National Water Resources Board Effective Date: Quality ...nwrb.gov.ph/images/Transparency/8_nwrb_governance/NWRB-QMS-M… · • Describe the basic elements of the QMS of the NWRB

National Water Resources Board Effective Date:

Quality Manual Revision No.: 1

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TABLE OF CONTENTS

Section

Page

I. Introduction

4

II. Acronyms and Definition of Terms

5

III. Agency Profile 7 A. NWRB History 8 B. Mandate 9 C. Vision 9 D. Mission

9

IV. Organizational Structure 9 National Water Resources Board Organizational Chart 10 1. Policy And Program Division 10 1.1 Program Evaluation and Coordination Section 10 1.2 Policy Formulation Section 11 1.3 Water Resources Information Section 11 1.4 Water Resources Assessment Section 12 2. Water Rights Division 12 2.1 Permit Section 12 2.2 Evaluation Section 12 2.3 Complaints and Investigation Section 12 2.4 Litigation and Adjudication Section 12 3. Water Utilities Division 13 3.1 Registration and Licensing Section 13 3.2 Water Rates Evaluation Section 13 3.3 Litigation and Adjudication Section 13 3.4 System and Accounts Section 13 4. Monitoring And Enforcement Division 13 4.1 Operation & Monitoring Section 13 4.2 Enforcement Section 14 4.3 Evaluation Section 14 4.4 Calibration Section 14 5. Administrative And Financial Division 14 5.1 Personnel and Records Section 14 5.2 General Services Section 14 5.3 Budget and Accounting Section 15 5.4 Collection and Disbursement Section

15

V. Operational Control and Supervision 15 1. The Board: Its Composition and Powers 15



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2. The NWRB Secretariat 16 3. QMS Organizational Structure 17 Top Management 18 Quality Management System Leader (QMSLl) 18 QMS Secretariat 19 Risk Management Team 19 Knowledge Management Team 19 Training And Advocacy Team (Team) 19 Quality Workplace Team 19 Internal Quality Audit (IQA)) Team 20 A. Internal Communication 20 B. Management Review

20

VI. Quality Management System 20 A. General Requirements 20 B. Scope and Exclusions 21 C. Process Map 21 NWRB Process Map 22 Processes, Key Activities, Office Responsible

23

VII. Water Permit Application Process 26 Water Permit Application Process Flowchart 27 Process of Water Permit Application Directly Filed With the NWRB 28 Process of WPA filed with Deputized Agencies

31

VIII. Annexes 35 1. Quality Policy 35 2. Quality Objectives 35 3. Reference Matrix 35 4. 2017 Client Satisfaction Survey 37 Forms NWRB 2017 Client Satisfaction Survey Form 38 Result of the NWRB Client Satisfaction Survey (October –December

2017) 39

5. Water Permit Application Process 40 Water Permit Application Process Flowchart 40 Forms Water Permit Application 41 Notice of Water Permit Application 41 Sample Form for Permit to Drill 42 Sample of Conditional Water Permit 43 Sample Form for Water Permit 44 Resolution No. 09-0916 45



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Resolution No. 03-0715 55 6. Control of Documents 59 7. Control of Records 60 8. Internal Quality Audit 60 9. Control of Nonconforming Outputs and Services 61 10. Corrective Action 61 11. Preventive Action 61 12. Forms/Office Orders/Memorandums Request for Authority to Dispose of Records 63 Routing Slip 64 Office Order No. 16, Series of 2016 65 Memorandum on the Creation of M and E Team for NWRB

Programs/Projects 66

Memorandum on the Creation of M and E Committee for NWRB Programs/Projects

68

Record Series 69 Office Order No. 2017-15 75



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I. INTRODUCTION

This Quality Manual (QM) defines and clarifies policies, systems, and procedures adopted to implement and continually improve the Quality Management System (QMS) of the National Water Resources Board (NWRB).

This QM, together with associated documents mentioned hereto, aims to:

• Describe the basic elements of the QMS of the NWRB and serve as reference in its implementation and continual improvement;

• Inform the internal and external stakeholders and enable them to observe and implement the QMS that is being maintained at the NWRB; and

• Serve as reference and guide for newly-hired personnel and make them familiar and appreciate the NWRB’s QMS.

Introduction of new procedures or services may necessitate amendments to existing

Quality Manual and relevant procedures. Requests or suggestions are made in writing to the Overall Quality Management System Leader for his/her consideration to ensure that such changes are reflected in the Manual.

Controlled copies of this Quality Manual are issued to Copy Holders identified by the NWRB’s Records Officer who is responsible for safekeeping and prompt updating of necessary revisions. It is the responsibility of the Records Officer to distribute and keep a list of authorized Copy Holders of the Quality Manual, as indicated in the Control of Documents procedure.

