were already available at the time of the audit.

D. Competence (ISO 9001:2015 Clauses 6.2, 7.2, 9.1) + Verification of TEAM03/ST2

Conformities:
1. The functional quality objectives, targets and action plans for year 2020 are established
and maintained Administrative Services Section. Monitoring and measurement against
targets are evident in Division Performance Commitment and Review (DPCR). Generally,
targets are met from January to June 2020.

2. The process requirements for the competency development were defined in the
documented “MC No. 145 Competency Assessment” issued last October 8, 2020.

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RP1-1 CIP-2020
 Records seen: Training Plans and Programs, Competency Assessment for Section Chief
and Acting Division Manager and Evaluation of Training Effectiveness.

Opportunities for Improvement:

1. Administrative Service Section have established process flowchart with specific time
requirement in each activities however monitoring and measurement were not evident
in the records presented during remote audit.

2. Established quality objectives and targets in DPCR were based on process activities and
not outcome based.

3. Required requirements of 6.6.2 were not adequately demonstrated at the time of remote
audit.

Nonconformity:
None

Verification of TEAM03/ST2
Corrective actions implementation is still ongoing and for further verification to the next
audit.

E. Operation and Maintenance (ISO 9001:2015 Clauses 6.2, 7.1.3 and 8, 9.1) +
Verification of TEAM02/ST2 and TEAM 05/ST2
Conformities:
1. Operation and Maintenance Section of IGIMO is composed of four (4) irrigation systems.
Generally, effective implementation of processes for operation and maintenance were
evident.

2. Functional level objectives for the QMS were seen established and documented in
“Division Performance Commitment and Review (DPCR)” of the Operation and
Maintenance Section. Plans/Programs for achieving the objective/target were also
determined and documented in the “ASBRIS O&M Plan CY 2020” and “Maintenance and
Other Operating Expenses”.

3. Monthly measurement of attainments to the targets of the objectives were seen

conducted and were reported from January to June 2020. Measurements showed
attainment to the targets.

4. Confirmed that Operation and Maintenance Section have established program for
maintenance of equipment and irrigation facilities. Accomplished inspection checklist
were available and verified during remote audit.

5. The process for operations and maintenance were appropriately documented in the
procedure “Iloilo-Guimaras Irrigation Management Office Desk Manual-Section 3”

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RP1-1 CIP-2020
 revision 1, effectivity date August 5, 2019. Evidences of implementation of these
requirements can be seen in various reports sampled and reviewed. Records seen:
a. Aganan River Irrigation System Harvest Report-Agricultural Year 2020
b. Summary Report of Irrigated and Benefited Areas October 7, 2019 to March 15, 2020.
c. Cost of Production Per Hectare @ 87.99 (Cavans Per Hectare) Dry Crop 2019
d. NIS and CIS Processes of Farming Activities
e. Monthly Maintenance Report (MMR)
f. Inspection Report on Maintenance of Irrigation Facilities and Structures under IA
Responsibility.
g. Cropping Calendar Dry and Wet CY 2020

Opportunity/ies for Improvement:

1. Operation and Maintenance Section have established process flowchart with specific
time requirement in each activities however monitoring and measurement were not
evident in the records presented during remote audit.
2. Established quality objectives and targets in DPCR were based on process activities and
not outcome based.

3. Operation and Maintenance Section conducted minor repairs for equipment and
irrigation facilities however preventive maintenance plan for year 2020 was not available
during remote audit.

4. Criteria for inspection and maintenance requirements in irrigation equipment and

facilities were not define in the records and these will not ensure that the actual
accomplishment is within the define requirements.

Nonconformity/ies:
None

Verification of TEAM02/ST2 and TEAM 05/ST2 -CLOSED

Records that will support the reported actual attainments to the target of the objective and
required requirements of 6.6.2 were already available at the time of the audit.