This Manual is intended to be used by all the units of NWRB. Prepared by: Reviewed by: Approved by: BELEN T. TORMON JORGE M. ESTIOKO DR. SEVILLO D. DAVID JR., CESO III Chief Administrative Officer Deputy Executive Director Executive Director QMS Assistant Leader QMS Leader



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II. ACRONYMS AND DEFINITION OF TERMS

AFD Administrative and Financial Division

CNC Certificate of Non-Coverage

CPC Certificate of Public Convenience

CPCN Certificate of Public Convenience and Necessity

CWP Conditional Water Permit

DEDO Deputy Executive Director’s Office

DENR Department of Environment and Natural Resources

DOJ Department of Justice

DOH Department of Health

DOST Department of Science and Technology

DPWH Department of Public Works and Highways

ECC Environmental Certificate of Compliance

EDO Executive Director’s Office

ExeCom Executive Committee

IRR Implementing Rules and Regulations

LGU Local Government Unit

LPS Liters per Second

LWUA Local Waterworks Utilities Administration

MED Monitoring and Enforcement Division

NEDA National Economic Development Authority

NHRC National Hydraulics Research Center

NIA National Irrigation Administration

NPC National Power Corporation

NWRB National Water Resources Board

PPD Policy and Program Division

WRD Water Rights Division

WUD Water Utilities Division



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Certificate of Public Convenience (CPC)

- the formal written authority to sell water

Certificate of Public Convenience and Necessity (CPCN)

- is essentially the same as a CPC with a difference that a CPC and necessity is issued to an applicant for the operation of a public service for which a franchise is required by law

Conditional Water Permit (CWP) - a document issued by NWRB authorizing a person to appropriate or utilize water from a known source with a validity period of one (1) year subject to extension and compliance with the conditions stated

Freshwater - means water containing less than 500 ppm dissolved common salt, sodium chloride, such as that in groundwater, rivers, ponds and lakes

Groundwater - means a sub-surface water that occurs beneath a water table in soils and rocks, or in geological formations

Permit to Drill (PTD) - a document issued by NWRB authorizing a person to drill deepwell from a known location. The permit has a validity period of six (6) months subject to extension

Surface Water - means all water which is open to the atmosphere and subject to surface runoff

Water Permit (WP) - a document evidencing the water right. Water right is the privilege granted by the government to appropriate or use water

Water Permit Application (WPA) - a form used by applicants for applying water permit.



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III. AGENCY PROFILE A. NWRB History

The Creation of the NWRB's predecessor National Water Resources Council, as the Policy-

Making Body for the Philippine Water Sector.

The predecessor of the NWRB is the National Water Resources Council (“NWRC”), which was created in 1974 under Presidential Decree No. 424, otherwise known as the “Integrated Reorganization Plan”. It was subsequently renamed as NWRB pursuant to Executive Order No. 124-A. Under the said decree, the NWRB is tasked among others, to:

• Coordinate and integrate water resource development activities of the country; • Formulate general criteria, methods and standards for data collection, project

investigation, formulation, planning design and feasibility evaluation, and rules and regulations for the exploitation and optimum utilization of water resources;

• Review and approve water resource development plans and programs of other agencies;

• Undertake river basin surveys, inventories and appraisals, and develop comprehensive basin-wide plans of storage and control to maximize the conservation and multi-purpose use of water;

• Undertake hydrologic surveys and establish, operate and maintain observation station networks and centralized water resources data center;

• Conduct and/or promote special studies and researches with other government or agencies on related aspects of water resources development.

The NWRB is also tasked to advise the National Economic and Development Authority (“NEDA”) on matters pertaining to water resources development projects and programs; and recommend general policies and guidelines and short/long range plans and programs for water resources development. The Institution of NWRB as Resource Regulator

In 1976, Presidential Decree No. 1067, otherwise known as the “Water Code of the Philippines” was enacted. Based on the principles that: (a) “all water belongs to the State;” and (b) the State may allow the use or development of its waters by administrative concession,” the NWRB was instituted as a “water resource regulator” tasked to regulate and control the utilization, exploitation, development, conservation and protection of all water resources.

The specific functions of the NWRB, as a "Water Resource Regulator", include among others, (a) the issuance water permits for the appropriation, and use of waters; and (b) adjudication of disputes relating to the appropriation, utilization, exploitation, development, control and conservation, protection of waters.



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The Institution of NWRB as Economic Regulator for Waterworks Systems

In 1977, the Board of Power and Waterworks (BPW) was abolished pursuant to Presidential Decree No. 1206. The function of the BPW that were inherited from the Public Service Commission as regards waterworks systems, were later transferred to the NWRB, instituting the NWRB as an “economic regulator” of waterworks systems. The Transfer of Regulation of Water Tariffs for Water Districts to the NWRB

In 2002, the approval of tariffs for water districts was transferred to the NWRB from the Local Water Utilities Administration (LWUA), pursuant to Executive Order No. 123.