Day 2: NIA Region VI

F. Review of Internal and External Issues, Needs and Expectation of Interested

Parties and Updates on Status of Action Plans to Address Risk and
Opportunities (ISO 9001:2015 Clauses 4.1, 4.2 and 6.1.1) +Verification of Team
01/ST2
Conformities:
1. NIA Region VI used PESTLE and SWOT Analysis for the determination of strategic and
organizational/process level relevant internal and external issues. The organization have
define criteria for risk and opportunity assessment.

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RP1-1 CIP-2020
 2. Determination of relevant internal and external issues that are relevant to its purpose
was conducted last March 2020. Confirmed that issues related to covid-19 pandemic
were considered in the assessment.

3. The requirements of interested parties to its QMS were documented in “Relevant

Interested Parties (RIPs) Matrix”.

4. The corresponding risks and opportunities identification and assessment including the
planned action for addressing significant risks and opportunities were seen also in Risk
Registry and Opportunity Registry.

Opportunity/ies for Improvement:

1. The organization need to revisit on how the existing control measures will be considered
in risk/opportunity assessment.

3. Action plan for the significant risk was determined by the process owners however
identified action plan is an existing control measure and not a new action to address or
mitigate risk.

Nonconformity/ies:
None

Verification of TEAM01/ST2 -OPEN

See verification statement in IGIMO Report

G. Engineering (ISO 9001:2015 Clauses 6.2, 8 and 9.1) + Verification of TEAM02/ST2

and TEAM 05/ST2
Conformities:
1. The functional quality objectives, targets and action plans for year 2020 are established
and maintained by Construction Management Section. Monitoring and measurement
against targets are evident in Division Performance Commitment and Review (DPCR).
Generally, targets are met from January to June 2020. Plans/Programs for achieving the
objective/target were also determined and documented in the “Summary of CY 2020
Program of Work”.

2. Construction Management Section review the quantity, cost estimates, programs of

work, design and plans of irrigation facilities and other related drawings.

3. Construction Management conducted periodic inspection on the progress of construction

works and recommend acceptance of completed works thru the created Inspectorate
Team.

4. Define requirements for the construction management processes were documented in

“Construction & Management Section Operations Manual” NIA-Region VI-OPM-001
revision 1, effectivity date May 2, 2019.

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 5. Vista Alegre CIS Project was presented during remote audit. Overall, monitoring were
seen effective and controlled by the process owner. Records seen:
a. Summary of CY 2020 Program of Work-Vista Alegre (April 15, 2020)
b. Construction Schedule
c. Release of SAA/Funding Check
d. Notice of Award (23 July 2020) and Notice to Proceed (04 August 2020)
e. Construction Methods
f. Back to Officer Report with Findings
g. Advice of Sub-Allotment
h. Project Completion Report

Opportunity/ies for Improvement:

1. Established quality objectives and targets in DPCR were based on process activities and
not outcome based.
2. Nonconforming outputs during construction were properly identified, corrected and
subjected to re-inspection however reviewing the causes and implementation of
appropriate corrective actions to prevent recurrence of nonconformities were not
evident.

Nonconformity/ies:
None

Verification of TEAM02/ST2 and TEAM 05/ST2 -CLOSED

Records that will support the reported actual attainments to the target of the objective and
required requirements of 6.6.2 were already available at the time of the audit.

H. Operation and Maintenance (ISO 9001:2015 Clauses 6.2, 7.1.3 and 8, 9.1) +
Verification of TEAM02/ST2 and TEAM 05/ST2
Conformities:
1. Functional level objectives for the QMS were seen established and documented in
“Division Performance Commitment and Review (DPCR)” of the Operation Section.
Measurement of attainments to the targets of the objectives were seen conducted and
were reported from January to June 2020.