In 2010, Executive Order No. 860 was issued redefining the composition and powers of the Board, changing its membership and transferring NWRB to the Department of Environment and Natural Resources (DENR).

Source: NWRB Official Website. http://www.nwrb.gov.ph B. Mandate

The NWRB is the government agency that is responsible for all the water resources in the Philippines. It coordinates and regulates all water-related activities in the country that has impact on the physical environment and the economy.

Legal Mandates P.D. No. 424 creating the National Water Resources Council (NWRC) (1974)

P.D. No. 1067 instituting the Water Code of the Philippines (1976)

P.D. No. 1206 assigning the residual functions of the Board of Waterworks and the

defunct Public Service Commission to NWRC (1978)

E.O. NO. 124-A renaming NWRC to NWRB (1987); transferring technical functions to BRS of DPWH

E.O. No. 123 reconstituting the NWRB Board (2002)

E.O. No. 860 redefining the composition of the NWRB Board; returning the regulation of WDs to LWUA; and transferring NWRB to DENR (2010)



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C. Vision Sustainable Water for a Healthy Nation

D. Mission • To allocate sufficient water for optimal beneficial use; • To ensure access to safe water supply and adequate sanitation services; and • To preserve flow regimes for ecological integrity

IV. ORGANIZATIONAL STRUCTURE

The National Water Resources Board is composed of two distinct, interdependent

bodies namely the Board and the Secretariat. The Board is composed of the Secretary of the Department of Environment and

Natural Resources as chairperson. The ENR secretary is vice-chaired by the Secretary of Socio-Economic Planning from the National Economic Development Authority (NEDA). The members are composed of the Secretary of Justice, Secretary of Science and Technology and the Director of the National Hydraulics Research Center, University of the Philippines, Diliman.

Backing up the Board’s functions is the NWRB Secretariat headed by the agency’s

Executive Director. The ED is assisted by its deputy and five divisions namely, Policy and Program; Water Rights; Water Utilities; Monitoring and Enforcement; and Administrative and Financial.



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9. Assists in the implementation of foreign-assisted project pursued by the office; 10. Provides data/information requested by other water-related agencies and to

continuously update the current Medium-Term Philippine Development Plan (MTPDP).

1.2 Policy Formulation Section

1. Recommends/formulates policies, guidelines and criteria for the coordinated planning, development and utilization of water resources consistent with national development plans and emerging issues and concerns for consideration by the Board. o Identifies and articulates policy issues generated in consultation with concerned

water-related infrastructure agencies through task forces and technical committees under the auspices of the Board;

o Maintains a compilation of water related laws and policies. o Reviews existing policies and guidelines for possible revision and improvement

considering all water related policies of various agencies, such as charters, laws, guidelines, rules and regulation.

o Formulates and/or refines economic policies, guidelines, methodologies for water resources management and development.

o Prepares master list of Board resolutions by year and by subject/topic. o Prepares staff reports on issues arising from presentations in Board’s Meetings.

2. Reviews and valuates technical, economic and financial feasibilities of water resource

development projects and their congruence to national development plans; 3. Advises and assists in the identification of resource potentials, coordination of

interagency work on multi-purpose basic planning, cost allocation and water crisis management.

4. Prepares and coordinates economic-based reports, studies and project proposals related to water resources development.

5. Assists in the implementation of on-going foreign-assisted water-related projects being undertaken by the Board.

6. Maintains liaison with other government agencies involved in water and related resource development projects.

7. Performs other duties necessary in the implementation of the agency’s project/studies.

1.3 Water Resources Information Section

1. Serves as the central repository of water-resource data, literature and other reference materials relevant to the functions of the Board;

2. Maintains a water resource information center or library; 3. Collates and analyses technical data, especially from government agencies; 4. Updates the agency’s Information Systems Strategic Plan (ISSP) for submission to the

Department of Information and Communications Technology (DICT);



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5. Undertakes studies of the manpower requirements of the water resource sector which may be considered in setting up and implementing appropriate manpower development activities;

6. Designs and plans training program for agency employees; 7. Promotes better water conservation and usage for all water purposes; 8. Spearheads nationwide information campaign;

1.4 Water Resources Assessment Section

1. Conducts assessment of water resource supply and demand situation for systematic allocation and the development of available resources for various functional users;

2. Conducts assessment as to availability of water resources in certain areas and issues Certificate of Water Availability to the requesting party;

3. Provides/Assists researchers with water resources data; 4. Updates groundwater and streamflow databases; 5. Updates monthly dam elevations database for major dams; 6. Issues clearance for proposed memorial park; 7. Participates, reviews and evaluates foreign-assisted projects.