2. The process for operations and maintenance were appropriately documented in the
procedure “Regional Office IV Operational Manual-Section 2” revision 1, effectivity date
May 2, 2019. Evidences of implementation of these requirements can be seen in various
reports sampled and reviewed. Records seen:
a. Submission of Monthly Reports on Operations and Maintenance Performance and
Status of Farming Activities for CY 2020 as of October 31, 2020 to NIA-Central Office
b. Regional Total Cropping Intensity (CI) as of October 31, 2020.
c. NIS and CIS Progress of Farming Activities-Region VI
d. Repair Maintenance Plan CY 2020

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 e. Submission of Consolidated MC#55 Monthly Maintenance Report as of October 31,
2020 to NIA-Central Officer
f. Submitted Operation and Maintenance Plan of Aklan-Panakuyan River Irrigation
System for Calendar Year 2020 with the following attachments: Hydro Meteorological
Data, Cropping Calendar, Projected Weekly Progress of Farming Activities, Irrigation
Water Distribution Network (Dry and Wet), Average Effective Discharge by Month
inmm/day, Average Effective Rainfall by Month in mm/day, Turn out Requirement
and Discharge/Irrigation Diversion Requirement, Computation of Weekly Area and
Water Deliver Schedule Wet and Dry for Calendar Year 2020.
g. Inventory of Irrigation Systems as of December 31, 2019-Region VI

Opportunity/ies for Improvement:

1. Operation Section have established process flowchart with specific time requirement in
each activities however monitoring and measurement were not evident in the records
presented during remote audit.

2. Established quality objectives and targets in DPCR were based on process activities and
not outcome based.

Nonconformity/ies:
None

Verification of TEAM02/ST2 and TEAM 05/ST2 -CLOSED

Records that will support the reported actual attainments to the target of the objective and
required requirements of 6.6.2 were already available at the time of the audit.

I. Customer Satisfaction and Feedback Handling (ISO 9001:2015 9.1.2 and 9.1.3b)
Conformities:
1. Define requirements for the customer satisfaction assessment was documented in
“Revised Terms of Reference for the Conduct of the 2019/2020 Farmers Satisfaction
Survey”. West Visaya State University conducted customer survey to the farmers from
NIS and CIS. Contract of service is available and reviewed during remote audit.

2. Results of 2019 surveys showed that the organization have overall satisfaction rating
of 95%. NIA Region VI have satisfaction rating of 99% from NIS while 91% from CIS.
Overall result of farmers satisfaction is above the established target. Records seen:
2019 Farmers Satisfaction Survey Result and Customer Satisfaction Survey Forms.

3. NIA Region VI received six (6) complaints from 888 Complaint Center, one (1) from
FB Page and one (1) from email. Action to address complaint was evident based on
records. The organization have effective handling of customer complaints.

Opportunity for Improvement:

1. Customer survey for the year 2020 still ongoing due to covid-19 pandemic.

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 Non-conformity/ies:
None

J. Internal Audit, Nonconformity and Corrective Action (Clauses 9.2, 10.1 and 10.2)
+ +Verification of Team 07/ST2
Conformities:
1. Confirmed that defined requirements for the internal audit and corrective action were
documented in Internal Audit Quality Audit Procedure (NIA-QPR-2016-003 revision 4,
effectivity date 02 June 2020).

2. The latest audit was conducted last October 19-29, 2020. A total of sixteen (16)
nonconformities and eighty-one (81) opportunities for improvement were reported to
NIA Region VI and IMO. Audit of internal audit process will be scheduled on 4 th Quarter
of 2020.

3. Required records of the audit were available to evidenced conformance to the internal
audit process, these includes the following: Audit Programme for CY 2020, Audit Plan,
Auditor Qualifications, Competency Evaluation of IQA, Audit Checklist, Registry of IQA
Findings and Request for Action (RFA).
4. Overall, internal audit process is effective and compliant to the requirements.

Opportunities for Improvement:

1. Internal Auditors have appointment letter which includes roles and responsibilities
however define authorization given to auditors was not evident.