2. WATER RIGHTS DIVISION

2.1 Permit Section

1. Accepts applications for issues and records water rights/ permits. 2. Prepares/ updates registry of water permittees for dissemination of field deputies.

2.2 Evaluation Section

1. Evaluates water availability, development and impact and other hydrological data as bases for action on applications for water permits.

2.3 Complaints and Investigation Section

1. Receives complaints on violations of laws and regulations related to the appropriation and use of water.

2.4 Litigation and Adjudication Section

1. Conducts trials and hearings on water rights cases; 2. Issues orders, decisions, resolutions and judgments in relation to water rights cases

upon approval of the Board

3. WATER UTILITIES DIVISION



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3.1 Registration and Licensing Section

1. Reviews submitted requirements and supervises processing of applications for the issuance of CPC/CPCN, increase in rates, transfer and donation of water utility system etc.; and

2. Registers and dockets complaints/protest against water rate increases by waterworks utility systems, and schedules hearings; and

3. Conducts ocular inspection of water system’s water facilities

3.2 Water Rates Evaluation Section

1. Evaluates applications and determines water rates / increases for the viable operation of water utilities;

2. Designs rate structure and submit recommendation for a just and reasonable rates to the Board; and

3. Inspects and audits financial statements and records of operation of applicant Water Utility Operators.

3.3 Litigation and Adjudication Section

1. Conducts hearings on applications for CPC/CPC, increases in rates, transfer, donation of water system, and all incidents of CPC.

2. Conducts hearings on complaints/protest or appeal regarding water rates increases of water district; and

3. Recommends orders, decisions, rulings of cases tried and heard, and issues the same after Board approval.

3.4 System and Accounts Section

1. Examines and reviews Annual Financial Reports submitted by certificated Water Utility Operators and develops accounts for the system;

2. Recommends appropriate actions on the valuation and / or re-valuation of investments, and assets of water utilities relative to water franchise/ certificate;

3. Determines and issues billing statement relative to Supervision Regulation Fees including penalties imposable for delinquency from CPC grantees;

4. Determines and issues billing statements relative to Annual Water Charge including penalties from water permittees.

4. MONITORING AND ENFORCEMENT DIVISION

4.1 Operation & Monitoring Section

1. Monitors compliance of grantees of water rights and certificate of public convenience

a. Coordinates grantees/operators prior to inspection b. Conducts discharge measurements of wells/sources



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c. Inspects/verifies deep wells/sources status, specifications, production records and other equipment

d. Monitors illegal water users/appropriators e. Prepares orders/notices for compliance

4.2 Enforcement Section

1. Enforces all laws, orders, regulations and decisions issued by the Board 2. Monitors compliance of grantees of water rights 3. Recommends/Issues orders for compliance 4. Issues Certificate of Compliance

4.3 Evaluation Section

1. Evaluates operation, performance efficiency and effectiveness of water resources projects/waterworks system a. Verifies compliance to modified standard rules and regulations in the operation of

waterworks system b. Monitors compliance c. Verifies illegal water utility operation

4.4 Calibration Section

1. Inspects, tests and calibrates water meters for accuracy and efficiency 2. Coordinates waterworks operators prior to water meter testing

5. ADMINISTRATIVE AND FINANCIAL DIVISION

5.1 Personnel and Records Section

1. Formulates/recommends and implements Human Resources policies and programs adopted by the Board, in accordance with applicable Civil Service Commission, Department of Budget and Management and Government Service Insurance System policies (GSIS), rules and regulations. 2. Adopts a system of assessing the performance of personnel to ensure competitiveness in the Agency. 3. Implements training programs for the development of NWRB officials and

Employees 4. Provides records management services to the various operating sections.

5.2 General Services Section

1. Provides general services to the Board and its various operating sections 2. Develops/formulates operating administrative procedures in accordance with

existing government policies.



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5.3 Budget and Accounting Section

1. Maintains books of accounts and ledgers for all transactions of the Agency 2. Prepares financial, accounting and budget reports for submission to the

Commission on Audit, Department of Budget and Management, Senate, House of the Representatives and other government agencies as well as to funding institutions

3. Issues certification of availability of funds 4. Prepares Budget proposal of the Agency 5. Processes claims of the following:

a. Employees for compensation and other benefits b. Suppliers for supplies, materials and equipment delivered c. Contractors for services rendered d. Other government agencies and private institutions

5.4 Collection and Disbursement Section

1. Ensures timely payment of obligations to employees, contractors and suppliers; 2. Monitors the receipt and disbursement of cash in the bank 3. Accepts payments for the revenue of the Agency and other collectibles 4. Remits payments to the GSIS, PHILHEALTH, Home Development Mutual Fund,

suppliers and contractors. V. OPERATIONAL CONTROL AND SUPERVISION

1. The Board: Its Composition and Powers

The Board is the policy and rule-making body of the NWRB. It is composed of heads

of agencies, as follows:

Chairperson: Secretary, Department of Environment and Natural Resources

Vice Chairperson: Socio-Economic Planning Secretary, and Director-General, National Economic and Development Authority

Members: Secretary, Department of Justice

Secretary, Department of Science and Technology

Director, National Hydraulic Research Center,

University of the Philippines, Diliman

The Board has the following powers, duties and functions:

• Formulate and adopt policies and guidelines on water resources development and management consistent with national development plans;



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• Effect inter-sectoral, inter-departmental coordination of water resource plans and programs within context of national plans and policies for social and economic development;

• Regulate and control the utilization, exploitation, development, conservation and protection of the country’s water resources;

• Adjudicate and grant water permits, CPC, CPN for the operation and maintenance of water utilities and services; impose penalties for administrative violations thereof and make all decisions and determinations provided thereof;

• Supervise and control all water utilities and their franchises, equipment and other properties, and regulate and fix the water rates to be charged by water works operators, except those falling under the jurisdiction of the MWSS and the LWUA;

• Exercise original jurisdiction over all disputes relating to water appropriation and utilization and water rates of the above-mentioned water utilities, provided that decisions of the MWSS as well as the LWUA on water rates cases involving water districts under their jurisdictions shall be appealable to the Board;

• Review and approve rules and regulations prescribed by any government agency that pertain to the utilization, exploitation, development, control, conservation or protection of the country’s water resources;

• Impose and collect reasonable fees or charges from water appropriations and public utility operators which shall be used for the purposes deemed by the Board to be necessary for achieving its purpose and objectives;

• Advise and apprise the National Economic and Development Authority on matters pertaining to water resource development plans, programs and projects; and

• Coordinate with the Department of Public Works and Highways in securing technical data and other information required in the performance of Board functions.

The Board meets once a month to decide on applications for water permits, certificates of public convenience, new policies and related matters.

2. The NWRB Secretariat

The Board is supported by a fulltime working staff, comprising the NWRB secretariat. It is composed of 56 specialists in the different aspects of water resource development, like engineers, economists, financial specialists and lawyers, as well as 50 technical and administrative support personnel.

The secretariat has an Executive Committee (ExeCom) composed of the Executive Director, Deputy Executive Director and all division chiefs. The ExeCom meets once a month to resolve strategic issues and concerns that affect the operation of the Board.



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It also has a Management Committee (ManCom) composed of all members of the ExeCom and the section chiefs. The ManCom meets regularly for broad consultations and reporting on implementation of agency policies, plans and programs and knowledge sharing on trainings, seminars and workshops attended by members.

The Executive Director, who sits as a regular member of the Board, heads the secretariat, manages day-to-day operations of the agency, and supervises the execution of the policies, plans and programs promulgated by the Board.

The Deputy Executive Director assists the Executive Director, especially in the technical and field services as well as administrative functions of the agency.

The secretariat personnel is deployed over five operational divisions. The divisions and their major functions are as follows:

• The Policy and Program Division formulates policies on water resource development and utilization covering various uses and manages inter-sectoral and inter-departmental evaluation and coordination of water resources plans and programs.

• The Water Rights Division determines, adjudicates and grants water rights. • The Water Utilities Division determines, adjudicates and grant water work franchises. • The Monitoring and Enforcement Division monitors compliance to conditions of water

rights and certificate of public convenience and enforcement of laws, orders, regulations and decisions issued by the Board.

• The Administrative and Financial Division provides financial, personnel, records, property, procurement and other administrative support services.

Each division has four support sections.



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➢ QUALITY MANAGEMENT SYSTEM LEADER (QMSL)

• Oversees the establishment, documentation, and effective implementation of the QMS.

• Promotes risk-based thinking in overseeing the effectiveness of the QMS. • Acts as liaison with external parties on matters relating to QMS • Ensures that procedures for IQA, Management Review, and Corrective Actions are

established and implemented. • Reports QMS performance to Top Management for review and continual

improvement.

➢ QMS SECRETARIAT

• Provides administrative support to successfully implement the QMS up to the 3rd party certification.

• Facilitates the delivery of specific outputs in-line with the QMS. • Plans and coordinates effective deployment and efficient use of human, financial,

and other physical resources for the QMS. ➢ RISK MANAGEMENT TEAM

• Performs oversight function in ensuring that the established risk controls and

related activities are consistently implemented. • Plans and coordinates effective and efficient use of risk control tools. • Ensures that risk-related information are maintained and retained.

➢ KNOWLEDGE MANAGEMENT TEAM

• Ensures that the requirements for maintaining and retaining documented information are established and implemented.

• Coordinates and oversees activities related to managing organizational knowledge.

➢ TRAINING AND ADVOCACY TEAM (TEAM)

• Provides administrative support in terms of training and advocacy in the successful

implementation and sustenance of the QMS. • Plans and coordinates effective deployment and efficient use of resources in line

with training and advocacy activities. • Plans and coordinates echoing/cascading sessions on QMS-related training.