2. Three IMO still not included in internal audit schedule for year 2020.

3. Nonconformities from unmet targets, customer complaints and to the requirements of

the established procedures of the organization were not included in the process of RFA
as per procedure of NIA-QPR-2016-003 revision 4.

Nonconformity/ies:
None

Verification of TEAM07/STA -CLOSED

Records that will support the all processes were considered in internal quality audit and all
audit findings have issued accomplished RFAs.

K. Management Review (ISO 9001:2015 Clause 9.3)

Conformities:
1. Top Management demonstrated their leadership and commitment, as seen in all
management retained documented information.

2. Management review is scheduled once a year and the latest meeting was conducted last
September 29, 2020. The Minutes of the Meeting (MOM) has evidenced the discussion
of the required review inputs and outputs. MOM showed inclusion of required inputs of
the process and a generally good level of discussion to the individual inputs.

Opportunity/ies for Improvement:

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 None
Nonconformity/ies:
None

___END OF REPORT___

Name of Organization: National Irrigation Administration

Pangasinan IMO, Bayaoas, Urdaneta City and

Region I, Bayaoas, Urdaneta City

Type of Audit and Audit Standards: First Surveillance Audit - Remote/ISO

9001:2015

Date of Audit: November 9-10, 2020

Auditor: Renato Julian M. David

Areas/Functions/Processes Audited: (auditor to identify clause/s of standard audited

in each area, function or process audited):

Day 1 - IMO
1. Context of the Organization (Clauses 4 and 6)
2. Institutional Development (Clauses 6.2, 8 and 9.1)
3. Engineering (Clauses 6.2, 8 and 9.1)
4. Competence (Clause 6.2, 7.2 and 9.1)
5. Operations and Maintenance (Clauses 6.2, 8 and 9.1)

Day 2 - RIO
6.Context of the organization (Clauses 4 and 6)
7.Engineering (Clauses 6.2, 8 and 9.1)
8.Operations and Maintenance (Clauses 6.2, 8 and 9.1)
9.Customer Satisfaction (Clause 9.1)
10.Internal audit, Nonconformity and Corrective action (Clauses 9.2 and 10.2)
11.Management Review (Clause 9.3)

Audit Findings (per area/function/process):

Day 1
1. Context of the organization (Clauses 4.1, 4.2 and 6.1)
Conformities:
a. The IMO used PESTLE and SWOT analyses in updating on September 30, 2020 the
issues it faced, and the risks and opportunities associated with them.

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 b. Similarly, it reviewed its relevant interested parties, their needs and expectati0ns
and the risks and opportunities related to said needs/expectations.
c. It identified action plans for risks/opportunities with medium risk/opportunity
ratings or higher.

Opportunities for Improvement:

a. The details for implementing the action plans for addressing risks/opportunities
and how to evaluate effectiveness of these action plans were not available during
the audit.

Nonconformities (if any):

a. Follow-up on previous nonconformity
Team.01/St2 – still open
The details for implementing the action plans for addressing risks/opportunities
and how to evaluate effectiveness of these action plans were not available during
the audit.
b. New Nonconformity – N/A

2. Institutional Development (Clauses 6.2, 8 and 9.1)

Conformities
a. The group regularly monitored its targets for 2020. The lockdown affected the
attainment of its set targets and this was indicated in the monitoring reports.
b. The implementation of the group’s process on organizing irrigation associations
was demonstrated in the case of sampled IA – the Baybay Laet Irrigation
Association. The process was started in August 2020 and the irrigation association
was registered in September 2020.
c. It also demonstrated the implementation of another process which covered
capability-building. A one-day program was provided to an irrigation association
that required assistance on capability-building.

Opportunities for Improvement: N/A

Nonconformities: N/A

3. Engineering (Clauses 6.2, 8 and 9.1)

Conformities:
a. The IMO engineering’s DPCR contained its targets and their status. Details on
planning for its objectives were indicated in its program of work.
b. Its DPCR monitored areas (1) generated and restored and (2) repaired and
rehabilitated.
c. There were a few targets that were not met due to suspended activities because of
the lockdown.

Opportunities for Improvement: N/A

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 Nonconformities: N/A

4. Competence (Clause 6.2, 7.2 and 9.1)

Conformities:
a. Competency determination for the different NIA positions is the responsibility of
the Central Office.
b. Competencies have been determined only for SG 19 (Section Chief) to SG 24
(Division Manager). MC 72 Series of 2019 defined the competencies for SG 19 up
to SG 24 and classified them into core, technical and leadership competencies.
c. Competencies for SG 18 and below are reportedly still being worked on by the
Central Office.
d. In the absence of competencies for levels SG 18 and below, training needs
assessment was based on the following five areas: Management Development,
Technical Process and Procedures, Organization and Culture, Occupational Safety
and Compliance, and Academic Graduate Program. The TNA form was filled out by
the Section Chiefs for their subordinates.
e. Training effectiveness was evaluated using the organization’s Activity Effectiveness
Form. This was seen applied to the Personnel Skills Development Training
conducted on November 19-22, 2019 and attended by one IMO personnel. The
Activity Effectiveness Form for the above training was filled out by the training
participant’s immediate superior and noted by the Division Manager.

Opportunities for Improvement

a. Only the competency for SG 19 was added after almost a year.

Nonconformities:
a. Follow-up on previous nonconformity:
Team.03/St2 – still open
The determined position competencies and evaluation of incumbents’
competencies were limited to SG 19 and above.
b. New nonconformity: N/A

5. Operations and Maintenance (Clauses 6.2, 8 and 9.1)

Conformities:
a. The IMO monitored and attained its 2019 targets on service area, firmed-up
service area, irrigated area and cropping intensity.
b. Its Operation and Maintenance Plan for CY 2020 was in place and it has conducted
field verification of areas and monitoring of farming activities. Its targets for 2020
had already been attained as of September 2020.
c. There were maintenance activities that were undertaken by irrigation associations
as part of the agreement of NIA with them. An example was CASAF I.

Opportunities for Improvement: N/A

Nonconformities: N/A

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 Day 2
6. Context of the Organization (Clauses 4 and 6)
Conformities:
a. The RIO carried out PESTLE and SWOT analyses in the review of issues and
identification of the needs and expectations of its relevant interested parties.
b. It applied its Risk Management Procedure in (1) evaluating the
risks/opportunities associated with the issues and risks connected with the
needs and expectations of its interested parties and in (2) determining the
action plans for the identified risks/opportunities.
c. It conducted activities to validate the measures it undertook to address
risks/opportunities. Examples of these were field visitation of projects to check
on workmanship and close monitoring of contractor accomplishments.

Opportunities for Improvement:

a. The RIO did not identify opportunities from the needs/expectations of its
relevant interested parties.

Nonconformities:
a. Follow-up on previous nonconformity
Team.01/St2 – still open
The RIO did not identify opportunities associated with the needs/expectations of
its relevant interested parties and did not conduct their subsequent assessment.
b. New nonconformity: N/A

7. Engineering
Conformities:
a. The RIO 1 Engineering Group consists of two sections - Planning & Design and
Construction Management.
b. The Planning & Design section monitored its 2020 targets that covered carry-
over feasibility studies and detailed design undertaken by consultants. The
consultants were qualified and their performance evaluated according to RA
9184.
c. The Construction Management section closely monitors the performances of
IMOs responsible for construction activities. To ensure successful
implementation of the construction management projects, the section carries
out the following: monitoring of the monthly reports of the IMOs to the RIO,
fielding of teams to validate the reports of the IMOs, monthly review of the
projects by RIO management, and monthly report on status of IMO contracts
with contractors, and online monitoring of construction progress.