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➢ QUALITY WORKPLACE TEAM

• Ensures that the environments for the operation of processes needed to achieve conformity to service requirements are managed.

• Ensures consistent implementation of 5s programs, as applicable. • Monitors and assesses workplace cleanliness, orderliness and safety.

➢ INTERNAL QUALITY AUDIT (IQA) TEAM

• Determines conformance of the QMS to the planned arrangements and to the

requirements of ISO 9001-2015. • Determines whether the QMS is effectively implemented and maintained. • Provides input to management review regarding the results of audits. • Keeps track of the implementation of the corrective and preventive actions for

nonconformance raised during the audits. A. Internal Communication

Appropriate communication processes are established through electronic facility, regular briefings, meetings, conferences, and written communications, i.e., memoranda, office orders and postings in bulletin boards.

B. Management Review

The NWRB ExeCom review the QMS at least annually or whenever deemed necessary to determine continued suitability, adequacy and effectiveness in satisfying the organization’s requirements, including the statutory and regulatory requirements conforming to ISO 9001:2008 standards. This review includes assessment of performance for continual improvement to update and enhance the QMS, quality policy and quality objectives, as needed.

➢ Review Input

The review includes information on the following: a. Results of audits, internal and external; b. Client agency and/or citizen feedback results; c. Status of Service Conformities, and Process’ performance, vis-à-vis plans; d. Status of corrective and preventive actions; e. Matters arising from the management reviews conducted; f. Changes affecting the quality management system; and g. Actions taken on recommendations for improvement.



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VI. QUALITY MANAGEMENT SYSTEM

A. General Requirements

A process-based Quality Management System (QMS) is adopted to continually improve the functions and services of the NWRB which is mandated to coordinate and regulate all water-related activities in the country that has impact on the physical environment and the economy.

The NWRB determines the processes needed for the QMS and their application

throughout the organization and the criteria and methods needed to ensure that both the operation and control of these processes are effective; ensures the availability of resources and information necessary to support the operation and monitoring of these processes; monitors, measures, as appropriate, and analyzes these processes; and implements actions necessary to achieve planned results and continual improvement of its Water Resources Management.

B. Scope and Exclusions

This Quality Manual applies to the Water Permit Application Process as scope of the QMS. The WPA issuance, under the Water Rights Division, is one of the core processes of the NWRB as indicated in the NWRB Process Map.

C. Process Map The NWRB process map is divided into three groups of processes, namely: • Management Processes – those that are needed for oversight and governance of

NWRB’s quality management system. • Core Processes – those that are needed to realize the planned activities in managing the

water resources of the Philippines and allow NWRB to deliver the intent of its policy development, program management, and regulation and enforcement services.

• Support Processes – those that are needed to manage the resources necessary to ensure the satisfactory performance of the Core Processes.

Conceptually, these three groups of processes are working together to transform the customers’ requirements into customer satisfaction.



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ManCom and ExeCom

Policy Issuance Policy Development Policy Formulation Section Internal Policy Guidelines Development and Dissemination

Personnel & Records Section

Performance Review and Evaluation

Management Review ExeCom Internal Quality Audit (IQA) Monitoring and Evaluation

Committee Performance Commitment Review

All Offices/ Program Evaluation and Coordination Section

Financial Performance Reporting

Administrative and Financial Division through Budget and Accounting Section

Office Accomplishment Reporting

Program Evaluation and Coordination Section

Stakeholders Management and Conflict Resolution

Conflict Resolution Water Rights Division & Water Utilities Division through their Litigation & Adjudication Section

Improvement and Operational Development

Corrective and Preventive Action Planning

All Offices

Core Processes

Policy Development Policy Development Policy Formulation Section Program and Project Management

Program and Project Development

All Offices

Program and Project Implementation

All Offices

Implementation of PPAs All Offices Framework Planning All Offices

ManCom & ExeCom Programs and Projects Awareness and Social Mobilization

Water Resources Information Section

Capacity Building Personnel & Records Section All Offices

Impact Assessment Monitoring and Evaluation Committee All Offices



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Project and Program Accomplishment Reporting

Program Evaluation and Coordination Section Program Implementers

Data Monitoring and Reporting

Personnel & Records Section Water Resources Information Section through Information and Technology Team

Regulations, Monitoring and Enforcement

Processing of permits, licenses, etc.

Water Rights Division Water Utilities Division Policy and Program Division Administrative and Financial Division

Monitoring and inspection Water Rights Division Water Utilities Division Monitoring and Enforcement Division

Enforcement based on Monitoring Activities

Monitoring and Enforcement Division

Enforcement based on Complaints

Water Rights Division Water Utilities Division Monitoring and Enforcement Division

Support Processes

Human Resource Management

Recruitment, Selection and Placement

Personnel & Records Section Learning and Development

Performance Management Rewards and Recognition

Knowledge and Information System Management

Network Infrastructure Management

Water Resources Information Section through the IT Team System Development and

Management ICT/Data Resource Management

Financial Management Budgeting Administrative and Financial Division through the Budget and Accounting Section & Collection and Disbursement Section

Accounting Internal Management



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General Services Infrastructure Maintenance Administrative and Financial Division through the General Services Section and

Transport Vehicle Maintenance Management of Work Environment Cashiering Administrative and Financial

Division through the Collection and Disbursement Section

Property and Supply Management

Property Management Administrative and Financial Division through the General Services Section Bids and Awards Committee

Supply Management Procurement

Issue Management Issue Resolution Administrative and Financial Division through the Personnel & Records Section and Grievance Committee

Alternative Dispute Resolution

Records Management Document Control Administrative and Financial Division through the Personnel & Records Section

Records Management

Information, Education and Communication

Conduct of IEC Programs and Events

Policy and Program Division through the Water Resources Information Section

Formulation of IEC Materials Media Relations

VII. WATER PERMIT APPLICATION PROCESS

As a regulatory body, the Water Permit Application, as one of the core processes, was prioritized by the agency for the reason that it is the most relevant to our stakeholders and the key mandate of the agency, pursuant to P.D. 1067. The issuance of water permit not only legalizes the access to any source of water, but it also enables the agency to monitor water availability thus resulting to optimized management of the country’s water resources. Having the water permitting process certified will positively impact the lives of the Filipino citizenry.



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WATER PERMIT APPLICATION PROCESS FLOWCHART



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2. Mandate

P.D. No. 1206 E.O. NO. 124-A E.O. No. 123 E.O. No. 860

3. Vision

Office Memorandum on Proposed NWRB Strategic Plan 2017-2022, October 27, 2016 4. Mission

IV. ORGANIZATIONAL STRUCTURE

E.O. No. 123

V. OPERATIONAL CONTROL AND SUPERVISION

E.O. No. 123 NWRB Operations Management Handbook, 2006

1. The Board: Its Composition and Powers

2. The NWRB Secretariat

3. QMS Organizational Structure

Office Order No. 04, March 16, 2015;

Office Order No. 2017-15, August 16, 2017

VI. QUALITY MANAGEMENT SYSTEM

1. General Requirements 2. Scope and Exclusions 3. Process Map

VII. JUSTIFICATION OF EXCLUSION

VIII. FLOW CHART FOR WATER PERMIT APPLICATION PROCESS

NWRB Guide to Securing Water Permit and Certificate of Public

Convenience, 2010 www.nwrb.gov.ph

P.D. 1067 IX. ANNEXES

1. Quality Policy

2. Quality Objectives

3. Mechanisms for Determining Customer Satisfaction and Feedback

DENR 2016 Client Satisfaction Survey

NWRB Feedback Form (For Walk-In Clients)



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4. Operating Procedures NWRB Guide to Securing Water Permit and Certificate of Public

Convenience, 2010 www.nwrb.gov.ph

P.D. 1067 5. Control of Documents Records Disposition 6. Control of Records Office Order No. 07 Series 2014 7. Internal Quality Audit 8. Control of Non-Conforming

Products/Services

9. Corrective Action 10. Preventive Action

4. 2017 Client Satisfaction Survey

The NWRB has adopted its Client Satisfaction Survey since 2014. DENR conducted the survey through a third party monitoring. The scope of the survey covered specific services and products of DENR’s attached agencies and bureaus. The survey respondents came from a sample of external clients who availed of products and services of the concerned agencies under the DENR. The list of external clients were provided by the DENR and its attached agencies. Stakeholders’ satisfaction on policies issued by NWRB was conducted for NWRB from 2014 to 2016. For 2017, the NWRB created its Client Satisfaction Survey Form which aimed to determine its stakeholder’s level of satisfaction with the services/products provided by or received from NWRB for the last quarter of the year.



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NWRB 2017 Client Satisfaction Survey Form



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5. WATER PERMIT APPLICATION PROCESS

As a regulatory body, the Water Permit Application, as one of the core processes, was prioritized by the agency for the reason that it is the most relevant to our stakeholders and the key mandate of the agency, pursuant to P.D. 1067. The issuance of water permit not only legalizes the access to any source of water, but it also enables the agency to monitor water availability thus resulting to optimized management of the country’s water resources. Having the water permitting process certified will positively impact the lives of the Filipino citizenry.