Opportunities for Improvement: N/A

Nonconformities: N/A

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 8. Operations and Maintenance
Conformities:
a. The objectives and targets of the Operations and Maintenance Group were
monitored and reported in its OPCR. Its targets for 2020 have all been already
attained as of September 30, 2020.
b. Its Monthly Reports Flowchart indicated the key activities undertaken and who
was responsible for undertaking them. A sample document that was shown during
the audit provided the Program of Farming Activities for the four IMOs of the
region and the Program of Farming Activities for the Wet Crop Season.
c. There was also a Monthly Maintenance Report that gave details on progress of
work per canal based on the RIO’s Maintenance Program. There were pictures
before, during and after the activities.
d. The maintenance activities depend on the contract with the irrigation association
and may cover cleaning, rehabilitation, restoration, etc.

Opportunities for Improvement: N/A

Nonconformities: N/A

9. Customer Satisfaction
Conformities:
a. The RIO measures customer satisfaction through a commissioned third-party
survey (through an SUC) of farmers. The survey was conducted in August and
October of this year and results are expected on Nov. 20, 2020.
b. In addition to the survey, the RIO HR measures the satisfaction of walk-in
customers based on MC-47: Guidelines on Walk-in Client Feedback. The target
of 100% satisfaction has been consistently met this year. There were no
complaints reported in October. The walk-in survey form measured satisfaction
regarding office staff (appearance, helpfulness, speed/efficiency, job
knowledge and quality of service) and office facilities (cleanliness and
orderliness/neatness).
c. Feedback was also received via the 8888 Hotline. As of September 2020, the
RIO has 5 reported incidents which have all been resolved within 72 hours of
receipt.

Opportunities for Improvement: N/A

Nonconformities: N/A

10.Internal audit, Nonconformity and Corrective Action

Conformities:
a. The organization conducts the internal audit of the RIO at least once a year.
b. The latest one was performed on June 22-26, 2020 with 72 nonconformities
reported, mostly in the area of document control. Of the 72, five were already

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 closed as of September 30, 2020. The five were confirmed to have been closed
after verification of the effectiveness of the implemented corrective actions.
c. The latest IQA covered the RIO’s core and support processes and applied the
relevant clauses to the processes.
d. Internal quality auditors of RIO 1 were selected based on personal attributes,
educational attainment and training on ISO. The training on ISO included ISO
9001:2015 awareness and QMS auditing. A recent Reorientation on the
Implementation and Maintenance of ISO 9001:2015 was provided by a
consultant on August 24-28, 2020 to the RIO’s ISO core team. This five-day
reorientation covered interpretation of ISO 9001:2015, risk management, root
cause analysis and corrective action, control of documented information, and
internal auditing.
e. The performance of internal quality auditors was evaluated based on the
following criteria: Planning – 30%, Implementation – 40% and Reporting –
30%.

Opportunities for Improvement: N/A

Nonconformities: N/A

11.Management Review (Clause 9.3)

Conformities:
a. The RIO conducts its Management Review meeting once a year. For 2020, it
was held on September 7 and 8.
b. The meeting was attended by RIO top management and senior management
personnel as well as by IMO senior management. The IMO participants joined
the meeting via Zoom.
c. The minutes of the latest Management Review meeting revealed that it
covered all the topics indicated in the ISO 9001:2015 standard as input and
output items of the meeting.
d. The various input topics were presented by the RIO’s different teams, viz.
Planning, IQA, Risk Management, Knowledge Management, Documented
Information, Training & Education, and Quality Work Plan Teams.
e. The review of issues and relevant stakeholders’ needs and expectations was
carried out through PESTLE and SWOT analyses.
f. Evaluation of the RIO’s external providers of processes, products and services
providers was made in accordance with the organization’s Contractors’
Performance Evaluation System (CPES).

Opportunities for Improvement: N/A

Nonconformities: N/A
----------End of RJM David’s Report---------

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