WATER PERMIT APPLICATION PROCESS FLOWCHART



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Water Permit Application Form Notice of Water Permit Application



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Sample Form for Permit to Drill



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Sample of Conditional water Permit



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Sample Form for Water Permit



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6. Control of Documents

The Quality Manual, as the paramount form of documentation of the agency’s QMS,

shall be prepared through the combined efforts of the Top Management, Division Chiefs and their Representative/s and the Management Representative. Conduct of annual review of the Quality Manual, Quality Policy and Quality Objectives is necessary to ensure faithful compliance of the quality standards.

To ensure effectiveness and suitability to the present needs and direction, annual review of the systems procedures, forms and work instructions shall be conducted by the respective division. Approval of the contents of said documents shall be the responsibility of the Division Chief and Management Representative.

The NWRB will implement a procedure for the creation, revision, approval and issuance of documents, regardless of form (soft or hard copy). The said procedure will provide for an effective monitoring, distribution, maintenance and updating of procedures and instructions. The said documented Control of Documents procedure will be established to define the controls needed to:

a. Review and approve documents for adequacy prior to issue; b. Review and update as needed and re-approve documents; c. Identify the current revision status of documents and changes; d. Ensure that relevant versions of applicable documents are available at points of use; e. Ensure that documents remain legible, readily identifiable and retrievable; f. Ensure that documents of external origin determined by the Office to be necessary for

the planning and operation of the QMS are identified and their distribution controlled; and

g. Prevent the unintended use of obsolete documents, and apply suitable identification to them if they are retained for any purpose.

Document control is also applied to the Completed Staff Work (CSW) process outputs,

e.g. Office Orders, Memoranda, and Reports to ensure that they are effectively created, distributed and maintained.



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7. Control of Records

The NWRB has established documented procedures for the retention and maintenance of all records related to or in support to the QMS. At present, retention of NWRB records are established, recorded and maintained in accordance with the NWRB Records Retention and Disposition Schedule and supplemented by the National Archives of the Philippines General Records Disposition Schedule.

The integrity of records is maintained and protected through the NWRB Electronic Records Management System (e-RMS). Through the e-RMS, it implements a documented Control of Records procedure for the identification, collection, indexing, access, filing, storage and maintenance of records.

The Records Officer or the Process Owners, as the case may be, maintain records to demonstrate achievement of the QMS requirements, which includes the CSW process and its interfacing sub-processes.

Annual review of the procedures will likewise be conducted to ensure that it is in

compliance with the current standards.

8. Internal Quality Audit

The NWRB conducts its annual assessment, monitoring and evaluation on all its programs/projects’ activities, expenditures and progress towards achieving the project output guided by the contracts, agreements, Terms of Reference (TOR) and accomplishment reports.

With its IQA Team and the QMSL, it plans to conduct audit at least once every year to determine whether the QMS conforms to the requirements of the ISO and the management system requirements, and to ensure that the management system has effectively implemented and maintained.

The members of the IQA Team are identified and trained to ensure that they are capable to conduct and carry out the audit. The composition of the IQA Team is selected to ensure objectivity and impartiality of the audit process. Auditors cannot audit the processes within their respective Units.



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9. Control of Nonconforming Outputs and Services

The NWRB recognizes that nonconformities (NC) may occur within any phase of the provision of CSW. The NWRB establishes and maintains a documented procedure that identifies, controls and prevents nonconformities. The means to correct NCs, such as typographical error, omissions, wrong name or date, grammatically incorrect, etc, are defined in the documented procedure on Control of Nonconforming Outputs and Services.

When non-conforming services are corrected, they are subject for review in accordance with applicable documented procedures/standards.

10. Corrective Action

The NWRB will implement corrective actions that are identified from the cause analysis of nonconformities and improvement opportunities.

Corrective action is taken to eliminate nonconformities occurring during performance of CSW processes, such as:

• Non-conforming Services product; • outputs from audits; and • Non-conformities identified in monitoring and measurement of service processes

and products. These corrective actions are established to appropriately eliminate the causes of

nonconformities identified by the analysis conducted and an identified level of risk. Corrective actions are recorded to ensure their implementation.

There is a monitoring procedure for corrective actions, including analysis related to root causes, to ensure their effectiveness in order to avoid the recurrence of the nonconformity. Evaluation is designed to identify root causes before corrective action is taken. 11. Preventive Action

The NWRB will implement preventive actions that result from the cause analysis of potential nonconformities and improvement opportunities of the Quality Management System and CSW processes.

Data which will be used comprise of the following:



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▪ information coming from trends, ▪ achievement of quality objectives; ▪ cost analysis related to the achievement of quality objectives; ▪ satisfaction surveys from Clients and other identified interested parties; and ▪ results from audits and management review.

Preventive actions are recorded to ensure their implementation. Actions resulting

from the preventive action process are documented and communicated to the concerned areas of NWRB.

The learning resulting from the preventive action process is reviewed and communicated to the whole agency.



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Office Order No. 16 Series of 2016



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Office Order No. 2017-15



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